U.S. Department of Homeland Security
Office of Grants and Training
FY 2006 Infrastructure Protection
Program: Transit 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
Transit Security Grant Program makes up $136 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 transit
security:
• The Transportation Security Administration has the lead, except for Ferry systems where the
Coast Guard will have the lead, for assuring that the grants accomplish key objectives such as
aligning our grant making to the highest risk transportation facilities using refined risk- and needbased
methods developed for grants. This process will hasten the development of an integrated
risk-based decision making process for each regional area and agency, 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 Transit Security Grant Program 2
Part III Eligible Applicants and Funding Availability 8
Part IV Program and Application Requirements 14
Part V Assistance Resources and Support 22
Part VI Reporting, Monitoring and Closeout Requirements 27
Appendix A Authorized Program Expenditures Guidance
Appendix B Master List of RTSWGs and Required Participants
Appendix C Regional Transit Sector Overview Guidance
Appendix D Regional Transit Security Strategy Guidance
Appendix E FTA Top 20 Security Program Action Items
Appendix F National Environmental Policy Act Guidance
Appendix G Biannual Strategy Implementation Report Guidance
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 Acronyms and Abbreviations
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I. Introduction
The FY 2006 Transit Security Grant Program (TSGP) 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 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 Transit Security Grant.
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II. The FY 2006 Transit Security Grant Program
The mission of the FY 2006 Transit Security Grant Program is to create a
sustainable, risk-based effort for the protection of critical transit 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 TSGP
assists the Nation’s transit systems in obtaining the resources required to support the
Goal and the associated National Priorities. Through a risk-based approach focused on
regional planning, infrastructure protection, improvised explosive devices (IEDs) and
other non-conventional methods of attack, as well as training, exercises and citizen
preparedness, the FY 2006 TSGP directly addresses six of the seven National
Priorities:
1) Expanded regional collaboration;
2) Implementing National Incident Management System and the National
Response Plan;
3) Implementing the NIPP;
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 TSGP also supports strengthening emergency operations
planning and citizen protection capabilities, and assists in addressing security priorities
specific to the transit sector.
B. Security Priorities Specific to the Intracity Rail Sector
Equipment acquisitions, drills and exercises, employee training programs, and public
awareness programs that focus on mitigating the risk priorities represent appropriate
use of rail TSGP funding. The following risk-based priorities should be addressed (as
applicable):
(1) Protection of underwater and other deep bore tunnels and associated track
mileage from attacks employing IEDs;
(2) Development and enhancement of capabilities to prevent, detect, and respond to
terrorist attacks employing improvised explosive devices. IEDs pose a threat of
great concern to transit systems and infrastructure across the Nation. They have
historically been the terrorist weapon of choice because they combine a high
degree of effectiveness with minimal cost. Capabilities to protect other assets
besides tunnels should focus on passenger trains, stations with high passenger
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throughput thru major urban areas, large rail yards, operations control centers,
and high profile, high volume transit and rail bridges and tunnels; and
(3) Mitigation of other high consequence risks identified through individual transit
system risk assessments.
The Federal Transit Administration (FTA) has established 20 specific action items for
transit system security readiness. Implementation of these action items enhances
security posture generally and supports achievement of the National Preparedness
Goal and national and regional strategies to mitigate risk. Eligible applicants are
encouraged to review these action items and adopt those currently missing from their
security program.
The current version of the 20 action items may be accessed at the “Safety and Security”
section of the FTA website. The action items and supporting references provide an
excellent resource to facilitate development of passenger rail system security plans and
programs. Passenger rail owners and operators should periodically review the FTA
website for updates to program action items and supplements to the supporting
reference materials.
Of note, the action items are being revised in a joint effort by FTA, TSA, and DHS to
emphasize current security priorities. The revision will provide guidance to TSA’s
Surface Transportation Security Inspectors for monitoring the voluntary implementation
by industry.
C. Security Priorities Specific to the Intracity Bus Sector
Equipment acquisitions, drills and exercises, employee training programs, and public
awareness programs that focus on mitigating the risk priorities represent appropriate
use of Intracity bus TSGP funding. The following risk-based priorities should be
addressed (as applicable):
(1) Development and enhancement of capabilities to improve inventory control, such
as ignition key-recognition systems and remote tracking/shut-down capabilities.
The use of intracity buses as a weapon poses a threat of great concern to
intracity bus systems and critical infrastructure;
(2) Increased perimeter security at intracity bus depots and yards. Related to the first
priority, access control at areas of storage is an effective way to deter the use of
intracity buses as a vehicle borne IED;
(3) Development and enhancement of training and awareness among intracity bus
operators and employees. Training and awareness should cover the detection
and deterrence of efforts by terrorists to use intracity buses as a means to attack
critical infrastructure and key resources, in addition to current efforts to deter
attacks on the bus as the end target;
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(4) Development of emergency response and preparedness capabilities in the event
an intracity bus used as a weapon to inflict damage on critical infrastructure;
(5) Implementation of technology-driven surveillance (e.g., CCTV). Technologydriven
surveillance, either at intracity bus facilities or within the buses, can
increase the effectiveness of other detection and deterrence measures; and
(6) Suspicious activity detection and behavior pattern recognition.
The FTA security program action items in Appendix E apply to Intracity buses as well as
rail.
Appendix E provides a copy of the FTA Top 20 Security Program Action Items, as
well as examples of practices that address these priorities.
D. Application Review Process and Project Selection Criteria for
Intracity Rail and Bus Grants
The FY 2006 TSGP will use risk-based prioritization consistent with DHS policy. The
Intracity Rail and Bus Grants will be awarded using a two tiered approach. Grants will
be awarded in the first tier to regions, and the regions will have 90 days afterward to
submit detailed project plans to TSA for approval. Systems in the first tier may submit
project plans as either regions or individual agencies. First tier regions are identified in
Table 2 on page 11. Project plans for Tier 1 systems will be evaluated on the following
factors:
• Ability to reduce risk of catastrophic events;,
• Overall effect on regional transit security;
• Cost effectiveness to include leveraging additional resources; and
• Ability to complete the proposed project within the proposed timeframes.
Grants for Tier 2 systems will be competitively awarded based on the following factors:
• Ability to reduce risk;
• Cost effectiveness to include leveraging additional resources; and
• Ability to complete the proposed project within the timeframes.
The following method of selection will be used to evaluate Tier 2 system projects:
1. Rail and Bus agencies will submit concept papers for consideration. These
concept papers will be submitted through grants.gov.
2. Concept papers will be reviewed and scored by a Federal Interagency Working
Group consisting of TSA, FTA, and the DHS Office of Grants and Training
(G&T);
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3. Projects that are accepted will be required to complete full project applications;
4. The Preparedness Directorate in conjunction with TSA will verify compliance
with each of the administrative and eligibility criteria identified in the application
kit;
5. TSA will review the Federal Interagency Working Group recommendations and
make final selections for funding to G&T and the Secretary. DHS will brief all
appropriate agencies on the final selections to ensure consensus and address
any remaining issues
In considering project plans for Tier I submissions, and concept papers for Tier II
submissions, preference in awarding grants will be given to regions and agencies that
propose providing matching funds or operations assets. DHS plans to implement a
matching grant program, similar to the port security program, for all FY 2007 transit
grants.
Common criteria for all concept papers
In order to receive consideration for an invitation to apply for a Tier II grant the
respondent must be able to convey an understanding of the security priorities
established under the TSGP guidance. Each concept paper must explain how the
proposed project would fit into the overall Infrastructure Protection Program, with
particular attention to the ability of the grant to fund a complete project, the extent to
which it maximizes the projects risk reduction and cost effectiveness. An agency's
response should also illustrate the broader context of the project, such as its ability to
leverage operational resources and local law enforcement. Such an explanation could
include information on the governance structure overseeing the effort, a
communications system plan, a deployment plan, an operations plan or training and
exercises.
At a minimum, the concept paper must:
• Define the vision, goals and objectives for the risk reduction the respondent is
ultimately trying to achieve and how the proposed project will fit into an overall effort
to meet critical infrastructure security priorities, including integration into existing
security protocols;
• Describe the specific needs and/or resource limitations that need to be addressed;
• Identify any potential partners and their roles and staffing requirements, and provide
information on any existing agreements such as Memorandums of Understanding
(MOU);
• Propose a detailed budget and timeline; and
• Adhere to a maximum limit of five (5) pages.
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E. Security Priorities Specific to the Ferry Sector
Equipment acquisitions, drills and exercises, employee training programs, and public
awareness programs that focus on mitigating the risk priorities represent appropriate
use of Ferry Security TSGP funding. The following risk-based priorities should be
addressed (as applicable):
(1) Development and enhancement of capabilities to prevent, detect, and respond to
terrorist attacks employing improvised explosive devices and vehicle borne
improvised explosive devices. IEDs and VBIEDs pose a threat of great concern
to ferry systems and infrastructure across the Nation;
(2) Mitigation of other high consequence risks identified through individual ferry
system risk assessments;
(3) Use of K9 teams at the embarkation and exit points of a system as well as during
passage;
(4) Innovative utilization of mobile technology for prevention and detection of
explosives or other threats and hazards. This may include implementation of
technology-driven surveillance (e.g., CCTV);
(5) Development and enhancement of physical and perimeter security capabilities to
deny access around maintenance facilities, dry docks, and piers;
(6) Development and enhancement of training and awareness among ferry
operators and employees. Training and awareness should cover the detection
and deterrence of efforts by terrorists to use ferries as a means to attack critical
infrastructure and key resources;
(7) Development of emergency response and preparedness capabilities or drills in
the event of a ferry being used as a weapon to inflict damage on critical
infrastructure (e.g., proximate LNG terminals and vital cargo shipping lanes); and
(8) Citizen awareness training.
