U.S. Department of Homeland Security
Office of Grants and Training
FY 2006 Infrastructure Protection
Program: Port Security
Program Guidelines and Application Kit
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
Foreword
I am pleased to provide these FY 2006 program guidelines and application materials for the U.S.
Department of Homeland Security (DHS) Infrastructure Protection Program.
This is the first grant cycle since completion of the Department’s Second Stage Review last summer and
our creation of a unified Preparedness Directorate. The preparedness mission transcends the entire
Department. Our approach to preparedness aggregates critical assets within DHS to support our
operating components and the work of our external partners to prevent, protect against, respond to, and
recover from threats to America’s safety and security. The Directorate serves a strategic integration
function of people, funding and programs.
The new Preparedness Directorate includes the essential work of the Department’s Office of Grants and
Training. In managing our grant programs, DHS is committed to supporting risk-based investments. We
are equally committed to continuous innovation. As new infrastructure is built, existing facilities improved,
or as our assessment of specific threats change, DHS grant programs will focus on being nimble and
making high-return investments to combat terrorism.
In 2006, $373 million is available for a package of related infrastructure protection grants. The FY 2006
Port Security Grant Program makes up $168 million of the total infrastructure protection grant funds
available. These grants are a vital tool in making our nation safer in the war against terror. They provide
assistance for physical security enhancements to some of the Nation’s most at-risk critical infrastructure.
For each grant, the Preparedness Directorate will rely on an integrated team of subject matter experts
drawn from DHS operating components to develop, design, compete, review, and support the
infrastructure grants as part of the national preparedness effort. Specifically, with respect to port security:
• The U.S. Coast Guard has the lead for assuring that the grants accomplish key objectives such
as aligning our grant making to the highest risk ports and allocating funds using refined riskbased
methods developed for grants. This process will hasten the development of an integrated
risk-based decision making process for each port area and will support implementation of the
National Infrastructure Protection Plan (NIPP) and achievement of the National Preparedness
Goal.
• The Department of Homeland Security’s Office of Grants and Training provides design,
facilitation, coordination and financial management administration for these programs. G&T also
coordinates with other relevant parts of the DHS family to bring their subject matter expertise to
bear on specific grants and initiatives.
DHS is committed to working with the owners and operators of America’s critical infrastructure as part of
the national effort to reduce the risks from terrorism and other threats to the homeland.
Michael Chertoff
Secretary
Department of Homeland Security
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
Contents
Part I Introduction 1
Part II FY 2006 Port Security Grant Program 2
Part III Eligible Applicants and Funding Availability 7
Part IV Program and Application Requirements 11
Part V Assistance Resources and Support 21
Part VI Reporting, Monitoring and Closeout Requirements 23
Appendix A Authorized Program Expenditures Guidance
Appendix B Port System Overview Template Guidance
Appendix C Individual Project Plan Template Guidance
Appendix D Budget Detail Worksheet Guidance
Appendix E MOU/MOA Guidance
Appendix F Canine Acquisition Start-up Costs Certification Guidance
Appendix G Captain of the Port Zone Abbreviations
Appendix H Application Checklist
Appendix I Grants.Gov Quick Start Instructions
Appendix J Post Award Instructions
Appendix K Additional Guidance on the National Preparedness Goal and the National
Priorities
Appendix L Capabilities Based Planning Guidance
Appendix M National Incident Management System Guidance
Appendix N National Infrastructure Protection Plan Guidance
Appendix O Public Safety Communications and Interoperability Guidance
Appendix P Domestic Nuclear Detection Office Guidance
Appendix Q National Environmental Policy Act Guidance
Appendix R Acronyms and Abbreviations
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
* As this grant guidance went to print, the final Goal and the NIPP are being prepared for release.
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I. Introduction
The FY 2006 Port Security Grant Program (PSGP) is an important component of the
Administration’s larger, coordinated effort to strengthen the security of America's critical
infrastructure. This program implements the objectives addressed in a series of laws,
strategy documents, plans and Homeland Security Presidential Directives (HSPDs)
outlined in Figure 1. Of particular significance are the National Preparedness Goal (the
Goal)* and its associated work products, the National Infrastructure Protection Plan
(NIPP)* and the National Strategy for Transportation Security (NSTS).
Figure 1. Laws, Strategy Documents, Directives and Plans That Impact the
Infrastructure Protection Program
On March 31, 2005, DHS issued the Interim National Preparedness Goal. The Goal
establishes a vision for a National Preparedness System. A number of the key building
blocks for that system, including the National Planning Scenarios, Universal Task List
(UTL), Target Capabilities List (TCL), and the seven National Priorities are important
components of a successful Port Security Grant.
Appendix K provides additional information on the National Preparedness Goal
and the National Priorities.
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II. The FY 2006 Port Security Grant Program
The mission of the FY 2006 Port Security Grant Program is to create a
sustainable, risk-based effort for the protection of critical port infrastructure
from terrorism, especially explosives and non-conventional threats that would
cause major disruption to commerce and significant loss of life.
A. Program Overview
As a component of the Infrastructure Protection Program (IPP), the FY 2006 PSGP
seeks to assist the Nation’s ports in obtaining the resources and capabilities required to
support the National Preparedness Goal and the associated National Priorities. Through
its focus on port-wide risk management planning, improvised explosive devices, nonconventional
methods of attack and domain awareness in the port environment, the FY
2006 PSGP directly addresses six of the seven National Priorities:
1) expanding regional collaboration;
2) implementing the National Incident Management System and the National
Response Plan;
3) implementing the National Infrastructure Protection Plan;
4) strengthening information sharing and collaboration capabilities;
5) enhancing interoperable communications capabilities; and,
6) strengthening CBRNE detection and response capabilities.
In addition, the FY 2006 PSGP also supports strengthening emergency operations
planning and citizen protection capabilities, and assists in addressing security priorities
specific to the port environment.
B. Solicitation Overview
The FY 2006 Port Security Grant Program is the sixth round of grants and builds upon
the previous five (5) rounds. Successful applications will be selected by a
competitive process. Following risk-based national port security priorities, the
FY 2006 PSGP will place a strong emphasis on prevention and detection against
improvised explosive devices (IEDs). Of great concern are IEDs delivered via
small craft, underwater and in vehicles on ferries. In addition, projects that
demonstrate enhanced Maritime Domain Awareness (e.g., access
control/standardized credentialing, command and control, communications and
enhanced intelligence sharing and analysis) will also receive preference under
the FY 2006 PSGP.1
1 The national priorities are consistent with HSPD-13 (December 21, 2005), which established as
maritime security policies: “preventing terrorist attacks or criminal acts or hostile acts in, or the unlawful
exploitation of, the Maritime Domain, and reducing the vulnerability of the Maritime Domain to such acts
and exploitation” and “enhancing U.S. national security and homeland security by protecting U.S.
population centers, critical infrastructure, borders, harbors, ports and coastal approaches in the Maritime
Domain.” Prevention of terrorist attacks and criminal or hostile acts and protection of maritime related
population centers and critical infrastructure were incorporated as strategic objectives within The National
Strategy for Maritime Security (September 2005).
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Appendix A provides additional information and examples of projects which
address these priority areas.
Eligible applicants in each port area may submit one application for funding of up
to five (5) individual projects.2 Funding may be awarded for all, some or none of
the projects submitted based on the outcome of the evaluation process.
G&T will coordinate and participate in a Federal interagency application review with
USCG, Office of Infrastructure Protection (OIP), the Transportation Security Agency
(TSA), and Customs and Border Protection (CBP) within DHS, and Maritime
Administration (MARAD) within the Department of Transportation.
C. Project Selection
As noted in Section B above, a series of reviews will occur among local and national
subject matter experts to ensure the most effective distribution of funding among these
ports. Awards under this program will not be based on formula distributions, but rather
on risk-based analytical assessments that align with the national goals outlined in this
grant application package.
1. Initial Screening. G&T staff will receive and conduct an initial review of all FY
2006 PSGP applications. Submitters are responsible for ensuring that ineligible,
incomplete and duplicate applications are not submitted – doing so may cause
elimination from further consideration. Applications passing this review will be
grouped by port area and provided to the applicable Captain of The Port (COTP)
for further review.
2. Field Review. Field level reviews will be managed by the applicable COTP in
coordination with the MARAD Region Director and appropriate personnel from
the Area Maritime Security Committee (AMSC) and/or local law enforcement (as
identified by the COTP). To support coordination of security grant application
projects with state and urban area homeland security strategies, as well as other
State and local security plans, the COTP will coordinate the results of the field
review with the applicable State Administrative Agency or Agencies and the State
Homeland Security Advisors. For each port, the COTP will submit to DHS
evaluations that include the following: (1) each specific application will be scored
for compliance with the four core grant program criteria enumerated below, and a
total score will be computed; and (2) all proposals received from each port will be
rank ordered from highest to lowest in terms of their contributions to risk
reduction and cost effectiveness. The four core PSGP criteria are as follows:
?? Criteria #1. Projects that support the national port security priorities:
o Prevention and detection of IED attacks by small craft;
2 An individual project could be a single activity or multiple activities required to complete an action, such
as the establishment of a canine program or an enhanced employee identification system. Individual
projects must take place at a single port area.
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o Prevention and detection of vehicle-borne IEDs on ferries;
o Prevention and detection of underwater IED attacks; and,
o Enhancement of the port area’s Maritime Domain Awareness (e.g.,
access control/standardized credentialing, command and control,
communications and enhanced intelligence sharing and analysis);
?? Criteria #2. Projects that address priorities outlined in the applicable Area
Maritime Security Plan (AMSP - mandated under the Maritime Transportation
Security Act (MTSA));
?? Criteria #3. Projects that address additional security priorities based on the
COTP’s expertise and experience with the specific port area; and,
?? Criteria #4. Projects that offer the highest potential for risk reduction for the
least cost.
Projects will be rated against the above noted program criteria. The COTP will
score specific applications on a four-point scale, and scores will reflect
responsiveness to the four core criteria. To assist submitters in preparing their
applications, the scoring scale to be used in gauging the application and its
specific components are outlined below.
Figure 2. Field Review Scoring of Responsiveness to Core Program Criteria
Rating Criteria:
?? Criteria #1 will be scored on a scale of 0 to 4, as follows:
0 = Not applicable, project does not address one of the National Priorities
1 = Project will be marginally effective in preventing/detecting the threat
2 = Project will be moderately effective in preventing/detecting the threat
3 = Project will be very effective in preventing/detecting the threat
4 = Project will be extremely effective in preventing/deterring the threat
?? Criteria #2 will be scored on a scale of 0 to 4, as follows:
0 = Project is not responsive to the AMSP
1 = Project is marginally responsive to the AMSP
2 = Project is moderately responsive to the AMSP
3 = Project is very responsive to the AMSP
4 = Project is extremely responsive to the AMSP
?? Criteria #3 will be scored on a scale of 0 to 4, as follows:
0 = Project will not impact additional security priorities
1 = Project will have a marginal impact on additional security priorities
2 = Project will have a moderate impact on additional security priorities
3 = Project will have a substantial impact on additional security priorities
4 = Project will have a major impact on additional security priorities
?? Criteria #4 will be scored on a scale of 0 to 4, as follows:
0 = Project offers no risk reduction potential for the cost
1 = Project offers marginal risk reduction potential for the cost
2 = Project offers moderate risk reduction potential for the cost
3 = Project offers good risk reduction potential for the cost
4 = Project offers outstanding risk reduction potential for the cost
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After completing field reviews, the COTPs will submit prioritized listings of
projects for each port area to USCG District staff to ensure consistent application
of field review guidance. After review by USCG District staff, COTPs will then
submit the field review prioritized lists to G&T to begin coordination of the
national review process.
3. National Review. Following the field review, a National Review Panel will be
convened. The panel will include subject matter experts from G&T, USCG, TSA,
CBP, OIP and MARAD. The purpose of the National Review Process is to
identify a final, prioritized list of projects for funding.
The National Review Panel will conduct an initial review of the prioritized project
listings for each port area submitted by the USCG COTP to ensure that the
proposed projects will accomplish intended risk mitigation goals. The National
Review Panel will validate the Field Review COTP Project Priority List and
provide a master list of prioritized projects by port area. Following this initial
meeting, G&T will review the projects from the National Review Panel’s validated
prioritized list for each port area against a risk-based algorithm that considers the
following factors to produce a comprehensive national priority ranking of port
security proposals.
?? Relationship of the project to one or more of the national port security
priorities:
?? The relationship of the project to one or more of the local port security
priorities:
?? The COTP’s ranking (based on each COTP’s prioritized list of projects); and,
?? The location of the project based on DHS’s risk assessment ranking of U.S.
Ports.
?? The relationship of the project to one or more of the National Priorities
outlined in the National Preparedness Goal.
In order to assure that port areas are competing for funds on an equal footing with
port areas with similar risk ratings, each port area will be sorted by risk into tiers.
Each tier will be given a specific allotment of grant funds for which port areas will
compete. Consequently, applicants will compete for funding against only
those port areas with similar risk rankings.
The National Review Panel will then be asked to evaluate and validate the
consolidated and ranked project list resulting from this process. Past performance
on previous Port Security Grant Program awards may be taken into consideration
in reviewing the ranked project list. Awards will be made based on the final ranked
list of projects identified by the National Review Panel. After DHS final approval,
a final listing of awards for each port area will be provided to the awardee
and to the relevant COTP, MARAD Region Director, AMSC, State
Administrative Agency(ies) and Homeland Security Advisor(s).
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D. The Goal, Risk Management and Planning Requirements
Associated with the FY 2006 Port Security Grant Program
During FY 2006 the Preparedness Directorate, working jointly with the USCG, will
continue their work to enhance the risk-based allocation of funds developed in FY 2005,
to coordinate port security planning efforts, such as the Area Maritime Security Plan
with other risk management planning strategies that have been developed by State and
Urban areas. This process will be the beginning of a fundamental shift in the focus of
the Port Security Grant Program from primarily a facility security focused grant program
to a Port-Wide Risk Management program as part of urban area and state efforts. As
such, this process will embody in the development of an integrated risk-based decision
making process for each port area. The process will be patterned after the Risk
Management Framework articulated in the National Infrastructure Protection Plan. (see
Figure 3) Adoption of a deliberate risk management planning process will enable the
Federal Maritime Security Coordinator (FMSC) and AMSC to make security
enhancement decisions in the context of strategic security goals, supported by clear,
measurable objectives. This process will also allow port area security needs to be
integrated into the broader national risk management framework of the National
Infrastructure Protection Plan, regional planning construct that forms the core of the
UASI program, as well as, statewide initiatives.
Figure 3. NIPP Framework
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III. Eligible Applicants and Funding Availability
A. Eligible Applicants
The FY 2006 DHS Appropriations Act provides funds for a competitive grant program to
address physical security enhancements for critical national seaports. DHS has
expanded the eligibility to apply for funding in FY 2006. However, it is important to note
that risk-based distribution of funding remains a high priority for the PSGP. DHS,
through G&T, will award the available funds to projects offering the greatest risk
reduction potential in the Nation’s highest risk port areas, thereby ensuring
federally regulated ports, terminals and U.S. inspected passenger vessels
receiving the funds represent assets of the highest strategic importance
nationally.
One hundred seaports3, representing 95 percent of the foreign waterborne
commerce of the United States, plus an additional port area eligible in FY 2005,
have been identified for inclusion in the FY 2006 PSGP. Eligible facilities within
these port areas must be within two miles of the commercial waterway.
Additionally, if a facility falls outside the recognized boundaries of one of these
port areas, but is addressed in the port’s AMSP, it will be considered eligible.
Table 1 below identifies the port areas in which grant activity may take place. However,
please note that presence on this list does not guarantee receipt of grant funding.
The port areas are listed alphabetically – no additional significance should be attributed
to this ordering.
Table 1. Port Areas Eligible for Consideration of Funding
FY 2006 PSGP Eligible Port Areas
Albany, NY Nashville, TN
Anacortes, WA New Haven, CT
Anchorage, AK New London, CT
Baltimore, MD New Orleans, LA
Baton Rouge, LA New York/New Jersey
Beaumont, TX Newport News, VA
Boston, MA Norfolk Harbor, VA
Bridgeport, CT Oakland, CA
Brownsville, TX Palm Beach, FL
Buffalo, NY Panama City, FL
Burns Harbor, IN Pascagoula, MS
Camden, NJ Paulsboro, NJ
Charleston, SC Penn Manor, PA
Chattanooga, TN Pensacola, FL
3 This eligibility list was developed by the U.S. Coast Guard using commercial, demographic and
geographic data from various sources. Factors such as Cargo Volume and Passenger Volume, the
presence of Critical Infrastructure/Key Assets (CI/KA), and Strategic Importance, among others, were
utilized in the determination. Its purpose is to identify ports that are essential to the viability of the Marine
Transportation System. Ports on this list represent 95 percent of the foreign waterborne commerce of the
United States. Use of this list for other purposes may not be warranted.
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Chester, PA Philadelphia, PA
Chicago, IL Pittsburgh, PA
Cincinnati, OH Plaquemines, LA
Cleveland, OH Ponce, PR
Corpus Christi, TX Port Arthur, TX
Detroit, MI Port Canaveral, FL
Duluth-Superior, MN/WI Port Everglades, FL
Everett, WA Port Hueneme, CA
Freeport, TX Port Manatee, FL
Galveston, TX Port St. Joe, FL
Gary, IN Portland, ME
Green Bay, WI Portland, OR
Greenville, MS Portsmouth, NH
Gulfport, MS Providence, RI
Guntersville, AL Richmond, CA
Helena, AR San Diego, CA
Honolulu, HI San Francisco, CA
Houston, TX San Juan, PR
Huntington, WV Savannah, GA
Indiana Harbor, IN Seattle, WA
Jacksonville, FL South Louisiana, LA
Kalama, WA St. Louis, MO
Kansas City, MO St. Paul, MN
Lake Charles, LA Stockton, CA
Long Beach, CA Tacoma, WA
Longview, WA Tampa, FL
Los Angeles, CA Texas City, TX
Louisville, KY Toledo, OH
Marcus Hook, NJ Tulsa, OK
Matagorda, TX Two Harbors, MN
Memphis, TN Valdez, AK
Miami, FL Vancouver, WA
Milwaukee, WI Vicksburg, MS
Minneapolis, MN Victoria, TX
Mobile, AL Wilmington, DE
Morehead City, NC Wilmington, NC
Mount Vernon, IN
Within the eligible port areas, applicants must be:
?? Owners/operators of federally regulated ports, terminals, facilities, U.S. inspected
passenger vessels, or ferries as defined in the Maritime Transportation Security
Act (MTSA) 33 CFR Parts 101, 104, and 105;
?? Port authorities or other state and local agencies that provide layered security
protection to federally regulated facilities in accordance with an AMSP or a facility
or vessel security plan; or,
?? Consortia composed of local stakeholder groups (e.g., river groups, ports, and
terminal associations) representing federally regulated ports, terminals, U.S.
New Port Areas Eligible for FY 2006 PSGP
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inspected passenger vessels, or ferries that provide layered security protection to
federally regulated facilities in accordance with an AMSP or a facility or vessel
security plan.
For purposes of the FY 2006 PSGP, layered security means an approach that utilizes
prevention and detection capabilities of organizations within a port-wide area to provide
complete security solutions to regulated entities. For example, organizations can
provide layered protection through command and control functions, waterside measures
that address security over multiple terminals and facilities or U.S. inspected passenger
vessel operations (as defined under CFR Part 104) within a port area.
There are three recognized kinds of organizations that provide port-wide layered
security: a port authority, state and local governments, and consortia or associations
which represent MTSA regulated entities as defined in 33 CFR Parts 101, 104, and 105.
?? A port authority may provide layered security through port-wide prevention and
detection activities on behalf of all port users, the landlord for the tenants on port
property, or as the owner operator of the port operations. This layered security
must include MTSA regulated entities and the layered security provided by the
port authority must be addressed in the regulated entities’ security plans.
?? State and local governments, through law enforcement or other recognizable
state or local agencies, may also provide layered security for MTSA regulated
entities. Those government agencies that are responsible for maintaining
security for MTSA regulated entities must be addressed in the regulated entities’
security plan or in the AMSP developed by the USCG COTP and the AMSC.
?? Consortia or associations that provide layered security to MTSA regulated
facilities. In addition, the layered protection provided must be addressed in the
regulated entities’ security plans.
Ownership of port facilities varies from port to port. In some cases, individual tenants
own land within a port, while others lease their space from the port entity. Additionally,
approximately 90 percent of the Nation’s port infrastructure is privately owned and
operated. Within ports, the highest risk assets include oil, chemical, gas terminals and
passenger/ferry vessels/terminals that are often owned/operated by the private sector.
The Department recognizes the unique challenges this represents with respect to portwide
risk reduction. The Department also believes that security should be a shared
responsibility.
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B. Funding Availability
The FY 2006 PSGP will provide $168,052,500 for port security grants. Funding will be
provided directly to successful applicants.
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IV. Program and Application Requirements
A. General Program Requirements
Successful applicants will be responsible for administration of FY 2006 PSGP awards.
In administering the program, the applicant must comply with the following
requirements.
1. Matching Funds. Consistent with FY06 Congressional appropriation
requirements, Public Sector applicants must provide matching funds supporting
at least 25 percent of the total project cost for each proposed project. As with
the FY05 grant requirements, Private Sector applicants must provide matching
funds supporting at least 50 percent of the total project cost for each proposed
project.
Exceptions: There is no matching requirement for projects with a total cost less
than $25,000. If the Secretary of Homeland Security determines that a proposed
project merits support and cannot be undertaken without a higher rate of Federal
support, the Secretary may approve grants with a matching requirement other
than that specified in accordance with 46 USC Sec. 70107(c)(2)(B).
2. Management and Administration Costs. Any management and administration
(M&A) costs associated with individual projects submitted for consideration of
funding under the FY 2006 PSGP must be included in the budget for that project.
M&A costs associated with managing the overall PSGP award itself must be
accounted for separately from program costs in the detailed budget. M&A costs
may not exceed three (3) percent of the total grant award.
.B. Specific Program Requirements
1. National Port Security Priorities. When developing project proposals for the
FY 2006 PSGP, specific attention should be paid to prevention and detection of
attacks involving IEDs. IEDs pose a threat of great concern to transportation
systems across the nation. IEDs have historically been a terrorist weapon of
choice because they combine a high degree of effectiveness with minimal cost.
Of great concern to port security are IEDs delivered via small craft,
underwater and including vehicles on ferries. Particular areas of focus,
therefore, should include: protection of facilities (including commercial
port facilities, public cruise line and ferry terminals) and vessels from
tampering and attack. Additionally, priority will be given to projects that
enhance the port system’s Maritime Domain Awareness (i.e. access
control/standardized credentialing, command and control, communications
and enhanced intelligence sharing and analysis).
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C. Ineligible Activities/Costs
The following projects and costs are considered ineligible for award consideration:
?? Ferry systems participating in the FY 2006 Transit Security Grant Program
(TSGP) cannot apply for funding for projects already under consideration for
other TSGP funding;
?? The development of risk/vulnerability assessment models and methodologies;
?? Projects in which Federal agencies are the primary beneficiary or that enhance
Federal property;
?? Projects that study technology development for security of national or
international cargo supply chains (e.g., e-seals, smart containers, container
tracking, container intrusion detection devices);
?? Proof-of-concept projects;
?? Projects involving training and exercises that do not meet MTSA standards
and/or requirements set by MTSA or the DHS Preparedness Directorate;
?? Projects that do not provide a compelling security benefit (e.g., primarily
economic or safety vs. security);
?? Projects that duplicate capabilities being provided by the Federal government
(e.g., vessel traffic systems, etc.);
Proposals in which there are real or apparent conflicts of interest;
?? Personnel costs (except for direct management and administration of the grant
awards, (i.e., preparation of mandatory post-award reports);
?? Business operating expenses (Certain security-related operational and
maintenance costs are allowable. See “Specific Guidance on Security
Operational and Maintenance Costs” in Appendix A (Sec F) for further guidance);
?? Reimbursement of pre-award security expenses;
?? Repair of existing equipment including, but not limited to: fencing, lighting, CCTV,
access controls, etc.;
?? Weapons, including, but not limited to: firearms and ammunition, for outfitting
facilities, vessels, or other structures; and,
?? Outfitting facilities, vessels, or other structures with equipment or items providing
a hospitality benefit rather than a direct security benefit. Examples of such
equipment or items include, but are not limited to: office furniture, CD players,
DVD players, AM/FM radios, etc.
D. Application Requirements
The following steps must be completed using the on-line http://www.grants.gov
system to ensure a successful application submission:
1. Application Process
DHS is participating in the e-Government initiative, one of 25 initiatives included in
the President’s Management Agenda (PMA). Grants.gov, part of the PMA, is a
“storefront” that provides a unified process for all customers of Federal grants to find
funding opportunities and apply for funding. Applicants must apply for FY 2006
PSGP funding through Grants.gov at http://www.grants.gov. Complete
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applications must be received by G&T no later than 11:59 pm EST on August
4, 2006.
2. On-Line Application
The on-line application must be completed and submitted by an authorized
representative of the applicant organization using Grants.gov. The on-line
application replaces the following previously required paper forms:
?? Standard Form 424, Application for Federal Assistance;
?? Standard Form LLL, Disclosure of Lobbying Activities;
?? JP Form 4000/3, Assurances;
?? JP form 4061/6, Certifications; and,
?? Non-Supplanting Certification.
The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is
“Port Security Grant Program.” The CFDA number is 97.056. When completing the
on-line application, applicants should identify their submissions as new, nonconstruction
applications. It is important to note that this is a procedural requirement
within Grants.gov and does not prohibit the applicant from submitting construction
projects. The project period will be for a period not to exceed 30 months.
Appendix I provides applicants with a set of Quick-Start Instructions for
registering in Grants.gov in order to submit an application.
Appendix H provides a checklist of all items that must be included for your
application to be considered complete. Applicants should refer to this
checklist to ensure that all required application items are contained within the
application before submitting the application in Grants.gov.
3. Application Submission Requirements
Eligible applicants may submit one application for funding of up to five (5) individual
projects. The individual projects comprising a single application must take place
within the same port area. Private companies that operate in more than one eligible
port area must submit separate applications for projects in each port area.
Applicants will be given an opportunity to make changes to their application until the
close of the application period. It is important to note, however, that simple clerical
errors in the application submissions will NOT render an application ineligible.
As part of the application process, the applicant must include a Port System
Overview. Applicants must also provide a project plan and detailed budget for each
proposed project.
Applicants should use the following file name conventions for files attached in
Grants.gov:
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COTP _ Port Area_ Name of Applicant_ Document Type_ Project Number
Example #1: PWS_Valdez_State Ferry System_Port System Overview
Example #2: PWS_Valdez_State Ferry System_Project Plan_Project1
Example #3: PWS_Valdez_State Ferry System_Project Budget_Project1
Example #4: PWS_Valdez_State Ferry System_Program Budget_M&A Costs
Appendix G provides appropriate abbreviations for the COTP Zones.
?? Port System Overview – Each Port System Overview, provided by the
applicant, should not exceed ten (10) pages. The Port System Overview should
identify specific point(s) of contact (POC) to work with DHS on the
implementation of the FY 2006 PSGP. As part of the application process,
applicants must provide data/statistics that relate to their specific port project (for
port applications), terminal project (for terminal applications), waterways, and
U.S. inspected passenger vessel or ferry projects. Terminals and vessels cannot
rely on aggregated port statistics. The Port System Overview should include the
following information:
o Area of Operations (including COTP Zone and eligible port as identified in
Table 1);
o POC(s) for Organization;
o Ownership/operation (identification of the applicant as a publicly or
privately owned facility, public entity, consortium or association, etc.);
o Role in Layered Protection of Regulated Entities (if applicable);
o Infrastructure;
o Current IED capabilities;
o Domain Awareness Capabilities;
o Nature of Operations, including:
?? Type and Volume of Cargo (annual statistics); and, if applicable,
?? Type and Volume of Hazardous Materials (annual statistics); and, if
applicable,
?? Number of Passengers (annual statistics); and, if applicable,
?? Number of Vessels Owned;
o Any other important features; and,
o Brief summary of security enhancements already undertaken (including
those supported through previous Federal grant awards).
In addition, the Port System Overview should address the applicant’s
current IED prevention and detection capabilities, as well as its domain
awareness capacities (i.e., command, control, communications, and
enhanced intelligence sharing and analysis). Applicants that submit more
than one project must also provide a listing of these projects in order of
priority, and a justification for the prioritization.4
4 Prevention: Actions to avoid an incident or to intervene to stop an incident from occurring. Prevention
involves actions taken to protect lives and property. It involves applying intelligence and other information
to a range of activities that may include such countermeasures as deterrence operations; heightened
inspections; improved surveillance and security operations; investigations to determine the full nature and
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Appendix B provides a template for the Port System Overview.
?? Individual Project Plan – Applications must clearly demonstrate an ability to
provide tangible, physical security enhancements consistent with the purpose of
the program and guidance provided by DHS. The applicant must provide a
complete project plan for the entire project period. The project plan must
demonstrate how the project would address a vulnerability identified in the
applicant’s USCG approved security plan. The Project Plan should demonstrate
how the project addresses the National Priorities of the National Preparedness
Goal (i.e., implementing the National Infrastructure Protection Plan, Regionalism,
Implementing the National Incident Management System, and Achieving
interoperable communications). The project plan must also clearly demonstrate
how the project is consistent with all applicable requirements outlined in this
application kit and addresses the rating criteria identified in Section II: The FY
2006 Port Security Grant Program. The project period will be for a period not to
exceed 30 months. Each project plan should not exceed five (5) pages.
Applications must include a separate Individual Project Plan for each
proposed project.
Appendix C provides a template for the Individual Project Plan.
Appendices K through P provide guidance on the National Preparedness
Goal and the National Priorities.
?? Detailed Budget – The applicant must also provide a detailed budget for use of
the funds requested (see Appendix A for guidance on allowable costs under this
program). The budget must be complete, reasonable and cost-effective in
relation to the proposed project. The budget should provide the basis of
computation of all project-related costs, including any appropriate narrative. The
budget should also demonstrate any cash match. Public sector applicants must
provide matching funds supporting at least 25 percent of the total project cost
for each proposed project. Private sector applicants must provide matching
funds supporting at least 50 percent of the total project cost for each
proposed budget. Applications must include a separate budget for each
proposed project.
Important Note: If an applicant determines that a higher level of (Federal)
support is required for a project, the applicant must demonstrate the
“merits” of the project within the Budget Narrative for review by the
Secretary and or appropriate designee in accordance with 46 USC Sec.
70107(c)(2)(B) for a waiver to the match requirement to be considered.
Appendix D provides a copy of the required Budget Worksheet.
source of the threat; public health and agricultural surveillance and testing processes; immunizations,
isolation, or quarantine; and, as appropriate, specific law enforcement operations aimed at deterring,
preempting, interdicting, or disrupting illegal activity and apprehending potential perpetrators and bringing
them to justice. (Source—National Incident Management System, March 2004)
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4. National Environmental Policy Act (NEPA)
NEPA requires DHS, through G&T, 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 DHS funding for
construction projects must complete and submit a NEPA Compliance Checklist to
DHS 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 DHS funding, the need to perform an Environmental Assessment
(EA) or draft an Environmental Impact Statement (EIS).
Appendix Q provides a template for the NEPA.
Important Note: These documents may be provided using one of the
attachment fields in Grants.gov. Applications submitted without the above
documents for each project WILL NOT be considered for funding.
5. MOU/MOA Requirement for State or Local Agencies and for Consortia or
Associations
State and local agencies, as well as consortia or associations (as defined in Section
III: Eligible Applicants and Funding Availability) which provide layered security to
MTSA regulated facilities are eligible applicants. However, the layered protection
provided must be addressed in the regulated entities’ security plans. A copy of an
MOU/MOA with the identified regulated entities will be required prior to funding, and
must include an acknowledgement of the layered security and roles and
responsibility of all entities involved. Eligible public port authorities, or other
state or local agencies and consortia or associations must provide this
information. This information may be provided using one of the attachment
fields within Grants.gov.
Appendix E provides specific guidance on criteria that must be addressed
within the MOU/MOA.
6. Universal Identifier
The applicant must provide a Dun and Bradstreet (D&B) Data Universal
Numbering System (DUNS) number with the application. An application will
not be considered complete until a valid DUNS number is provided by the
applicant. This number is a required field within Grants.gov. Organizations
should verify that they have a DUNS number or take the steps necessary to obtain
one as soon as possible.
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Applicants can receive a DUNS number at no cost by calling the dedicated tollfree
DUNS Number request line at 1-800-333-0505.
7. Compliance with Federal Civil Rights Laws and Regulations
Grantees are required to comply with Federal civil rights laws and regulations.
Specifically, grantees are required to provide assurances as a condition for receipt of
Federal funds from DHS that its programs and activities comply with the following:
?? Title VI of the Civil Rights Act of 1964, as amended, 42. USC 2000 et. seq. – no
person on the grounds of race, color or national origin will be excluded from
participation in, be denied the benefits of, or be otherwise subjected to
discrimination in any program or activity receiving Federal financial assistance;
?? Section 504 of the Rehabilitation Act of 1973, as amended, 29 USC 794 – no
qualified individual with a disability in the United States, shall, by reason of his or
her disability, be excluded from the participation in, be denied the benefits of, or
otherwise be subjected to discrimination in any program or activity receiving
Federal financial assistance;
?? Title IX of the Education Amendments of 1972, as amended, 20 USC 1681 et.
seq. – discrimination on the basis of sex is eliminated in any education program
or activity receiving Federal financial assistance; and,
?? The Age Discrimination Act of 1975, as amended, 20 USC 6101 et. seq. – no
person in the United States shall be, on the basis of age, excluded from
participation in, denied the benefits of or subjected to discrimination under any
program or activity receiving Federal financial assistance.
Grantees must comply with all regulations, guidelines, and standards adopted under
the above statutes. Grantees are also required to submit information, as required, to
the DHS Office for Civil Rights and Civil Liberties concerning its compliance with
these laws and their implementing regulations.
8. Financial Requirements
?? Non-Supplanting Certification: This certification affirms that these grant funds
will be used to supplement existing funds and will not replace (i.e., 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,
post-award monitoring and any potential audits. 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: Public sector applicants must provide matching funds
supporting at least 25 percent of the total project cost for each proposed
project. Private sector applicants must provide matching funds supporting at
least 50 percent of the total project cost for each proposed project.
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Exceptions: There is no matching requirement for projects with a total cost that
does not exceed more than $25,000. If the Secretary determines that a
proposed project merits support and cannot be undertaken without a higher rate
of Federal support, the Secretary may approve grants with a matching
requirement other than that specified in accordance with 46 USC Sec.
70107(c)(2)(B). For further information defining match, timing of match
contributions and records for match, please consult the Office of Grant
Operations (OGO) Financial Management Guide, available at
http://www.dhs.gov/dhspublic/display?theme=18.
?? Accounting System and Financial Capability Questionnaire: All
nongovernmental (non-profit and commercial) organizations that apply for
funding with DHS that have not previously (or within the last 3 years) received
funding from DHS must complete the Accounting System and Financial
Capability Questionnaire. This information may be provided using one of the
attachment fields within the on-line Grants.gov application.
The required form can be found at http://www.ojp.usdoj.gov/oc.
?? Assurances: Assurances forms (SF-424B and SF-424D) can be accessed at
http://apply.grants.gov/agency/FormLinks?family=7. 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 will be agreeing 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 on-line application, commits
the applicant to compliance with the certification requirements under 28 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.6
Important Note: DHS, by written notice, may terminate this grant, in whole or
in part, when it is in the Government's interest.
9. Services to Limited English Proficient (LEP) Persons
Recipients of DHS 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
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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.
10. Integrating Individuals with Disabilities into Emergency Planning
Executive Order #13347, entitled "Individuals with Disabilities in Emergency
Preparedness" and signed in July 2004, requires the Federal government to
support safety and security for individuals with disabilities in situations involving
disasters, including earthquakes, tornadoes, fires, floods, hurricanes, and acts of
terrorism. Consequently, Federal agencies are required to: 1) encourage
consideration of the unique needs of persons with disabilities in emergency
preparedness planning; and 2) facilitate cooperation among Federal, state, local,
and tribal governments, private organizations, non-governmental organizations,
and the general public in the implementation of emergency preparedness plans as
they relate to individuals with disabilities. A January 2005 letter to state governors
from then-Homeland Security Secretary Tom Ridge asked states to consider
several steps in protecting individuals with disabilities:
?? Ensure that existing emergency preparedness plans are as comprehensive as
possible with regard to the issues facing individuals with disabilities;
?? Ensure that emergency information and resources are available by accessible
means and in accessible formats; and,
?? Consider expending Federal homeland security dollars on initiatives that
address and/or respond to the needs of individuals with disabilities for
emergency preparedness, response, and recovery.
Further information can be found at the Disability and Emergency Preparedness
Resource Center at http://www.dhs.gov/disabilitypreparedness. This resource
center provides information to assist emergency managers in planning and
response efforts related to people with disabilities. In addition, all grantees should
be mindful of Section 504 of the Rehabilitation Act of 1973 that prohibits
discrimination based on disability by recipients of Federal financial assistance.
11. Freedom of Information Act (FOIA)
DHS 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 discussions of demographics, transportation, public works, industrial
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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and public health infrastructures. While this information under Federal control is
subject to requests made pursuant to the FOIA, 5. USC §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 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 G&T Program Manager regarding concerns or questions about
the release of information under state and local laws. Grantees should be familiar
with the regulations governing Protected Critical Infrastructure Information (6 CFR
Part 29) and Sensitive Security Information (49 CFR Part 1520), as these
designations may provide additional protection to certain classes of homeland
security information.
12. Geospatial Guidance
Geospatial technologies capture, store, analyze, transmit, and/or display locationbased
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: purpose/use, status, capacity, engineering
schematics, operational characteristics, environmental and situational awareness.
State and local emergency organizations are increasingly incorporating geospatial
technologies and data to prevent, protect against, respond to, and recover from
terrorist activity and incidents of national significance. In the preparedness phase,
homeland security planners and responders need current, accurate, and easily
accessible information to ensure the readiness of teams to respond. Also an
important component in strategy development is 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 dynamic common operating picture, coordinated and track emergency
assets, enhance 911 capabilities, understand event impacts, accurately estimate
damage, locate safety zones for quarantine or detention, and facilitate recovery.
Use of Federal homeland security dollars for geospatial activities requires preapproval
and a demonstrated capability for robust interoperability with DHS and
other relevant systems. G&T will coordinate review of requests for use of Federal
homeland security funding for other geospatial projects with relevant entities.
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V. Assistance Resources and Support
A. Drawdown and Expenditure of Funds
G&T’s Office of Grant Operations (OGO) will provide fiscal support of the grant
programs included in this solicitation, with the exception of payment related issues. For
financial and administrative questions, all grant and sub grant recipients should refer to
the OGO Financial Management Guide or contact OGO at 1-866-9ASK-OGO or askogo@
dhs.gov. All payment related questions should be referred to OJP/OC’s Customer
Service at 1-800-458-0786 or askoc@ojp.usdoj.gov.
Following acceptance of the grant award and release of any special conditions
withholding funds, the Grantee can draw down and expend grant funds through the
Automated Standard Application for Payments (ASAP), Phone Activated Paperless
Request System (PAPRS) or Letter of Credit Electronic Certification System (LOCES)
payment systems. For more information about these options go to
http://www.ojp.usdoj.gov/FinGuide or call 1-866-9ASK-OGO.
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
five (5) working days each month. Grantees 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 June, the last day to request (draw down) payments will
be June 23, 2006. Payments requested after June 23, 2006, will be processed when
the regular schedule resumes on July 3, 2006. A similar schedule will follow at the end
of each month thereafter.
Recipient organizations should request funds based upon immediate disbursement
requirements. Funds will not be paid in a lump sum, but rather disbursed over time as
project costs are incurred or anticipated. Recipients should time their drawdown
requests to ensure that Federal cash on hand is the minimum needed for
disbursements to be made immediately or within a few days. Grantees may elect to
drawdown funds up to 120 days prior to expenditure/disbursement, in response to the
recommendation of the Funding Task Force. DHS strongly encourages recipients to
draw down funds as close to expenditure as possible to avoid accruing interest. Funds
received by grantees 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, available at:
http://www.access.gpo.gov/nara/cfr/waisidx_04/28cfrv2_04.html 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_04/28cfrv2_04.html. These guidelines
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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state that entities 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
Please consult the OGO Financial Management Guide or the applicable OMB Circular
for additional guidance.
Important Note: Although advance drawdown requests may be made, state
grantees remain subject to the interest requirements of the Cash Management
Improvement Act (CMIA) and it’s 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 for program
purposes.
B. Centralized Scheduling and Information Desk (CSID) Help Line
The CSID is a non-emergency resource for use by emergency responders across the
Nation. CSID is a comprehensive coordination, management, information, and
scheduling tool developed by DHS through G&T for homeland security terrorism
preparedness activities. A non-emergency resource for use by State and local
emergency responders across the nation, the CSID provides general information on all
G&T programs and information on the characteristics and control of CBRNE,
agriculture, cyber materials, defensive equipment, mitigation techniques, and available
Federal assets and resources. The CSID maintains a comprehensive database
containing key personnel contact information for homeland security terrorism
preparedness programs and events. These contacts include personnel at the Federal,
State and local levels.
C. Office of Grant Operations (OGO)
G&T’s Office of Grant Operations (OGO) will provide fiscal support and fiscal oversight
of the grant programs included in this solicitation. All grant and sub grant recipients
should refer to the OGO Financial Management Guide, available at
http://www.dhs.gov/dhspublic/display?theme=18.
OGO can be contacted at 1-866-9ASK-OGO or by email at ask-OGO@dhs.gov.
The CSID can be contacted at 1-800-368-6498 or askcsid@dhs.gov.
CSID hours of operation are from 8:00 am–7:00 pm (EST), Monday-Friday.
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VI. Reporting, Monitoring and Closeout Requirements
A. Reporting Requirements
The following reports are required of all program participants:
1. Financial Status Reports (FSRs) – Standard Form 269a
Obligations and expenditures must be reported to G&T on a quarterly basis
through the FSR, which is due within 30 days of the end of each calendar
quarter (e.g., for the quarter ending March 31, FSR is due on April 30).
Please note that this is a change from previous fiscal years. 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. Future awards
and fund drawdowns will be withheld if these reports are delinquent.
FSRs must now be filed online through the Internet at
https://grants.ojp.usdoj.gov. Forms and instructions can be found at
http://www.ojp.usdoj.gov/forms.htm.
Grantees are reminded to review the following documents and ensure that grant
activities are conducted in accordance with the applicable guidance:
?? OMB Circular A-102, Grants and Cooperative Agreements with State and
Local Governments, at http://www.whitehouse.gov/omb/circulars/index.html;
?? OMB Circular A-87, Cost Principles for State, Local, and Indian Tribal
Governments, at http://www.whitehouse.gov/omb/circulars/index.html;
?? OMB Circular A-110, Uniform Administrative Requirements for Grants and
Other Agreements with Institutions of Higher Education, Hospitals and Other
Non-Profit Organizations, at http://www.whitehouse.gov/omb/circulars/index.html;
?? OMB Circular A-21, Cost Principles for Educational Institutions, at
http://www.whitehouse.gov/omb/circulars/index.html; and,
?? OMB Circular A-122, Cost Principles for Non-Profit Organizations, at
http://www.whitehouse.gov/omb/circulars/index.html.
For FY 2006 awards, grant and sub-grant recipients should refer to the OGO
Financial Management Guide available at:
http://www.dhs.gov/dhspublic/display?theme=18.
All previous awards are still governed by the OJP Financial Guide, available at
http://www.ojp.usdoj.gov/FinGuide. OGO can be contacted at 1-866-9ASK-OGO
or by email at ask-OGO@dhs.gov.
Required Submission: Financial Status Report (FSR) SF-269a (due quarterly)
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2. Categorical Assistance Progress Report (CAPR)
Following an award, the awardees will be responsible for providing updated
obligation and expenditure information on a regular basis. The CAPR is due
within 30 days after the end of the reporting period (July 30 for the reporting
period of January 1 through June 30, and on January 30 for the reporting period
of July 1 though December 31). Future awards and fund drawdowns may be
withheld if these reports are delinquent. The final CAPR is due 90 days after the
end date of the award period.
Block #12 of the CAPR should be used to note progress against the proposed
project. The grantor agency shall provide sufficient information to monitor
program implementation and goal achievement. At a minimum, reports should
contain the following data: (1) As applicable, the total number of items secured
under this grant (e.g., access controls, surveillance, physical enhancements, and
vessels) to date, and (2) for other items acquired through this grant, a brief
description and total number of items obtained to date.
CAPRs must be filed online through the internet at https://grants.ojp.usdoj.gov.
Forms and instructions can be found at http://www.ojp.usdoj.gov/forms.htm.
Required Submission: CAPR (due semiannually)
3. 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 Government
Accountability 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 currently
due to the Federal Audit Clearinghouse no later than nine months after the end of
the recipient’s fiscal year. In addition, the Secretary of Homeland Security and
the Comptroller General of the United States shall have access to any books,
documents, and records of recipients of FY 2006 PSGP 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.
For-profit organizations that expend $500,000 or more of Federal funds during
their fiscal year shall have financial and compliance audits conducted by qualified
individuals who are organizationally, personally, and externally independent from
those who authorize the expenditure of Federal funds. This audit must be
performed in accordance with Government Auditing Standards, 1994 Revision.
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The purpose of this audit is to ascertain the effectiveness of the financial
management systems and internal procedures that have been established to
meet the terms and conditions of the award. Usually, these audits shall be
conducted annually, but no less than every two years. The dollar threshold for
audit reports established in OMB Circular A-133, as amended, applies.
B. Monitoring
Grant recipients will be monitored periodically by DHS staff, both programmatically and
financially, to ensure that the project goals, objectives, timelines, budgets and other
related program criteria are being met. Monitoring will be accomplished through a
combination of office-based 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.
The recipient is responsible for monitoring award activities, to include sub awards, to
provide reasonable assurance that the Federal award is administered in compliance
with requirements. Responsibilities include the accounting of receipts and
expenditures, cash management, the maintaining of adequate financial records, and the
refunding of expenditures disallowed by audits.
C. Grant Close-out Process
Within 90 days after the end of the grant period, the grantee will submit a final SF-269a
and a final CAPR detailing all accomplishments throughout the project. After both of
these reports have been reviewed and approved by G&T, 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
SF-269a.
Required Submissions: 1) Final SF-269a, due 90 days from end of grant period; and,
2) Final CAPR, due 90 days from the end of the grant period.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX A
AUTHORIZED PROGRAM
EXPENDITURES
GUIDANCE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
A-1
Authorized Program Expenditures Guidance
This appendix serves as an additional guide for program expenditure activities.
Grantees are encouraged to contact their G&T Program Manager regarding authorized
and unauthorized expenditures.
A. Projects that Support the National Port Security Priorities
When developing project proposals for the FY 2006 PSGP, applicants must pay specific
attention to the prevention and detection of terrorist attacks which involve IEDs. IEDs
pose a threat of great concern to transportation systems across the Nation. IEDs have
historically been the terrorist weapon of choice because they combine a high degree of
effectiveness with minimal cost. Of greatest concern to port security are IEDs delivered
via small craft, underwater and from vehicles on ferries. Particular areas of focus,
therefore, should include protection of facilities, including public cruise line and ferry
terminals and vessels, from tampering and attack.
The following are examples of security enhancements designed to enhance IED
prevention and detection capabilities for port systems:
1. Port Facilities, Including Public Cruise Line and Ferry Terminals
?? Explosive Agent Detection Sensors
?? Chemical/Biological/Radiological Agent Detection Sensors
?? Canines (start-up costs and training for terminal operations)
?? Intrusion Detection
?? Small boats for State and Local Law Enforcement Marine Patrol/Security
Incident Response
?? Video Surveillance Systems
?? Access Control/Standardized Credentialing
?? Improved Lighting
?? Secure Gates and Vehicle Barriers
?? Floating Protective Barriers
?? Underwater Intrusion Detection Systems
?? Communications Equipment (including interoperable communications)
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2. Vessels and Ferries
?? Explosive Agent Detection Sensors
?? Chemical/Biological/Radiological Agent Detection Sensors
?? Restricted Area Protection (cipher locks, hardened doors, CCTV for bridges
and engineering spaces)
?? Communications Equipment (including interoperable communications)
?? Canines (start-up costs and training for U.S. vehicle/passenger ferries)
?? Access Control/Standardized Credentialing
?? Floating Protective Barriers
Maritime Domain Awareness (MDA) is the critical enabler that allows leaders at all
levels to make effective decisions and act early against a vast array of threats to the
security of the United States, its interests, allies, and friends. In support of the National
Strategy for Maritime Security, projects that address the enhancement of Knowledge
Capabilities (i.e. command, control, communications, and enhanced intelligence sharing
and analysis) of the Maritime Domain will be considered for funding.
Areas for Improvements that address MDA include, but are not limited to:
?? Surveillance – monitoring of high interest, high value, infrastructure, waterways,
and other areas. Sensors may be monitored by live watch standers, keyed to
alert based on defined parameters, or monitored by intelligent software.
?? Information collection – access to new sources of raw and summary data.
?? Decision Support - acquisition of new software tools and services that provide
data mining, correlation, threat analysis, anomaly detection, and other decision
support products.
?? Dissemination – the ability to share data and information including video, radar
feeds, intelligence and threat analysis results developed by one entity with all
partners within a port.
The following are examples of improvements that address awareness within the
Maritime Domain:
?? Deployment of access control/standardized credentialing systems (see Section C
below for additional guidance)
?? Deployment of detection and surveillance equipment
?? Development/Enhancement of Information Sharing systems
?? Creation/Enhancement of maritime community watch programs
?? Construction/Enhancements of Command and Control Facilities
?? Enhancement of Interoperable Communications/Asset Tracking
Proposals for MDA systems should be attentive to the following:
?? Ensuring that existing surveillance, other sensor, and information systems are
appropriately shared and used by all port partners.
?? Output of new sensors and data sources should be readily and easily available to
all port partners without cost for access. For example, video camera feeds might
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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be posted to a password protected website that all partners could access.
Radar, vessel automated identification systems (AIS) and blue force (port
response asset) track outputs should be in an easily translatable format such as
xml.
?? Systems with an open architecture that can be easily expanded and that can
easily interface with other systems should be given preference. Systems that
comply with Department of Defense (DoD) Common Operating Environment
standards are preferred.
?? Addressing needs identified by existing risk assessments. In the coming year the
USCG plans to further document and publish its methodology for selecting
sensors and sighting. For this year, existing risk assessments and the judgment
of the Area Maritime Security Committee (AMSC) and the COTP should be
considered when prioritizing needs and developing proposals.
Applicants that are interested in addressing Maritime Domain Awareness are
encouraged to familiarize themselves with the National Strategy for Maritime Security:
National Plan to Achieve Maritime Domain Awareness. A copy of this document can be
found at http://www.uscg.mil/mda/Docs.htm.
B. Specific Guidance on Canines
The United States Coast Guard has identified Canine Explosive Detection as the most
effective solution for the detection of vehicle borne IEDs. Eligibility for funding of Canine
Explosive Detection programs is restricted to U.S. Ferries regulated under 33 CFR
Parts 101, 104 & 105 specifically U.S. ferry vessels carrying more than 500 passengers
with vehicles, U.S. ferry vessels carrying more than 2,000 passengers and the
passenger terminals these specific ferries service. Additionally, only owners and
operators of these specific ferries and terminals and port authorities or state, local
authorities that provide layered protection for these operations and are defined in the
vessel’s/terminal’s security plans as doing so are eligible.
Eligible Costs: Eligible costs include the purchasing, training and certification of
canines; all medical costs associated with initial procurement of canines; kennel
cages used for transportation of the canines and other incidentals associated with
outfitting and set-up of canines (such as leashes, collars, initial health costs and
shots etc.). Eligible costs also include initial training and certification of handlers.
Ineligible Costs: Ineligible costs include but are not limited to hiring, costs
associated with handler annual salary, travel and lodging associated with training
and certification; meals and incidentals associated with travel for initial certification;
vehicles used solely to transport canines; and maintenance / recurring expenses
such as annual medical exams, canine food costs, etc.
Certification: Canines used to detect explosives must be certified by an
appropriate, qualified organization. Such canines should receive an initial basic
training course and also weekly maintenance training sessions thereafter to maintain
the certification. The basic training averages 10 weeks for the canine team (handler
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and canine together) with weekly training and daily exercising. Comparable training
and certification standards, such as those promulgated by the TSA Explosive
Detection Canine Program, the National Police Canine Association (NPCA), the
United States Police Canine Association (USPCA) or the International Explosive
Detection Dog Association (IEDDA) may be used to meet this requirement.5
Successful applicants will be required to submit an amendment to their approved
Vessel Security Plan as per 33 CFR Part 104.415 detailing the inclusion of a Canine
Explosive Detection program into their security measures. Successful applicants will
also be required to submit a signed certification to G&T acknowledging that PSGP
awards allow a one-time procurement to assist in implementing the Canine
Explosive Detection teams. The signed certification must be included as a .pdf
file attachment to the application in Grants.gov. See Appendix F for the
required form.
Agreement: Applicants are encouraged to thoroughly review the fiscal obligations
of maintaining a long-term Canine Explosive Detection program. If applicable,
successful applicants will be required to submit an amendment to their approved
Vessel Security Plan as per 33 CFR Code of Federal Regulation, Part 104.415
detailing the inclusion of a Canine Explosive Detection program into their security
measures. Successful applicants will be required to submit a signed certification to
G&T acknowledging that PSGP awards allow a one-time procurement to assist in
implementing the Canine Explosive Detection teams. This one-time procurement
authorization will be issued with the understanding that the applicant will maintain
the canine’s proficiency for explosives detection, and that any additional costs
throughout the 8 to 10 year service life of the canine are the sole responsibility of the
applicant.
Additional Resources Available for Canine Costs: DHS is aware that the
financial obligations of a Canine Explosive Detection Program can be burdensome.
The Port Security Grant Program, while providing the ability to defray the
majority of start up costs, does not cover any recurring costs associated with
such programs. However, the Transit Security Grant Program (TSGP) and
Homeland Security Grant Program (HSGP) are two additional DHS grant
programs that can provide funding for certain operational costs associated
with heightened states of alert within the port area and nationally. DHS
strongly encourages applicants to investigate their eligibility for these resources
when developing their canine programs.
Applicants can find additional information on the Transit Security Grant
Program and the Homeland Security Grant Program (as well as other DHS
funding opportunities) at http://www.grants.gov.
5 Training and certification information can be found at: http://www.tsa.gov/public/display?theme=32,
http://www.npca.net, http://www.uspcak9.com/html/home.shtml, and http://www.bombdog.org/.
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C. Specific Guidance on Employee Identification
The Transportation Worker Identification Credential (TWIC) is designed to be an open
architecture, standards-based system and follow published ANSI/NIST and ISO
standards. Accordingly, port projects that involve new installations/upgrades to access
control/credentialing systems, should exhibit compliance to these and related standards
in their system design and implementation. Port card reader systems should be
compliant with ISO 7816 and/or ISO 14443 for basic TWIC smart card compatibility.
The TWIC program will enable the use of biometric recognition technologies in port
access control systems, following guidelines provided by the ANSI INCITS 383-2004
"Biometric Profile -Interoperability and Data Interchange -Biometrics based Verification
and Identification of Transportation Workers" document. The TWIC program will be
compliant to the GSC-IS (Government Smart Card Interoperability Standard), and
associated efforts that include the GSC-IAB (Government Smart Card-Interagency
Advisory Board) PAIIWG (Physical Access Interagency Interoperability Working Group)
technical implementation guidelines and data models.
D. Specific Guidance on Lighting
All lighting must meet Occupational Safety and Health Administration (OSHA)
requirements.
E. Specific Guidance on Sonar Devices
DHS has determined certain sonar devices that will not damage the environment or
require special permitting under the National Environmental Policy Act are eligible for
funding under the PSGP. The four types of allowable sonar devices are: imaging sonar,
scanning sonar, side scan sonar, and 3-dimensional sonar. These types of sonar
devices are intended to support the detection of underwater improvised explosive
devices (IED) and enhance Maritime Domain Awareness. The eligible types of sonar,
and short descriptions of their capabilities, are provided below:
Imaging Sonar: A high-frequency sonar that produces “video-like” imagery using
a narrow field of view. The sonar system can be pole-mounted over the side of a
craft or hand carried by a diver.
Scanning Sonar: Consists of smaller sonar systems that can be mounted on
tripods and lowered to the bottom of the waterway. Scanning sonar produces a
panoramic view of the surrounding area and can cover up to 360 degrees.
Side Scan Sonar: Placed inside of a shell and towed behind a vessel. Side scan
sonar produces strip-like images from both sides of the device.
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3-Dimensional Sonar: Produces 3-dimensional imagery of objects using an array
receiver.
F. Specific Guidance on Security Operational and Maintenance Costs
In accordance with 46 USC Sec. 70107(b)(2), the cost of acquisition, operation, and
maintenance of security equipment or facilities to be used for security monitoring and
recording, security gates and fencing, marine barriers for designated security zones,
security-related lighting systems remote surveillance, concealed video systems, security
vessels, and other security-related infrastructure or equipment that contributes to the
overall security of passengers, cargo, or crewmembers are allowable. In addition,
routine maintenance costs for security monitoring, such as the cost of tapes for
recording, are allowable. However, as indicated in Section IV: Program and
Application Requirements, business operations and maintenance costs, such as
personnel costs and items generally characterized as indirect or “overhead”
costs, are unallowable.
G. Specific Guidance on Vulnerability Assessment Costs
In accordance with 46 USC Sec. 70107(b)(4), the cost of conducting vulnerability
assessments to evaluate and make recommendations with respect to security is an
eligible cost under the FY 2006 PSGP. However, as indicated in Section IV: Program
and Application Requirements, the development of new risk/vulnerability
assessment models and methodologies is unallowable.