F. Application Review Process and Project Selection Criteria for Ferry
Grants
The FY 2006 TSGP will use risk-based prioritization consistent with DHS policy. The
following method of selection will be followed under this program:
1. The Preparedness Directorate in conjunction with TSA will verify compliance
with each of the administrative and eligibility criteria identified in the application
kit;
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2. Eligible applications will be reviewed and scored by a Federal Interagency
Working Group consisting of TSA, FTA, USCG, and the DHS Office of Grants
and Training (G&T);
3. TSA will review the Federal Interagency Working Group recommendations and
make recommendations for funding to G&T and the Secretary. DHS will brief
all appropriate agencies on the final selections to ensure consensus and
address any remaining issues.
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III. Funding Availability & Eligible Applicants
A. Funding Availability
The Preparedness Directorate, in conjunction with TSA, will award the available funds
to projects offering the greatest risk reduction potential in the Nation’s highest risk
areas, thereby ensuring the funds are allocated to protect assets of the highest strategic
importance nationally. Furthermore, the systems are listed alphabetically by state – no
additional significance should be attributed to this ordering.
The Governor of each state and territory has designated a state administrative agency
(SAA) to administer DHS funds. Accordingly, the relevant SAA will be the recipient of
the funds awarded and responsible for the disbursement of the funds to the grantees.
Table 1 below summarizes the funding available through the FY 2006 TSGP by mode.
Table 1. FY 2006 TSGP Funding by Mode
(Millions)
Transportation Mode
FY 2006 Funding
Tier I: Rail Transit $103
Tier II: Rail Transit $7
Tier I: Intracity Bus $15
Tier II: Intracity Bus $6
Ferry $5
B. Regional Allocations
As part of the FY 2006 TSGP, DHS will use a risk-based approach to allocate TSGP
funding on a regional basis. This approach will apply TSGP resources to generate the
highest return on investment and, as a result, strengthen the security of the Nation’s
transit systems in the most effective and efficient manner.
The rail transit systems were divided into two tiers based on risk. Particular emphasis
was placed on the passenger volume of the system and the underwater and
underground infrastructure of the rail transit systems. Tier I systems are eligible for a
regional allocation. Systems may apply as individual agencies or submit regional
projects which mitigate the vulnerability of high risk, high consequence assets. Eligible
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systems have to submit project plans to expend the allocated funds within 90 days.
Eligible project plans include pilot programs (additional information on pilot programs is
available at page 26), and other projects that address the priorities listed. Grants for
systems in Tier II will be competitively awarded based on these factors: ability to reduce
risk, cost effectiveness, and the ability to complete the proposed project with the funds
awarded (as described in more detail in Part II).
The bus transit systems were divided into two tiers based on risk as well. Particular
emphasis was placed on ridership, passenger miles, and the number of buses in the
system. Tier I systems were awarded allocations that are shown in Table 3. Grants for
bus systems in Tier II will be competitively awarded based on the same factors
(described more fully in Part II) of ability to reduce risk, cost effectiveness, and
likelihood of project completion using the funds awarded.
C. Eligible Applicants
Tables 2 through 4 identify systems for TSGP funds. Please note that presence on this
list does not guarantee the receipt of grant funding.
1. Rail Transit. Table 2 identifies the eligible rail transit systems for Tier 1 and 2.
Eligible systems were determined using a risk-based formula. Tier 1 systems
appear in bold.
Table 2. Eligible Rail Transit Systems
State Urban Area FY 2006 Regional
Allocation Eligible System Eligible Mode
Peninsula Corridor Joint Powers
Board Commuter Rail
San Francisco Bay Area Rapid
Transit District Heavy Rail
Altamont Commuter Express Commuter Rail
Santa Clara Valley Transportation
Authority Light Rail
Bay Area $8.4M
San Francisco Municipal Railway Commuter Rail, Light Rail
Southern California Regional Rail
Authority (Metrolink) Commuter Rail
Greater Los Angeles
Area (Los
Angeles/Long Beach
and Anaheim/Santa
Ana UASI Areas)
$4.0M
Los Angeles County Metro
Transportation Authority Heavy Rail, Light Rail
Sacramento Tier 2 Sacramento Regional Transit
District Light Rail
North San Diego County Transit
District Commuter Rail
CA
San Diego Tier 2
San Diego Trolley, Inc. Light Rail
CO Denver Tier 2 Denver Regional Transportation
District Light Rail
Washington Metropolitan Area
Transit Authority Heavy Rail
DC/MD/VA1 Virginia Railway Express Commuter Rail
Greater National
Capital Region (NCR
and Baltimore UASI
Areas)
$13.0M
Maryland Transit Administration
Commuter Rail, Heavy
Rail, Light Rail
1 The DC SAA will administer these funds
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State Urban Area FY 2006 Regional
Allocation Eligible System Eligible Mode
Jacksonville Tier 2 Jacksonville Transportation
Authority Other Rail (AG)
FL Miami/Fort Tri-County Commuter Rail Commuter Rail
Lauderdale Tier 2
Miami-Dade Transit
Heavy Rail, Other Rail
(AG)
GA Atlanta $2.0M Metropolitan Atlanta Rapid Transit
Authority Heavy Rail
Northeast Illinois Regional
Commuter Railroad Corporation Commuter Rail
Chicago Transit Authority Heavy Rail
IL/IN1 Chicago $11.0M
Northern Indiana Commuter
Transportation District Commuter Rail
LA New Orleans Tier 2 New Orleans Regional Transit
Authority Light Rail
MA Boston $9.6M Massachusetts Bay Transportation
Authority
Commuter Rail, Heavy
Rail, Light Rail
MI Detroit Tier 2 City of Detroit Department of
Transportation Other Rail (AG)
MN Twin Cities Area Tier 2 Metro Transit Light Rail
MO Saint Louis Tier 2 Bi-State Development Agency Light Rail
NY Buffalo Tier 2 Niagara Frontier Transp. Authority Light Rail
Metropolitan Transportation
Authority Heavy Rail, Commuter Rail
Port Authority of New York and
New Jersey Heavy Rail
New Jersey Transit Corporation Light Rail, Commuter Rail
NY/NJ/CT3
New York
City/Jersey
City/Newark
$47.0M
Connecticut Department of
Transportation Commuter Rail
OH Cleveland Tier 2 The Greater Cleveland Regional
Transit Authority Heavy Rail, Light Rail
OR Portland Tier 2 Tri-County Metropolitan
Transportation District of Oregon Light Rail
PA Pittsburgh Tier 2 Cambria County Transit Authority Other Rail (IP)
Port Authority of Allegheny County Light Rail, Other Rail (IP)
Pennsylvania Department of
Transportation Commuter Rail
Southeastern Pennsylvania
Transportation Authority
Commuter Rail, Heavy
Rail, Light Rail
Port Authority Transit Corporation Heavy Rail
PA/NJ Philadelphia $8.0M
New Jersey Transit Corporation Commuter Rail
TN Memphis Tier 2 Memphis Area Transit Authority Light Rail
Dallas/Fort Dallas Area Rapid Transit Light Rail
Worth/Arlington Tier 2
TX Trinity Railway Express Commuter Rail
Houston Tier 2 Metropolitan Transit Authority Of
Harris County Light Rail
WA Seattle Tier 2 Central Puget Sound Regional
Transit Authority Commuter Rail, Light Rail
Note: “Other Rail” Includes:
?? Automated Guideway (AG)
?? Cable Car (CC)
?? Inclined Plane (IP)
1 The IL SAA will administer these funds
3 The NY SAA will administer these funds
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2. Intracity Bus Transit. Table 3 identifies the eligible bus transit systems. Tier I
systems and their allocations are bolded.
Table 3. Eligible Intracity Bus Systems
State Urban Area FY 2006 Regional
Allocation Eligible System
AZ Phoenix Valley Metro Regional Public Transportation Authority
City of Phoenix Public Transit Department
Alameda-Contra Costa Transit District
Golden Gate Bridge, Highway and Transportation
District
San Francisco Bay Municipal Transportation Authority
Santa Clara Valley Transportation Authority
Central Contra Costa Transit Authority
San Mateo County Transit District
Bay Area $2.1M
Caltrans (Transbay Bus Terminal)
Los Angeles County Metro Transportation Authority
Orange County Transportation Authority
City of Los Angeles Department of Transportation
Foothill Transit
Santa Monica’s Big Blue Bus
Greater Los
Angeles Area (Los
Angeles/Long
Beach and
Anaheim/Santa
Ana UASI Areas)
$2.2M
Long Beach Transit
San Diego Metropolitan Transit System
CA
San Diego Tier 2
North San Diego County Transit District
CO Denver Tier 2 Denver Regional Transportation District
Washington Metropolitan Area Transit Authority
Maryland Transit Administration
Ride-On Montgomery County Transit
Prince George's County Transit
City of Alexandria - Alexandria Transit Company
Fairfax Connector Bus System
DC/MD/VA
Greater National
Capital Region (NCR
and Baltimore UASI
Areas)
$1.3M
Potomac and Rappahannock Transportation
Commission
FL Miami/Fort Miami-Dade Transit
Lauderdale Tier 2
Broward County Mass Transit Division
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State Urban Area FY 2006 Regional
Allocation Eligible System
GA Atlanta Tier 2 Metropolitan Atlanta Rapid Transit Authority
Georgia Regional Transportation Authority
HI Honolulu Tier 2 City and County of Honolulu Department of
Transportation Services
IL/IN Chicago $1.5M Chicago Transit Authority
Pace - Suburban Bus Division
New Orleans Regional Transit Authority
LA New Orleans Tier 2 Jefferson Parish Department of Transit
Administration
MA Boston $1.0M Massachusetts Bay Transportation Authority
MI Detroit Tier 2 City of Detroit Department of Transportation
Suburban Mobility Authority for Regional Transportation
MN Twin Cities Area Tier 2 Metro Transit
MO St. Louis Tier 2 Bi-State Development Agency
Madison County Transit District
NV Las Vegas Tier 2 Regional Transportation Commission of Southern
Nevada
Metropolitan Transportation Authority
New Jersey Transit Corporation
NY/NJ/CT Westchester County Department of Transportation
New York
City/Jersey
City/Newark
$5.5M
Port Authority of New York and New Jersey (PANYNJ
Manhattan Bus Terminals)
Cincinnati Tier 2 Southwest Ohio Regional Transit Authority
OH Transit Authority of Northern Kentucky
Cleveland Tier 2 The Greater Cleveland Regional Transit Authority
Tri-County Metropolitan Transportation District of
OR Portland Tier 2 Oregon Clark County Public Transportation Benefit Area
Authority
PA Pittsburgh Tier 2 Port Authority of Allegheny County
PA/NJ Philadelphia $1.4M Southeastern Pennsylvania Transportation Authority
New Jersey Transit Corporation
Dallas/Forth Dallas Area Rapid Transit
Worth/Arlington Tier 2
Ft. Worth Transportation Authority
Houston Tier 2 Metropolitan Transit Auth. Of Harris County
Island Transit
TX
San Antonio Tier 2 VIA Metropolitan Transit
King County Department of Transportation - Metro
Transit Division
WA Seattle Tier 2 Pierce County Transportation Benefit Area Authority
Snohomish County Transportation Benefit Area
Corporation
WI Milwaukee Tier 2 Milwaukee County Transit System
New Urban Areas Eligible in FY 2006 for TSGP New Transit Systems Eligible in FY 2006 for TSGP
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3. Ferry Transit. Table 4 identifies the eligible ferry transit systems. Eligible systems and
their funding were determined using a risk-based formula.
Table 4. Eligible Ferry Systems
State Urban Area
FY 2006 Regional
Allocation Eligible System
Golden Gate Bridge, Highway and Transportation District
City of Alameda Ferry Services (Blue and Gold Lines
Fleet)
CA Bay Area $0.7M
City of Vallejo Transportation Program
LA New Orleans $0.3M Crescent City Connection Division - Louisiana Department
of Transportation
MA Boston $0.4M Massachusetts Bay Transportation Authority
NY/NJ New York City $1.3M New York City Department of Transportation
Port Authority of Trans Hudson Corporation
TX Houston $0.3M Texas DOT (Bolivar Roads Ferry)
WA Seattle $2.0M Washington State Ferries
New Transit Systems Eligible in FY 2006 for TSGP
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IV. Program and Application Requirements
A. General Program Requirements
Grant Funds. The SAA must obligate at least 97 percent of the funds awarded to
designated transit systems within 60 days of the receipt of funds2. A maximum
of 3 percent may be retained by the SAA, and any funds retained are to be used
solely for management and administrative (M&A) purposes. In addition, transit
agencies receiving pass-through funds may also use up to 2.5 percent of their
sub-award for M&A purposes.
B. Specific Program Requirements
The SAA, will be responsible for administration of the FY 2006 TSGP. In
administering the program, the SAA must work with the RTSWG and eligible
transit systems to comply with the following requirements:
1. Update the Regional Transit Security Strategy. Transit systems eligible for
funding may participate in an RTSWG for the purpose of aligning their RTSS with
the Goal and the National Priorities. In addition, RTSWGs should also review the
RTSS to ensure it adequately addresses the following priorities specific to transit
security: 1) the protection of any underwater tunnels and associated track
mileage from IED attacks; 2) prevention and detection capabilities for IEDs and
other non-conventional weapons generally; 3) other high consequence risks
identified through system-wide risk assessments; 4) anti-terrorism training for
transit employees; 5) emergency drills; and, 6) citizen awareness activities.
RTSWGs must also ensure that each RTSS continues to align with the goals and
objectives contained within the relevant state and urban area strategy(ies).
C. Application Requirements
The following steps must be completed using the on-line 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. 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, DHS is
requiring that all discretionary, competitive grant programs be
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administered through Grants.gov. Eligible applicants must apply for FY
2006 TSGP funding through Grants.gov at http://www.grants.gov.
Complete Applications must be received by G&T no later than August 4,
2006 at 11:59pm Eastern Standard Time.
2. On-Line Application
The on-line application must be completed and submitted 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;
?? OJP Form 4000/3, Assurances;
?? OJP form 4061/6, Certifications;
?? Non-Supplanting Certification.
The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is
“Rail and Transit Security Grant Program.” The CFDA number is 97.075. When
completing the on-line application, applicants should identify their submissions as
new, non-construction 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.
3. National Environmental Policy Act (NEPA)
NEPA requires 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 G&T
funding for construction projects must complete and submit a NEPA Compliance
Checklist to G&T 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 G&T funding, the need to perform an
Environmental Assessment (EA) or draft an Environmental Impact Statement
(EIS). This information may be provided using one of the attachment fields within
Grants.gov.
Appendix F provides a copy of the NEPA checklist.
4. Use of a Universal Identifier by Grant Applicants.
The applicant must provide a Dun and Bradstreet (D&B) Data Universal
Numbering System (DUNS) number with the application. An application
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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.
Applicants can receive a DUNS number at no cost by calling the dedicated
toll-free DUNS Number request line at 1-800-333-0505.
5. Freedom of Information Act (FOIA)
G&T recognizes that much of the information submitted in the course of applying
for funding under this program, or provided in the course of its grant
management activities, may be considered law enforcement sensitive or
otherwise important to national security interests. This may include threat, risk,
and needs assessment information, and discussions of demographics,
transportation, public works, and industrial and public health infrastructures.
While this information under Federal control is subject to requests made pursuant
to the 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.
6. Geospatial Guidance
Geospatial technologies capture, store, analyze, transmit, and/or display
location-based information (i.e., information that can be linked to a latitude and
longitude). In geospatial systems, this location information is often paired with
detailed information about the location such as the following: purpose/use,
status, capacity, engineering schematics, operational characteristics,
environmental and situational awareness. State and local emergency
organizations 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
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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.
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;
?? 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 (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.
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?? Accounting System and Financial Capability Questionnaire: All nongovernmental
(non-profit and commercial) organizations that apply for funding
with G&T that have not previously (or within the last three years) received
funding from G&T 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 (Nonprocurement);
28 CFR part 69, New Restrictions on Lobbying; and 28 CFR
part 83 Government-wide Requirements for Drug-Free Workplace (Grants).
All of these can be referenced at:
http://www.access.gpo.gov/nara/cfr/waisidx_04/28cfrv2_04.html.
The certification will be treated as a material representation of the fact upon
which reliance will be placed by DHS in awarding grants.
?? Suspension or Termination of Funding: DHS, by written notice, may
terminate this grant, in whole or in part, when it is in the Government's
interest.
9. Services to Limited English Proficient (LEP) Persons
Recipients of G&T financial assistance are required to comply with several
Federal civil rights laws, including Title VI of the Civil Rights Act of 1964, as
amended. These laws prohibit discrimination on the basis of race, color, religion,
national origin, and sex in the delivery of services. National origin discrimination
includes discrimination on the basis of limited English proficiency. To ensure
compliance with Title VI, recipients are required to take reasonable steps to
ensure that LEP persons have meaningful access to their programs. Meaningful
access may entail providing language assistance services, including oral and
written translation, where necessary. Grantees are encouraged to consider the
need for language services for LEP persons served or encountered both in
developing their proposals and budgets and in conducting their programs and
activities. Reasonable costs associated with providing meaningful access for
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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.
?? 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. Public Awareness and Citizen Participation
Citizens are a critical component of homeland security, and to have a fully
prepared community, citizens must be fully aware, trained, and practiced on how
to detect, deter, prepare for, and respond to emergency situations. Recent
surveys indicate that citizens are concerned about the threats facing the Nation
and are willing to participate to make their communities safer, yet most
Americans have low awareness of Federal, state, and local emergency
preparedness plans, are not involved in local emergency drills, and are not
adequately prepared at home.
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Informed and engaged citizens are an essential component of homeland security
and the mission of Citizen Corps is to have everyone in America participate in
making their community safer, stronger, and better prepared. To achieve this,
state, local and tribal Citizen Corps Councils have formed nationwide to help
educate and train the public, and to develop citizen/volunteer resources to
support local emergency responders, community safety, and disaster relief.
DHS and DOT are currently working to align the Citizen Corps and Transit Watch
programs. In support of this initiative, and consistent with the priority that must
be given to public awareness, FY 2006 TSGP award recipients should work with
the applicable state and local Citizen Corps Councils to more fully engage
citizens through the following activities:
?? Expand plans and task force memberships to address citizen
participation. Develop or revise plans to integrate citizen/volunteer
resources and participation, and include advocates for increased citizen
participation in task forces and advisory councils;
?? Awareness and outreach to inform and engage the public. Educate the
public on personal preparedness measures, terrorism awareness, alert and
warning systems, and state and local emergency plans via a range of
community venues and communication channels;
?? Include citizens in training and exercises. Provide emergency
preparedness and response training for citizens, improve training for
emergency responders to better address special needs populations, and
involve citizens in all aspects of emergency preparedness exercises,
including planning, implementation, and after action review;
?? Develop or expand programs that integrate citizen/volunteer support for
the emergency responder disciplines. Develop or expand Citizen Corps
Programs into the rail environment, including citizen participation in
prevention and response activities;
In addition, FY 2006 TSGP award recipients should also take advantage of the
public awareness materials developed through Transit Watch. To facilitate this,
reproduction of official Transit Watch materials is an allowable expense as
part of this program.