H. Specific Guidance on Training and Exercises
Training: Port Security Training will be limited to only those courses that have been
approved by the Maritime Administration (MARAD) and the U.S. Coast Guard, or the
DHS Office of Grants and Training. More information can be obtained at:
http://marad.dot.gov/MTSA/MARAD%20Web%20Site%20for%20MTSA%20Course.html
and http://www.uscg.mil/stcw/security.pdf
Exercises: Funding used for Port Security Exercises will only be permitted for those
exercises that are in direct support of a facility or port area’s MTSA required exercises.
These exercises must be coordinated with the COTP and AMSC and adhere to the
guidelines outlined in DHS Homeland Security Exercise and Evaluation Program
(HSEEP).
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I. Specific Guidance on Management and Administrative (M&A) Costs
PSGP funds may be used for the following M&A costs:
?? Hiring of full-time or part-time staff or contractors/consultants:
o To assist with the management of the FY 2006 PSGP;
?? Travel expenses:
o To assist with the management of the FY 2006 PSGP;
?? Meeting-related expenses:
o To assist with the management of the FY 2006 PSGP.
For a complete list of allowable meeting-related expenses, please review the
OGO Financial Management Guide available at:
http://www.dhs.gov/dhspublic/display?theme=18&content-4206.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX B
PORT SYSTEM OVERVIEW
TEMPLATE GUIDANCE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Port System Overview Template Guidance
The Port System Overview must not exceed 10 pages. Applicants should follow the
format below for this file attachment.
Area of Operations:
?? Identify COTP Zone
?? Identify eligible port, as listed in Table 1
Point(s) of Contact for Organization:
?? Identify the organization’s Authorizing Official for entering into grant agreement.
?? Identify the organization’s primary point of contact for management of the
project(s).
Ownership/Operation:
?? Identify whether the applicant is: (1) a private entity, (2) a state or local agency;
or (3) a consortium composed of local stakeholder groups (i.e., river groups,
ports, and terminal associations) representing federally regulated ports,
terminals, U.S. inspected passenger vessels, or ferries.
Role in Providing Layered Protection of Regulated Entities (applicable to state or
local agencies, consortia, and associations only):
?? Identify the specific regulated entities to which you are providing layered
protection.
?? Describe your organization’s specific roles, responsibilities, and activities in
delivering layered protection.
Infrastructure:
?? Describe the type, quantity, and significance of infrastructure to be protected
through the prospective grant. Identify who it is owned or operated by, if not by
your own organization.
IED Capabilities:
Clearly describe your organization’s current prevention and detection capabilities
relative to IEDs. IED capabilities and activities include:
?? Intelligence and deterrence operations
?? Inspection capabilities, including:
o Explosive Agent Detection Sensors
o Chemical/Biological/Radiological Agent Detection Sensors
o Canines
?? Improved surveillance and security operations, including:
o Video Surveillance Systems
o Small boats for State and Local Law Enforcement Marine Patrol/Security
Incident Response
?? Investigations
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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?? Certain law enforcement operations.6
?? Evacuation planning, and
?? Infrastructure improvements, including:
o Surveillance equipment,
o Security Entry/ID Systems
o Employee Identification
o Improved Lighting
o Secure Gates and Vehicle Barriers
o Floating Protective Barriers
o Underwater Intrusion Detection Systems
o Restricted Area Protection (cipher locks, hardened doors, CCTV for
bridges and engineering spaces)
Maritime Domain Awareness (MDA) Capabilities:
Clearly describe your organization’s current Maritime Domain Awareness— i.e.
command, control, communications, and enhanced intelligence sharing and analysis —
of the Maritime Domain. Discuss the following areas that address MDA:
?? Access control/credentialing systems
?? Detection and surveillance equipment
?? Information Sharing systems
?? Maritime community watch programs
?? Command and Control Facilities
?? Access Control Systems/ Employee Identification
?? Interoperable Communications/Asset Tracking
Nature of Operations:
?? Provide a brief summary of the character and scope of your operations.
?? Provide specific data/annual statistics that relate to your specific port project (for
port applications), terminal project (for terminal applications), waterways, U.S.
inspected passenger vessel or ferry projects:
o Type and volume of cargo (annual statistics, if applicable)
o Type and Volume of Hazardous Materials (annual statistics, if applicable)
o Number of Passengers (annual statistics, if applicable)
o Number of Vessels Owned (if applicable)
Note: Terminals and vessels cannot rely on aggregated port statistics.
Other Important Features:
?? Describe any other operational issues you deem important to the consideration of
your application (e.g., interrelationship of your operations with other eligible highrisk
ports, etc.).
6 NIMS, March 2004.
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Other Security Enhancements Already Undertaken:
?? Briefly summarize any physical or operational security enhancements you have
already undertaken, and identify which, if any, have received support through
Federal assistance.
Important Note: This information may be provided using one of the attachment
fields within Grants.gov.
REMINDER: Applicants must use the following file naming convention for this file
attachment:
COTP Zone_ Port Area_ Name of Applicant_ Document Type
Example #1 - PWS_Valdez_State Ferry System_Port System Overview
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX C
INDIVIDUAL PROJECT
PLAN TEMPLATE
GUIDANCE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Individual Project Plan Template Guidance
Eligible applicants may submit up to five (5) individual projects within one application.
The individual projects comprising a single application must take place within the same
port area. (Private companies that operate in more than one eligible port area must
submit separate applications for projects in each port area.) A separate Project Plan
must be submitted for each proposed project. Each Individual Project Plan must not
exceed 5 pages. Applicants should follow the format below for this file attachment:
Vulnerability:
?? Briefly describe vulnerability(ies) identified in your USCG-approved security plan.
Proposed Mitigation:
?? Explain the approach and activities to mitigating the vulnerability(ies).
How the Project Addresses the Rating Criteria:
?? Describe how, and the extent to which, the proposed project addresses one or
more of the following rating criteria:
o Support the national port security priorities—i.e., 1) prevention and
detection of IED attacks by small craft, 2) prevention and detection of
vehicle-borne IEDs on ferries, 3) prevention and detection of underwater
IED attacks, 4) enhancement of the port area’s Maritime Domain
Awareness
o Alignment with priorities outlined in the applicable Area Maritime Security
Plan (mandated under the MTSA)
o Potential for the greatest risk reduction for the least cost
o The relationship of the project to one or more of the National Priorities
outlined in the National Preparedness Goal.
Timeline/Milestones:
?? Provide a brief timeline of major project activities and milestone. Reminder: The
project period must not exceed 30 months.
Important Note: The narrative Individual Project Plan must demonstrate the
organization’s ability to provide tangible, physical security enhancements
consistent with the purpose of the program and guidance provided by G&T.
Ensure that the Individual Project Plan is consistent with all applicable
requirements outlined in this application kit.
Important Note: This information may be provided using one of the attachment
fields within Grants.gov.
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REMINDER: Applicants must use the naming convention below when uploading the
Port System Overview, project plans and budgets. Refer to Appendix G for the
appropriate abbreviations for the COTP Zones:
COTP Zone_ Port Area_ Name of Applicant_ Document Type_ Project Number
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX D
BUDGET DETAIL
WORKSHEET GUIDANCE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Budget Detail Worksheet Guidance
OMB Approval No. 1121-0188
Expires 5-98 (Rev. 12/97)
Purpose: The Budget Detail Worksheet may be used as a guide to assist you in the
preparation of the budget and budget narrative. You may submit the budget and budget
narrative using this form or in the format of your choice (plain sheets, your own form, or
a variation of this form). However, all required information (including the budget
narrative) must be provided. Any category of expense not applicable to your budget
may be deleted.
A. Personnel - List each position by title and name of employee, if available. Show the
annual salary rate and the percentage of time to be devoted to the project.
Compensation paid for employees engaged in grant activities must be consistent with
that paid for similar work within the applicant organization.
Name/Position Computation Cost
[No funds requested for M&A in this example]
Note: Personnel costs are only allowable for direct management and administration of the grant award,
i.e., preparation of mandatory post-award reports.
TOTAL _________
B. Fringe Benefits - Fringe benefits should be based on actual known costs or an
established formula. Fringe benefits are for the personnel listed in budget category (A)
and only for the percentage of time devoted to the project. Fringe benefits on overtime
hours are limited to FICA, Workman’s Compensation, and Unemployment
Compensation.
Name/Position Computation Cost
[No funds requested for M&A in this example]
TOTAL _________
Total Personnel & Fringe Benefits _________
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C. Travel - Itemize travel expenses of project personnel by purpose (e.g., staff to
training, field interviews, advisory group meeting, etc.). Show the basis of computation
(e.g., six people to 3-day training at $X airfare, $X lodging, $X subsistence). In training
projects, travel and meals for trainees should be listed separately. Show the number of
trainees and unit costs involved. Identify the location of travel, if known. Indicate
source of Travel Policies applied, Applicant or Federal Travel Regulations.
Purpose of Travel Location Item Computation Cost
NOT APPLICABLE TO PSGP
TOTAL _________
D. Equipment - List non-expendable items that are to be purchased. Non-expendable
equipment is tangible property having a useful life of more than two years. (Note:
Organization’s own capitalization policy and threshold amount for classification of
equipment may be used). Expendable items should be included either in the “Supplies”
category or in the “Other” category. Applicants should analyze the cost benefits of
purchasing versus leasing equipment, especially high cost items and those subject to
rapid technical advances. Rented or leased equipment costs should be listed in the
“Contractual” category. Explain how the equipment is necessary for the success of the
project. Attach a narrative describing the procurement method to be used.
Item Computation Cost
For Example:
Pan-Tilt Zoom Cameras 15 X $2500 $37,500
Monitors 3 X $1450 $4,350
Digital Surveillance Recorder 1 X $2000 $2,000
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
TOTAL $43,850
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E. Supplies - List items by type (office supplies, postage, training materials, copying
paper, and other expendable items such as books, hand held tape recorders) and show
the basis for computation. (Note: Organization’s own capitalization policy and threshold
amount for classification of supplies may be used). Generally, supplies include any
materials that are expendable or consumed during the course of the project.
Supply Items Computation Cost
NOT APPLICABLE TO PSGP
TOTAL _________
F. Consultants/Contracts - Indicate whether applicant’s formal, written Procurement
Policy or the Federal Acquisition Regulations are followed.
Consultant Fees: For each consultant enter the name, if known, service to be
provided, hourly or daily fee (8-hour day), and estimated time on the project.
Name of Consultant Service Provided Computation Cost
For example:
Consultant A Architecture and $200 per hour $60,000
engineering design X 300 hours
specifications
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal $60,000
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Consultant Expenses: List all expenses to be paid from the grant to the individual
consultant in addition to their fees (i.e., travel, meals, lodging, etc.)
Item Location Computation Cost
For example:
Travel to project site City, State (project site) Airfare $1,230
Lodging (7 nights X $130) $910
Per Diem (8 days X $45) $360
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal $2,500
Contracts: Provide a description of the product or services to be procured by contract
and an estimate of the cost. Applicants are encouraged to promote free and open
competition in awarding contracts. A separate justification must be provided for sole
source contracts in excess of $100,000.
Item Cost
For Example:
Vendor A Installation of video $15,000
surveillance equipment (one-time cost)
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal $15,000
TOTAL $77,500
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G. Other Costs - List items (e.g., rent, reproduction, telephone, janitorial or security
services, and investigative or confidential funds) by major type and the basis of the
computation. For example, provide the square footage and the cost per square foot for
rent, and provide a monthly rental cost and how many months to rent.
Description Computation Cost
For example:
Incidentals associated with outfitting
and set-up of canines:
Leashes $25 X 4 dogs $100
Collars $15 X 4 dogs $60
Initial health costs and shots $150 X 4 dogs $600
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Important Note: If applicable to the project, construction costs should be
included in this section of the Budget Detail Worksheet.
TOTAL $760
H. Indirect Costs - Indirect costs are allowed only if the applicant has a Federally
approved indirect cost rate. A copy of the rate approval, (a fully executed, negotiated
agreement), must be attached. If the applicant does not have an approved rate, one
can be requested by contacting the applicant’s cognizant Federal agency, which will
review all documentation and approve a rate for the applicant organization, or if the
applicant’s accounting system permits, costs may be allocated in the direct costs
categories.
Description Computation Cost
NOT APPLICABLE TO PSGP
TOTAL _________
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Budget Summary - When you have completed the budget worksheet, transfer the
totals for each category to the spaces below. Compute the total direct costs and the
total project costs. Indicate the amount of Federal funds requested and the amount of
non-Federal funds that will support the project.
Budget Category Federal Amount Non-Federal Amount
A. Personnel __________ ___________
B. Fringe Benefits __________ ___________
C. Travel __________ ___________
D. Equipment $43,850 $41,300
E. Supplies __________ ___________
F. Consultants/Contracts $77,500 ___________
G. Other $760 ___________
Total Direct Costs $122,110 $1,300
H. Indirect Costs __________ ___________
* TOTAL PROJECT COSTS $122,110 $41,300
Federal Request $122,110
Non-Federal Amount $41,300
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Important Note: Public sector applicants must provide matching funds supporting at
least 25 percent of the total project cost for each proposed project. Private sector
applicants must provide matching funds supporting at least 50 percent of the total
project cost for each proposed project. If an applicant determines that a higher level
of (Federal) support is required for a project, the applicant must demonstrate the
merits of the project within the Budget Narrative for review by the Secretary and
or appropriate designee in accordance with 46 USC Sec. 70107(c)(2)(B) for a
waiver to the match requirement to be considered.
Important Note: This information may be provided using one of the attachment
fields within Grants.gov.
REMINDER: Applicants must provide a detailed budget for each proposed project.
Applicants must use the naming convention below when uploading the project budget
file(s). Refer to Appendix G for the appropriate abbreviations for the COTP Zones:
COTP Zone_ Port Area_ Name of Applicant_ Document Type_ Project Number
Example #3 - PWS_Valdez_State Ferry System_Project Budget_Project1
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX E
MOU/MOA GUIDANCE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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MOU/MOA Guidance
Requirement for State or Local Agencies and for Consortia or Associations
Consortia or associations that provide layered security to MTSA regulated facilities are
eligible applicants. However, the consortium or association entity that submits the
application must provide security to a MTSA regulated entity. In addition, the layered
protection provided must be addressed in the regulated entities’ security plan. A copy
of a Memorandum of Understanding (MOU) or a Memorandum of Agreement (MOA)
between those identified entities will be required prior to funding, and must include an
acknowledgement of the layered security and roles and responsibility of all entities
involved. The MOU/MOA must address the following points:
?? The nature of the security that the applicant agrees to supply to the regulated
facility (waterside surveillance, increased screening, etc…)
?? The Roles and Responsibilities of the facility and the applicant during different
MARSEC levels
?? An acknowledgement by the facility that the applicant is part of their facility
security plan
If the applicant is mentioned as a provider of layered security under the port’s Area
Maritime Security Plan, in lieu of an MOA/MOU, acknowledgement from the Area
Maritime Security Committee (AMSC) members or a letter from the Federal Maritime
Security Coordinator validating this status will be acceptable.
This information may be provided using one of the attachment fields within
Grants.gov.
REMINDER: Applicants must use the naming convention below when uploading the MOU or
MOA:
Name of Applicant_ Document Type
Example: Port Authority X_MOU
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Sample Memorandum of Understanding Template
Memorandum of Understanding / Agreement
Between [provider of layered security] and [recipient of layered security]
Regarding [provider of layered security’s] use of port security grant program funds
1. PARTIES. The parties to this Agreement are the [Provider of Layered Security] and
the [Recipient of Layered Security].
2. AUTHORITY. This Agreement is authorized under the provisions of [applicable Area
Maritime Security Committee authorities and/or other authorities].
3. PURPOSE. The purpose of this Agreement is to set forth terms by which [Provider of
Layered Security]shall expend Port Security Grant Program project funding in providing
layered security to [Recipient of Layered Security]. On (DATE), the United States
Department of Homeland Security issued grant number (GRANT NUMBER- TBA) to
[Provider of Layered Security]. Under this grant, the [Provider of Layered Security] must
provide layered security to [[Recipient of Layered Security] consistent with the approach
described in the approved grant application.
4. RESPONSIBILITIES:
The security roles and responsibilities of each party are understood as follows:
(1). [Recipient of Layered Security]
?? Roles and responsibilities in providing its own security at each MARSEC level
(2) [Provider of Layered Security]
?? An acknowledgement by the facility that the applicant is part of their facility
security plan
?? The nature of the security that the applicant agrees to supply to the regulated
facility (waterside surveillance, increased screening, etc…)
?? Roles and responsibilities in providing security to [Recipient of Layered
Security]at each MARSEC level
5. POINTS OF CONTACT. [Identify the POCs for all applicable organizations under the
Agreement; 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 [applicable state] or [applicable local Government). 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).
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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8. MODIFICATION. This agreement may be modified upon the mutual written consent
of the parties.
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:
_________________________ ___________________________
Organization and Title
(Date) (Date)
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX F
CANINE ACQUISITION
START-UP COSTS
CERTIFICATION
GUIDANCE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Canine Acquisition Start-Up Costs
Successful applicants will be required to submit an amendment to their approved Vessel
Security Plan as per 33 CFR Part 104.415 detailing the inclusion of a Canine Explosive
Detection program into their security measures. Successful applicants will also be
required to submit a signed certification to G&T acknowledging that PSGP awards allow
a one-time procurement to assist in implementing the Canine Explosive Detection
teams. The signed certification must be included as a .pdf file attachment to the
application in Grants.gov
Template for Canine Acquisition Start-up Costs
[Insert Organization Name] herby certifies that as a condition of eligibility to receive
FY 2006 funding under the Port Security Grant (PSGP) Program it is required to submit
an amendment to their approved Vessel Security Plan as per 33 CFR Code of Federal
Regulation, Part 104.415 detailing the inclusion of a Canine Explosive Detection
program into their security measures, if grant funds will be used for a one-time
procurement to assist in implementing Canine Explosive Detection Teams. [Insert
Organization Name] make this certification with the understanding that we will maintain
the canine’s proficiency for explosives detection, and that any additional costs
throughout the 8 to 10 year service life of the canine are the sole responsibility of .
[Insert Organization Name] We further acknowledge that eligible costs include the
purchasing, training and certification of canines; all medical costs associated with initial
procurement of canines; kennel cages used for transportation of the canines and other
incidentals associated with outfitting and set-up of canines (such as leashes, collars,
initial health costs and shots etc.). Eligible costs also include initial training and
certification of handlers. Ineligible costs include but are not limited to hiring, costs
associated with handler annual salary, travel and lodging associated with training and
certification; meals and incidentals associated with travel for initial certification; vehicles
to transport canines; and maintenance / recurring expenses such as annual medical
exams, canine food costs, etc.
_______________________________________ _____________
Authorizing Official Date
_______________________________________ ___________
Project(s) Point of Contact Date
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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This information may be provided using one of the attachment fields within
Grants.gov.
REMINDER: Applicants must use the naming convention below when uploading the Canine
Acquisition Start-up Costs Certification:
Name of Applicant_ Document Type
Example: Port Authority X_Canine Certification
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX G
CAPTAIN OF THE PORT
ZONE ABBREVIATIONS
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
G-1
Captain of the Port Abbreviations
Eligible Port Areas
COTP Zone
Abbreviation for
File Naming
Convention
Albany, NY New York NYNJ
Anacortes, WA Puget Sound Puget
Anchorage, AK Anchorage W. Alas
Baltimore, MD Baltimore Balt
Baton Rouge, LA New Orleans NOLA
Beaumont, TX Port Arthur Port Ar
Boston, MA Boston Bost
Brownsville, TX Corpus Christi Corp
Buffalo, NY Buffalo Buf
Burns Waterway Harbor, IN Chicago Lake M
Camden-Gloucester, NJ Philadelphia Philly
Charleston, SC Charleston Chas
Chattanooga, TN Paducah Mem
Chester, PA Philadelphia Philly
Chicago, IL Chicago Lake M
Cincinnati, OH Pittsburgh Hunt
Cleveland, OH Cleveland Buf
Corpus Christi, TX Corpus Christi Corp
Detroit, MI Detroit Detroit
Duluth-Superior, MN and WI Duluth SSM
Everett, WA Puget Sound Puget
Freeport, TX Houston-Galveston Hous
Galveston, TX Houston-Galveston Hous
Gary, IN Chicago Lake M
Green Bay, WI Milwaukee Lake M
Greenville, MS Memphis Mem
Gulfport, MS Mobile Mobile
Guntersville, AL Paducah Louis
Helena, AR Memphis Mem
Honolulu, HI Honolulu Hono
Houston, TX Houston-Galveston Hous
Huntington, WV – (Tristate) Pittsburgh Hunt
Indiana Harbor, IN Chicago Lake M
Jacksonville, FL Jacksonville JAX
Kalama, WA Portland OR Portl OR
Kansas City, MO St Louis St. L
Lake Charles, LA Port Arthur Port Ar
Long Beach, CA Los Angeles - Long Beach LALB
Longview, WA Portland OR Portl OR
Los Angeles, CA Los Angeles - Long Beach LALB
Louisville, KY Pittsburgh Louis
Marcus Hook, PA Philadelphia Philly
Matagorda Ship Channel, TX Houston-Galveston Hous
Memphis, TN Memphis Mem
Miami, FL Miami Miami
Milwaukee, WI Milwaukee Milw
Mobile, AL Mobile Mobile
Minneapolis, MN St. Louis St. L
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Morehead City, NC Wilmington Wilm
Mount Vernon, IN Pittsburgh Louis
Nashville, TN Paducah Padu
New Haven, CT Long Island Sound LIS
New London, CT Long Island Sound LIS
New Orleans, LA New Orleans NOLA
New York, NY and NJ New York NYNJ
Newport News, VA Hampton Roads Ham
Norfolk Harbor, VA Hampton Roads Ham
Oakland, CA San Francisco Bay SanFran
Palm Beach, FL Miami Miami
Panama City, FL Mobile Mobile
Pascagoula, MS Mobile Mobile
Paulsboro, NJ Philadelphia Philly
Penn Manor, PA Pittsburgh Pitt
Pensacola, FL Mobile Mobile
Philadelphia, PA Philadelphia Philly
Pittsburgh, PA Pittsburgh Pitt
Plaquemines, LA, Port of New Orleans NOLA
Ponce, PR San Juan San Juan
Port Arthur, TX Port Arthur Port Ar
Port Canaveral, FL Jacksonville JAX
Port Everglades, FL Key West Miami
Port Hueneme Los Angeles/Long Beach LALB
Port Manatee, FL Tampa Tampa
Port St. Joe, FL Mobile Mobile
Portland, ME Portland Portl ME
Portland, OR Portland OR Portl OR
Portsmouth, NH Portland Portl ME
Providence, RI Providence Prov
Richmond, CA San Francisco Bay SanFran
San Diego, CA San Diego San D
San Francisco, CA San Francisco Bay SanFran
San Juan, PR San Juan San Juan
Savannah, GA Savannah Sav
Seattle, WA Puget Sound Puget
South Louisiana, LA, Port of New Orleans NOLA
St. Louis, MO and IL St Louis St. L
St. Paul, MN St Louis St. L
Stockton San Francisco San Fran
Tacoma, WA Puget Sound Puget
Tampa, FL Tampa Tampa
Texas City, TX Houston-Galveston Hous
Toledo, OH Toledo Detroit
Tulsa, Port of Catoosa, OK Memphis Mem
Two Harbors, MN Duluth SSM
Valdez, AK Prince William Sound PWS
Vancouver, WA Portland OR Puget
Vicksburg, MS New Orleans NOLA
Victoria, TX Corpus Christi Corp
Wilmington, DE Philadelphia Philly
Wilmington, NC Wilmington Wilm
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Eligible Port Areas
COTP Zone
Abbreviation for
File Naming
Convention
Albany, NY New York NYNJ
Anacortes, WA Puget Sound Puget
Anchorage, AK Anchorage W. Alas
Baltimore, MD Baltimore Balt
Baton Rouge, LA New Orleans NOLA
Beaumont, TX Port Arthur Port Ar
Boston, MA Boston Bost
Bridgeport, CT Long Island Sound LIS
Brownsville, TX Corpus Christi Corp
Buffalo, NY Buffalo Buf
Burns Waterway Harbor, IN Chicago Lake M
Camden-Gloucester, NJ Philadelphia Philly
Charleston, SC Charleston Chas
Chattanooga, TN Paducah Mem
Chester, PA Philadelphia Philly
Chicago, IL Chicago Lake M
Cincinnati, OH Pittsburgh Hunt
Cleveland, OH Cleveland Buf
Corpus Christi, TX Corpus Christi Corp
Detroit, MI Detroit Detroit
Duluth-Superior, MN and WI Duluth SSM
Everett, WA Puget Sound Puget
Freeport, TX Houston-Galveston Hous
Galveston, TX Houston-Galveston Hous
Gary, IN Chicago Lake M
Green Bay, WI Milwaukee Lake M
Greenville, MS Memphis Mem
Gulfport, MS Mobile Mobile
Guntersville, AL Paducah Louis
Helena, AR Memphis Mem
Honolulu, HI Honolulu Hono
Houston, TX Houston-Galveston Hous
Huntington, WV – (Tristate) Pittsburgh Hunt
Indiana Harbor, IN Chicago Lake M
Jacksonville, FL Jacksonville JAX
Kalama, WA Portland OR Portl OR
Kansas City, MO St Louis St. L
Lake Charles, LA Port Arthur Port Ar
Long Beach, CA Los Angeles - Long Beach LALB
Longview, WA Portland OR Portl OR
Los Angeles, CA Los Angeles - Long Beach LALB
Louisville, KY Pittsburgh Louis
Marcus Hook, PA Philadelphia Philly
Matagorda Ship Channel, TX Houston-Galveston Hous
Memphis, TN Memphis Mem
Miami, FL Miami Miami
Milwaukee, WI Milwaukee Milw
Mobile, AL Mobile Mobile
Minneapolis, MN St. Louis St. L
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Morehead City, NC Wilmington Wilm
Mount Vernon, IN Pittsburgh Louis
Nashville, TN Paducah Padu
New Haven, CT Long Island Sound LIS
New London, CT Long Island Sound LIS
New Orleans, LA New Orleans NOLA
New York, NY and NJ New York NYNJ
Newport News, VA Hampton Roads Ham
Norfolk Harbor, VA Hampton Roads Ham
Oakland, CA San Francisco Bay SanFran
Palm Beach, FL Miami Miami
Panama City, FL Mobile Mobile
Pascagoula, MS Mobile Mobile
Paulsboro, NJ Philadelphia Philly
Penn Manor, PA Pittsburgh Pitt
Pensacola, FL Mobile Mobile
Philadelphia, PA Philadelphia Philly
Pittsburgh, PA Pittsburgh Pitt
Plaquemines, LA, Port of New Orleans NOLA
Ponce, PR San Juan San Juan
Port Arthur, TX Port Arthur Port Ar
Port Canaveral, FL Jacksonville JAX
Port Everglades, FL Key West Miami
Port Hueneme Los Angeles/Long Beach LALB
Port Manatee, FL Tampa Tampa
Port St. Joe, FL Mobile Mobile
Portland, ME Portland Portl ME
Portland, OR Portland OR Portl OR
Portsmouth, NH Portland Portl ME
Providence, RI Providence Prov
Richmond, CA San Francisco Bay SanFran
San Diego, CA San Diego San D
San Francisco, CA San Francisco Bay SanFran
San Juan, PR San Juan San Juan
Savannah, GA Savannah Sav
Seattle, WA Puget Sound Puget
South Louisiana, LA, Port of New Orleans NOLA
St. Louis, MO and IL St Louis St. L
St. Paul, MN St Louis St. L
Stockton San Francisco San Fran
Tacoma, WA Puget Sound Puget
Tampa, FL Tampa Tampa
Texas City, TX Houston-Galveston Hous
Toledo, OH Toledo Detroit
Tulsa, Port of Catoosa, OK Memphis Mem
Two Harbors, MN Duluth SSM
Valdez, AK Prince William Sound PWS
Vancouver, WA Portland OR Puget
Vicksburg, MS New Orleans NOLA
Victoria, TX Corpus Christi Corp
Wilmington, DE Philadelphia Philly
Wilmington, NC Wilmington Wilm
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Required Naming Convention:
COTP Zone_ Port Area_ Name of Applicant_ Document Type_ Project Number
Examples:
PWS_Valdez_State Ferry System_Port System Overview
PWS_Valdez_State Ferry System_Project Plan_Project1
PWS_Valdez_State Ferry System_Project Budget_Project1
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX H
APPLICATION CHECKLIST
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
H-1
Application Checklist
All PSGP applicants must complete the following:
? SF-424 Grant Application with Certifications (as file attachments in Grants.gov)
? Assurances
? Certifications Regarding Lobbying; Debarment, Suspension, and
Other Responsibility Matters; and Drug-Free Workplace Requirement
? Port System Overview (as a file attachment in Grants.gov)
-- See template in Appendix B
? Individual Project Plan for each project (as a file attachment in Grants.gov)
? See template in Appendix C
? Detailed Budget for each project (as a file attachment in Grants.gov)
? See template in Appendix D
? NEPA Checklist for each project (as a file attachment in Grants.gov)
? See form in Appendix Q
? MOU/MOA (as a file attachment in Grants.gov) – applicable for: 1) Port authorities or other State
and local agencies that provide layered security protection to federally regulated facilities; and 2)
Consortia composed of local stakeholder groups (i.e., river groups, ports, and terminal associations)
representing federally regulated ports, terminals, U.S. inspected passenger vessels, or ferries that provide
layered security protection to federally regulated facilities.