12. Transit Safety and Security Roundtables and Connecting Communities
As part of its post-9/11 security initiative, FTA developed the Transit Safety and
Security Roundtables and Connecting Communities programs. The Transit
Safety and Security Roundtables offer a mechanism for transit safety and
security leaders to share information on technology, best practices and available
resources, as well as develop relationships between Federal and local officials
working in the area of public transportation safety and security. The Connecting
Communities forums offered to a community’s transit managers and security
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personnel, emergency management coordinators, fire response and police
personnel, emergency medical services and hospital disaster relief coordinators,
among others. Each Connecting Communities forum involves hands-on
exercises, discussions, emergency scenarios, group break-out sessions, and
presentations, and provides community officials with the opportunity to network
and coordinate on emergency response, learn about the role of transit and
alternative means of transportation during an emergency, and identify the
elements, facilities, and personnel in their community needed for effective
emergency response. FTA, TSA and G&T are currently working to develop a
process for jointly sponsoring and continuing these important programs. In
support of this, FY 2006 TSGP funding may be used to cover the costs of
invitational travel to future Transit Safety and Security Roundtables, as well
as for overtime and backfill costs associated with attending locally
delivered Connecting Communities forums.
13. Training
FTA, TSA and G&T have developed and currently offer a variety of training
programs that address transit security and emergency preparedness. FY 2006
TSGP funding may be used to attend and/or support the local delivery of many of
these courses. The system agrees to share with the Department any training
developed with grant funds.
Appendix A provides a listing of allowable training costs.
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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 subgrant
recipients should refer to the OGO Financial Management Guide or contact OGO
at 1-866-9ASKOGO or ask-ogo@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. All grant and sub-grant recipients should refer to the OGO
Financial Management Guide.
Following acceptance of the grant award and release of any special conditions
withholding funds, the Grantee can drawdown and expend grant funds through
the Automated Standard Application for Payments (ASAP), Phone Activated
Paperless System (PAPRS) or Letter of Credit Electronic Certification System
(LOCES) payment systems.
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 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 draw down funds up to 120 days prior to
expenditure/disbursement, which echoes the recommendation of the Funding
Task Force. G&T 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, at:
http://www.access.gpo.gov/nara/cfr/waisidx_04/28cfrv2_04.html and the Uniform
Rule 28 CFR Part 70, Uniform Administrative Requirements for Grants and
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Agreements (Including Subawards) with Institutions of Higher Education,
Hospitals and other Non-profit Organizations, at:
http://www.access.gpo.gov/nara/cfr/waisidx_04/28cfrv2_04.html. These
guidelines 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 its implementing regulations at
31 CFR Part 205. Interest under CMIA will accrue from the time Federal
funds are credited to a state account until the time the state pays out the
funds 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.
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.
C. Office of Grant Operations (OGO)
G&T’s Office of Grant Operations (OGO) will provide fiscal support and 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.
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D. Homeland Security Preparedness Technical Assistance Program
The Homeland Security Preparedness Technical Assistance Program (HSPTAP)
provides technical assistance on a first-come, first-served basis (and subject to the
availability of funding) to eligible organizations for enhancing their capacity and
preparedness to respond to weapons of mass destruction (WMD) terrorist incidents. In
addition to the risk assessment assistance already being provided, G&T also offers a
variety of other technical assistance programs.
Further information on the HSPTAP can be found on G&T’s web site at
http://www.ojp.usdoj.gov/odp/ta.htm under the Catalog link, or by contacting the
CSID.
E. Homeland Defense Equipment Reuse Program
The mission of the Homeland Defense Equipment Reuse (HDER) Program is to provide
excess radiological detection instrumentation and other equipment, as well as training
and technical support, to emergency responder agencies nationwide to immediately
enhance their homeland security capabilities. The used but operable instrumentation
provided through HDER constitutes a rapid, short-term solution to the immediate needs
of emergency responders for this equipment. With the recent adoption of new ANSI
standards, it is envisioned that new standards-based equipment will ultimately be
substituted for HDER equipment as the new equipment becomes more widely available
and as budgets allow.
For additional information on the equipment, training and technical support
available through HDER, please contact the CSID at 1-800-368-6498.
F. Equipment Purchase Assistance Program
The Equipment Purchase Assistance Program provides G&T grantees with access to
prime vendors through memoranda of agreement with the Defense Logistics Agency
(DLA). Benefits of the program include shorter procurement lead times, on-line
ordering, a diverse inventory of commercial products and seven-day delivery for routine
items. When ordering equipment through this program, grantees may only use funds
awarded by G&T; state and local funds may not be used. Establishing an account with
DLA is a straightforward process which can be initiated by contacting the appropriate
program representative. Additional information on the programs and contact
information for program representatives is available in fact sheets posted on the G&T
website.
For information on the Emergency Responder Equipment Purchase Program run
through DLA’s Defense Supply Center Philadelphia, see
http://www.ojp.usdoj.gov/odp/docs/fs-padef.htm.
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G. Lessons Learned Information Sharing (LLIS) System
LLIS is a national, online secure network located at http://www.LLIS.gov that houses a
collection of peer-validated lessons learned, best practices, after action reports (AAR)
from exercises and actual incidents, and other relevant homeland security documents.
LLIS is designed to help emergency response providers and homeland security officials
prevent, prepare for, respond to, and recover from acts of terrorism. LLIS will improve
preparedness nationwide by allowing response professionals to tap into a wealth of
validated front-line expertise on effective planning, training, equipping, and operational
practices for homeland security. The system also houses a directory of responders and
homeland security officials, as well as an updated list of homeland security exercises,
events, and conferences. Additionally, LLIS includes online collaboration tools,
including secure email and message boards, where users can exchange information.
LLIS uses strong encryption and active site monitoring to protect all information housed
on the system.
H. TSA Surface Transportation Security Inspection Program
As a condition of receiving grants, Grantees will be required to provide SSTS’s access
to their facilities, tracks and vehicles and rolling stock.TSA has deployed Surface
Transportation Security Inspectors (STSIs) to work with passenger rail owners and
operators to evaluate the security procedures in place and enhance security of the
passenger rail system. The foundational legislation for this program is the Department
of Homeland Security Appropriations Acts for FY 2005 and FY 2006, which
appropriated funds for the hiring and deployment of “Federal rail compliance inspectors”
(FY 2005) and “rail inspectors” (FY 2006).
Pursuant to the Aviation and Transportation Security Act (ATSA) (Public Law 107-71),
TSA is “responsible for security in all modes of transportation” (49 U.S.C. §114(d)). In
meeting this responsibility, the Administrator of TSA is expressly empowered to assess
threats to transportation (49 U.S.C. §114(f)(2)); develop policies, strategies, and plans
for dealing with threats to transportation security (49 U.S.C. §114(f)(3)); enforce security
requirements (49 U.S.C. §114(f)(7)); generally inspect, maintain, and test security
facilities, equipment, and systems (49 U.S.C. §114(f)(9)); and ensure the adequacy of
security of transportation facilities (49 U.S.C. §114(f)(11)). The Surface Transportation
Security Inspection Program represents one means by which TSA implements this
authority through compliance inspections and programs to enhance domain awareness
and security posture throughout the passenger rail and mass transit mode.
The program focuses on nationwide outreach and liaison activities with the passenger
rail and rail transit industry and initiatives aimed at enhancing security in passenger rail
and mass transit systems. Inspectors are actively engaged in performing Security
Analysis and Action Programs, which constitute a systematic examination of a
stakeholder’s operations to assess compliance with security requirements, identify
security gaps, develop best practices for sharing across the mode, and gathering
baseline information on the system, its operations, and its security resources and
initiatives. System Security Evaluations assess a system’s security posture
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comprehensively. Security Directive Reviews are more targeted, assessing the status
of compliance with the applicable TSA security directive (SD). Inspectors will also
conduct reviews of the FTA/TSA Top 20 Security Program Action Items for Transit
Agencies.
RTSWGs and individual transit systems should direct questions concerning integration
of STSI program services into their security assessments to the regional or local
inspector’s office in their area. Questions may also be directed to
sd.masstransit@dhs.gov.
I. TSA Explosive Detection Canine Program
An additional resource for enhancing IED prevention and detection capabilities is the
TSA Explosives Detection Canine Team Program. The applicant is encouraged to
explore the resources available through this program as a means of further
enhancing its IED preventing and detection capabilities.
The TSA Explosive Detection Canine Program is a partnership with industry in which
airports and mass transit systems voluntarily participate and are supported by Federal
funds in the amount of $40,000 per year, per canine team. The TSA pays to purchase
and train the dogs, trains the canine handlers, and partially reimburses each
participating agency for costs associated with maintaining the teams. Associated costs
include handlers' salaries (handlers are usually airport police or local law enforcement
personnel), food and veterinarian costs. In turn, the accepting agency agrees to utilize
TSA canine teams at least 80 percent of the time in the transportation environment and
to maintain a minimum of three certified teams available for around-the-clock incident
response.