? See specific guidance in Appendix E
? DUNS Number (through Grants.gov form)
? Accounting System and Financial Capabilities Questionnaire, if applicable (as file attachment in
Grants.gov)
? Canine Start-up Cost Certification (as a file attachment in Grants.gov) – applicable for
organizations seeking to acquire a canine capability through the PSGP.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX I
GRANTS.GOV
QUICK-START
INSTRUCTIONS
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Grants.gov Quick-Start Instructions
G&T is participating in the e-Government initiative, one of 25 initiatives included in the
President’s Management Agenda. Grants.gov, part of this initiative, is a “storefront” that
provides a unified process for all customers of Federal grants to find funding
opportunities and apply for funding. This fiscal year, G&T is requiring that all
discretionary, competitive grant programs be administered through Grants.gov.
Application attachments submitted via Grants.gov must be in one of the following
formats: Microsoft Word (*.doc), PDF (*.pdf), or text (*.txt).
Use the Catalog of Federal Domestic Assistance (CFDA) number listed in the relevant
program guidance section of this document in Grants.gov.
?? Step 1: Registering
Note: Registering with Grants.gov is a one-time process; however, if you are a first
time registrant it could take 3-5 business days to have your registration
validated, confirmed, and receive your user name and password. It is highly
recommended you start the registration process as early as possible to prevent
delays in submitting your application package to our agency by the deadline
specified. While your registration is pending, you may continue with steps 2, 3, and 4
of these instructions. Registration must be complete for you to be able to submit
(step 5) and track (step 6) an application.
e-Business Point of Contact
Grants.gov requires an organization to first be registered in the Central Contract
Registry (CCR) before beginning the Grants.gov registration process. If you plan to
authorize representatives of your organization to submit grant applications through
Grants.gov, proceed with the following steps. If you plan to submit a grant
application yourself and sign grant applications and provide the required
certifications and/or assurances necessary to fulfill the requirements of the
application process, proceed to DUNS Number and then skip to the Authorized
Organization Representative and Individuals section.
Go to www.grants.gov, and click on the “Get Started” tab at the top of the screen.
?? Click the “e-Business Point of Contact (POC)” option and click the “GO” button
on the bottom right of the screen.
If you have already registered with Grants.gov, you may log in and update your
profile from this screen.
?? To begin the registration process, click the “Register your Organization
[Required]” or “Complete Registration Process [Required]” links. You may print a
registration checklist by accessing
www.grants.gov/assets/OrganizationRegCheck.pdf.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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DUNS Number
?? You must first request a Data Universal Numbering System (DUNS) number.
Click “Step 1. Request a DUNS Number.” If you are applying as an individual,
please skip to “Authorized Organization Representative and Individuals.” If you
are applying on behalf of an organization that already has a DUNS number,
please proceed to “Step 2. Register with Central Contractor Registry (CCR).” You
may obtain a DUNS number at no cost by calling the dedicated toll-free DUNS
number request line at 1–866–705–5711.
Central Contractor Registry (CCR)
Note: Registering with the CCR, updating or changing your profile could take up to
three to five business days to be confirmed and validated. This delay could prevent
your application from being submitted by the deadline specified, so you should
register or make changes to your profile as early in the process as possible.
Once you have a DUNS number, click on “Step 2. Register with Central Contractor
Registry (CCR).” Here you are required to designate an individual as a point of
contact. This point of contact is the sole authority for the organization and has the
capability of issuing or revoking another individual’s authority to submit grant
applications through Grants.gov.
A registration worksheet is provided to assist in the CCR registration process at
http://www.ccr.gov/CCRRegTemplate.pdf. It is recommended you review the “Tips
for registering with the CCR” at the bottom of this template.
?? Go to http://www.ccr.gov or click on the CCR icon in the middle of the screen to
begin the registration process. To see if your organization is already registered,
click “Search CCR” at the top left side of the screen. Search entries must be
exact to accurately search the database. If your organization is already
registered, you can scroll down and see who the e-Business POC is for your
agency. If your organization is not already registered, return to the CCR home
page and click “Start New Registration” at the top left of the screen.
?? If you have problems or questions about the CCR registration process, please
contact the CCR Assistance Center at 1–888–227–2423.
?? Once your registration is complete, you will receive an e-mail with a Trading
Partner Identification Number (TPIN) and Marketing Partner Identification
Number (MPIN) number. You will need the MPIN number to register with
Grants.gov. If your organization is already registered with the CCR, you will need
to obtain the MPIN number from your e-Business POC.
Authorize your Organization Representative
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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?? Click “Step 3. Authorize your Organization Representative.” Follow steps 1-4.
You will need your DUNS + 4 digit number and the MPIN number CCR e-mailed
to you.
Log in as e-Business Point of Contact
?? You may now go to “Step 4. Log in as e-Business Point of Contact.” Here you
may authorize or revoke the authority of the Authorized Organization
Representative (AOR).
?? Once you are logged in, go to Step 2. Downloading the Application Viewer,
below.
Authorized Organization Representative and Individuals
If you plan to submit a grant application as an individual or an Authorized
Organization Representative, with authority to sign grant applications and the
required certifications and/or assurances necessary to fulfill the requirements of
the application process, proceed with the following steps.
?? Go to www.grants.gov and click on the “Get Started” tab at the top of the
screen.
?? Click the “Authorized Organization Representative (AOR)” option and click the
“GO” button to the bottom right of the screen. If you are applying as an
individual, click the “Individuals” option and click the “GO” button to the bottom
right of the screen.
?? If you have previously registered as an AOR, you may start searching for this
grant opportunity from this page. Otherwise, you must complete the first-time
registration by clicking “Complete First-Time Registration [Required].” You also
may click on “Review Registration Checklist” and print a checklist for the
following steps (see www.grants.gov/assets/AORRegCheck.pdf).
?? Individuals may click the “registration checklist” for help in walking through the
registration process.
Credential Provider:
Once you have entered the registration process, you must register with the
credential provider, to safeguard the security of your electronic information. You
must have your agency’s or individual DUNS + 4 digit number to complete this
process. Now, click on “Step 1. Register with a Credential Provider.” Enter your
DUNS number and click “Register.” Once you have entered the required information,
click the “Submit” button.
?? If you should need help with this process, please contact the Credential Provider
Customer Service at 1–800–386–6820.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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?? It can take up to 24 hours for your credential provider information to synchronize
with Grants.gov. Attempting to register with Grants.gov before the
synchronization is complete may be unsuccessful.
Grants.gov:
?? After completing the credential provider steps above, click “Step 2. Register with
Grants.gov.” Enter the same user name and password used when registering
with the credential provider. You will then be asked to provide identifying
information and your organization’s DUNS number. After you have completed the
registration process, Grants.gov will notify the e-Business POC for assignment of
user privileges.
?? Complete the “Authorized Organization Representative User Profile” screen and
click “Submit.”
Note: Individuals do not need to continue to the “Organizational Approval” step
below.
Organization Approval:
?? Prior to submitting a grant application package, you must receive approval to
submit on behalf of your organization. This requirement prevents individuals from
submitting grant application packages without permission. A notice is
automatically sent to your organization’s e-Business POC. Then, your e-Business
POC approves your request to become an AOR. You may go to
http://www.ccr.gov to search for your organization and retrieve your e-Business
POC contact information.
?? Once organization approval is complete, you will be able to submit an application
and track its status.
?? Step 2: Downloading the Application Viewer
Note: You may download the PureEdge Viewer while your registration is in process.
You also may download and start completing the application forms in steps 3 and 4
below. This application viewer opens the application package needed to fill out the
required forms. The download process can be lengthy if you are accessing the
Internet using a dial-up connection.
?? From the Grants.gov home page, select the “Apply for Grants” tab at the top of
the screen.
?? Under “Apply Step 1: Download a Grant Application Package and Applications
Instructions,” click the link for the PureEdge Viewer
(http://www.grants.gov/DownloadViewer). This window includes information
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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about computer system requirements and instructions for downloading and
installation.
If you are a Macintosh user, please read the PureEdge Support for Macintosh white
paper available at
www.grants.gov/GrantsGov_UST_Grantee/!SSL!/WebHelp/MacSupportforPureEdge
.pdf.
?? Scroll down and click on the link to download the PureEdge Viewer
(www.grants.gov/PEViewer/ICSViewer602_grants.exe).
?? You will be prompted to save the application. Click the “Save” button and the
“Save As” window opens. Select the location where you would like to save
PureEdge Viewer and click the “Save” button.
?? A window appears to show the progress of the download. When the downloading
is complete, click to close the dialog box.
?? To install the PureEdge Viewer, locate the file on your computer and click to
open it. When you are prompted to run the file, click “RUN.” Click “Yes” to the
prompt to continue with the installation. The ICS InstallShield Wizard extracts the
necessary files and takes you to the “Welcome” page.
?? Click “Next” to continue.
?? Read the license agreement and click “Yes” to accept the agreement and
continue the installation process. This takes you to the “Customer Information”
screen.
?? Enter a User Name and a Company Name in the designated fields and click
“Next.”
?? The “Choose Destination Location” window prompts you to select the folder in
which PureEdge Viewer will be installed. To save the program in the default
folder, click “Next.” To select a different folder, click “Browse.” Select the folder in
which you would like to save the program, click on “OK,” then click “Next.”
?? The next window prompts you to select a program folder. To save program icons
in the default folder, click “Next.” To select a different program folder, type a new
folder name or select one from the list of existing folders, then click “Next.”
Installation will begin.
?? When installation is complete, the “InstallShield Wizard Complete” screen will
appear. Click “Finish.” This will launch the “ICS Viewer Help Information” window.
Review the information and close the window.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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?? Step 3: Downloading an Application Package
?? Once you have downloaded the PureEdge Viewer, you may download and view
this application package and solicitation instructions.
?? From the Grants.gov home page, select the “Apply for Grants” tab at the top of
the screen.
?? Click “Apply Step 1: Download a Grant Application Package and Application
Instructions.”
?? Enter the CFDA number for this announcement, 97.056. Then click “Download
Package.” This will take you to the “Selected Grants Application for Download”
results page.
?? To download an application package and its instructions, click the corresponding
download link below the “Instructions and Application” column.
?? Once you select a grant application, you will be taken to a “Download
Opportunity Instructions and Application” screen to confirm that you are
downloading the correct application. If you would like to be notified of any
changes to this funding opportunity, enter your e-mail address in the
corresponding field, then click the “Submit” button.
?? After verifying that you have downloaded the correct opportunity information,
click the “Download Application Instructions” button. This will open a PDF of this
grant solicitation. You may print the solicitation or save it to your computer by
clicking either the print icon at the top tool bar or the “File” button on the top tool
bar. If you choose to save the file, click on “Save As” and save to the location of
your choice.
?? Click the “Back” Navigation button to return to the “Download Opportunity
Instructions and Application” page. Click the “Download Application Package”
button. The application package will open in the PureEdge Viewer.
?? Click the “Save” button to save the package on your computer. Because the form
is not yet complete, you will see a prompt that one or more fields may be invalid.
You will complete these fields in step 4, but for now, select “Yes” to continue.
After you click “Yes,” the “Save Form” window will open.
?? Save the application package to your desktop until after submission. Select a
name and enter it in the “Application Filing Name” field. Once you have submitted
the application through Grants.gov, you may then move your completed
application package to the file location of your choice.
?? Click the “Save” button. If you choose, you may now close your Internet browser
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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and complete your application package offline by double clicking the icon on your
desktop. You do not have to be connected to the Internet to complete the
application package in step 4 below.
?? Step 4: Completing the Application Package
Note: This application can be completed entirely offline; however, you will need
to log in to Grants.gov to submit the application in step 5.
?? Locate the application package you saved on your computer. When you
open the package, it will be in PureEdge Viewer. You may save your
application at any time by clicking on the “Save” button at the top of the
screen.
?? Enter a name for your application package in the “Application Filing Name”
field. This can be a name of your choice.
?? Open and complete all the mandatory and optional forms or documents. To
complete a form, click to select the form, and then click the “Open” button.
When you open a required form, the mandatory fields will be highlighted in
yellow. If you enter incomplete information in a mandatory field, you will
receive an error message or the field will turn red, indicating a change
needs to be made.
Mandatory forms include the: (1) Application for Federal Assistance (SF-424); (2)
Assurances for Non-Construction Programs (SF-424B); and (3) Disclosure of
Lobbying Activities (SF-LLL). These forms can also be viewed at
http://apply.grants.gov/agency/FormLinks?family=7. Other Mandatory forms are
identified in Section IV.
?? When you have completed a form or document, click the “Close Form” button at
the top of the page. Your information will automatically be saved.
?? Next, click to select the document in the left box entitled “Mandatory Documents.”
Click the “=>” button to move the form or document to the “Mandatory Completed
Documents for Submission” box to the right.
?? Some mandatory documents will require you to upload files from your computer.
To attach a document, select the corresponding form and click “Open.” Click the
“Add Mandatory Attachment” button to the left. The “Attach File” box will open.
Browse your computer to find where your file is located and click “Open.” The
name of that file will appear in the yellow field. Once this is complete, if you
would like to attach additional files, click on the “Add Optional Attachment” button
below the “Add Mandatory Attachment” button.
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?? An “Attachments” window will open. Click the “Attach” button. Locate the file on
your computer that you would like to attach and click the “Open” button. You will
return to the “Attach” window. Continue this process until you have attached all
the necessary documents. You may attach as many documents as necessary.
?? Once you have finished, click the “Done” button. The box next to the “Attach at
Least One Optional Other Attachment” will now appear as checked.
Note: the name of these buttons will vary depending on the name of the form you
have opened at that time; i.e., Budget Narrative, Other Attachment, and Project
Narrative File.
?? To exit a form, click the “Close” button. Your information will automatically be
saved.
?? Step 5: Submitting the Application
Note: Once you have completed all the yellow fields on all the forms and saved the
application on your desktop, check the application package for errors. This can be
done any time throughout step 4 above and as often as you like.
?? When you are ready to submit your final application package, the “Submit”
button at the top of your screen will be enabled. This button will not be activated
unless all mandatory data fields have been completed. When you are ready to
submit your application, click on “Submit.” This will take you to a “Summary”
screen.
?? If your “Submit” button is not activated, then click the “Check Package for
Errors” button at the top of the “Grant Application Package” screen. PureEdge
Viewer will start with the first form and scan all the yellow fields to make sure
they are complete. The program will prompt you to fix one error at a time as it
goes through the scan. Once there are no more errors, the system will allow you
to submit your application to Grants.gov.
?? Review the application summary. If you wish to make changes at this time, click
“Exit Application” to return to the application package, where you can make
changes to the forms. To submit the application, click the “Sign and Submit
Application” button.
?? This will take you to a “Login” screen where you will need to enter the user
name and password that you used to register with Grants.gov in “Step 1:
Registering.” Enter your user name and password in the corresponding fields
and click “Login.”
?? Once authentication is complete, your application will be submitted. Print this
confirmation screen for your records. You will receive an e-mail message to
confirm that the application has been successfully uploaded into Grants.gov.
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The confirmation e-mail will give you a Grants.gov tracking number, which you
will need to track the status of your application. The confirmation e-mail will go
to the e-Business POC; therefore, if you are submitting on behalf of someone
else, be sure the e-Business POC is aware of the submission and that a
confirmation e-mail will be sent.
?? When finished, click the “Close” button.
?? Step 6: Tracking the Application
?? After your application is submitted, you may track its status through Grants.gov.
To do this, go to the Grants.gov home page at http://www.grants.gov. At the very
top of the screen, click on the “Applicants” link. Scroll down the “For Applicants”
page and click the “Login Here” button. Proceed to login with your user name and
password that was used to submit your application package.
?? Click the “Check Application Status” link to the top left of the screen. A list of all
the applications you have submitted through Grants.gov is produced. There are
one of four status messages your application can receive in the system:
1. Validated: This means your application has been scanned for errors. If no
errors were found, it validates that your application has successfully been
submitted to Grants.gov and is ready for the agency to download your
application.
2. Received by Agency: This means our agency has downloaded your
application into our electronic Grants Management System (GMS) and your
application is going through our validation process to be successfully received
on our end.
3. Agency Tracking Number Assigned: This means our GMS did not find any
errors with your package and successfully downloaded your application into
our system.
4. Rejected With Errors: This means your application was either rejected by
Grants.gov or GMS due to errors. You will receive an e-mail from Grants.gov
customer support, providing details of the results and the next steps required.
Most applications are rejected because: (1) a virus was detected; (2) you are
using a user name and password that has not yet been authorized by the
organization’s e-Business POC; or (3) the DUNS number you entered on the
SF-424 form does not match the DUNS number that was registered in the
CCR for this organization.
Important Note: If you experience difficulties at any point during this process,
please call the Grants.gov customer support hotline at 1–800–518–4726.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX J
POST AWARD
INSTRUCTIONS
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Post Award Instructions
TAB 1: SAMPLE REVIEW OF AWARD
Office of Grants and Training
Post Award Instructions for G&T Awards
The Office of Grant Operations will provide fiscal support and oversight of the
grant programs, while the OJP Office of the Comptroller will continue to provide
support for grant payments. The following is provided as a guide for the
administration of awards.
1. Review Award and Special Conditions Document.
Notification of award approval is made by e-mail through the OJP Grants
Management System (GMS). Once an award has been approved, a notice is sent
to the e-mail address of the individual who filed the application, as well as to the
authorized grantee official.
Carefully read the award and any special conditions or other attachments.
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 - G&T Award
810 Seventh Street, NW – 5th Floor
Washington, DC 20531
If you do not agree with the terms and conditions, contact the awarding G&T Program
Manager as noted in the award package.
2. Read Guidelines.
Read and become familiar with the “OGO Financial Management Guide” which is
available at 1-866-9ASKOGO or online at
http://www.dhs.gov/dhspublic/display?theme=18.
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3. Complete and Return ACH Form.
The Automated Clearing House (ACH) Vendor/Miscellaneous Payment Enrollment
Form (refer to Step 3 attachment) is used to arrange direct deposit of funds into your
designated bank account.
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 grants on the LOCES grant number
listing as soon as the 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.
5. Reporting Requirements.
Reporting requirements must be met during the life of the grant (refer to the OGO
Financial Management Guide and the specific program guidance 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.
6. Questions about your award?
A reference sheet is provided containing frequently asked financial questions and
answers. Questions regarding grant payments should be addressed to the OJP OC at
1-800-458-0786 or email askoc@ojp.usdoj.gov. Questions regarding all other
financial/administrative issues should be addressed to the OGO Information Line at 1-
866-9ASKOGO (927-5646) or email at ask-ogo@dhs.gov.
Important Note: If you have any questions about GMS, need to establish a GMS
account, or require technical assistance with accessing your award, please
contact the GMS Hotline at 1-888-549-9901.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX K
ADDITIONAL GUIDANCE
ON THE NATIONAL
PREPAREDNESS GOAL
AND THE NATIONAL
PRIORITIES
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Vision of the National
Preparedness Goal:
To engage Federal, state, local,
and tribal entities, their private
and non-governmental partners,
and the general public to achieve
and sustain risk-based target
levels of capability to prevent,
protect against, respond to, and
recover from major events in
order to minimize the impact on
lives, property, and the economy.
A. The National Preparedness Goal7
The Goal establishes a vision for National
Preparedness, including National Priorities. The
TCL further identifies 37 needed capabilities
integral to nationwide all-hazards preparedness,
including acts of terrorism.8 The national
preparedness doctrine and operational foundation
provided in these documents form the basis for
use of Federal grant funds and consistent
direction among all stakeholders. The Goal is a
significant evolution in securing a sustained
national approach to preparedness and homeland
security. The Goal is a companion document to
the National Response Plan (NRP), National
Incident Management System (NIMS), and the National Infrastructure Protection Plan
(NIPP). The Goal establishes a framework that guides entities at all levels of
government in the development and maintenance of the capabilities to prevent, protect
against, respond to, and recover from major events, including catastrophic events or
Incidents of National Significance as defined in the NRP. The Goal will also assist
entities at all levels of government, as well as non-government entities, in the
development and maintenance of the capabilities to identify, prioritize, and protect
critical infrastructure and key resources as described in the NIPP. Risk and capabilitybased
planning for prioritizing homeland security investments will be performed in
accordance with the final National Preparedness Goal.
Implementing a common, shared approach to achieving national preparedness requires
the Nation to orient its programs and efforts in support of the Goal and the National
Priorities. The ability of Federal, state, local and tribal entities to orient their efforts
begins with capabilities-based planning. The TCL defines capability-based planning as
“planning, under uncertainty, to provide capabilities suitable for a wide range of threats
and hazards while working within an economic framework that necessitates prioritization
and choice.” This planning approach assists leaders at all levels to allocate resources
systematically to close capability gaps, thereby enhancing the effectiveness of
preparedness efforts. Capabilities-based planning will provide a means for the Nation
to achieve the Goal and National Priorities by answering three fundamental questions:
“How prepared do we need to be?”, “How prepared are we?”, and “How do we prioritize
efforts to close the gap?” At the heart of the Goal and the capabilities-based planning
process is the TCL. The capabilities included in the TCL are listed in Figure 1.
7 As this grant guidance went to print, the final Goal document was also being prepared for release.
8 This guidance references 37 capabilities based on the most recent draft of the TCL available at the time
this guidance went to press.
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Figure 1. Target Capabilities
Common
• Planning
• Communications
• Risk Management
• Community Preparedness and
Participation
Prevent Mission Area
• Information Gathering & Recognition of
Indicators & Warnings
• Intelligence Analysis and Production
• Intelligence / Information Sharing and
Dissemination
• Law Enforcement Investigation and
Operations
• CBRNE Detection
Protect Mission Area
• Critical Infrastructure Protection (CIP)
• Food & Agriculture Safety & Defense
• Epidemiological Surveillance and
Investigation
• Public Health Laboratory Test
Recover Mission Area
• Structural Damage and Mitigation
Assessment
• Restoration of Lifelines
• Economic & Community Recovery
Respond Mission Area
• Onsite Incident Management
• Emergency Operations Center Management
• Critical Resource Logistics and Distribution
• Volunteer Management and Donations
• Responder Safety and Health
• Public Safety and Security Response
• Animal Health Emergency Support
• Environmental Health
• Explosive Device Response Operations
• Firefighting Operations/Support
• WMD/HazMat Response and Decontamination
• Citizen Protection: Evacuation and/or In-Place
Protection
• Isolation and Quarantine
• Urban Search & Rescue
• Emergency Public Information and Warning
• Triage and Pre-Hospital Treatment
• Medical Surge
• Medical Supplies Management and Distribution
• Mass Prophylaxis
• Mass Care (Sheltering, Feeding, and Related
Services)
• Fatality Management
The capabilities-based planning process makes significant use of the TCL which
provides additional levels of detail on the underlying tasks and resources for achieving
these capabilities. Each level of government or geographic area will not be expected to
develop and maintain all 37 capabilities to the same extent. Capability-based planning
requires the prioritization of resources and initiatives among the various capabilities
listed in the TCL. Given a limited time and resources, jurisdictions will be expected to
prioritize their planning efforts, focusing on the most critical capability gaps. The
expectation will vary based upon the risk and needs of different levels of government
and geographic areas. For example, basic capability levels may be expected of a lowpopulation
jurisdiction, while a more advanced degree of capability may be expected
among a group of jurisdictions, an entire state, or the Federal government.
Consequently, organizational and operational integration is required across agencies,
disciplines and jurisdictions – and across state lines. Mutual aid agreements, interorganizational
linkages (including authorities, agencies, non-governmental partners and
individual citizens), information sharing, and collaboration that empower this integration
become critical elements of the new preparedness landscape.
Appendix L provides guidance on how to utilize capabilities based planning to
implement the National Preparedness Goal.
The Goal and the TCL are all-hazard in nature and address a range of major events,
including terrorism and the capabilities required to address them. However, consistent
with Congressional direction, these particular grant programs remain primarily focused
37 Target Capabilities
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on enhancing capabilities to prevent, protect against, respond to, or recover from
CBRNE, sabotage, and cyber terrorism incidents. Further, these grant programs do not
support all elements within each capability in the TCL. A number of additional
resources at different levels of DHS and all of government are available and should be
leveraged to build and sustain capabilities. For example, the Critical Infrastructure
Protection Capability of the TCL recommends an appropriate number of infrastructure
security specialists, however, the costs associated with hiring those personnel are not
allowable under these grants.
The Goal encompasses the full spectrum of activities necessary to address the entire
range of threats and hazards. In addition to a number of common activities that support
preparedness (e.g., planning, interoperable communications, risk management, and
citizen preparedness and participation), four mission areas help create a framework for
developing the subset of national capabilities that will be supported by DHS
preparedness grant program funding as well as state and local funds. The four mission
areas are prevent, protect, respond, and recover. As stated in NIMS, mitigation
activities are important elements of preparedness and provide a critical foundation
across the spectrum from prevention through recovery. The mission areas are
discussed in further detail below.
Prevent: Actions to avoid an incident or to intervene to stop an incident from occurring.
Prevention involves intelligence and deterrence operations; heightened inspections;
improved surveillance and security operations; investigations; education and training;
enhanced nuclear and radiological detection capabilities; public health and agricultural
surveillance and testing processes; immunizations, isolation, or quarantine; and certain
law enforcement operations.9 Public announcements, infrastructure improvements and
citizen vigilance also are important, especially when considering an all-hazards
approach.
Protect: Actions to reduce the vulnerability of critical infrastructure or key resources in
order to deter, mitigate, or neutralize terrorist attacks, major disasters, and other
emergencies.10 Protection also includes: continuity of government and operations
planning; evacuation planning, awareness elevation and understanding of threats and
vulnerabilities to related critical facilities, systems, and functions; promotion of effective
sector-specific protection practices and methodologies; and expansion of voluntary
security-related information sharing between government and private entities.11
Respond: Activities that address the short-term, direct effects of an incident. Response
includes immediate actions to save lives, protect property, and meet basic human
needs. As indicated by the situation, response activities include: applying intelligence
and other information to lessen the effects or consequences of an incident; increasing
security and law enforcement operations; continuing investigations into the nature and
source of the threat; continuing ongoing public health and agricultural surveillance and
testing processes; providing immunizations; enforcing isolation or quarantine; and
9 NIMS, March 2004.
10 Homeland Security Presidential Directive-7 (HSPD-7) December 2003.
11 The National Strategy for the Physical Protection of Critical Infrastructures and Key Assets, February
2003.
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allowing appropriate citizen response.12 A prepared community will also possess
sufficient capability for emergency feeding and sheltering of displaced personnel.
Recover: The development, coordination, and execution of service and site restoration
plans; the reconstitution of government operations and services; individual, privatesector,
non-governmental, and public assistance programs to provide housing and to
promote restoration; long-term care and treatment of affected persons; additional
measures for social, political, environmental, and economic restoration; evaluation of
the incident to identify lessons learned; post-incident reporting; and development of
initiatives to mitigate the effects of future incidents.13
Each mission area includes a collection of capabilities that require integration and
collaboration across multiple disciplines, jurisdictions, levels of government, processes,
and procedures. Many of these capabilities support the achievement of the National
Priorities listed in the Goal.
The Goal and the TCL are evolving documents that will be updated regularly to
incorporate new threats, technologies, improvements to capability levels, new
preparedness initiatives and priorities, and lessons learned. DHS will coordinate the
establishment of a structure and process for the ongoing management and
maintenance of the Goal. This structure and process will be coordinated closely with
the ongoing management and maintenance of the NIMS, NRP, and NIPP. Such
coordination will ensure that national policy and planning for operations and
preparedness are mutually supportive.
The Nation’s priorities, target levels, and performance metrics within the TCL will be
modified to reflect the completion or update of assessments, and will include
benchmarks for measuring progress. Additional foreseeable changes to the documents
and their implementation will include:
?? Recommendations and lessons learned from the response to Hurricane Katrina;
?? Revisions to the NRP;
?? Capabilities required for implementing the NIPP;
?? Capabilities required for implementing the National Strategy for Pandemic
Influenza;
?? Prevention tasks and capabilities identified by updated National Planning
Scenarios and reflective of current Administration policies on the War on Terror.
State and local governments and public safety entities are encouraged to participate in
the maintenance process by submitting questions and comments related to its
implementation.
12 NIMS, March 2004.
13 NIMS, March 2004.
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B. The National Priorities
The National Priorities in the Goal help guide the Nation’s preparedness efforts to meet
its most urgent needs. The priorities fall into two categories: (A) Overarching priorities
that contribute to the development of multiple capabilities, and (B) Capability-specific
priorities that establish selected capabilities for which the Nation has the greatest
need.14 Security partners at all levels of government recently developed homeland
security strategies that align with and support the overarching priorities established in
the Goal. With the inclusion of NIPP implementation as one of these overarching
national priorities, critical infrastructure/key resource (CI/KR) protection programs form
an essential component of state, territorial, local, tribal and sector-specific homeland
security strategies, particularly with regard to informing funding priorities and security
investment decisions. To permit effective NIPP implementation, and use of performance
measurement, these protection programs should reference all core elements of the
NIPP framework, including key cross-jurisdictional security and information-sharing
linkages, as well as specific CI/KR protective programs focused on risk reduction.
These programs should also support DHS and sector-specific efforts to identify, ensure
connectivity with, and enable the protection of CI/KR of national-level criticality within
the jurisdiction.
This Program Guideline and Application Kit implements the National Strategy for
Transportation Security (NSTS) by addressing several key areas, including:
?? Identification and evaluation of transportation assets;
?? Fostering a risk-based approach;
?? Validating appropriate and practical cost effective means of defending assets
from attack;
?? Assisting in the definition and management of roles and responsibilities between
Federal, state, regional, local, and tribal authorities, as well as the private sector:
and,
?? Helping to understand the delineation of roles and responsibilities for Response
and Recovery.
Alignment of planning efforts, funding requests, and project plans by eligible
transportation sector applicants in response to this Program Guideline and Application
Kit with the National Priorities and the TCL will further contribute toward efforts to
implement the integrated, comprehensive approach to the protection of CI/KR
envisioned by these grants.
The following section outlines each of the National Priorities, as well as critical
benchmarks developed to assist DHS and grantees in demonstrating progress made
toward achieving the National Priorities. The three overarching priorities are:
14 One of the four capability-specific priorities, Enhance Medical Surge and Mass Prophylaxis Capabilities
is not relevant to the FY 2006 DHS Infrastructure Protection Program.
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B.1. Expanded Regional Collaboration
Major events, especially acts of terrorism, will invariably have cross-geographic
consequences and impacts. The Expanded Regional Collaboration Priority highlights
the need for embracing partnerships across multiple jurisdictions, regions, and states in
building capabilities cooperatively. Successful regional collaboration allows for a multijurisdictional
and multi-disciplinary approach to building capabilities for all four mission
areas, spreading costs, and sharing risk across geographic areas. This approach
increases efficiency and enhances capabilities. Regional collaboration focuses on
expanding mutual aid and assistance compacts among contiguous state, local, and
tribal entities, and their private and non-governmental partners, and extending the
scope of those compacts to include pre-incident preparedness activities (e.g., planning,
training, exercising). The intent is to tactically locate capabilities in order to maximize
coverage of the U.S. population and the Nation’s high priority CI/KR. The Goal
establishes as a priority the embracing of regional approaches to building, sustaining,
and sharing capabilities at all levels of government.
B.2. Implement the NIMS and NRP
Homeland Security Presidential Directive-5 (HSPD-5), “Management of Domestic
Incidents,” mandated the creation of NIMS and NRP. The NRP establishes a
comprehensive all-hazards approach to managing domestic incidents. The plan
incorporates best practices and procedures from incident management disciplines –
homeland security, emergency management, law enforcement, firefighting, public
works, public health, responder and recovery worker health and safety, emergency
medical services, and the private sector – and integrates those best practices and
procedures into a unified structure. The NIMS provides a consistent framework for
entities at all jurisdictional levels to work together to implement the NRP and manage
domestic incidents, regardless of cause, size, or complexity. To promote interoperability
and compatibility among Federal, state, local, and tribal capabilities, the NIMS includes
a core set of guidelines, standards, and protocols for command and management,
preparedness, resource management, communications and information management,
supporting technologies, and management and maintenance of NIMS. The NRP, using
the template established by the NIMS, is an all-discipline, all-hazards plan that provides
the structure and mechanisms to coordinate operations for evolving or potential
Incidents of National Significance. Based on the criteria established in HSPD-5,
Incidents of National Significance are those high-impact events that require a
coordinated and effective response by an appropriate combination of Federal, state,
local, tribal, private sector, and non-governmental entities in order to save lives,
minimize damage, and provide the basis for long-term community recovery and
mitigation activities. DHS and other Federal agencies are currently reviewing
implementation of the NRP during Hurricanes Katrina and Rita.
The implementation of the NIMS within every state, territory, tribal, and local jurisdiction
creates a common framework and system that, once established nationwide, will be the
foundation for prevention, protection, response, and recovery operations. Full NIMS
implementation is a dynamic and multi-year phase-in process with important linkages to
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the NRP, HSPD-8 (i.e., the Goal) and the NIPP. The NIMS Integration Center (NIC) will
continue to work with Federal departments and agencies to ensure Federal
implementation of NIMS and that all FY 2006 Federal preparedness assistance
programs reflect and support NIMS implementation at the state, local, and tribal
government levels as appropriate.
While NIMS is not a specific requirement for the ports under this grant program, States
and urban areas are required to meet the FY 2006 NIMS implementation requirements
as a condition of receiving Federal preparedness funding assistance next year, in FY
2007. Thus, transportation and other infrastructure systems participating in
should review the NIMS requirements for local jurisdictions, and adopt those that
are applicable.
Major goals for this priority in FY 2006 are:
?? Educate all appropriate officials on the incident management roles and
responsibilities of the NIMS and NRP through awareness courses provided by
DHS.
?? Identify the appropriate infrastructure personnel, public-sector contacts, and
protocols for connecting with relevant Federal, state, and local agencies through
NIMS and the NRP in the event of an emergency.
?? Integrate with existing state/local NIMS implementation strategies, as
appropriate.
?? Participate in Federal, state, and local exercises that are designed to test the
implementation of NIMS and the NRP.
Note: G&T will continue to update grantees on NIMS compliance measures as
they become available. Additional information about NIMS implementation and
resources for achieving compliance are available through the National Integration
Center. The NIC web page, http://www.fema.gov/nims, is updated regularly with
information about the NIMS and additional guidance for implementation.
Appendix M provides a copy of the NIMS Implementation Matrices.
B.3. Implement the NIPP
Infrastructure protection is an integral part of the homeland security mission and overall
national preparedness efforts. A key element of the national approach to infrastructure
protection is the NIPP, the cornerstone of which is the risk management framework that
establishes the processes for combining consequence, vulnerability, and threat
information to produce a comprehensive, systematic, and rational assessment of
national or sector risk. The NIPP provides the unifying structure for the integration of
existing and future CI/KR protection efforts into a single national program.
The NIPP delineates roles and responsibilities for security partners in carrying out
implementation activities while respecting the authorities, jurisdictions, and prerogatives
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of these partners. For example, state, territorial, local, and tribal governments are
responsible for developing and implementing a CI/KR protection program as a
component of their overarching homeland security programs. Regional partners use
partnerships that cross jurisdictional and sector boundaries to address CI/KR protection
within a defined geographical area. Private sector owners and operators are responsible
for undertaking CI/KR protection, coordination, and cooperation activities, as necessary.
All of these roles and responsibilities are pertinent to the mission and scope of CGP.
The Port Security Grant Program offers key support to eligible applicants for nationwide
CI/KR protection programs. Federal grants that support CI/KR protection can be
grouped into two broad categories: (1) overarching homeland security grant programs
that provide funding for a broad set of activities in support of homeland security mission
areas and the national priorities outlined in the National Preparedness Goal, and (2)
targeted programs for specific CI/KR-related protection initiatives and programs within
identified jurisdictions. Infrastructure protection programs include grants for specific
activities that focus on the protection of CI/KR, such as ports, mass transit, rail
transportation, etc. These funds support CI/KR protection capabilities based on risk and
need in coordination with DHS, Sector-Specific Agencies (SSA), and Federal priorities.
The major goal for this priority in FY 2006 is the successful implementation of the NIPP.
The NIPP was released in February 2005. The revised NIPP Base Plan is expected to
be completed in 2006. It will detail milestones and implementation actions to:
?? Establish the architecture for conducting risk assessment and risk management
activities;
?? Provide processes for coordinating resource priorities;
?? Strengthen linkages between physical and cyber, domestic and international
CI/KR protection efforts;
?? Improve information-sharing and public-private-sector coordination; and,
?? Integrate steady-state protection programs in an all-hazards environment.
Sector-Specific Plans will be delivered to DHS within 180 days of signature of the NIPP
Base Plan. Implementing the NIPP and the Sector-Specific Plans (SSP) are important
initial steps in achieving and sustaining many of the capabilities identified in the Goal
and TCL. The DHS National Infrastructure Protection Plan Program Management
Office is responsible for coordinating implementation of the NIPP in partnership with the
Sector-Specific Agencies.
Additional information sharing goals DHS will seek to advance with our grant partners
during FY 2006 include:
?? Build a critical infrastructure protection program that implements the risk
management framework outlined in the NIPP. Chapter 3 of the NIPP provides
details about the risk management framework and specific approaches to
reducing critical infrastructure vulnerability.
?? Engage all relevant intergovernmental coordination points (e.g., Federal, state,
regional, tribal, local) to ensure a comprehensive approach to critical
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infrastructure protection across all appropriate levels of government and across
both public and private sectors.
?? Develop strategies for the protection of CI/KR assets not on the Federal list, but
which are of concern to the region.
?? Incorporate cyber security protection efforts across all sectors of CI/KR.
Important Note: G&T will continue to update grantees on release of the NIPP Base
Plan and associated activities.
Appendix N provides additional information on the NIPP and its relevance to the
transportation sector.
In addition to the overarching priorities, there are four capability-specific priorities.
Three are listed here – the fourth, Enhance Medical Surge and Mass Prophylaxis
Capabilities, is not relevant to activities associated with these grant programs:
B.4. Strengthen Information Sharing and Collaboration Capabilities
Effective terrorism prevention, protection, response, and recovery efforts depend on
timely, accurate information about the identities of the enemies, where they operate,
how they are supported, and potential methods of attack. Over the next two years, the
Federal government will develop an Information Sharing Environment that will enhance
existing Federal capabilities and improve linkages with state and local governments.
Major goals for this priority in FY 2006 are:
?? Establishing protocols for the routine sharing of threat, vulnerability, and
consequence information with DHS through the Homeland Security Operations
Center (HSOC) and Information Sharing and Analysis Centers (ISAC).
?? Establishing protocols for receiving and acting on threat information from DHS
and other Federal agencies, as well as providing appropriate Federal, state, and
local agencies with immediate threat information that may be useful for alerting
proper authorities and the public.
?? Ensuring that the information fusion process is fully capable of communicating
effectively and efficiently with the Federal Government through the Homeland
Security Information Network (HSIN), the HSOC, the Transportation Security
Operations Center (TSOC) and the Department of Transportation’s (DOT) Crisis
Management Center (CMC), as well as with other intelligence and law
enforcement personnel across the Federal Government.
?? Utilizing HSIN), which will significantly strengthen the flow of real-time threat
information to state, local, and private sector partners at the Sensitive-but-
Unclassified level, and provide a platform for communications through the
classified SECRET level to state offices.
?? Establishing connectivity with the HSOC), which will be responsible for taking
homeland security-related information and intelligence collected and/or produced
via the state fusion process, blending it with up-to-date intelligence collected by
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Federal entities, and sharing the resulting products with state, tribal, local, and
private sector entities via the state's fusion process;
?? Integrating and coordinating with key local or regional Federal intelligence
entities such as the FBI’s Field Intelligence Groups, the Joint Terrorism Task
Forces (JTTF), U.S. Immigration and Customs Enforcement’s Field Intelligence
Units, the U.S. Coast Guard’s Field Intelligence Support Teams, the Drug
Enforcement Administration’s High Intensity Drug Trafficking Area centers and
other field intelligence units.
B.5. Strengthen Interoperable Communications Capabilities
The lack of interoperable wireless communication systems is an issue that continues to
affect public safety agencies in communities across the country. In many cases,
agencies are unable to communicate or share critical voice and data information with
other jurisdictions or disciplines during major events or even day-to-day operations.
Interoperable communications, a capability-specific priority, is the ability to provide an
uninterrupted flow of critical information among responding multi-disciplinary and multijurisdictional
agencies at all levels of government before, during, and after an event.
Communications interoperability underpins the ability of Federal, state, local, and tribal
entities to work together effectively to prevent, protect against, respond to, and recover
from terrorist attacks, major disasters, and other emergencies.
The Interoperability Continuum illustrates the five critical elements of success –
governance, standard operating procedures, technology, training and exercises, and
usage of equipment – that support robust interoperability solutions. These elements
include the following activities:
?? Governance – A common governing structure for addressing interoperability
issues will improve the policies, processes, and procedures of any major project
by enhancing communication, coordination, and cooperation; establishing
guidelines and principles; and reducing internal jurisdictional conflicts;
?? Standard Operating Procedures (SOP) – SOPs are formal written guidelines or
instructions for incident response. SOPs typically have both operational and
technical components;
?? Technology – The technology used to implement interoperable communications
is dependent upon existing infrastructure within the region. Multiple technology
solutions may be required to support large events;
?? Training and Exercises – Proper training and regular exercises are critical to the
implementation and maintenance of a successful interoperability solution;
?? Usage of Equipment – Usage refers to how often interoperable communication
technologies are used.
Major goals for the Communications priority in FY 2006 are:
?? Acquisition, implementation, operations, and training on Project 25 standard
interoperable digital 2-way wireless communication products and systems.
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?? Integrating infrastructure communications with state-wide and regional operations
plans and procedures to improve public safety and critical infrastructure
communications operability and interoperability.
?? Training and exercises on public-private partnerships and multi-jurisdictional
communications implementation, maintenance, and protocols.
?? Establishing public-private assistance or other agreements with surrounding
public safety entities in order to effectively maintain or quickly restore emergency
communications capabilities and network restoration following a catastrophic
event.
Appendix O provides additional information on public safety communications
and interoperability.
B.6. Strengthen Chemical, Biological, Radiological/Nuclear, and Explosive
(CBRNE) Detection, Response, and Decontamination Capabilities
This priority seeks to leverage efforts to develop robust capabilities to detect, neutralize,
contain, dismantle, and dispose of CBRNE materials, and decontaminate exposed
personnel and property. These efforts were heavily emphasized in previous years’ G&T
grant program guidance.
With specific regard to radiological or nuclear (RAD/NUC) threats, the newly-formed
Domestic Nuclear Detection Office (DNDO) plays an essential role in developing and
implementing a multi-layered defensive strategy, with domestic and international
programs and systems, to protect the Nation from terrorist RAD/NUC attacks. DNDO is
working in close coordination with G&T and other Federal, state, local, and tribal entities
to develop program guidance that supports the planning, organization, equipment,
training, and exercise (POETE) activities related to the enhancement and development
of RAD/NUC preventive detection programs at the state and local level. DNDO is also
developing operational support systems to assist in the implementation of these
programs. State and local grantees are encouraged to work closely with DNDO when
developing or enhancing preventive RAD/NUC detection programs in order to ensure
compliance with DNDO program guidance and to ensure that state and local programs
are effectively integrated into national systems.
Major FY 2006 objectives for the CBRNE Detection priority are as follows:
?? Acquisition and deployment of radiological detectors as validated by the DNDO
deployment plan.
?? Acquisition and deployment of chemical/biological detection systems with a focus
on broad system-wide protection for high density, urban transit systems and
critical vulnerabilities, specifically infrastructure hubs and nodes.
Appendix P provides additional information on CBRNE threats and information
on DNDO.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX L
CAPABILITIES BASED
PLANNING GUIDANCE
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Capabilities Based Planning Guidance
A. Step-by-Step Guide to Capabilities Based Planning
Capability Based Planning forms the core of the Port-Wide Risk Management Planning
Process (PWRMPP). Success depends upon robust and adaptive collaboration
between the public and private sector, among different levels of government, among
multiple jurisdictions and among departments and agencies within a single jurisdiction.
Implementing a common, shared approach to achieving National preparedness requires
the Nation to align its programs and efforts in support of the Goal. Alignment can best
be achieved through the application of a systems-based approach, utilizing capabilitiesbased
planning as a common, all-hazard, major events planning process. This will
support the establishment of a true National Preparedness System, which will provide a
mechanism for measuring preparedness and informing future preparedness
investments.
The general process of capabilities based planning is depicted in the figure below. This
simple, step-by-step sequence illustrates how process and tools are combined to clearly
identify and prioritize requirements, assess current capabilities, and then allocate
available resources and emphasis to the most urgently needed capabilities. This
description will be refined over time with user feedback and supplemented with specific
instructions in annual program guidance.
Capabilities-Based Planning Process
Convene
Working Group
Convene
Working Group
1
Determine
Capability
Requirements
Assess
Current
Capabilities
Levels
Identify Needs and
Methods to Fill Gaps
Develop Options
Analyze Options
Choose Options
Update
Strategies/Submit
Investment
Justifications
Review
Justifications/
Allocate
Funds
Update and
Execute
Program Plans
Equip
Train
Exercise
Plan
Assess and Report
Compliance
Performance
Capability
2 3 4 5 6
8
7
Step 1: Convene a Working Group
This role could be filled by the AMSC, or similar group, as part of the Port-Wide Risk
Management Planning Process.
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Step 2: Determine Capability Requirements
The working group will determine risk-based target levels for each capability by
reviewing the TCL and analyses of risk, threat, vulnerability and likelihood of
occurrence. Such “target levels” should take into account current capabilities and
resources, and a realistic appraisal of what additional resources may be available or
appropriate for the particular jurisdiction.
The TCL provides a series of examples of how the 37 Capabilities may apply to
jurisdictions of different sizes. These examples are intended to provide guidance
on how the target levels listed in the individual Capabilities will vary based on the
region and implementing agency. The TCL is not intended to direct resource
requirements for every agency or jurisdiction for each year, nor is it descriptive of the
resources necessary for every type of scenario.
Step 3: Assess Current Capability Levels
The core of the capabilities-based planning approach is the need to compare current
capabilities with risk-based target levels. The working group will coordinate an
assessment of current level of capability of the entities represented on the working
group. Capability assessments measure current level of capability against the target
levels of capability from the TCL applicable to the level of government. Comparison will
reveal “gaps” (implying outcomes cannot be accomplished with current capabilities);
“excesses” (unnecessary redundancy exists or a specific capability is no longer
needed); and “deficiencies” (a capability exists, but is insufficient to provide a
reasonable assurance of success against a specified scenario). All required capabilities
and expertise will not be present in the state or jurisdiction. Many will be secured
through multi-agency coordination (i.e., mutual aid, acquisition through contracting, and
resources from non-governmental and private sector partners).
DHS is currently conducting a pilot project in coordination with other Federal
departments and agencies to aid in the development of a standard methodology
for capability assessments. More specific information will be provided in future
year program guidance.
Step 4: Identify, Analyze and Choose Options
An important aspect of capabilities-based planning is in selecting methods to fill
capability gaps and deficiencies. This step is involves translating a capability gap or
deficiency into specific needs and determining a mix of resource needs. The approach
involves an analytical process using comparative, trade-off, and risk analysis.
Recognizing that there is usually more than one resource combination that can address
a capability gap or deficiency, the analysis involves identifying options, analyzing
options, and choosing options, using the recommended resources identified in the TCL
as a guide. This analysis provides senior decision makers with alternative combinations
of resources or solution sets for each capability gap or deficiency. The analysis
components are described below:
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Identify Options – In identifying options, the range of options should be kept to a
manageable number, but solutions should be framed in ways to implement a capability.
In reviewing options, the effectiveness of applying mutual aid between geographic areas
and levels of government should be considered. A capability may be delivered with any
combination of properly planned, organized, equipped, trained and exercised personnel
that achieve the desired outcome. These elements of capability are described in detail
in the Figure below.
Elements of Capability
Personnel
Paid and volunteer staff who meet relevant qualification and
certification standards necessary to perform assigned missions and
tasks.
Planning
Collection and analysis of intelligence and information, and
development of policies, plans, procedures, mutual aid
agreements, strategies, and other publications that comply with
relevant laws, regulations, and guidance necessary to perform
assigned missions and tasks.
Organization
and
Leadership
Individual teams, an overall organizational structure, and
leadership at each level in the structure that comply with relevant
laws, regulations, and guidance necessary to perform assigned
missions and tasks.
Equipment and
Systems
Major items of equipment, supplies, facilities, and systems that
comply with relevant standards necessary to perform assigned
missions and tasks.
Training Content and methods of delivery that comply with relevant training
standards necessary to perform assigned missions and tasks.
Exercises,
Evaluations,
and Corrective
Actions
Exercises, self-assessments, peer-assessments, outside review,
compliance monitoring, and actual major events that provide
opportunities to demonstrate, evaluate, and improve the combined
capability and interoperability of the other elements to perform
assigned missions and tasks to standards necessary to achieve
successful outcomes.
NOTE: Elements of capability are consistent with NIMS
?? Analyze Options. Once a range of options are identified, each should be
analyzed and prioritized against a standard set of criteria. The analysis will
determine which combination of resources may provide the desired capability or
capabilities and address risk appropriately. Examples of criteria include:
?? Ability of the identified approaches to provide the desired capability. It may
not be required to invest in all six elements at one time in order to achieve a
capability due to prior investments;
?? Ability of the approaches to deliver the total capability. If it cannot deliver the
total capability, evaluate how much of the capability can be met;
?? Delivery time frame; and,
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?? Relative improvement in capability level provided by the approaches as
compared to the existing capability; and cost to develop, procure and sustain
the approaches versus the cost to sustain the existing capability.
?? Choose Options. The results of the analysis are presented to senior decision
makers for consideration. Risk determinations are embedded in the decision
making process. Risk determinations will consider the range of capability gaps,
excesses, and deficiencies; issues identified during analysis (as identified in the
analyze options component criteria); strategic concerns and implications; and
consider the following:
?? Can the capability outcome be accomplished and provide a reasonable
assurance of success?
?? What are the potential costs as compared to other options? Are the costs
appropriate for the benefit gained and does the timing impact results?
?? What is the impact on planning? Is the solution compatible with other
solutions available through the same or different Federal assistance programs
and can mutual aid be applied?
By applying known constraints and examining all capabilities, a preferred solution
set will be selected by conducting comparative, trade-off and risk analysis. The
results will be consolidated into a prioritized, balanced, resource-constrained
portfolio across all relevant capabilities.
The following steps (5-8) are focused toward municipal groups or entities that
currently have the ability to allocate funds based on regional preparedness
strategies. However, the process will provide valuable guidance to the owners
and operators of regulated facilities or vessels, as well as port authorities and
state and local agencies participating in the layered protection of port areas, on
the identification of cost effective projects that address strategic preparedness
goals and objectives.
Step 5: Update Strategies and Submit Investment Justifications
Once options are chosen, entities can update their preparedness strategies and prepare
and submit annual investment justifications. The strategies should be aligned with the
National Preparedness Goal, State and Urban Area Homeland Security Strategies, and
support and facilitate cooperation and mutual aid. Strategies are multi-year planning
vehicles supported by specific annual work plans that describe each year’s approach to
meeting the longer term strategy.
Step 6: Review Justifications and Allocate Funds
The review of investment justifications and allocation of funds occurs at all levels of
government. At each level, relevant decision makers will lead a comparison of
investment justifications and map these to current resources under their control or to
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potential sources of funding. Using capabilities-based planning, the aim is to produce
an effective mixed preparedness portfolio across the Nation. Ultimately, balancing the
Federal preparedness portfolio will contribute to a more prepared Nation through the
following:
?? Maximizing the allocation of national preparedness investments and resources in
compliance with homeland security strategies and the National Preparedness Goal
to improve preparedness in the most efficient and effective manner;
?? Providing clarity in resource allocation decisions based on consistent criteria and
decision-making framework; and,
?? Encouraging a regional and/or mutual-aid partner approach to national
preparedness.
Once funds are allocated, annual work plans may be updated to reflect the funding
received and the associated courses of action to build capabilities in accordance with
the overall guiding strategy.
Step 7: Update and Execute Program Plans
Execution is where the strategies and plans previously developed and/or updated are
implemented. Annual work plans are carried out by all relevant stakeholders.
Execution is focused on:
?? Administering programs;
?? Conducting planning and coordination;
?? Purchasing equipment in accordance with documented needs and specified
standards, as well as preparing and maintaining such equipment to be readily
available as needed;
?? Developing and conducting training to fill capability gaps; and,
?? Developing and conducting exercises to demonstrate performance.
Step 8: Assess and Report
An assessment process provides a continuously validated baseline for preparedness
levels. Capability, compliance, and performance assessments provide the basis to
determine the preparedness of individual areas and levels of governments, as well as
serve to view preparedness from a national perspective. Capability assessments are
discussed in Step 3. Other types of assessment include performance and compliance
assessments. Performance and compliance assessments serve to validate levels of
capability. Compliance assessments will provide insight into conformance with
requirements (e.g., NIMS and other national programs). Performance assessments will
be provided through exercise program results.
Assessments should be performed on a regular basis. Data from assessments serve to
update and validate the preparedness baseline. Information from these assessments
provides a comprehensive indicator for how well capability levels are achieved and
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maintained. The results of these assessments will be presented to decision makers for
discussion and will be used as a mechanism to develop subsequent guidance. Analysis
from assessments will enable decision makers at all levels to ensure the appropriate
balance among resources allocated to strengthen specific capabilities. This analysis
will also help to develop a comprehensive “snapshot” of national preparedness. Overall
progress towards increasing our national level of preparedness will be documented and
communicated through a national reporting cycle and Annual Status Report.
The desired end state is to move the Nation forward to meet the National Preparedness
Goal and achieve fully integrated, unified homeland security capabilities. At all levels,
information from capabilities-based planning will be used by preparedness programs to
refine program structures and strategies. This requires an understanding of needs at
the national level through analysis of assessment data. Results of the analyses will be
used to update national priorities in the National Preparedness Goal and provide
enhanced strategic direction for the Nation.
In conformance with HSPD-8, Federal Departments and Agencies will facilitate the use
of a capabilities-based planning process within appropriate homeland security
assistance programs. Though specific decision-making processes will vary, they should
be able to address similar analytical questions and policy decisions.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX M
NATIONAL INCIDENT
MANAGEMENT SYSTEM
GUIDANCE
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National Incident Management System Guidance
A. NIMS Compliance Activities
The NIMS is a comprehensive system that will improve response operations through the
use of the Incident Command System (ICS) and other standard procedures and
preparedness measures. It will also promote development of cross-jurisdictional,
statewide and interstate regional mechanisms for coordinating incident management
and obtaining assistance during large-scale or complex incidents.
The NIMS Integration Center (NIC) recognizes that the overwhelming majority of
emergency incidents are handled on a daily basis by a single jurisdiction at the local
level. However, it is critically important that all jurisdictions comply with the NIMS
because the challenges we face as a Nation are far greater than the capabilities of any
one jurisdiction; they are not, however, greater than the sum of all of us working
together through mutual support. Homeland Security Presidential Directive 5 (HSPD-
5), Management of Domestic Incidents, requires all Federal Departments and agencies
to adopt and implement the NIMS, and requires states, territories, tribes and local
governments to implement the NIMS to receive Federal preparedness funding.
States15 play the integral role in ensuring the effective implementation of the NIMS.
They must ensure that the systems and processes are in place to communicate the
NIMS requirements to local16 jurisdictions and support them in implementing the NIMS.
The NIMS implementation requirements for local jurisdictions are available in a separate
matrix to support this communication and coordination between the states and local
jurisdictions. States must also implement specific NIMS implementation actions as
outlined in this matrix.
States should encourage and support a regional approach to NIMS implementation
among its jurisdictions. In some instances smaller communities may not have the
resources to implement all elements of NIMS on their own. However, by working
together with other localities in their regions, they will be able to pool their resources to
implement NIMS.
When NIMS is fully implemented, states and local jurisdictions will be able to:
15 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, Guam, American Samoa, the
Commonwealth of the Northern Mariana Islands, and any possession of the United States.” 6 USC 101
(14)
16 As defined in the Homeland Security Act of 2002, Section 2(10): the term “local government”
means “(A) county, municipality, city, town, township, local public authority, school district, special
district, intrastate district, council of governments… regional or interstate government entity, or
agency or instrumentality of a local government: an Indian tribe or authorized Tribal organization,
or in Alaska a Native village or Alaska Regional Native Corporation; and a rural community,
unincorporated town or village, or other public entity.” 6 USC 101(10)
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?? Ensure common and proven incident management doctrine, practices and
principles are used to plan for, protect against, respond to and recover from
emergency incidents and preplanned events;
?? Maintain a response operation capable of expanding to meet an escalating
situation and the ability to integrate resources and equipment from intrastate and
interstate mutual aid agreements, state-provided assistance and Federal
government response;
?? Order and track response assets using common resource typing and definitions,
and draw on mutual aid agreements for additional assistance;
?? Establish staging and allocation plans for the re-distribution of equipment,
supplies and aid coming into the area from other localities, states or the Federal
government through mutual aid agreements;
?? Conduct situational assessments and establish the appropriate ICS
organizational structure to effectively manage the incident;
?? Establish communication processes, procedures and protocols that will ensure
effective interoperable communications among emergency responders, 9-1-1
centers and multi-agency coordination systems such as Emergency Operations
Centers (EOC).
How NIMS Applies to the Transportation Sector:
States should encourage and support a regional approach to NIMS implementation
among its homeland security partners, including the transportation sector. Further,
owners and operators of CI/KR should be well educated on NIMS, as Federal, state,
and local responder agencies will utilize its Incident Command System and resource
typing in the event of an emergency that impacts their operations or requires their
assistance.