Each canine team, composed of one dog and one handler, undergoes 10-weeks of
intensive training at the Transportation Security Administration Explosives Detection
Canine Handler Course at Lackland Air Force Base in San Antonio, Texas. Once the
teams are certified by the TSA, they undergo several hours of proficiency training each
week in their operational environment, which includes all the smells and distractions
associated with a busy airport or mass transit system. The TSA also requires each
team to go through an intensive three to four day annual re-certification to demonstrate
they continue to meet TSA-certification standards. These standards are some of the
most stringent in the Nation and include demonstrated performances in searching
aircraft, luggage, terminals, cargo and vehicles.
Inquiries concerning the TSA National Explosives Detection Canine Program should be
addressed to:
Director, National Explosives Detection Canine Program
Headquarters Transportation Security Administration
601 South 12th Street (TSA-7)
Arlington, VA 22202-4220
E-mail: k-9@dhs.gov
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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 draw downs 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;
?? 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 subgrant recipients should refer to the OGO
Financial Guide. All previous awards are still governed by the OJP Financial
Guide, available at http://www.ojp.usdoj.gov/FinGuide. OGO can be contacted at
1-866-9ASKOGO 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)/Biannual Strategy
Implementation Reports (BSIR)
Following award of grant, the State and subgrantees will be responsible for
providing updated obligation and expenditure information on a regular basis.
The applicable SAAs are responsible for completing and submitting the
CAPR/BSIR reports. The BSIR submission will satisfy the narrative requirement
in Box 12 of the biannual Categorical Assistance Progress Report (CAPR – OJP
Form 4587/1). SAAs will still be required to submit the CAPR form with a line in
box 12 which reads: See BSIR.
The BSIR and the CAPR are due within 30 days after the end of the
reporting period (July 30 with a reporting period of January 1 through June
30, and on January 30 with a reporting period of July 1 though December
31). Grantees will provide initial overall obligation and expenditure
information with the CAPR/BSIR submission due January 30, 2007.
Updated obligation and expenditure information must be provided with the BSIR
to show progress made toward meeting strategic goals and objectives. G&T will
provide a web-enabled application for the BSIR submission to grantees and a
copy of the CAPR (OJP Form 4587/1) in the initial award package. Future
awards and fund draw downs may be withheld if these reports are
delinquent.
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/BSIR (biannually).
Important Note: While budget detail worksheets do not need to be
submitted with the application, SAAs and transit agencies must maintain
complete and accurate accounting records, and use that information in the
preparation of the BSIR. In addition, these records must be available to
DHS upon request.
Appendix G provides additional guidance on completing the BSIR.
3. Exercise Evaluation and Improvement
Exercises implemented with grant funds should be threat- and performancebased
and should evaluate performance of critical prevention and response tasks
required to respond to the exercise scenario. Guidance on conducting exercise
evaluations and implementing improvement is defined in the Homeland Security
Exercise and Evaluation Program (HSEEP) Volume II: Exercise Evaluation and
Improvement located at http://www.ojp.usdoj.gov/G&T/docs/HSEEPv2.pdf.
Recipients must report on scheduled exercises and ensure that an After Action
Report (AAR) and Improvement Plan (IP) are prepared for each exercise
conducted with G&T support (grant funds or direct support) and submitted to
G&T within 60 days following completion of the exercise.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
29
The AAR documents the performance of exercise related tasks and makes
recommendations for improvements. The IP outlines the actions that the
exercising jurisdiction(s) plans to take to address recommendations contained in
the AAR. Generally the IP, with at least initial action steps, should be included in
the final AAR. G&T is establishing a national database to facilitate the
scheduling of exercises, the submission of the AAR/IPs and the tracking of IP
implementation. Guidance on the development of AARs and IPs is provided in
Volume II of the HSEEP manuals.
Required Submissions: AARs and IPs (as applicable).
4. Financial and Compliance Audit Report
Recipients that expend $500,000 or more of Federal funds during their fiscal year
are required to submit an organization-wide financial and compliance audit
report. The audit must be performed in accordance with the U.S. General
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/a133/a133.html. Audit reports are
currently due to the Federal Audit Clearinghouse no later than nine months after
the end of the recipient’s fiscal year. In addition, the Secretary of Homeland
Security and the Comptroller General of the United States shall have access to
any books, documents, and records of recipients of FY 2006 TSGP assistance
for audit and examination purposes, provided that, in the opinion of the Secretary
of Homeland Security or the Comptroller General, these documents are related
to the receipt or use of such assistance. The grantee will also give the
sponsoring agency or the Comptroller General, through any authorized
representative, access to, and the right to, examine all records, books, papers or
documents related to the grant.
The state shall require that subgrantees comply with the audit requirements set
forth in OMB Circular A-133. Recipients are responsible for ensuring that subrecipient
audit reports are received and for resolving any audit findings.
B. Monitoring
Grant recipients will be monitored periodically by G&T program staff, OGO staff, TSA
staff, and DHS Infrastructure Protection and TSA Surface Transportation Security
Inspectors 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 conducted jointly by preparedness and TSA (STSI) staff. 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.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
30
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.
G&T will also implement a Mass Transit Homeland Security Assistance Program
(MT/HSAP). The purpose of the MT/HSAP is to ensure that RTSWGs are aware of
the full range of resources and support available from the Federal government to
assist regions in making progress toward the goals and objectives identified in
their RTSSs. The MT/HSAP process will include the following elements:
1. Program Observations and Recommendations Report. In coordination with
its Federal partners, G&T will conduct detailed reviews of each RTSS and will
develop a set of recommendations for implementing these strategies and
addressing identified challenges. The product of this analysis will be a draft
MT/HSAP Program Observations and Recommendations Report. In the report,
G&T will detail both internal and external programs and linkages designed to
assist in fully implementing the RTSS and overcoming identified challenges.
2. Site Visit. As an element of its Grant Monitoring Program, G&T will conduct site
visits with each RTSWG through the Surface Transportation Security Inspection
(STSI) Program. The focus of this portion of G&T’s monitoring activities will be
on discussing the RTSS and presenting the draft Program Observations and
Recommendations Report. G&T will invite other pertinent Federal agencies and
programs to ensure that appropriate expertise is available and that a holistic
discussion of the RTSS and options can occur. G&T will finalize the Program
Observations and Recommendations Report following the site visit and prepare a
Transit Agency Assistance Plan. G&T, again through the STSI Program, will
monitor implementation of the Transit Agency Assistance Plan and coordinate
the identified Federal support. TSA will provide Subject Matter Expertise where
appropriate.
C. Grant Closeout Process
Within 90 days after the end of the award period, SAAs must submit a final FSR,
final CAPR, and final BSIR detailing all accomplishments throughout the project.
Please note that this is a change from previous fiscal years. After 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 deobligated, and address the requirement of
maintaining the grant records for three years from the date of the final FSR. After the
financial information is received and approved by OGO, the grant will be identified as
“Closed by the Office of Grant Operations.”
Required Submissions: 1) Final SF-269a, due 90 days from end of grant period; and,
2) Final CAPR/BSIR, 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 a guide for program expenditure activities. Applicants are
encouraged to contact their G&T Program Manager regarding authorized and
unauthorized expenditures.
A. Projects that Support the National Transit Security Priorities
Within project proposals, specific attention must be paid to the prevention, detection,
and response to incidents involving improvised explosive devices (IEDs). IEDs pose a
threat of great concern to transit systems across the Nation. IEDs have historically
been the terrorist weapon of choice because they combine a high degree of
effectiveness with minimal cost. Eligible transit systems must leverage FY 2006 TSGP
funding to develop capabilities to prevent, detect and respond to IED terrorist attacks.
In addition, specific attention must also be paid to prevention, detection and response
capabilities related to chemical, biological, radiological and nuclear (CBRN) devices.
The following are examples of security enhancements designed to enhance IED and
chemical, biological radiological and nuclear prevention and detection capabilities for
rail and intracity bus transit:
1. Operator/Vehicle Protection
?? Explosive Agent Detection Sensors;
?? Chemical/Biological/Radiological Agent Detection Sensors;
?? Canines (Start-up Costs and Training);
?? GPS Tracking Systems;
?? On Board Camera Systems;
?? Fixed Personnel Protection (driver shields, etc.);
?? Interlock Security Devices;
?? Kill Switch Technology; and,
?? Interoperable Communications Systems.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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2. Facility Security
?? Explosive Agent Detection Sensors;
?? Chemical/Biological/Radiological Agent Detection Sensors;
?? Canines (Start-up Costs and Training);
?? Blast Curtains;
?? Intrusion Detection;
?? Video Surveillance Systems;
?? Secure Entry ID Systems;
?? Employee Identification;
?? Improved Lighting;
?? Fencing and Secured Gates; and,
?? Interoperable Communications Systems.
3. Training and Exercises
?? Behavioral Screening Training for Frontline Employees;
?? Anti-Terrorism Training;
?? Anti-Hijacking Training;
?? Public and Employee Awareness Programs;
?? NIMS Training; and,
?? Multi-disciplinary, Multi-jurisdictional Terrorism Exercises.
The following are examples of security enhancements designed to enhance IED and
chemical, biological radiological and nuclear prevention and detection capabilities for
ferry transit:
1. Ferry Terminals
?? Explosive Agent Detection Sensors;
?? Chemical/Biological/Radiological Agent Detection Sensors;
?? Canines (Start-up Costs and Training);
?? Intrusion Detection;
?? Video Surveillance Systems;
?? Security Entry/ID Systems;
?? Employee Identification;
?? Improved Lighting;
?? Secure Gates and Vehicle Barriers;
?? Floating Protective Barriers;
?? Underwater Intrusion Detection Systems; and,
?? Communications Equipment (including interoperable communications).