For example, the National Response Plan (NRP) incorporates NIMS as the overarching
organizational authority that outlines the roles and responsibilities of the Federal
government during an Incident of National Significance. The NRP outlines 15
Emergency Support Functions (ESF) that provide the structure for coordinating Federal
interagency support, most of which have direct implications to the Nation’s
infrastructure:
• ESF 1: Transportation
• ESF 2: Communications
• ESF 3: Public Works and Engineering
• ESF 4: Fire Fighting
• ESF 5: Emergency Management
• ESF 6: Mass Care
• ESF 7: Resource Support
• ESF 8: Health and Medical Services
• ESF 9: Search and Rescue
• ESF 10: Hazardous Materials Response
• ESF 11: Food
• ESF 12: Energy
• ESF 13: Public Safety and Security
• ESF 14: Long-Term Recovery and Mitigation
• ESF 15: External Affairs
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In addition, the NRP outlines 10 Support annexes that provide the framework through
which Federal departments and agencies, state, local, and tribal entities, the private
sector; volunteer organizations and non-governmental organizations coordinate and
execute the common functional processes and administrative requirements necessary
to ensure efficient and effective incident management.
In order to effectively provide services to assist Federal, state, local and tribal
governments in managing an Incident of National Significance, or alternatively, to
promptly benefit from response efforts in the event of an emergency, CI/KR owners and
operators must be fluent in NIMS.
To prepare for the implementation of NIMS at the Federal, state, and local government
levels, owners and operators of CI/KR should:
?? Learn the NIMS system, protocols, and terminologies through free, on-line
awareness courses provided by DHS;
?? Participate in regional homeland security exercises;
?? Identify appropriate points of contact and roles within the CI/KR entity to
effectively operate with public safety entities in an ICS structure;
?? Understand the phased implementation process for states, tribal governments
and local jurisdictions to comply with NIMS requirements; and,
?? Integrate with existing state/local NIMS implementation strategies, as
appropriate.
B. FY 2006 State and Territorial NIMS Compliance Requirements
In Federal Fiscal Year 2005, the Secretary of Homeland Security provided guidance to
each state, outlining initial actions that should be taken to implement the NIMS. The
letter to the Nation’s governors included a list of actions for states and territories to take
towards NIMS compliance. A copy of this letter is posted on the NIMS webpage at:
http://www.fema.gov/nims/nims_compliance.shtm. Minimum FY 2005 NIMS activities
included:
?? Incorporating NIMS into existing training programs and exercises;
?? Ensuring that Federal preparedness funding (including DHS Homeland Security
Grant Program, Urban Area Security Initiative (UASI) 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 (EOP);
?? Promotion of intrastate mutual aid agreements;
?? Coordinating and providing technical assistance to local entities regarding NIMS;
?? Institutionalizing the use of the Incident Command System (ICS).
To receive FY 2006 preparedness grant funds from any Federal Department or agency,
states will have to self-certify that they have met the minimum FY 2005 requirements. A
self-certification letter will be provided to each state and territory. Additional information
is also available on the NIMS Web page at: www.fema.gov/nims.
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In Fiscal Year 2006, states, territories, tribes and local communities will be required to
complete several activities to comply with the NIMS. The attached implementation
matrix describes the actions that states must take by the end of Federal FY 2006
(September 30, 2006) to be compliant with NIMS. These implementation requirements
are in addition to the FY 2005 NIMS requirements as established in the Sept. 8, 2004,
letter to the governors. A copy of that letter is available on the NIMS Web page at:
www.fema.gov/nims.
Beginning in FY 2007, which starts on October 1, 2006, all Federal preparedness
funding will be conditioned upon full compliance with the NIMS. By completing the FY
2005 activities as well as the FY 2006 activities outlined in this matrix, states and
territories will have achieved what is considered to be full NIMS implementation by FY
2007.
Completion of the FY 2006 actions will result in a statewide infrastructure that will
support NIMS implementation among all state and territorial agencies as well as at the
tribal and local levels. The effective and consistent implementation of the NIMS in every
state and territory will result in a strengthened national capability to prepare for, respond
to and recover from any type of incident. The matrix identifies activities that are
underway by the NIMS Integration Center to support the effective implementation of
NIMS as well as activities that will be required for NIMS implementation in future years.
The matrix also provides information on where to find technical assistance resources to
support these compliance actions. For example, the National Incident Management
Capability Assessment Support Tool (NIMCAST) is a product designed to assist
communities in determining their current NIMS compliance baseline. The NIMS is much
more than just a list of required elements; it is a new approach to the way we prepare
for and manage incidents, one that will lead to a more effective utilization of resources
and enhanced prevention, preparedness and response capabilities. Moreover, full
NIMS implementation is a dynamic and multi-year phase-in process with important
linkages to the National Response Plan (NRP), the Goal and the National Infrastructure
Protection Plan (NIPP). Future refinement to the NIMS will evolve as policy and
technical issues are further developed and clarified at the national level. This may well
result in additional requirements being issued by the NIC as to what will constitute
continuous full NIMS compliance in FY 2007 and beyond.
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NIMS Implementation Matrix for States and Territories
FY 2006 Compliance Activities
Required
State/Territorial Action
for FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
State Adoption and Infrastructure
Adopt NIMS at the state/
territorial level for all
government Departments
and agencies; as well as
promote and encourage
NIMS adoption by
associations, utilities,
non-governmental
organizations (NGOs) and
private sector incident
management and
response organizations.
Monitor formal adoption of
NIMS by all tribal and
local jurisdictions.
• Adopt NIMS through executive order,
proclamation, resolution or legislation as the
state's official all-hazards, incident response
system.
• Develop a baseline assessment of NIMS
requirements that your jurisdiction already meets
and using that baseline, develop a strategy for full
NIMS implementation and maintenance.
• The NIMS Capability Assessment Support Tool
(NIMCAST) is available at:
www.fema.gov/nimcast/index.jsp
• Sample templates for executives:
www.fema.gov/nims/nims_toolsandtemplates.sht
m
• Amend or reauthorize,
as
necessary.
Establish a planning
process to ensure the
communication and
implementation of NIMS
requirements across the
state, including local
governments and tribes.
This process must
provide a means for
measuring progress and
facilitate reporting.
• FY 2006 NIMS Implementation Matrix for Local
Jurisdictions
Designate a single point
of contact within the state
government to serve as
the principal coordinator
for NIMS implementation
statewide.
• Consider establishing new or leverage existing
cross-jurisdictional and cross-discipline advisory
group to assist and ensure full implementation of
NIMS.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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FY 2006 Compliance Activities
Required
State/Territorial Action
for FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
To the extent permissible
by law, ensure that
Federal preparedness
funding to state and
territorial agencies and
tribal and local
jurisdictions is linked to
the satisfactory progress
in meeting the
requirements related to
FY 2006 NIMS
implementation
requirements.
• The National Incident Management System
(NIMS) March 2004, the NIMS implementation
requirements, and Homeland Security Presidential
Directive 5 are all available on the NIMS Web
page at: www.fema.gov/nims
• NIMS Capability Assessment Support Tool
(NIMCAST): www.fema.gov/nimcast/index.jsp
• 2005 Homeland Security Grant Program
Guidance:
http://www.ojp.usdoj.gov/odp/docs/fy05hsgp.pdf
• National Preparedness Goal and National
Preparedness Guidance:
http://www.ojp.usdoj.gov/odp/assessments/hspd8.
htm
To the extent permissible
by state and territorial law
and regulations, audit
agencies and review
organizations should
routinely include NIMS
implementation
requirements in all audits
associated with Federal
preparedness grant
funds. This process will
validate the selfcertification
process for
NIMS compliance.
• The National Incident Management System
(NIMS) March 2004, the NIMS implementation
requirements, and Homeland Security Presidential
Directive 5 are all available on the NIMS Web
page at: www.fema.gov/nims
• NIMS Capability Assessment Support Tool
(NIMCAST): www.fema.gov/nimcast/index.jsp
• A list of the Federal preparedness grant programs
that have been reported to the NIC are available
on the NIMS Web page at: www.fema.gov/nims
• 2005 Homeland Security Grant Program
Guidance:
http://www.ojp.usdoj.gov/odp/docs/fy05hsgp.pdf
• National Preparedness Goal and National
Preparedness Guidance:
http://www.ojp.usdoj.gov/odp/assessments/hspd8.
htm
Command and Management
Incident Command
System (ICS):
Manage all emergency
incidents and preplanned
(recurring/special) events
in accordance with ICS
organizational structures,
doctrine and procedures,
as defined in NIMS. ICS
implementation must
include the consistent
application of Incident
Action Planning and
Common
Communications Plans.
• Institutionalize ICS: Terms and definitions:
www.fema.gov/txt/nims/institutionalizing_ics.txt
• Incorporate concepts and principles of NIMS
Chapter II, Command and Management including
ICS characteristics such as common terminology,
modular organization, management by objectives,
incident action planning, manageable span of
control, pre-designated incident facilities,
comprehensive resource management, integrated
communications, transfer of command, unity of
command, unified command, personnel and
resource accountability and information and
intelligence management.
• Continue to manage
incidents and events
using ICS.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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FY 2006 Compliance Activities
Required
State/Territorial Action
for FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Multi-agency Coordination
System:
Coordinate and support
emergency incident and
event management
through the development
and use of integrated
multi-agency coordination
systems, i.e. - develop
and maintain connectivity
capability between local
Incident Command Posts
(ICP), local 911 Centers,
local Emergency
Operations Centers
(EOCs), the state EOC
and regional and/Federal
EOCs and /NRP
organizational elements.
• NIMS Chapter II, Command and Management
• Revise and update
processes and plans.
• The Emergency
Management Institute
(EMI) is currently
developing an
independent study and
classroom course on
NIMS Multi-Agency
Coordination Systems.
Additional information
will be posted on the
NIMS Integration
Center Web page
when available. See
http://www.fema.gov/ni
ms.
• The NIMS Integration
Center will feature
best practices on the
NIMS Web page. See
http://www.fema.gov/ni
ms.
Public Information
System:
Institutionalize, within the
framework of ICS, the
Public Information
System, comprising of the
Joint Information System
(JIS) and a Joint
Information Center (JIC).
The Public Information
System will ensure an
organized, integrated, and
coordinated mechanism
to perform critical
emergency information,
crisis communications
and public affairs
functions which is timely,
accurate, and consistent.
This includes training for
designate participants
from the Governor’s office
and key state agencies
• NIMS Chapter II, Command and Management
• Public Information Training (E388, Advanced
Public Information Officers and G290, Basic
Public Information Officers)
• Revise and update
processes and plans.
• The Emergency
Management Institute
(EMI) is currently
developing an
independent study and
classroom course on
NIMS Public
Information Systems.
Additional information
will be posted on the
NIMS Integration
Center Web page
when available. See
http://www.fema.gov/ni
ms.
• Information on who
should complete these
courses also will be
posted on the NIMS
Web page.
• The NIMS Integration
Center will feature
best practices on the
NIMS Web page. See
http://www.fema.gov/ni
ms.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
M- 8
FY 2006 Compliance Activities
Required
State/Territorial Action
for FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Preparedness: Planning
Establish the state’s
NIMS baseline against
the FY 2005 and FY 2006
implementation
requirements
• Assess which NIMS implementation requirements
the state already meets. The NIMS Capability
Assessment Support Tool (NIMCAST) is available
to facilitate this: www.fema.gov/nimcast/index.jsp
• Update state’s
Homeland Security
strategy and any other
state preparedness
strategies and plans
as appropriate and
close capability gap.
Coordinate and leverage
all Federal preparedness
funding to implement the
NIMS.
• A list of the Federal preparedness grant programs
that have been reported to the NIC are available
on the NIMS Web page at: www.fema.gov/nims
• 2005 Homeland Security Grant Program
Guidance:
http://www.ojp.usdoj.gov/odp/docs/fy05hsgp.pdf
• National Preparedness Goal and National
Preparedness Guidance:
http://www.ojp.usdoj.gov/odp/assessments/hspd8.
htm
• Catalog of Federal Domestic Preparedness
Assistance (CFDA): http://www.cfda.gov
Revise and update plans
and SOPs to incorporate
NIMS and National
Response Plan (NRP)
components, principles
and policies, to include
planning, training,
response, exercises,
equipment, evaluation
and corrective actions
• National Response Plan (NRP):
http://www.dhs.gov/nationalresponseplan
• 2005 Homeland Security Grant Program
Guidance:
http://www.ojp.usdoj.gov/odp/docs/fy05hsgp.pdf
• National Preparedness Goal and National
Preparedness Guidance:
http://www.ojp.usdoj.gov/odp/assessments/hspd8.
htm
• Update plans and
SOPs, incorporating
lessons learned and
best practices from
exercises and
response operations.
• Emergency
Operations Plan
(EOP) guidance is
under development
and will be posted on
the NIMS Integration
Center Web page at:
www.fema.gov/nims.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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FY 2006 Compliance Activities
Required
State/Territorial Action
for FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Promote intrastate and
interagency mutual aid
agreements, to include
agreements with the
private sector and nongovernmental
organizations.
• EMAC model state-county mutual aid deployment
contract: http://www.emacweb.org/?123
• EMAC model intrastate mutual aid legislation:
http://www.emacweb.org/docs/NEMA%20Propose
d%20Intrastate%20Model-Final.pdf
• Expand mutual aid
agreements beyond
support services and
equipment to include
information sharing.
• Support and adopt the
ongoing efforts of the
NIMS Integration
Center (NIC) to
develop a national
credentialing system.
• Credentialing
guidance is under
development by the
NIMS Integration
Center. Throughout
the development
process, drafts will be
posted on the NIMS
Web page for review
and comment by
interested
stakeholders.
• Credential first
responders in
conformance with
national standards.
Preparedness: Training
Leverage training facilities
to coordinate and deliver
NIMS training
requirements in
conformance with the
NIMS National Standard
Curriculum.
• NIMS National Standard Curriculum Training
Development Guidance:
http://www.fema.gov/pdf/nims/nims_training_devel
opment.pdf
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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FY 2006 Compliance Activities
Required
State/Territorial Action
for FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Complete IS-700 NIMS:
An Introduction
• On-line course:
http://training.fema.gov/EMIWeb/IS/is700.asp
• NIMS National Standard Curriculum Training
Development Guidance:
http://www.fema.gov/pdf/nims/nims_training_devel
opment.pdf
• All personnel with a direct role in emergency
preparedness, incident management or response
must complete this training.
• Ensure that NIMS is
part of the program for
all new employees,
recruits and first
responders.
• The NIMS Integration
Center is working to
establish a
mechanism that will
allow states and local
jurisdictions direct
access to course
completion data.
Additional information
will be posted on the
NIMS Integration
Center Web page
when available. See
http://www.fema.gov/ni
ms.
Complete IS-800 NRP:
An Introduction
• On-line course available at:
http://www.training.fema.gov/emiweb/IS/is800.asp
• NIMS National Standard Curriculum Training
Development Guidance:
http://www.fema.gov/pdf/nims/nims_training_devel
opment.pdf
• The NIMS Web page provides guidance for who
should complete this training.
http://www.fema.gov/nims.
• Ensure that NRP
training is part of the
program for all
appropriate
employees, recruits
and first responders.
• The NIMS Integration
Center is working to
establish a
mechanism that will
allow states and local
jurisdictions direct
access to course
completion data.
Additional information
will be posted on the
NIMS Integration
Center Web page
when available. See
http://www.fema.gov/ni
ms.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
M- 11
FY 2006 Compliance Activities
Required
State/Territorial Action
for FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Complete ICS 100 and
ICS 200 Training
• ICS 100:
http://www.training.fema.gov/emiweb/IS/is100.asp
• ICS 100: http://www.usfa.fema.gov/training/nfa
• ICS 200:
http://www.training.fema.gov/emiweb/IS/is200.asp
• ICS 200: http://www.usfa.fema.gov/training/nfa
• NIMS National Standard Curriculum Training
Development Guidance:
http://www.fema.gov/pdf/nims/nims_training_devel
opment.pdf
• The NIMS Web page provides guidance for who
should complete this training.
http://www.fema.gov/nims.
• Complete ICS 300 and
ICS 400.
• Complete training that
may be required to
satisfy credentialing
standards.
• Ensure that ICS
training is part of the
program for all new
employees, recruits
and first responders.
Preparedness: Exercises
Incorporate NIMS/ICS
into all state and regional
training and exercises.
• NIMS training information:
www.fema.gov/nims/nims_training.shtm
• NIMS National Standard Curriculum Training
Development Guidance:
http://www.fema.gov/pdf/nims/nims_training_devel
opment.pdf
• DHS G&T Exercise Information:
http://www.ojp.usdoj.gov/odp/exercises.htm
• Continue to
incorporate NIMS into
all state training and
exercises, to include
drills, tabletop
exercises, functional
exercises and fullscale
exercises.
Participate in an allhazard
exercise program
based on NIMS that
involves responders from
multiple disciplines and
multiple jurisdictions.
• 2005 Homeland Security Grant Program
Guidance:
http://www.ojp.usdoj.gov/odp/docs/fy05hsgp.pdf
• National Preparedness Goal and National
Preparedness Guidance:
http://www.ojp.usdoj.gov/odp/assessments/hspd8.
htm
• DHS G&T Exercise Information:
http://www.ojp.usdoj.gov/odp/exercises.htm
• NIMS National Standard Curriculum Training
Development Guidance:
http://www.fema.gov/pdf/nims/nims_training_devel
opment.pdf
• Continue to participate
in NIMS -oriented
exercises, to include
drills, tabletop
exercises, functional
exercises and fullscale
exercises.
Incorporate corrective
actions into preparedness
and response plans and
procedures.
• DHS G&T Exercise Information:
http://www.ojp.usdoj.gov/odp/exercises.htm
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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FY 2006 Compliance Activities
Required
State/Territorial Action
for FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Resource Management
Inventory state response
assets to conform to
homeland security
resource typing
standards.
• Resource typing definitions:
http://www.fema.gov/nims/mutual_aid.shtm
• Propose modifications or new resource definitions
to the NIMS Integration Center for inclusion in the
resource typing effort.
• Develop and
implement a resource
inventory, ordering
and tracking system.
• The Emergency
Management Institute
(EMI) is currently
developing a course
on NIMS Resource
Management.
Additional information
will be posted on the
NIMS Integration
Center Web page at
http://www.fema.gov/ni
ms when the course is
available.
Develop state plans for
the receipt and
distribution of resources
as outlined in the National
Response Plan (NRP)
Catastrophic Incident
Annex and Catastrophic
Incident Supplement
• http://www.dhs.gov/nationalresponseplan
To the extent permissible
by state and local law,
ensure that relevant
national standards and
guidance to achieve
equipment,
communication and data
interoperability are
incorporated into state
and local acquisition
programs.
• G&T Equipment Program:
http://www.ojp.usdoj.gov/odp/grants_goals.htm
• 2005 Homeland Security Grant Program
Guidance:
http://www.ojp.usdoj.gov/odp/docs/fy05hsgp.pdf
• National Preparedness Goal and National
Preparedness Guidance:
http://www.ojp.usdoj.gov/odp/assessments/hspd8.
htm
• DHS SAFECOM Program:
http://www.safecomprogram.gov/SAFECOM
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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FY 2006 Compliance Activities
Required
State/Territorial Action
for FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Communication & Information Management
Apply standardized and
consistent terminology,
including the
establishment of plain
English communications
standards across public
safety sector.
• Incident response communications (during
exercises and actual incidents) should feature
plain English commands so they will be able to
function in a multi-jurisdiction environment. Field
manuals and training should be revised to reflect
the plain English standard.
• ‘10’ codes may continue to be used during nonemergency,
internal department communications.
• Continue featuring
common terminology
and plain English
commands for all
response activities.
• The Emergency
Management Institute
(EMI) is currently
developing an
independent study
and classroom
course on NIMS
Communication and
Information
Management.
Additional information
will be posted on the
NIMS Integration
Center Web page
when available. See
http://www.fema.gov/
nims.
• Information on who
should complete these
courses also will be
posted on the NIMS
Web page.
C. FY 2006 Tribal Government and Local Jurisdiction NIMS
Compliance Requirements
In March 2004, the Secretary of Homeland Security, at the request of the President,
released the National Incident Management System (NIMS). The NIMS is a
comprehensive system that improves tribal and local response operations through the
use of the Incident Command System (ICS) and the application of standardized
procedures and preparedness measures. It promotes development of crossjurisdictional,
statewide, and interstate regional mechanisms for coordinating response
and obtaining assistance during a large-scale or complex incident.
Tribal and local authorities, not Federal, have the primary responsibility for preventing,
responding to, and recovering from emergencies and disasters. The overwhelming
majority of emergency incidents are handled on a daily basis by a single jurisdiction at
the local level. It is critically important that all jurisdictions comply with the NIMS
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
M- 14
because the challenges we face as a Nation are far greater than the capabilities of any
one jurisdiction; they are not, however, greater than the sum of all of us working
together through mutual support. Homeland Security Presidential Directive 5 (HSPD-5),
Management of Domestic Incidents, requires all Federal Departments and agencies to
adopt and implement the NIMS, and requires state17 and local18 jurisdictions to
implement the NIMS to receive Federal preparedness funding.
NIMS compliance should be considered and undertaken as a community-wide effort.
The benefit of NIMS is most evident at the local level, when a community as a whole
prepares for and provides an integrated response to an incident. Incident response
organizations (to include local public health, public works, emergency management, fire,
emergency medical services, law enforcement, hazardous materials, private sector
entities, non-governmental organizations, medical organizations, utilities, and others)
must work together to comply with NIMS components, policies, and procedures.
Implementation of the NIMS in every tribal and local jurisdiction establishes a baseline
capability that once established nationwide, can be used as a foundation upon which
more advanced homeland security capabilities can be built.
Small and/or rural jurisdictions will benefit from a regional approach. In many instances
smaller communities may not have the resources to implement all elements of NIMS on
their own. However, by working together with other localities in their regions, these
jurisdictions will be able to pool their resources to implement NIMS.
When NIMS is fully implemented, your local community or jurisdiction will be able to:
?? Ensure common and proven incident management doctrine, practices, and
principles are used to plan for, protect against, respond to, and recover from
emergency incidents and preplanned events;
?? Maintain a response operation capable of expanding to meet an escalating
situation and the ability to integrate resources and equipment from intrastate and
interstate mutual aid agreements, state-provided assistance, and Federal
government response;
?? Order and track response assets using common resource typing and definitions,
and draw on mutual aid agreements for additional assistance;
?? Establish staging and allocation plans for the re-distribution of equipment,
supplies, and aid coming into the area from other localities, states, or the Federal
government through mutual aid agreements;
?? Conduct situational assessments and establish the appropriate ICS
organizational structure to effectively manage the incident; and
17 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, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, and any
possession of the United States.” 6 USC 101 (14)
18 As defined in the Homeland Security Act of 2002, Section 2(10): the term “local government” means “(A) county, municipality, city,
town, township, local public authority, school district, special district, intrastate district, council of governments… regional or
interstate government entity, or agency or instrumentality of a local government: an Indian tribe or authorized Tribal organization, or
in Alaska a Native village or Alaska Regional Native Corporation; and a rural community, unincorporated town or village, or other
public entity.” 6 USC 101(10)
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
M- 15
?? Establish communication processes, procedures and protocols that will ensure
effective interoperable communications among emergency responders, 9-1-1
centers, and multi-agency coordination systems (Emergency Operations
Centers).
In Federal Fiscal Year 2005, the Secretary of Homeland Security provided guidance to
each state, outlining initial actions that should be taken to implement the NIMS. The
letter to the Nation’s governors included a list of recommended actions for tribal and
local governments to help them work towards NIMS compliance. A copy of this letter is
posted on the NIMS webpage at: http://www.fema.gov/nims/nims_compliance.shtm.
Recommended FY 2005 NIMS activities included:
?? Institutionalize the use of the Incident Command System;
?? Complete the NIMS awareness course IS-700 NIMS: An Introduction;
?? Formally recognize NIMS and adopt NIMS principles and policies;
?? Establish a NIMS compliance baseline by determining the NIMS requirements
that have already been met; and
?? Develop a strategy and timeline for full NIMS implementation.
By completing these activities, communities will have made substantial progress toward
full NIMS implementation by the start of Fiscal Year 2007 (i.e. October 1, 2006). In
Federal Fiscal Year 2006, tribes and local communities will be required to complete
several activities to comply with the NIMS. The following implementation matrix
describes the actions that jurisdictions must take by September 30, 2006 to be
compliant with NIMS.
Completion of these actions will position tribal and local communities to better manage
prevention, response and recovery efforts. The matrix identifies activities that are
underway by the NIMS Integration Center (NIC) to support the effective implementation
of NIMS as well as activities that will be required for NIMS implementation in future
years.
The matrix also provides information on where to find technical assistance resources to
support these compliance actions. For example, the National Incident Management
Capability Assessment Support Tool (NIMCAST) is an example of a product designed
to assist communities in determining their current NIMS compliance baseline. The
NIMS is much more than just a list of required elements; it is a new approach to the way
we prepare for and manage incidents, one that will lead to a more effective utilization of
resources and enhanced prevention, preparedness, and response capabilities.
Moreover, full NIMS implementation is a dynamic and multi-year phase-in process with
important linkages to the National Response Plan (NRP), the Homeland Security
Presidential Directive - 8 (i.e. the “National Preparedness Goal”) and the National
Infrastructure Protection Plan (NIPP). Future refinement to the NIMS will evolve as
policy and technical issues are further developed and clarified at the national level. This
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
M- 16
may well result in additional requirements being issued by the NIC as to what will
constitute continuous full NIMS compliance in FY 2007 and beyond.
NIMS Implementation Matrix for Tribal and Local Jurisdictions
FY 2006 Compliance Activities
Required Tribal/Local
Jurisdiction Action for
FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Community Adoption
Adopt NIMS at the community
level for all government
Departments and agencies; as
well as promote and encourage
NIMS adoption by associations,
utilities, non-governmental
organizations (NGOs), and
private sector incident
management and response
organizations.
• Adopt NIMS through executive order,
proclamation, resolution, or legislation
as the jurisdiction's official allhazards,
incident response system.
• Develop a baseline assessment of the
NIMS implementation requirements
that your jurisdiction already meets
and using that baseline, develop a
strategy for full NIMS implementation
and maintenance.
• The NIMS Capability Assessment
Support Tool (NIMCAST) is available
at: www.fema.gov/nimcast/index.jsp
• Sample templates for executives:
www.fema.gov/nims/nims_toolsandte
mplates.shtm
• Amend or re-authorize, as
necessary.
Command and Management
Incident Command System
(ICS):
Manage all emergency
incidents and preplanned
(recurring/special) events in
accordance with ICS
organizational structures,
doctrine, and procedures, as
defined in NIMS. ICS
implementation must include
the consistent application of
Incident Action Planning and
Common Communications
Plans.
• Institutionalize ICS: Terms and
definitions:
www.fema.gov/txt/nims/institutionalizi
ng_ics.txt
• Incorporate concepts and principles of
NIMS Chapter II, Command and
Management including ICS
characteristics such as common
terminology, modular organization,
management by objectives, incident
action planning, manageable span of
control, pre-designated incident
facilities, comprehensive resource
management, integrated
communications, transfer of
command, unity of command, unified
command, personnel and resource
accountability, and information and
intelligence management.
• Continue to manage
incidents and events using
ICS.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
M- 17
FY 2006 Compliance Activities
Required Tribal/Local
Jurisdiction Action for
FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Multi-agency Coordination
System:
Coordinate and support
emergency incident and event
management through the
development and use of
integrated multi-agency
coordination systems, i.e.
develop and maintain
connectivity capability between
local Incident Command Posts
(ICPs, local 911 Centers, local
Emergency Operations Centers
(EOCs) and state EOC.
• NIMS Chapter II, Command and
Management
• Revise and update
processes and plans.
• The Emergency
Management Institute (EMI)
is currently developing an
independent study and
classroom course on NIMS
Multi-Agency Coordination
Systems. Additional
information will be posted on
the NIMS Integration Center
Web page when available.
See
http://www.fema.gov/nims.
• The NIMS Integration Center
will feature best practices on
the NIMS Web page. See
http://www.fema.gov/nims.
Public Information System:
Implement processes,
procedures, and/or plans to
communicate timely, accurate
information to the public during
an incident through a Joint
Information System and Joint
Information Center.
• NIMS Chapter II, Command and
Management
• Public Information Training (E388,
Advanced Public Information Officers
and G290, Basic Public Information
Officers)
• Revise and update
processes and plans.
• The Emergency
Management Institute (EMI)
is currently developing an
independent study and
classroom course on NIMS
Public Information Systems.
Additional information will be
posted on the NIMS
Integration Center Web page
when available. See
http://www.fema.gov/nims.
• Information on who should
complete these courses also
will be posted on the NIMS
Web page.
• The NIMS Integration Center
will feature best practices on
the NIMS Web page. See
http://www.fema.gov/nims.
Preparedness: Planning
Establish the community’s
NIMS baseline against the FY
2005 and FY 2006
implementation requirements.
• Assess which NIMS implementation
requirements your community already
meets. The NIMS Capability
Assessment Support Tool (NIMCAST)
is available to facilitate this:
www.fema.gov/nimcast/index.jsp
• Update strategy as
appropriate and close
capability gap.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
M- 18
FY 2006 Compliance Activities
Required Tribal/Local
Jurisdiction Action for
FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Develop and implement a
system to coordinate all Federal
preparedness funding to
implement the NIMS across the
community.
• A list of the Federal preparedness
grant programs that have been
reported to the NIC are available on
the NIMS Web page at:
www.fema.gov/nims
• 2005 Homeland Security Grant
Program Guidance:
http://www.ojp.usdoj.gov/odp/docs/fy0
5hsgp.pdf
• National Preparedness Goal and
National Preparedness Guidance:
http://www.ojp.usdoj.gov/odp/assessm
ents/hspd8.htm
• Catalog of Federal Domestic
Preparedness Assistance (CFDA):
http://www.cfda.gov
Revise and update plans and
SOPs to incorporate NIMS
components, principles and
policies, to include planning,
training, response, exercises,
equipment, evaluation, and
corrective actions
• 2005 Homeland Security Grant
Program Guidance:
http://www.ojp.usdoj.gov/odp/docs/fy0
5hsgp.pdf
• National Preparedness Goal and
National Preparedness Guidance:
http://www.ojp.usdoj.gov/odp/assessm
ents/hspd8.htm
• Update plans and SOPs,
incorporating lessons
learned and best practices
from exercises and response
operations.
• Emergency Operations Plan
(EOP) guidance is under
development and will be
posted on the NIMS
Integration Center Web page
at: www.fema.gov/nims.
Participate in and promote
intrastate and interagency
mutual aid agreements, to
include agreements with the
private sector and nongovernmental
organizations.
• EMAC model state-county mutual aid
deployment contract:
http://www.emacweb.org/?123
• EMAC model intrastate mutual aid
legislation:
http://www.emacweb.org/docs/NEMA
%20Proposed%20Intrastate%20Mod
el-Final.pdf
• Expand mutual aid
agreements beyond support
services and equipment to
include information sharing.
• Support and adopt the
ongoing efforts of the NIMS
Integration Center (NIC) to
develop a national
credentialing system.
• Credentialing guidance is
under development by the
NIMS Integration Center.
Throughout the development
process, drafts will be
posted on the NIMS Web
page for review and
comment by interested
stakeholders.
• Credential first responders in
conformance with national
standards.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
M- 19
FY 2006 Compliance Activities
Required Tribal/Local
Jurisdiction Action for
FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Preparedness: Training
Complete IS-700 NIMS: An
Introduction
• On-line course:
http://training.fema.gov/EMIWeb/IS/is
700.asp
• NIMS National Standard Curriculum
Training Development Guidance:
http://www.fema.gov/pdf/nims/nims_tr
aining_development.pdf
• All personnel with a direct role in
emergency preparedness, incident
management, or response must
complete this training
• Ensure that NIMS training is
part of the program for all
new employees, recruits and
first responders who have a
direct role in emergency
preparedness, incident
management, or response.
• The NIMS Integration Center
is working to establish a
mechanism that will allow
state and local jurisdictions
direct access to course
completion data. Additional
information will be posted on
the NIMS Integration Center
Web page when available.
See
http://www.fema.gov/nims.
Complete IS-800 NRP: An
Introduction
• On-line course available at:
http://www.training.fema.gov/emiweb/I
S/is800.asp
• NIMS National Standard Curriculum
Training Development Guidance:
http://www.fema.gov/pdf/nims/nims_tr
aining_development.pdf
• The NIMS Web page provides for who
should complete this training.
http://www.fema.gov/nims
• Ensure that NRP training is
part of the program for all
appropriate new employees,
recruits and first responders.
• The NIMS Integration Center
is working to establish a
mechanism that will allow
state and local jurisdictions
direct access to course
completion data. Additional
information will be posted on
the NIMS Integration Center
Web page when available.
See
http://www.fema.gov/nims.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
M- 20
FY 2006 Compliance Activities
Required Tribal/Local
Jurisdiction Action for
FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Complete ICS 100 and ICS 200
Training
• ICS 100:
http://www.training.fema.gov/emiweb/I
S/is100.asp
• ICS 100:
http://www.usfa.fema.gov/training/nfa
• ICS 200:
http://www.training.fema.gov/emiweb/I
S/is200.asp
• ICS 200:
http://www.usfa.fema.gov/training/nfa
• NIMS National Standard Curriculum
Training Development Guidance:
http://www.fema.gov/pdf/nims/nims_tr
aining_development.pdf
• The NIMS Web page provides
guidance for who should complete
this training.
http://www.fema.gov/nims.
• Complete ICS 300 and ICS
400.
• Complete training that may
be required to satisfy
credentialing standards.
• Ensure that ICS training is
part of the program for all
new employees, recruits and
first responders.
• The NIMS Integration Center
is working to establish a
mechanism that will allow
states and local jurisdictions
direct access to course
completion data. Additional
information will be posted on
the NIMS Integration Center
Web page when available.
See
http://www.fema.gov/nims.
Preparedness: Exercises
Incorporate NIMS/ICS into all
tribal, local and regional training
and exercises.
• NIMS training information:
http://www.fema.gov/nims/nims_traini
ng.shtm
• NIMS National Standard Curriculum
Training Development Guidance:
http://www.fema.gov/pdf/nims/nims_tr
aining_development.pdf
• DHS G&T Exercise Information:
http://www.ojp.usdoj.gov/odp/exercise
s.htm
• Continue to incorporate
NIMS into all local training
and exercises, to include
drills, tabletop exercises,
functional exercises, and
full-scale exercises.
Participate in an all-hazard
exercise program based on
NIMS that involves responders
from multiple disciplines and
multiple jurisdictions.
• 2005 Homeland Security Grant
Program Guidance:
http://www.ojp.usdoj.gov/odp/docs/fy0
5hsgp.pdf
• National Preparedness Goal and
National Preparedness Guidance:
http://www.ojp.usdoj.gov/odp/assessm
ents/hspd8.htm
• DHS G&T Exercise Information:
http://www.ojp.usdoj.gov/odp/exercise
s.htm
• NIMS National Standard Curriculum
Training Development Guidance:
http://www.fema.gov/pdf/nims/nims_tr
aining_development.pdf
• Continue to participate in
NIMS -oriented exercises, to
include drills, tabletop
exercises, functional
exercises, and full-scale
exercises.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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FY 2006 Compliance Activities
Required Tribal/Local
Jurisdiction Action for
FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Incorporate corrective actions
into preparedness and
response plans and procedures.
• DHS G&T Exercise Information:
http://www.ojp.usdoj.gov/odp/exercise
s.htm
Resource Management
Inventory community response
assets to conform to homeland
security resource typing
standards.
• Propose modifications or new
resource definitions to the NIMS
Integration Center for inclusion in the
resource typing effort.
• Resource typing definitions:
http://www.fema.gov/nims/mutual_aid.
shtm
• Develop and implement a
resource inventory,
ordering, and tracking
system.
• The Emergency
Management Institute (EMI)
is currently developing a
course on NIMS Resource
Management. Additional
information will be posted
on the NIMS Integration
Center Web page at
http://www.fema.gov/nims
when the course is
available.
To the extent permissible by
law, ensure that relevant
national standards and
guidance to achieve equipment,
communication, and data
interoperability are incorporated
into tribal and local acquisition
programs.
• G&T Equipment Program:
http://www.ojp.usdoj.gov/odp/grants_g
oals.htm
• 2005 Homeland Security Grant
Program Guidance:
http://www.ojp.usdoj.gov/odp/docs/fy0
5hsgp.pdf
• National Preparedness Goal and
National Preparedness Guidance:
http://www.ojp.usdoj.gov/odp/assessm
ents/hspd8.htm
• DHS SAFECOM Program:
http://www.safecomprogram.gov/SAF
ECOM
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
M- 22
FY 2006 Compliance Activities
Required Tribal/Local
Jurisdiction Action for
FY 2006 Compliance
Guidance and Technical Assistance
Resources Future Activities
Communication & Information Management
Apply standardized and
consistent terminology,
including the establishment of
plain English communications
standards across public safety
sector.
• Incident response communications
(during exercises and actual
incidents) should feature plain English
commands so they will be able to
function in a multi-jurisdiction
environment. Field manuals and
training should be revised to reflect
the plain English standard.
• ‘10’ codes may continue to be used
during non-emergency, internal
Department communications.
• Continue featuring common
terminology and plain
English commands for all
response activities.
• The Emergency
Management Institute (EMI)
is currently developing a
course on NIMS
Communication and
Information Management.
Additional information will
be posted on the NIMS
Integration Center Web
page at
http://www.fema.gov/nims
when the course is
available.
Important Note: Additional information on NIMS, NIMS compliance and answers
to frequently asked questions are available on the NIMS Integration Center Web
page (http://www.fema.gov/nims).
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX N
NATIONAL
INFRASTRUCTURE
PROTECTION PLAN
GUIDANCE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
N- 1
National Infrastructure Protection Plan Guidance
The overarching goal of the NIPP is to:
Build a safer, more secure, and more resilient America by enhancing
protection of the Nation’s CI/KR to prevent, deter, neutralize, or mitigate
the effects of deliberate efforts by terrorists to destroy, incapacitate, or
exploit them; and enabling national preparedness, timely response, and
rapid recovery in the event of an attack, natural disaster, or other
emergency.
Achieving this goal requires meeting a series of objectives that include: understanding
and sharing information about terrorist threats and other hazards, building security
partnerships, implementing a long-term risk-management program and maximizing the
efficient use of resources. Measuring progress toward achieving the NIPP goal requires
that CI/KR security partners have:
?? Coordinated risk-based CI/KR plans and programs in place addressing known
and foreseeable threats and hazards;
?? Structures and processes that are flexible and adaptable both to incorporate
lessons learned and best practices and also to quickly adapt to a changing threat
or incident environment;
?? Processes in place to identify and address dependencies and interdependencies
to allow for more timely and effective implementation of short-term protective
actions and more rapid response and recovery; and
?? Access to robust information-sharing networks that include relevant intelligence
and threat analysis and real-time incident reporting.
A. The NIPP Value Proposition
The public-private partnership called for in the NIPP provides the foundation for
effective CI/KR protection. Government and private sector partners bring core
competencies that add value to the partnership. Prevention, protection, response and
recovery efforts are most efficient and effective when there is full participation at all
levels of government and with industry partners.
The success of the partnership depends on articulating the mutual benefits to
government and private sector partners. While the value proposition to the government
is clear, it is often more difficult to articulate the direct benefits to participation for the
private sector. Industry provides the following capabilities, outside of government core
competencies:
?? Ownership and management of a vast majority of critical infrastructures in most
sectors;
?? Visibility into CI/KR assets, networks, facilities, functions, and other capabilities;
?? Ability to take actions as first responders to incidents;
?? Ability to innovate and to provide products, services, and technologies to quickly
focus on requirements; and
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
N- 2
?? Existing, robust mechanisms useful for sharing and protecting sensitive
information on threats, vulnerabilities, countermeasures, and best practices.
In assessing the value proposition for the private sector, there is a clear national
security and homeland security interest in ensuring the protection of the Nation’s CI/KR.
Government can encourage industry to go beyond efforts already justified by their
corporate business needs to assist in broad-scale infrastructure protection through
activities such as:
?? Providing owners and operators timely, analytical, accurate, and useful
information on threats to CI/KR;
?? Ensuring industry is engaged, as early as possible in the development of
initiatives and policies related to the implementation and, as needed, revision of
the NIPP base plan;
?? Ensuring industry is engaged, as early as possible the development and revision
of the Sector-Specific Plans (SSPs) and in planning and other CI/KR protection
initiatives;
?? Articulating to corporate leaders, through the use of public platforms and private
communications, both the business and national security benefits of investing in
security measures that exceed their business case;
?? Creating an environment that encourages and supports incentives for companies
to voluntarily adopt widely accepted, sound security practices;
?? Working with industry to develop and clearly prioritize key missions and enable
their protection or restoration;
?? Providing support for research needed to enhance future CI/KR protection
efforts;
?? Developing the resources to engage in cross-sector interdependency studies,
through exercises and computer modeling, that result in guided decision support
for business continuity planning; and
?? Enabling time-sensitive restoration and recovery support to priority CI/KR
facilities and services during incidents in accordance with provisions of the
Robert T. Stafford Disaster Relief and Emergency Assistance Act and the NRP.
B. Risk Management Framework
The above examples illustrate some of the ways in which the government can, by
actively partnering with the private sector, add value to industry’s ability to assess its
own risk and refine its business continuity plans, as well as contribute to the security
and economic vitality of the Nation. The NIPP outlines the high-level value in the overall
public-private partnership for CI/KR protection. The SSPs will outline specific future
activities and initiatives that articulate the corresponding valued to those sector-specific
CI/KR partnerships and protection activities.
The cornerstone of the NIPP is its risk management framework. Risk, in the context of
the NIPP, is defined as the potential for loss, damage or disruption to the Nation’s CI/KR
resulting from destruction, incapacitation or exploitation during some future man-made
or naturally occurring event. The NIPP risk management framework establishes the
process for combining consequence, vulnerability and threat information to produce a
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
N- 3
comprehensive, systematic and rational assessment of national or sector-specific risk
that drives CI/KR-protection activities. The framework applies to the general threat
environment, as well as to specific threats or incident situations. The NIPP risk
management framework includes the following activities:
?? Set security goals: Define specific outcomes, conditions, end points or
performance targets that collectively constitute an effective protective posture.
?? Identify assets, systems, networks, and functions: Develop an inventory of
the assets, systems, and networks, including those located outside the United
States, that compose the Nation’s infrastructure and the critical functionality
therein; collect information pertinent to risk management that takes into account
the fundamental characteristics of each sector.
?? Assess risks: Determine risk by combining potential direct and indirect
consequences of a terrorist attack or other hazards (including seasonal changes
in consequences, dependencies and interdependencies associated with each
identified asset, system, or network), known vulnerabilities to various potential
attack vectors, and general or specific threat information.
?? Prioritize: Aggregate and analyze risk assessment results to develop a
comprehensive picture of asset, system, and network risk; establish priorities
based on risk and determine protection and business continuity initiatives that
provide the greatest reduction in risk for the allocation of resources.
?? Implement protective programs: Select sector-appropriate protective actions or
programs to reduce or manage the risk identified; secure the resources needed
to address priorities.
?? Measure effectiveness: Use metrics and other evaluation procedures at the
national and sector levels to measure progress and assess the effectiveness of
the national CI/KR protection program in improving protection, reducing risk, and
increasing resiliency.
The NIPP provides the framework for the unprecedented cooperation that is needed to
develop, implement, and maintain a coordinated national effort that brings together
government at all levels, the private sector and international organizations and allies. In
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
N- 4
addition, the SSPs mandated by the NIPP detail the application of the NIPP framework
to each CI/KR sector. SSPs are developed by the designated Federal Sector-Specific
Agencies (SSAs) in coordination with sector security partners. Together, these plans
provide the mechanisms for identifying assets, systems and networks; understanding
threats, assessing vulnerabilities and consequences; prioritizing protection initiatives
and investments based on costs and benefits so that they are used where they offer the
greatest reduction of risk; and, implementing information-sharing and protection
measures within and across CI/KR sectors.
The NIPP also delineates the roles and responsibilities for carrying out these activities
while respecting the authorities, jurisdictions and prerogatives of the various public and
private sector security partners involved. Implementing the NIPP will involve the
integrated and coordinated support of all security partners with infrastructure protection
responsibilities across the country and internationally.
The NIPP covers the full range of CI/KR sectors as defined in HSPD-7. The framework
is applicable to all security partners with CI/KR protection responsibilities and includes
explicit roles and responsibilities for the Federal government, including CI/KR under the
control of the legislative, executive or judicial branches. Federal departments and
agencies with specific responsibilities for CI/KR protection are required to take actions
in accordance with the NIPP. The NIPP also provides an organizational structure,
protection guidelines and recommended activities for other security partners to help
ensure consistent implementation of the national framework and the most effective use
of resources.
C. Example: Leveraging Resources to Support Homeland Security
and CI/KR Protection Activities of a Mass Transit System
The following example provides an illustration of how the various funding sources
described in this chapter can work together in a practical situation to address the CI/KR
protection needs of a local system that, through implementation of the NIPP Risk
Management Framework and SSP processes, is deemed to be critical to the Nation.
This example focuses on a mass transit system in a community that participates in the
UASI program. In this situation, the following resources may be applied to support the
safety and security of the mass transit system:
Owner Operator Responsibilities
The local mass transit authority, as the owner and operator of the system, funds
system-specific protection and security measures including resiliency and business
continuity planning activities for the system on a day-to-day basis.
State, Local, and Tribal Government Responsibilities
The State and local governments supports the day-to-day protection of the public;
enforce security, protective and preventive measures around the system’s facilities;
and, provide response and/or recovery capabilities should an incident occur.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
N- 5
Federal Support and Grant Funding
Assistance from the Federal Government through variety of resources, including grants
(both targeted infrastructure protection grant programs and overarching homeland
security grant programs), training, technical assistance and exercises, further support
and enhance ongoing homeland security and CI/KR protection activities. In this
example, DHS (as the SSA for the Transportation Sector) and the Department of
Transportation (DOT) may contribute to the protection efforts through either
appropriated program funds or grants. The range of grants that, based on eligibility,
may support of the overall protection of this system includes:
?? If the mass transit system is eligible for infrastructure protection program funding,
such as the FY 2006 TSGP, this funding source may be leveraged to support
security enhancements for the mass transit system.
?? If the mass transit system is eligible under the BZPP, this funding source may
also be leveraged to improve security around the system or enhance
preparedness capabilities within the surrounding community.
?? Homeland Security Grant Program funding from programs such as State
Homeland Security Program, Urban Areas Security Initiative, and Law
Enforcement Terrorism Prevention Program, may be leveraged to enhance
prevention, protection, response, and recovery capabilities in and around the
mass transit system, if the system is deemed critical by the state and/or local
authorities within their homeland security strategies and priorities, and in
accordance with allowable cost guidance.
?? The Assistance to Firefighters Grant (AFG) program may be leveraged to
support preparedness capabilities of the local fire department that are necessary
to protect the system within the city.
?? DOT’s Federal Transit Administration grant programs to support metropolitan
and state planning may be leveraged to provide planning for upgrades to the
system which include more resilient CI/KR design, and the major capital
investments and special flexible funding grant programs may be leveraged to
help build these improvements.
All of these resources, used in support of the region's mass transit system, are
coordinated with State and Urban Area homeland security strategies, as well as the
applicable RTSS. Additionally, other services, training, exercises, and/or technical
assistance (for example, the DHS/G&T Mass Transit Technical Assistance Program,
which includes a facilitated risk assessment) may be leveraged from a variety of Federal
partners.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX O
PUBLIC SAFETY
COMMUNICATIONS AND
INTEROPERABILITY
GUIDANCE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
O-1
Public Safety Communications and Interoperability
Guidance
A. Introduction
One of the major issues facing the Emergency Services Sector is the inability of
emergency service workers, including traditional “first responders,” to communicate with
one another when the need arises. These emergency first responders have long been
defined as the “first arriving organized responders with the capability and mission to
contain, mitigate, and resolve the emergency at hand.” Their effective and efficient
emergency response requires coordination, communication, and sharing of vital
information among numerous public safety agencies. As the National Strategy for the
Physical Protection of Critical Infrastructures and Key Assets observes, “Most systems
supporting emergency response personnel, however, have been specifically developed
and implemented with respect to the unique needs of each agency.” Such specification
without regard to the need for interoperability tends to complicate the ability of those
agencies to effectively communicate with others in the future—a problem echoed by the
public safety community in the National Task Force on Interoperability report: Why Can’t
We Talk - Working Together To Bridge the Communications Gap to Save Lives.
In line with the needs of public safety and the national strategy, Fiscal Year 2006
Appropriations make grant funding available to improve the effectiveness of public
safety communications systems and to resolve interoperability shortfalls. By definition,
communications interoperability refers to the ability of public safety agencies to talk
across disciplines and jurisdictions via radio communications systems and to exchange
voice and/or data with one another on demand, in real time, when needed, and as
authorized. The Federal program offices recognize that many law enforcement, fire
service, emergency medical service and other emergency response personnel currently
lack effective and modern communication systems within their respective
organizations. The programs support the need to improve those systems so long as the
improvement planning includes a vision for improved interoperability with other
agencies. Additionally, the programs require emergency response agencies developing
systems to improve communications and interoperability to ensure that their solutions
are compliant with the concepts, processes, and protocols set forth in the NIMS. In an
effort to coordinate the way in which funding is allocated and to maximize the prospects
for interoperable communications, some general grant criteria have been developed in
concert with representatives of the public safety community. What follows is an outline
of grant applicant eligibility, purposes for grant fund usage and guidelines for
implementing a wireless communications system.
This appendix provides general criteria relating to public safety communications grants,
suggested considerations based on the lifecycle of public safety communications
projects and further criteria specific to block grants allocated to states, as well as
additional guidelines, examples and resources for improving public safety
communications and interoperability.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
O-2
B. General Public Safety Communications Related Grant Criteria
1. Who should be involved with Public Safety Communications Interoperability
Federal funds that are allocated for improving public safety communications and
interoperability should only be provided to public safety agencies or organizations at the
regional, state, local, or tribal, level. This includes:
?? Emergency Medical Services (EMS) agencies
?? Fire Service agencies
?? Law Enforcement agencies
?? An organization representing the aforementioned agencies
2. Lifecycle of Public Safety Communications Projects
While applying for equipment grants, applications should be capable of addressing each
of the following aspects within the lifecycle of public safety communications:
?? Planning for public safety communication systems
?? Designing public safety communication systems
?? Building public safety communication systems
?? Developing operational and technical policies and procedures
?? Upgrading/enhancing public safety communication systems and equipment
?? Replacing public safety communication systems and equipment
?? Maintaining public safety communication systems and equipment
?? Training public safety staff on procedures for interagency communications
?? Exercising public safety procedures and systems
?? Using public safety interoperability solutions regularly to ensure ongoing
familiarity
?? Managing public safety communications projects
C. Common Public Safety Communications Goals
Grants will be awarded to applicants that aim to achieve the following goals identified
and supported by the public safety community and each grant-making agency.
?? Applicants should provide a clear and measurable plan for communications
interoperability between first responders of regional, state, local, and tribal public
safety agencies or other partnering agencies or organizations from Federal,
regional, state, local, and tribal jurisdictions, particularly in times of natural
disaster and major criminal or terrorist acts. Measurable means the goals and
objectives of the plan, wherever possible, are quantifiable, and the plan reflects
how it contributes to achieving interoperable communications for the grant
recipient and for the Nation.
?? Applicants should demonstrate how funds would be used to upgrade or enhance
“mission critical” networks with interoperable communications equipment for
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
O-3
everyday use to ensure the safety and well-being of first responders and the
public they serve. The National Task Force on Interoperability defined mission
critical as “Transmissions necessary for the preservation of life and property.”
The Final Report of the Public Safety Wireless Advisory Committee adds further
clarification: “A mission critical communication is that which must be immediate,
ubiquitous, reliable, and, in most cases, secure. Mission critical communications
require the highest level of assurance that the message will immediately be
transmitted and received regardless of the location of the operating units within
the designed coverage area.”
D. Common Criteria for All Grant Applicants
In order to receive funding, the applicant must be able to convey an understanding of
the first responder needs and a clear path towards interoperability. Each grant
application must explain how the proposed project would fit into an overall effort to
increase interoperability. Even if the funding sought is only for a piece of an
interoperability endeavor (i.e., training for staff, procurement of new equipment), an
executive summary should be provided to illustrate the broader context of the
agency/jurisdiction’s interoperability plans. Such an explanation could include
information on the governance structure overseeing the effort, a communications
system plan, a deployment plan, an operations, maintenance and training plan, and a
financial plan.
At a minimum, the applicant must:
?? Define the vision, goals, and objectives of what the applicant is ultimately trying
to accomplish and how the proposed project would fit into an overall effort to
increase interoperability, including integration into regional and state
plans/strategies;
?? Describe the specific problems or needs that are to be addressed;
?? Identify any potential partners and their roles and staffing requirements, and
provide information on any existing agreements such as a Memorandum of
Understanding (MOU) or Mutual Response Agreement (MRA);
?? Propose a detailed budget and timeline; and,
?? Include an operational plan that addresses how the effort will be funded now and
in the future.
E. Standards
When procuring equipment for communication system development and expansion, a
standards-based approach should be used to begin migration to multi-jurisdictional and
multi-disciplinary interoperability. Specifically, all new voice systems should be
compatible with the Project 25 (P25) 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
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
O-4
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.
With input from the user community, these standards have been developed to allow for
backward compatibility with existing digital and analog systems and to provide for
interoperability in future systems. The Federal Communications Commission (FCC) has
chosen the P25 suite of standards for voice and low-moderate speed data
interoperability in the new nationwide 700 MHz frequency band, and the Integrated
Wireless Network (IWN) of the U.S. Justice and Treasury Departments has chosen the
P25 suite of standards for their new radio equipment. P25 has also been endorsed by
the U.S. Department of Defense for Land Mobile Radio (LMR) systems.
However, the first priority of Federal funding for improving public safety
communications is to provide basic, operable communications within a
department with safety as the overriding consideration. Funding requests by
agencies to replace or add radio equipment to an existing non-P25 system will be
considered if there is an explanation as to how their radio selection will allow for
improving interoperability or eventual migration to interoperable systems. This
guidance does not preclude funding of non-P25 equipment when there are
compelling reasons for using other solutions. Absent these compelling reasons,
SAFECOM intends that P25 equipment will be preferred for digital systems to
which the standard applies.
F. Governance
There needs to be consistent leadership and management to ensure that the planning,
equipment procurement, training and funding are in place when developing a public
safety communications improvement or interoperability project. A common governing
structure should improve the policies, processes and procedures of any major project by
enhancing communication, coordination and cooperation; establishing guidelines and
principles; and, reducing any internal turf battles. This group should consist of Federal,
state, local and tribal entities as well as representatives from all pertinent public safety
disciplines. Frequently, when multiple agencies/jurisdictions are involved, this
management is in the form of a governing body that makes decisions, solicits funding
and oversees the implementation of an interoperability initiative.
G. Additional Criteria on the Lifecycle of Public Safety
Communications Projects
Planning for, building, upgrading, enhancing, replacing, maintaining, training staff and
managing projects for a public safety communications system are arduous tasks that
require both short- and long-term strategies. Whether it is the development of a
technical plan, training exercise or system upgrade, any effort that ultimately leads to
improved interoperability must include participation from all of the relevant agencies,
jurisdictions or other organizations that contribute to an effective emergency response.
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This participation is frequently exhibited through a governing structure that improves the
process of any major project by enhancing communication, coordination and
cooperation; establishing guidelines and principles; and, reducing any internal turf
battles. This group should consist of Federal, state, local and tribal entities, as well as
representatives from all pertinent public safety disciplines.
Answers to the following questions will help provide the applicant with a fuller vision of
how the proposed project or effort will ultimately improve interoperability. Sections
addressing the building, upgrading, enhancing, replacing phases of the lifecycle have
been grouped together as they address needs and recommendations specific to public
safety communications equipment.
1. Planning for Public Safety Communication Systems
There are three types of planning for public safety communications: operational,
technical and governance. Operational planning for public safety communications
projects includes defining standard operating procedures, training/exercises and regular
use for the equipment. Technical planning for public safety communications projects
may include needs and requirements assessments, development of the system network
architecture, propagation studies and similar technical proposals. Governance planning
for public safety interoperability projects may include development of needs
assessments, strategic plans and financial plans. Questions that an applicant for
communication systems planning funds should address are listed below.
The following questions will provide the grant-making agencies with an understanding of
the applicants planning efforts:
Has the applicant considered the communication needs and requirements of its public
safety community?
?? With whom does the agency/jurisdiction need to communicate?
?? How does the agency/jurisdiction need to communicate?
?? What information needs to be exchanged?
?? When does the agency/jurisdiction need to communicate and exchange
information (i.e., daily, weekly, infrequently)?
?? Under what circumstances does the agency/jurisdiction need to communicate
(i.e., frequently occurring emergencies, major crimes or incidents, large-scale
disasters)?
Does the applicant plan to include nearby agencies/jurisdictions from other disciplines
or other Federal, state, local, or tribal partners in its planning effort?
?? Who are the stakeholders that need to be involved in the planning?
?? Which decision makers should be involved in planning?
?? What type of technical and field expertise will be needed to develop the plan?
?? Will outside expertise be needed to develop this plan?
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?? What are the roles and responsibilities of all agencies that are involved? (Include
a list of partnering agencies.)
?? Are there any mutual response agreements in place?
?? What type of governing structure exists to improve the processes involved in
executing any planned project?
Does the potential plan take into account both short- and long-term goals?
?? What should be done in the first phase (most critical)?
?? How many phases will the plan require?
?? How much time is needed to accomplish the plan?
?? What are the technical solutions available to address the problem?
?? What funding is available to address the problem?
2. Building, Upgrading, Enhancing, Replacing, and Maintaining Public Safety
Communications Systems and Equipment
Public safety interoperable communication grants can be used to build, upgrade,
enhance, or replace communications equipment. Communication systems and
equipment are expensive, and before a procurement decision is made, there must be
an assessment of the current communication system and future needs. Additionally,
funds should be directed at the improvement of existing systems, where applicable,
rather than at the development of completely new infrastructure using proprietary
equipment.
The following questions provide guidance for fulfilling public safety communications
goals:
Has the applicant already completed a plan that illustrates the agency/jurisdiction’s
commitment to the aforementioned public safety priorities?