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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2. Ferries
?? Explosive Agent Detection Sensors;
?? Chemical/Biological/Radiological Agent Detection Sensors;
?? Restricted Area Protection (cipher locks, hardened doors, CCTV for
bridges and engineering spaces);
?? Interoperable Communications Systems;
?? Canines (start-up costs and training for U.S. vehicle/passenger ferries);
and,
?? Floating Protective Barriers.
3. Training and Exercises
?? Behavioral Screening Training for Frontline Employees;
?? Anti-Terrorism Training;
?? Anti-Hijacking Training;
?? Public and Employee Awareness Programs;
?? NIMS Training; and,
?? Multi-disciplinary, Multi-jurisdictional Terrorism Exercises.
B. Allowable Cost Guidance
FY 2006 TSGP allowable costs are divided into the following categories:
o Planning
o Organizational Activities
o Equipment Acquisitions
o Training
o Exercises
o Management and Administration
The following provides general guidance on allowable costs within each of these areas:
1. Planning Costs. FY 2006 TSGP funds may be used for the following types of
planning activities:
?? Public Education/Outreach (such as reproduction of Transit Watch
materials);
?? Development and implementation of homeland security support programs
and adoption of ongoing DHS national initiatives;
?? Development and enhancement of plans and protocols;
?? Development or conduct of assessments;
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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?? Hiring of full or part-time staff or contractors/consultants to assist with
planning activities (not for the purpose of hiring public safety personnel);
?? Conferences to facilitate planning activities;
?? Materials required to conduct planning activities;
?? Travel/per diem related to planning activities (such as attendance at
Transit Safety and Security Roundtables); and,
?? Other project areas with prior approval from G&T.
2. Organizational Activities. Transit agencies may use up to 25 percent of their
allocation to support operational overtime costs with written approval from G&T.
This includes costs incurred during Code Orange and Code Yellow alerts
(MARSEC Level 1 or higher for eligible ferry systems) that are associated with
increased security measures, as well as operational overtime costs that are
associated with increased security measures incurred during National Security
Special Events (NSSE), as designated by the Secretary of Homeland Security.
Transit agencies may use funds for operational overtime costs associated with
increased security measures at critical infrastructure sites and in the following
authorized expenditure categories:
?? Backfill and overtime expenses for staffing emergency operations centers;
?? Hiring of contracted security for critical infrastructure sites; and,
?? Public safety overtime.
Important Note: This does not include consumable costs such as fuel
expenses. In addition, funding for ferry services may not be used to
supplant ongoing, routine public safety activities of state and local law
enforcement, and may not be used to hire staff for operational activities or
backfill.
3. Equipment Acquisition Costs. FY 2006 TSGP funds may be used for the
following categories of equipment. A comprehensive listing of allowable
equipment categories and types is found on the web-based Authorized
Equipment List (AEL) on the Responder Knowledge Base (RKB) at
http://www.rkb.mipt.org.
?? Personal Protection Equipment (PPE);
?? Explosive Device Mitigation and Remediation Equipment;
?? CBRNE Operational Search and Rescue Equipment;
?? Information Technology;
?? Cyber Security Enhancement Equipment;
?? Interoperable Communications Equipment;
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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?? Detection Equipment;
?? Decontamination Equipment;
?? Medical Supplies and Limited Pharmaceuticals;
?? Power Equipment;
?? CBRNE Reference Materials;
?? CBRNE Incident Response Vehicles;
?? Terrorism Incident Prevention Equipment;
?? Physical Security Enhancement Equipment;
?? CBRNE Response Watercraft;
?? CBRNE Logistical Support Equipment;
?? Intervention Equipment; and,
?? Other Authorized Equipment.
To help prevent and detect an event similar to the sarin gas attack on the
Tokyo subway system, DHS, Department of Energy (DOE), National Institute
of Justice (NIJ) and FTA collaborated on PROTECT (Program for Response
Options and Technology Enhancements for Chemical/Biological Terrorism), a
systems approach to interior infrastructure protection for chemical incidents.
PROTECT has been successfully demonstrated in Washington, DC and
Boston.
PROTECT includes facility hardening, detection, emergency management
information systems, transport modeling, engineering countermeasures and
emergency response. The PROTECT program is aimed at providing an early
warning crisis management system in the event of a chemical agent attack in
a subway system. Chemical agent detectors are located in stations and
activation is electronically reported to the Operations Control Center (OCC).
Detector false alarms are eliminated by the requirement for redundancy of
alarm activations and/or visual verification that the alarms coincide with
patron distress. Response takes place in terms of halting of trains, shutting
off station and tunnel ventilation, activation of pedestrian displays, public
address announcements, and/or evacuation of critical stations and notification
of outside responders. The system is invisible to patrons and may also be
used for other emergencies (due to advanced video coverage capability).
Responders, such as emergency managers in the OCC and the Incident
Commander, can access the PROTECT system through fireman jacks and
web connections. These provide: (a) detector alarms at the time of activation;
(b) video views of stations under attack; (c) hazard zones above and below
ground; (d) response recommendations for police, fire and other responders
optimized for the type and size of attack; (e) train locations on a 1-sec
updated basis; and, (f) a record of actions already taken by other responders.
This information ensures a timely well coordinated response to effectively
mitigate a chemical incident.
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Currently, the FTA is compiling technology transfer documentation for
PROTECT. In addition, technologies related to PROTECT are an allowable
expense through the FY 2006 TSGP. For additional information on
PROTECT, contact:
Lance Brooks
Portfolio Manager
Science and Technology Directorate
Department of Homeland Security
Phone: (202) 254-5768
Email: lance.brooks@dhs.gov
4. Training Costs. FY 2006 TSGP funds may be used for the following training
activities:
?? Training Workshops and Conferences - Grant funds may be used to
plan and conduct training workshops or conferences to include costs
related to planning, meeting space and other meeting costs, facilitation
costs, materials and supplies, travel and training plan development;
?? Full or Part-Time Staff or Contractors/Consultants - Full or part-time
staff may be hired to support training-related activities. The services of
contractors/ consultants may also be procured by the state in the design,
development, conduct, and evaluation of CBRNE training. The applicant's
formal written procurement policy or the Federal Acquisition Regulations
(FAR) must be followed;
?? Overtime and Backfill Costs – Payment of overtime expenses will be for
work performed by award (SAA) or sub-award employees in excess of the
established work week (usually 40 hours). Further, overtime payments
and backfill costs associated with sending personnel to training are
allowable, provided that it is G&T approved training. These costs are
allowed only to the extent the payment for such services is in accordance
with the policies of the state or unit(s) of local government and has the
approval of the state or the awarding agency, whichever is applicable. In
no case is dual compensation allowable. That is, an employee of a unit of
government may not receive compensation from their unit or agency of
government AND from an award for a single period of time (e.g., 1:00 pm
to 5:00 pm), even though such work may benefit both activities. Fringe
benefits on overtime hours are limited to Federal Insurance Contributions
Act (FICA), Workers’ Compensation and Unemployment Compensation;
?? Travel - Travel costs (i.e., airfare, mileage, per diem, hotel, etc.) are
allowable as expenses by employees who are on travel status for official
business related to the planning and conduct of the training project(s) or
for attending G&T-approved courses. These costs must be in accordance
with state law as highlighted in the OGO Financial Management Guide.
For further information on Federal law pertaining to travel costs please
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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refer to the OGO Financial Management Guide, available at
http://www.dhs.gov/dhspublic/display?theme=18&content=4206;
?? Supplies - Supplies are items that are expended or consumed during the
course of the planning and conduct of the training project(s) (e.g., copying
paper, gloves, tape, and non-sterile masks);
?? Other Items - These costs include the rental of space/locations for
planning and conducting training, badges, etc.
5. Exercise Costs. FY 2006 TSGP funds may be used for the following exercise
activities:
?? Exercise Planning Workshop - Grant funds may be used to plan and
conduct an Exercise Planning Workshop to include costs related to
planning, meeting space and other meeting costs, facilitation costs,
materials and supplies, travel and exercise plan development;
?? Full or Part-Time Staff or Contractors/Consultants - Full or part-time
staff may be hired to support exercise-related activities. Payment of
salaries and fringe benefits must be in accordance with the policies of the
state or unit(s) of local government and have the approval of the state or
the awarding agency, whichever is applicable. The services of
contractors/consultants may also be procured to support the design,
development, conduct and evaluation of CBRNE exercises. The
applicant's formal written procurement policy or the Federal Acquisition
Regulations (FAR) must be followed;
?? Overtime and Backfill Costs – Overtime and backfill costs associated
with the design, development and conduct of CBRNE exercises are
allowable expenses. Payment of overtime expenses will be for work
performed by award (SAA) or sub-award employees in excess of the
established work week (usually 40 hours) related to the planning and
conduct of the exercise project(s). Further, overtime payments and
backfill costs associated with sending personnel to exercises are
allowable, provided that the event being attended is a G&T sponsored
exercise. These costs are allowed only to the extent the payment for such
services is in accordance with the policies of the state or unit(s) of local
government and has the approval of the state or the awarding agency,
whichever is applicable. In no case is dual compensation allowable. That
is, an employee of a unit of government may not receive compensation
from their unit or agency of government AND from an award for a single
period of time (e.g., 1:00 pm to 5:00 pm), even though such work may
benefit both activities. Fringe benefits on overtime hours are limited to
FICA, Workers’ Compensation and Unemployment Compensation;
?? Travel - Travel costs (i.e., airfare, mileage, per diem, hotel, etc.) are
allowable as expenses by employees who are on travel status for official
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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business related to the planning and conduct of the exercise project(s).