?? Please provide an executive summary that clearly illustrates how the proposed
effort will lead to enhanced public safety communications interoperability.
?? What type of multi-jurisdictional or multi-disciplinary agreements does the agency
possess (i.e., MOUs, interstate compacts, mutual response agreements)?
Has the applicant considered public safety’s operational needs of the communications
equipment?
?? In what type of topography/terrain does the agency operate?
?? In what types of structures does the agency need to communicate (i.e., tunnels,
high-rise buildings)?
?? What methods of communication does the agency use (i.e., e-mail, paging,
cellular calls, portable radio communications)?
?? What is the process for dispatching calls?
?? Is the communications center independently owned and operated by the agency?
Does it serve several public safety agencies in the jurisdiction? Is it a multiagency,
multi-jurisdictional facility?
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?? Does the agency have the ability to patch across channels? If so, how many
patches can be simultaneously set up? Is a dispatcher required to set up and
break the patches down?
?? What is the primary radio language used by the agency when communicating
with other agencies or organizations (i.e., ‘plain’ English, code)?
?? What types of equipment can immediately be deployed to provide short-term
solutions for improved communications?
Has the applicant considered the system requirements to ensure interoperability with
systems used by other disciplines or other levels of government?
?? What type of equipment is currently used by the agency?
?? Is there a regional, multi-jurisdictional, or statewide system in place that requires
interoperability in order to communicate with other agencies? If so, how will the
applicant interoperate/connect to that system?
?? Is the equipment compatible with the P25 suite of standards?
?? For data-related systems, is the applicant using XML standards?
?? How scalable is the system? Can it be used locally between agencies and
jurisdictions, statewide, and at a multi-state or national level?
?? What internal and external security requirements exist in the architecture to
secure information and maintain privacy levels for data as required by law?
?? Is the infrastructure shared with any other agency or organization? Is it owned or
leased?
?? Does the agency use analog or digital radio systems or both?
?? Is the system conventional or trunked?
?? Which radio frequencies are used to communicate with other public safety
agencies?
?? How many channels does the agency have solely designated for communicating
with other agencies?
Has the applicant considered a plan for backup communications capabilities in the
event that the primary communications systems are significantly damaged or otherwise
unable to function?
?? Will equipment caches be in place?
?? Are survey teams available for quick deployment to assess damages?
?? Who will lead the effort?
3. Training Public Safety Staff on Issues Related to Emergency Response
Communications
For equipment to be used properly and effectively in emergency situations, Emergency
Service personnel must be trained through joint exercises that afford them the ability to
practice standard operating procedures, become familiar with the equipment, and
enhance their capacity and preparedness to respond to all types of emergencies.
Eligible applicants should exhibit multi-disciplinary and multi-jurisdictional training in
their overall public safety communications plan.
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Do the applicant’s training plans include exercises with other agencies/jurisdictions?
?? Do the agency’s training plans include participation from all levels and functions
of emergency response (i.e., Federal, state, local, fire, law enforcement,
emergency medical services)?
?? How often will training take place?
?? Who will conduct the training?
?? Where will the training be held? Will it be onsite or at a specified training facility?
?? What maintenance efforts will exist to keep personnel up to date with changes in
procedure, equipment functions, or other relevant policies?
?? How will lessons learned from training exercises be applied to operational
procedures? Will there be post-exercise evaluations or analyses?
4. Managing Public Safety Communications Projects
There needs to be consistent leadership and management to ensure that the planning,
equipment procurement, training, and funding are in place when developing a public
safety communications improvement or interoperability project. Frequently, when
multiple agencies/jurisdictions are involved, this management is in the form of a
governing body that makes decisions, solicits funding and oversees the implementation
of an interoperability initiative. Organizations that govern such projects must be
comprised of the relevant law enforcement, fire and emergency agencies in order to
qualify for grant awards.
Is the communications project consistent with similar efforts in the region?
?? Does the applicant have agreements in place with other agencies/jurisdictions
that illustrate the cooperative and interoperable approach to managing the
communications improvement or interoperability project?
Does the project have the support of the relevant governing body (state or local
authority)?
?? What other funding sources has the applicant sought for the ongoing
administrative costs of program management?
5. Using Public Safety Emergency Response Communications Solutions
No matter the level of management, planning, technology, standard operating
procedures and training that is adopted by an agency, interoperability solutions must be
routinely used so that agency staff is familiar with the equipment and procedures.
Emergency response personnel in high stress situations revert to using equipment and
procedures that they are familiar with and are comfortable using. Thus, unless both
operable and interoperable communications solutions are used as part of routine
operations every day (as applicable), they will not be used during major incidents. Just
as with an agency’s general staff, its supervisors and command staff must likewise be
familiar with the equipment and protocols required to use the various communications
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solutions that are available to the agency if they are going to direct its activation; the
best way to enforce this familiarity is through daily use of solutions.
H. Additional Guidelines for Implementing a Wireless
Communications System
As an additional resource for any agency or region addressing communications and
interoperability needs of its public safety community, the Interoperability Continuum is
designed to help the public safety community and Federal, state, local and tribal policy
makers address critical elements for success as they plan and implement
interoperability solutions. The Continuum highlights that a number of different elements
are essential to success, including frequency of use of the interoperable
communications, governance, standard operating procedures, technology and
training/exercises.
Movement along all elements of the Continuum is crucial as all elements are
interdependent.
To drive progress on the Continuum and improve interoperability, public safety
practitioners should:
?? Gain leadership commitment from all disciplines (law enforcement, fire, EMS)
?? Foster collaboration across disciplines through leadership support
?? Interface with policy makers to gain leadership commitment and resource support
?? Use interoperability solutions on a regular basis
?? Ensure collaboration and coordination across all elements (frequency of use,
governance, standard operating procedures, technology, training/exercises)
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More detailed information on the Interoperability Continuum can be found on the
SAFECOM Web site at http://www.safecomprogram.gov.
I. Generic Examples of Linking Disparate Public Safety
Communications Systems
There are multiple approaches for linking disparate networks. Descriptions of common
technologies are provided below.
1. Cross band/In-Band Repeater Gateways
Although there are more robust solutions available today, repeaters still provide
improved interoperability for agencies needing to link disparate systems.
Cross band/in-band repeater gateways instantly retransmit signals input from one
channel/system to another. These may be in the same or a different frequency band.
Cross band repeaters range from simple devices supporting frequency transfers across
two channels/bands (e.g., ultra high frequency [UHF] and very high frequency [VHF]) to
more complex devices capable of bridging multiple frequency channels/systems/bands
(e.g., UHF, VHF Low Band, VHF High Band, and 800 MHz). Within minutes after
arriving on the scene of an incident, a portable gateway can be quickly programmed to
support the frequencies of participating agency radios. Some of these solutions also
allow access to disparate systems via the Public Switched Telephone Network (PSTN).
2. Network-to-Network Gateways
Numerous initiatives are already underway to implement short-term integration
technologies that provide a reasonable level of interoperability among disparate
networks.
Network-to-network gateways provide radio interoperability during missions requiring
communications between diverse organizations using different systems and
technologies across multiple frequency bands. Network-to-network gateways offer a
standard way to link wireless infrastructures. These gateways are usually at fixed
locations and often support the passing of more advanced features such as unit ID
between participating systems. As with the prior solution, many of these gateways allow
access to disparate systems via the PSTN, as well as to share data.
Minimum specifications have been developed for instances where gateway (either cross
band/in-band or network-to-network) solutions are to be implemented. Where such
interconnect devices are to be used, the following specifications should be followed:
?? Operating Modes
o The device must be able to retransmit the audio of radios that operate in
different parts of the radio spectrum, use different modulation and access
techniques, and use analog or digital encoding. The audio shall be
distributed or switched throughout a shared audio distribution bus, where it
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can be presented to and shared among all or a selected subset of radios
interfaced to the device.
?? Capacity
o The device must support a minimum of four LMR in different operating
modes. The ability to support cellular phones and connection to PSTN is
desirable.
?? Power Sources and Physical Features
o The device must be capable of being powered either from vehicular
power, battery power, or portable AC power sources.
o The device must accommodate being rack mounted or standing alone in a
portable enclosure. The device must be able to withstand shock and
vibration typically encountered in field operations activity.
o The device must include documented cable specifications for audio
(speaker and microphone) and control (push-to-talk, or PTT) in order to
interface with the basic audio and transmit controls for standard off-theshelf
LMR manufacturers’ subscriber units that are typically employed by
public safety.
o The device must have input mechanisms or modules that can support
balanced or unbalanced two- or four-wire circuits.
o The device must have input mechanisms or modules that can transmit
(TX) audio, receive (RX) audio, PTT, and Carrier Operated Relay/Carrier
Operated Squelch (COR/COS) signaling. Ability for supporting Tone
Remote Control (TRC) and Voice Operated Transmit (VOX) signaling is
desirable. Some form of adjustable automatic gain control should be
provided for each device interface.
?? Control and Administration
o The device must provide local control to establish two or more talk groups
of the radios/phone interfaces that are provided.
o The device must provide adjustable audio/PTT delay to the radio
interfaces to allow the supported radios and associated infrastructure to
reach full transmit power and to accommodate unknown repeater
operating parameters such as hang times and squelch trails.
o The device must be easily configurable with short set up times.
3. Console Interfaced Gateways
Similar to fixed network-to-network gateways, some consoles provide similar support
either manually or electronically. Console interfaced gateways (i.e., “patches”) route
audio signals from one channel or system to other channels and/or systems through a
dispatch console, either by dispatcher intervention or by a pre-wired configuration
through the console electronics, thereby supporting direct connections between
disparate systems.
4. Shared Networks
Many states and regions have significant investments in large-scale, shared networks,
briefly described below. These networks offer a high degree of interoperability within
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their geographic coverage areas and can be linked to other networks through networkto-
network gateways. Some of these networks meet the P25 suite of standards.
Shared networks have common backbone infrastructures and interfaces. These are
often single vendor solutions covering large geographic areas and/or commercial
networks. The typical model calls for participating jurisdictions to purchase subscriber
radios compatible with the network and to pay a monthly service fee.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX P
DOMESTIC NUCLEAR
DETECTION OFFICE
GUIDANCE
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Domestic Nuclear Detection Office Guidance
A. Mission and Vision
As part of the national effort to protect the Nation from radiological and nuclear threats,
the Domestic Nuclear Detection Office (DNDO) was established by Presidential
Directive on April 15, 2005. The DNDO is now the primary interagency within the U.S.
Government responsible for developing the Global Nuclear Detection Architecture, and
acquiring and supporting the deployment of the domestic detection system to detect and
report attempts to import or transport a nuclear device or fissile or radiological material,
intended for illicit use. The Director of DNDO reports to the Secretary, DHS.
Among these program initiatives, DNDO is conducting both evolutionary (near-term
requirements-driven) and transformational (long-term, high pay-off) research,
development, test, and evaluation (RDT&E) programs to improve the Nation’s
capabilities for detection, identification, and reporting of radiological and nuclear
materials. By integrating these RDT&E programs with operational support
responsibilities, the DNDO will ensure that all technologies will be appropriately
deployed, with training materials and well-developed operational response protocols,
and that systems that are fielded are complementary and not duplicative, so that the
resources and components comprising the global architecture are maximally effective.
DNDO plays an essential role in creating and implementing a multi-layered defensive
strategy, with domestic and international programs, to protect the Nation from a terrorist
nuclear or radiological attack. No single layer within the strategy will be capable of
providing one hundred percent effectiveness in detecting and interdicting nuclear
materials intended for illicit use.
B. Critical Infrastructure Partnerships
G&T recognizes the important contribution that effective sharing and use of nuclear
detection-related information, intelligence, and systems play in strengthening our
Nation’s security posture. DNDO will integrate crucial overseas detection programs with
domestic nuclear detection systems and other nuclear detection efforts undertaken by
Federal, state, local, and tribal governments and private sector. To facilitate an
effective engagement with owners and operators of CI/KR that are involved in
RAD/NUC preventive detection activities, DNDO is developing a database of entities
pursuing preventive detection programs and will engage with them in the incremental
deployment of a layered defense strategy.
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C. Allowable Costs
DNDO encourages states and regions to implement a comprehensive nuclear detection
program capable of detecting nuclear weapons and radiological dispersal devices in
support of and in concert with the national global nuclear detection architecture. DNDO
believes that implementation of a comprehensive program will take several years, and
will require substantial interstate and Federal coordination. As such, DNDO intends, to
the extent possible, to partner with state, local, and tribal agencies, as well as the
private sector choosing to implement nuclear detection systems with regard to
architecture design, subsystem configuration, upgrades and coordinated operations,
communications and interoperability.
DNDO believes that an initial layer of detection may include fixed and mobile radiation
portal monitors, handheld and other mobile nuclear detection devices as well as
radiography systems.
Funding from the TSGP can be used to enhance existing or establish new preventive
RAD/NUC detection programs. However, grantees must contact DNDO prior to
initiating program activities and provide a point of contact for each detection program to
whom DNDO can provide program guidance and updates. Please contact DNDO with
this information at DNDO.SLA@hq.dhs.gov.
D. Establishing and Enhancing Programs
DNDO is working in close coordination with G&T and other Federal, state, and local
entities to develop technical assistance (TA) programs for the enhancement and
development of RAD/NUC preventive detection programs that support planning,
organization, equipment, training, and exercises activities (POETE). This POETE
framework matches to the Goal, RTSS and all reporting requirements for G&T grant
programs. DNDO is also developing operational support systems to assist in the
implementation of these programs.
In FY 2006, TA will include making equipment test results available on the Responder
Knowledge Base (RKB) to inform stakeholder’s procurement decisions. Additionally, in
FY 2006 DNDO anticipates publishing guidance for establishing response protocols;
guidance on linking programs to state fusion centers; and guidance on utilizing
operational support systems. The table below provides an overview of the types of
guidance and support systems that DNDO will develop.
An example of detection enhancement that DNDO specifically supports and endorses is
commercial vehicle inspection (CVI) related programs. CVI programs should consist of
both fixed and mobile systems, and will tie into DNDO’s global and domestic nuclear
detection reporting system. By the end of 2006, DNDO anticipates developing program
guidance and operational support mechanisms specifically related to commercial
vehicle inspection, to include guidance on protocols, equipment procurement, training,
and exercises that can be customized for specific state/regional programs. Grant
applicants are encouraged to consider developing or enhancing detection capabilities in
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this area, and to work closely with DNDO in that process. In addition to the CVI
program, DNDO is developing program guidance for the employment of mobile and
human portable detection equipment to enhance static detection programs such as CVI.
These programs will be focused on providing standardization in flexible detection
resources and, like CVI, will include guidance on protocols, equipment procurement,
training and exercises.
In all cases where grant applicants are developing or enhancing preventive detection
capabilities, it is important to link those systems into DNDO’s domestic and global
detection reporting system. The architecture is being designed to provide 24/7 global
awareness on RAD/NUC issues (shipments, alerts, etc.) and provide technical
operational support (reachback) for detection alarm resolution. Information about
DNDO’s operational support and other programs can be obtained by contacting DNDO
at the e-mail address noted above.
TA for RAD/NUC Preventive Detection Programs
Planning DNDO will provide assistance with planning and development of protocols and programs.
Organization DNDO will provide guidance for organizational structures to support successful RAD/NUC
preventive detection programs.
Equipment DNDO will identify equipment and integrated layers of equipment to meet detection and
response mission priorities.
Training DNDO will help develop and implement training and training guidelines.
Exercises DNDO will provide assistance with enhancing and developing exercise guidelines and
support.
Operational
Support
DNDO is establishing technical reachback support systems and other 24/7 information
sharing systems
Grantees are encouraged to work closely with DNDO as they develop preventive
RAD/NUC detection programs in order to ensure compliance with DNDO program
guidance and to ensure that national operational support systems are effectively
integrated into their programs.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX Q
NATIONAL
ENVIRONMENTAL POLICY
ACT GUIDANCE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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National Environmental Policy Act Compliance
The National Environmental Policy Act, 42 USC§§4321-4370d (NEPA) requires, among
other things, that Federal agencies consider the environmental impacts of any major
Federal action. In order to implement NEPA and its associated regulations, DHS
requires Applicants, pursuant to the Assurances related to this grant program, to submit
responses to questions regarding the Applicant’s proposed project. Applicants are
required to submit a brief explanation supporting each response of “yes” or “no”.
Applicants with multiple projects must submit separate responses for each project, and
should consider the cumulative impact of the projects.
Federal agencies may establish categories of actions that, based on experience, do not
individually or cumulatively have a significant impact on the human environment and,
therefore, can be excluded from NEPA requirements to prepare an Environmental
Assessment or Environmental Impact Statement. DHS has adopted certain such
Categorical Exclusions. These Categorical Exclusions, however, only apply when the
entire action fits within the exclusion, the action has not been segmented, and there are
no extraordinary circumstances with the potential for significant impacts relating to the
proposed action. The purpose of the questionnaire is to collect information from which
a decision can be made whether application of a categorical exclusion is appropriate
and whether further environmental analysis is required.
If, in the course of responding to the questions, the Applicant concludes that an
Environmental Assessment (EA) under NEPA may be required for the proposed project,
the Applicant should submit such EA in conjunction with the responses to the questions,
or as soon thereafter as possible. DHS will not issue an award until after NEPA
compliance has been completed. DHS may independently conclude, based on its
review of the responses to the questions, that an EA is required and will contact the
Applicant to notify it of that requirement. Submission of an EA prior to DHS request will
eliminate any associated delay in review prior to issuance of an award.
Requirements on the contents of an EA can be found in regulations promulgated by the
Council on Environmental Quality (CEQ) at 40 CFR Part 1508.9 (and may be found on
the web at http://ceq.eh.doe.gov/nepa/regs/ceq/toc_ceq.htm). Note that 40 CFR
§1508.9 indicates that the EA is a concise document. It is DHS’s intention to adhere to
this instruction and to require only enough analysis to accomplish the objectives
specified by the regulations.
Important Note: This information may be provided using one of the attachment
fields within Grants.gov.
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Port Security Grant Program – Round 6
NEPA Resource Guide
Applicant Name:
COTP Zone:
Port Area:
Project Number:
Question 1: Is the project likely to have a significant impact on properties protected under section 106 of
the Historic Preservation Act of 1966, as amended (16 USC§470), E.O. 11593 (identification and
protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 USC
§§469a-1 et. seq.)?
Examples
For example, will historic buildings or archeological sites be affected by the project?
Helpful Links
Historic Preservation Act of 1966, as amended (16 USC§470)
http://www4.law.cornell.edu/uscode/16/470.html
Executive Order 11593 (identification and protection of historic properties)
http://gsa.gov/Portal/gsa/ep/contentView.do?P=XAE&contentId=12094&contentType=GSA_BASIC
Archaeological and Historic Preservation Act of 1974 (16 USC §§469a-1 et. seq.)
http://www4.law.cornell.edu/uscode/16/469a-1.html
National Register of Historic Places
http://www.cr.nps.gov/nr/
Question 2: Is the project likely to be highly controversial on environmental grounds? The project is
considered highly controversial when it is opposed on environmental grounds by a Federal, state, or local
government agency or by a substantial number of persons affected by the project.
Examples
Have you had any Federal, state, or local government opposition to past projects? Are there community
advocacy or homeowners groups near your facility that may oppose the project?
Question 3: Is the project likely to have a significant impact on natural, ecological, cultural, or scenic
resources of national, state, or local significance?
Examples
For example, are there any vistas, landmarks, wetlands, or cultural resources (e.g., areas which have
significant cultural importance to Native Americans) that may be affected by the project?
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Question 4: Is the project likely to be highly controversial with respect to the availability of adequate
relocation housing? In a project involving relocation of persons or businesses, a controversy over the
amount of acquisition or relocation payments is not considered to be a controversy with respect to the
availability of adequate relocation housing.
Examples
Will families or communities be displaced either for short or long term as a result of the project?
Question 5: Is the project likely to cause substantial division or disruption of an established community,
or disrupt orderly, planned development, or is it likely to not be reasonably consistent with plans or goals
that have been adopted by the community in which the project is located?
Examples
For example, will the project result in road closures or fencing which could impact community
accessibility?
Question 6: Is the project likely to cause a significant increase in surface traffic congestion?
Examples
For example, would credential checks at gates or the closing of publicly accessible access roads result in
congestion on public roads?
Question 7: Is the project likely to have a significant impact on noise levels of noise sensitive areas?
Examples
For example, would the project create excessive noise resulting in discomfort, inconvenience, or
interference with the use and enjoyment of property? Will the project have potential to result in the
violation of local noise ordinances? Secondly, many National Parks are imposing restrictions to preserve
the natural “soundscapes”, or to protect wildlife that could be adversely affected.
Question 8: Is the project likely to have a significant impact on air quality or violate the local, state or
Federal standards for air quality?
Examples
Check with your state’s Environmental Protection Agency, or some areas have local air quality boards or
districts.
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Question 9: Is the project likely to have a significant impact on water quality or contaminate a public
water supply system?
Examples
For example, would run off from construction, fencing or barriers affect surface water sources or local
reservoirs?
Question 10: Is the project likely to be inconsistent with any Federal state, or local law or administrative
determination relating to the environment?
Helpful Links
A good place to check would be your Regional Council of Government.
National Association of Regional Councils
http://www.narc.org/
Question 11: Is the project likely to directly or indirectly affect human beings by creating a significant
impact on the environment?
Helpful Links
Definitions of significant impact can be found on the Council of Environmental Quality’s website (Sec.
1508.27 Significantly).
http://ceq.eh.doe.gov/nepa/regs/ceq/1508.htm#1508.27
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX R
ACRONYMS AND
ABBREVIATIONS
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
R-1
Acronyms and Abbreviations
A
AAPA American Association of Port Authorities
AAR After Action Reports
ABA American Bus Association
AC Access Controls
ACH Automated Clearing House
AEL Authorized Equipment List
AFG Assistance to Firefighter Grants
AG Automated Guideway
AIS Automatic Identification System
AMSC Area Maritime Security Committee
AMSP Area Maritime Security Plan
ANSI American National Standards Institute
ANSI/NIST
American National Standards Institute/National Institute of Standards
and Technology
AOR Authorized Organization Representative
ASAP Automated Standard Application for Payments
ATA American Trucking Associations
B
BSIR Biannual Strategy Implementation Reports
BZPP Buffer Zone Protection Program
C
CAP Corrective Action Plan
CAPR Categorical Assistance Progress Report
CBP Customs and Border Protection
CBRN Chemical, Biological, Radiological, and Nuclear
CBRNE Chemical, Biological, Radiological, Nuclear, and Explosive
CC Cable Car
CCR Central Contractor Registry
CCTV Closed-Circuit Television
CEQ Council on Environmental Quality
CFDA Catalog of Federal Domestic Assistance
CFR Code of Federal Regulations
CI/KR Critical Infrastructure/Key Resource
CIP Critical Infrastructure Protection
CMC Crisis Management Center
CMIA Cash Management Improvement Act
COR/COS Carrier Operated Relay/Carrier Operated Squelch
COTP Captain of the Port
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
R-2
CPTED Crime Prevention Through Environmental Design
CRWG Comprehensive Review Working Group
CSID Centralized Scheduling and Information Desk
CVI Commercial Vehicle Inspection
D
D Dissemination
D&B Dun and Bradstreet
DHS U.S. Department of Homeland Security
DLA Defense Logistics Agency
DNDO Domestic Nuclear Detection Office
DOD Department of Defense
DOE U.S. Department of Energy
DOT Department of Transportation
DS Decision Support
DUNS Data Universal Numbering System
E
E Economics
EA Environmental Assessment
EIS Environmental Impact Assessment
EMI Emergency Management Institute
EMS Emergency Medical Service
EOC Emergency Operations Center
EOP Emergency Operations Plan
ESF Emergency Support Functions
F
FAR Federal Acquisition Regulations
FCC Federal Communications Commission
FEMA Federal Emergency Management Agency
FICA Federal Insurance Contributions Act
FMCSA Federal Motor Carrier Safety Administration
FMSC Federal Maritime Security Coordinator
FOIA Freedom of Information Act
FRP Federal Response Plan
FSR Financial Status Report
FTA Federal Transit Administration
FTE Full-Time Employee
FY Fiscal Year
G
G&T Office of Grants and Training
GAN Grant Adjustment Notice
GAO Government Accountability Office
GMS Grants Management System
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
R-3
GPS Global Positioning System
GSC-IAB Government Smart Card-Interagency Advisory Board
GSC-IS Government Smart Card Interoperability Standard
H
HDER Homeland Defense Equipment Reuse
HH Human Health
HHS U.S. Department of Health and Human Services
HRSA Health Resources and Services Administration
HSA Homeland Security Advisor
HSEEP Homeland Security Exercise and Evaluation Program
HSGP Homeland Security Grant Program
HSIN Homeland Security Information Network
HSOC Homeland Security Operations Center
HSPD Homeland Security Presidential Directive
HSPTAP Homeland Security Preparedness Technical Assistance Program
I
IAB Interagency Board
IBSGP Intercity Bus Security Grant Program
IC Information Collection
ICP Incident Command Post
ICS Incident Command System
ICTAP Interoperable Communications Technical Assistance Program
ID Identification
IED Improvised Explosive Device
IEDDA International Explosive Detection Dog Association
IJ Investment Justification
IP Improvement Plan
IPRSGP Intercity Passenger Rail Security Grant Program
ISAC Information Sharing and Analysis Center
ISO International Standards Organization
IWN Integrated Wireless Network
J
JIC Joint Information Center
JIS Joint Information System
JTTF Joint Terrorism Task Force
L
LCD Liquid Crystal Display
LEP Limited English Proficient
LLIS Lessons Learned Information Sharing
LMR Land Mobile Radio
LOCES Letter of Credit Electronic Certification System
M
M&A Management and Administrative
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
R-4
MARAD Maritime Administration
MARSEC Maritime Security
MDA Maritime Domain Awareness
MIPT Memorial Institute for the Prevention of Terrorism
MO Monorail
MOU Memorandum of Understanding
MOU/MOA Memorandum of Understanding/Memorandum of Agreement
MPIN Marketing Partner Identification Number
MRA Mutual Response Agreement
MSRAM Maritime Security Risk Analysis Methodology
MT/HSAP Mass Transit Homeland Security Assistance Program
MTSA Maritime Transportation Security Act of 2002
N
NCJA National Criminal Justice Association
NEPA National Environmental Policy Act
NGO Non-Governmental Organization
NIC NIMS Integration Center
NIJ National Institute of Justice
NIMCAST NIMS Capability Assessment Supply Tool
NIMS National Incident Management System
NIPP National Infrastructure Protection Plan
NPCA National Police Canine Association
NPG National Preparedness Guidance
NRP National Response Plan
NSHS National Strategy for Homeland Security
NSMS National Strategy for Maritime Security
NSSE National Security Special Events
NSTS National Strategy for Transportation Security
NTD National Transit Database
O
OC Office of the Comptroller
OCC Operations Control Center
OCMI Officer in Charge of Marine Inspection
OGC Office of General Counsel
OGO Office of Grant Operations
OIC Office for Interoperability and Compatibility
OIP Office of Infrastructure Protection
OJP Office of Justice Programs
OMB Office of Management and Budget
OSHA Occupational Safety and Health Administration
P
P Psychological
PAPRS Phone Activated Paperless Request System
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
R-5
PIN Personal Identification Number
POC Point of Contact
POETE Planning, Organization, Equipment, Training, and Exercise
PORR Program Observation and Recommendation Report
PPE Personal Protective Equipment
PROTECT
Program for Response Options and Technology Enhancements for
Chemical/Biological Terrorism
PSGP Port Security Grant
PSRAT Port Security Risk Assessment Tool
PSTN Public Switched Telephone Network
PTT Push-to-Talk
PW Private Wireless
PWAIIWG Physical Access Interagency Interoperability Working Group
R
RAD/NUC Radiological/Nuclear
RDT&E Research, Development, Testing, and Evaluation
RKB Responder Knowledge Base
RTSS Regional Transit Security Strategy
RTSWG Regional Transit Security Working Group
S
S Surveillance
S&T Science and Technology
SAA State Administrative Agency
SEL Standardized Equipment List
SEPP Security Emergency Preparedness Plan
SM Strategic Mission
SOP Standard Operating Procedure
SPOC Single Point of Contact
SSA Sector-Specific Agencies
SSI Sensitive Security Information
SSP Sector-Specific Plans
T
TA Technical Assistance
TCL Target Capabilities List
TEW Terrorism Early Warning
TIA Terrorism Incident Annex
TISD Transportation Infrastructure Security Division
TPIN Trading Partner Identification Number
TRC Tone Remote Control
TSA Transportation Security Administration
TSGP Transit Security Grant Program
TSI Transportation Security Incident
TSOC Transportation Security Operations Center
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
R-6
TSP Trucking Security Program
TWIC Transportation Worker Identification Credential
U
UASI Urban Area Security Initiative
UAWG Urban Area Working Group
UMA United Motorcoach Association
USA
PATRIOT
Uniting and Strengthening America by Providing Appropriate Tools
Required to Intercept and Obstruct Terrorism Act of 2001
USC United States Code
USCG U.S. Coast Guard
USPCA United States Police Canine Association
UTL Universal Task List
V
VOX Voice Operated Transmit
VTS Vessel Traffic System
W
WMD Weapons of Mass Destruction