These costs must be in accordance with state law as highlighted in the
OGO Financial Management Guide. States must also follow state
regulations regarding travel. If a state or territory does not have a travel
policy they must follow Federal guidelines and rates, as explained in the
OGO Financial Management Guide. For further information on Federal
law pertaining to travel costs please refer to
http://www.dhs.gov/dhspublic/display?theme=18&content=4206
?? Supplies - Supplies are items that are expended or consumed during the
course of the planning and conduct of the exercise project(s) (e.g.,
copying paper, gloves, tape, non-sterile masks, and disposable protective
equipment);
?? Other Items - These costs include the rental of space/locations for
exercise planning and conduct, exercise signs, badges, etc.
6. Management and Administration (M&A) Costs. FY 2006 TSGP 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 TSGP; and,
o To assist with design, requirements, and implementation of the FY
2006 TSGP.
?? Hiring of full-time or part-time staff or contractors/consultants and
expenses related to:
o Pre-application submission management activities and application
requirements; and,
o Meeting compliance with reporting/data collection requirements,
including data calls.
?? Development of operating plans for information collection and processing
necessary to respond to DHS/G&T data calls;
?? Travel expenses;
?? Meeting-related expenses (For a complete list of allowable meetingrelated
expenses, please review the OGO Financial Management Guide
at http://www.dhs.gov/dhspublic/display?theme=18&content=4206); and,
?? Acquisition of authorized office equipment, including personal computers,
laptop computers, printers and LCD projectors.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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7. Unauthorized Program Expenditures. FY 2006 TSGP funds may not be used
for the following activities:
?? Ferry systems participating in the FY 2006 TSGP cannot apply for projects
already under consideration for FY 2006 Port Security Grant Program
(PSGP) funding;
?? Expenditures for items such as general-use software (word processing,
spreadsheet, graphics, etc), general-use computers and related
equipment (other than for allowable M&A activities, or otherwise
associated preparedness or response functions), general-use vehicles,
licensing fees, weapons systems and ammunition;
?? Personnel costs (except as detailed above);
?? Activities unrelated to the completion and implementation of the TSGP;
and,
?? Other items not in accordance with the AEL or previously listed as
allowable costs.
8. Specific Guidance on Canines
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
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 requirement3.
3 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/.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX B
MASTER LIST OF RTSWGs
AND REQUIRED
PARTICIPANTS
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Master List of RTSWGs and Required Participants
A. Purpose, Role and Composition of the RTSWG
The FY 2006 TSGP includes an optional requirement that transit systems eligible for
funding participate in an RTSWG for the purpose of aligning the RTSS with the Goal
and National Priorities..
In addition to the eligible transit systems, the RTSWG must also include representation
from the applicable SAA(s) and Urban Area Working Group(s) (UAWG), and it is
strongly recommended that other transit agencies whose systems intersect with those
of the grant recipients also participate in the RTSWG process. In addition, where transit
operations intersect with those of Amtrak in the National Capitol Region, Philadelphia,
New York, Boston, Chicago, Seattle, Sacramento, Oakland, San Jose, Los Angeles and
San Diego, a representative of Amtrak must be included in the RTSWG and close
coordination on the expenditure of funds for security enhancements at shared facilities
must occur. RTSWGs should also consider including representatives from existing
Metropolitan Planning Organizations (MPOs) and Law Enforcement Planning
Commissions (LEPCs), where feasible.
It is the responsibility of the applicable SAA(s) to coordinate and manage this
process, and to ensure that updates to the RTSS are conducted in accordance
with the guidance provided in this application kit.
The Regional Transit Security Working Group
DHS
Other
Regional
Transit
Agencies
Urban Area
Working
Group
Transit
System(s)
Receiving
Funds
Amtrak
(Where
Applicable)
State
Administrative
Agency
Regional
Transit
Sector
Working
Group
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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B. Master List of RTSWGs and Required Participants
State
SAA RTSWG Transit System Other
Participants
AZ Phoenix Regional Public Transportation Authority
City of Phoenix Public Transit Department
Southern CA Regional Rail Authority
LA County Metro Transp. Authority
City of Los Angeles Department of Transportation
Orange County Transportation Authority
Foothill Transit
Santa Monica’s Big Blue Bus
Los Angeles/Long Beach
Long Beach Transit
Amtrak
Peninsula Corridor Joint Powers Board
SF Bay Area Rapid Transit District
Altamont Commuter Express Authority
Santa Clara Valley Trans Authority
San Francisco Municipal Railway
San Francisco Bay Municipal Transp. Authority
AC Transit
Central Contra Costa Transit Authority
San Mateo County Transit Authority
Caltrans Transbay Bus Terminal
Golden Gate Bridge, Highway and Transportation
District
Blue & Gold Fleet (City of Alameda Ferry
Services)
Bay Area
City of Vallejo Transportation Program
Amtrak
Sacramento Sacramento Regional Transit District Amtrak
North San Diego County Transit District
San Diego Trolley
CA
San Diego
San Diego Metro Transit System
Amtrak
CO Denver Regional Transportation District
Washington Metropolitan Area Transit Authority
Maryland Transit Administration
VA Railway Express
Montgomery County Dept. of Transportation
Prince George’s County Dept. of Public Works &
Transportation
City of Alexandria – Alexandria Transit Co.
Fairfax County Dept. of Transportation
DC/MD/VA4 National Capital Region
Potomac & Rappahannock Transportation
Commission
Amtrak
4 The DC SAA will submit the RTSS, Investment Justification and Regional Transit Sector Overview on
behalf of the RTSWG
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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State
SAA RTSWG Transit System Other
Participants
Jacksonville Jacksonville Transportation Authority
Tri-County Commuter Rail
Miami-Dade Transit Agency
FL
Miami/Fort Lauderdale
Broward County Division of Mass Transit
Metropolitan Atlanta Rapid Transit Authority
GA Atlanta
Georgia Regional Transportation Authority
HI Honolulu City & County of Honolulu DOT Services
NE Ill Reg Commuter Rail
PACE Suburban Bus
IL/IN5 Chicago No. Indiana Commuter Trans Dist
Chicago Transit Authority
Amtrak
New Orleans Regional Transit Authority
LA New Orleans Jefferson Parish Department of Transportation
Louisiana Department of Transportation –
Crescent City Connection
MA Boston Massachusetts Bay Transportation Authority Amtrak
Detroit Transportation Corp
MI Detroit Suburban Mobility Authority for Regional
Transportation
MN Twin Cities Metro Transit
MO Saint Louis Bi-State Development Agency
Madison County Transit District (IL)
NV Las Vegas Regional Transportation Commission of Southern
NV
NY Buffalo Niagara Frontier Transp. Authority
Metropolitan Transportation Authority
Port Authority of New York and New Jersey
Westchester County Department of
Transportation
New Jersey Transit Corporation
NY/NJ/CT6
New York City
Jersey City
Newark
CT Department of Transportation
Amtrak
Cleveland Greater Cleveland Regional Trans Auth
OH Southwest Ohio Regional Transit Authority
Cincinnati Transit Authority of Northern KY
Tri-County Metropolitan Transportation District
OR Portland Clark County Public Transp. Benefit Area Auth.
Corp.
5 The IL SAA will submit the RTSS, IJ and Regional Transit Sector Overview on behalf of the RTSWG
6 The NY SAA will submit the RTSS, IJ and Regional Transit Sector Overview on behalf of the RTSWG
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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State
SAA RTSWG Transit System Other
Participants
Cambria County Transit Authority
PA Pittsburgh
Port Authority of Allegheny County
PA Department of Transportation
Port Authority Transit Corporation
Southeastern Pennsylvania Transportation
Authority
PA/NJ7
Philadelphia
New Jersey Transit Corporation
Amtrak
TN Memphis Memphis Area Transit Authority
Dallas Area Rapid Transit
Dallas/Forth Worth/Arlington Trinity Railway Express
Ft. Worth Transportation Authority
Island Transit
Houston TX Dept. of Transportation (Bolivar Roads Ferry)
Metropolitan Transit Authority of Harris County
TX
San Antonio VIA Metro Transit
Central Puget Sound Regional Trans Authority
King County Dept of Transportation
Pierce County Public Transportation Benefit Area
Authority Corporation
Snohomish County Public Transportation Benefit
Area Authority Corporation
WA Seattle
Washington State Ferries
Amtrak
WI Milwaukee Milwaukee County Transit System
7 The PA SAA will submit the RTSS, IJ and Regional Transit Sector Overview on behalf of the RTSWG
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX C
REGIONAL TRANSIT
SECTOR OVERVIEW
GUIDANCE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Regional Transit Sector Overview Guidance
A. Overview of Requirements
The optional Regional Transit Sector Overview attachment must not exceed 5 pages.
The format below is strongly suggested for this file attachment.
1. Transit Agency Contacts (for each eligible transit system)
?? Point of contact’s (POC) name and title;
?? POC’s full mailing address;
?? POC’s telephone number;
?? POC’s fax number;
?? POC’s email address;
?? Also include the corresponding information for the single authorizing official
for your organization—i.e., the individual authorized to sign a cooperative
agreement award.
2. Description of Each Eligible Transit Agency’s Operating System
?? Infrastructure;
?? Ridership data;
?? Number of passenger miles;
?? Number of vehicles and/or vessels;
?? Types of service and other important features;
?? System map;
?? Geographical borders of the system and the cities and counties served;
?? Other sources of funding being leveraged for security enhancements.
3. IED and CBRN Prevention, Detection and Response Capabilities
?? Discuss the transit sector’s current efforts to protect any underwater tunnel
infrastructure from attacks involving IEDs:
o Specific attention should be paid to any enhancements achieved as a
result of FY 2005 TSGP funding;
?? Discuss the transit sector’s current prevention, detection and response
capabilities relative to IEDs and CBRN devices generally (including sensors,
canine units, etc.):
o Specific attention should be paid to any enhancements in these
capabilities achieved as a result of FY 2005 TSGP funding;
?? Discuss the transit sector’s current additional high consequence risk
mitigation efforts, training programs for employees, emergency drills and
citizen awareness activities:
o Specific attention should be paid to any enhancements in these
capabilities achieved as a result of FY 2005 TSGP funding;
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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?? Discuss the transit sector’s requirements relative to protection of any
underwater tunnel infrastructure from attacks involving IEDs;
?? Discuss the transit sector’s required prevention, detection and response
capabilities relative to IEDs and CBRN devices (including sensors, canine
units, etc.);
?? Discuss the transit sector’s required high consequence risk mitigation needs,
anti-terrorism training programs for employees, emergency drills and citizen
awareness activities.
B. Submitting the Regional Transit Sector Overview
Release of funding is contingent upon the completion and submission of the Regional
Transit Sector Overview. Awards will be special conditioned to prohibit obligation,
expenditure and draw down of funds until a copy of Regional Transit Sector Overview is
received and approved by DHS. Regional Transit Sector Overviews must be
completed and submitted to G&T, along with the updated RTSS and Funding
Justifications, within 90 days of the FY2006 TSGP regional award date.. An
electronic copy of the Regional Transit Sector Overview must be provided by the
applicable SAA via the G&T secure portal at: https://odp.esportals.com/.
Important Note: Questions regarding the Regional Transit Sector Overview
should be directed to your G&T Program Manager, or to the G&T Centralized
Scheduling and Information Desk (CSID). The CSID can be contacted at 1-800-
368-6498 or askcsid@dhs.gov. CSID hours of operation are from 8:00 a.m. to 7:00
p.m. (EST), Monday through Friday.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX D
REGIONAL TRANSIT
SECURITY STRATEGY
GUIDANCE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Regional Transit Security Strategy Guidance
A. Overview of Requirements
Strategic planning, at its core, is a process that should guide the RTSWGs in achieving
their goals and objectives. The current strategies have strong foundations that should
support an ongoing process of review and refinement as new lessons are learned, new
priorities are realized, and new homeland security guidance is released. With the
release of the National Preparedness Goal and Guidance, RTSWGs have an
opportunity to address the four core mission areas and reflect the National Priorities in
their strategies.
Although DHS is requiring RTSWGs to revisit their current strategies, the intent of
this guidance is not to require that an entirely new strategy be written, but rather
to tailor and update, as appropriate, existing goals and objectives to support the
National Preparedness Goal and the National Priorities. States and urban areas
recently completed a similar process of alignment for their strategies. The changes
required as part of the FY 2006 TSGP, will ensure that each RTSS remains consistent
with the associated state and urban area strategies and will promote and allow for
further integration of these planning efforts.
If desired, RTSWGs may conduct a more extensive update or rewrite of their
strategies. However, at a minimum, RTSWGs must ensure that their updated
strategies address the four mission areas (prevent, protect, respond, recover)
and reflect the National Priorities8. It is important to note that it is not a
requirement to provide an individual goal and objective for each National Priority
and Action Item; RTSWGs must show, however, how their goals and objectives
align to these priorities.
As part of this effort, RTSWGs must also review the RTSS to ensure it adequately
addresses the following priorities specific to transit security: 1) the protection of
any underwater tunnels from IED attacks; 2) prevention and detection capabilities
for IEDs and other non-conventional weapons generally; 3) other high
consequence risks identified through system-wide risk assessments; 4) antiterrorism
training for transit employees; 5) emergency drills; and, 6) citizen
awareness activities. RTSWGs must also ensure that each RTSS continues to
align with the goals and objectives contained within the relevant state and urban
area strategy(ies).
It is recognized that each region has unique needs and capabilities, and the strategies
should reflect these attributes. Therefore, strategies should continue to include
additional goals and objectives that also reflect specific regional priorities.
8 This does not require an update to existing objectives if those objectives already reflect the National
Priorities. However, the alignment of those objectives to the National Priorities should be clearly
articulated.
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The current strategies, developed in FY 2005, are mostly terrorism focused. In updating
their strategies this year, RTSWGs should begin the process of evolving their strategies
to address not only terrorism, but a broad range of other threats and hazards, founded
on a capabilities-based planning approach. In the future, states, urban areas and
RTSWGs will be asked to develop enterprise-wide homeland security strategies for
2007, 2008 and 2009 that reflect the necessary integration and collaboration across all
mission areas and support the establishment of the National Preparedness System and
realization of the Goal.
B. Incorporating the National Priorities
The following paragraphs provide guidance on how to apply each of the relevant
National Priorities to the RTSS.
1. How to apply the Expanded Regional Collaboration Priority to the FY 2006
RTSS Update
Preventing, protecting against, responding to, and recovering from major events (as
represented by the National Planning Scenarios) will require that capabilities be drawn
from a wide area. The area from which resources will be drawn may or may not expand
beyond the transit sector served by the existing RTSWG. In updating their homeland
security strategies, RTSWGs are asked to examine current regional collaboration efforts
and explore new approaches to developing regional capabilities. The strategy should
provide a narrative description of how the RTSWG currently uses and plans to use
mutual aid to prevent, protect against, respond to, and recover from major events. The
strategy should present the RTSWG’s vision for increasing existing collaboration efforts
and establishing and enhancing integrated regional operations for all mission areas.
In developing this vision and updating their strategies, RTSWGs should complete
the following activities:
?? Define current collaboration efforts already undertaken across the transit
sector, across jurisdictions and across disciplines;
?? Discuss opportunities for future collaboration that can enhance capability
within the region;
?? Define future goals and objectives for a regional approach for prevention,
protection, response, and recovery;
?? Outline a process for integrating operational systems from multiple
disciplines and jurisdictions for all mission areas.
It is important to note that regional collaboration is not necessarily a structured,
institutionalized program across a region, but better defined as a strategic vision for the
future, with a multi-jurisdictional and multi-disciplinary approach to homeland security.
There is not a one-size-fits-all approach to regional collaboration, but the RTSWG’s
vision should support an enterprise-wide approach to building capability for all the
mission areas.
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2. How to apply the Implement the National Incident Management System (NIMS)
and National Response Plan (NRP) Priority to the FY 2006 RTSS Update
Both the NIMS and the NRP were formally issued by DHS after the initial strategies
were submitted to G&T. As such, RTSWGs are being asked to show how their strategic
goals and objectives support the implementation of NIMS and the alignment of their
operational plans to the NRP; the updated strategies are not, however, intended to
reproduce a completed NIMS implementation plan.
Updated strategies should indicate how RTSWGs will incorporate the NIMS/NRP into
their emergency response plans, policies and procedures, incident and resource
management, trainings, programs, and exercises. Strategies also should reflect how
NIMS/NRP will support integrated regional operational systems. This will be part of the
consistent nationwide approach for Federal, state, local, and tribal governments, as well
as the private sector, to work together more effectively and efficiently to prevent, protect
against, respond to, and recover from domestic incidents, regardless of cause, size, or
complexity.
For further information on this priority:
?? The NIMS can be found online at:
http://www.fema.gov/pdf/nims/nims_doc_full.pdf
?? The NRP can be found online at:
http://www.dhs.gov/interweb/assetlibrary/NRP_FullText.pdf
?? Additional information can be found online at:
http://www.fema.gov/nims/
3. How to apply the Implement the Interim National Infrastructure Protection Plan
(NIPP) Priority to the FY 2006 RTSS Update
Consistent with HSPD-7, “Critical Infrastructure Identification, Prioritization, and
Protection,” the NIPP reflects the 17 individual CI/KR sectors identified in the table on
the next page.
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Critical Infrastructure and Key Resource Sectors
Critical Infrastructure and Key Resource Sectors
Agriculture and Food
Public Health and Health Care
Drinking Water and Wastewater Treatment Systems
Energy
Banking and Finance
National Monuments and Icons
Defense Industrial Base
Information Technology
Telecommunications
Chemical
Transportation Systems
Emergency Services
Postal and Shipping
Dams
Government Facilities
Commercial Facilities
Nuclear Reactors, Materials, and Waste
As part of the FY 2006 TSGP, RTSWGs should work with the applicable states and
urban areas to develop and implement a critical infrastructure protection program
as a component of the overarching homeland security program for the region.
This program should engage all relevant intergovernmental coordination points (e.g.,
Federal, state, local, and tribal) to ensure a comprehensive approach to critical
infrastructure protection across all appropriate levels of government, across both public
and private sectors, within geospatial areas, and across infrastructure sectors.
In updating their strategies, RTSWGs should provide a strategic context and vision for
their infrastructure protection programs. In developing this vision, RTSWGs should
consider how they will fulfill the following roles:
?? Build a critical infrastructure protection program that implements the risk
management framework outlined in the Interim NIPP. Chapter 3 of the Interim
NIPP provides more detailed discussion of 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
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.
DHS is currently working in conjunction with Federal, state, local, tribal, and private
sector stakeholders to update and finalize the NIPP.
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For further information on this priority:
?? Refer to the NIPP or send comments and questions to NIPP@dhs.gov
?? The Department of Homeland Security’s National Strategy for the Physical
Protection of Critical Infrastructures and Key Assets:
http://www.whitehouse.gov/pcipb/physical.html
?? Homeland Security Presidential Directive – 7 (HSPD-7), “Critical Infrastructure
Identification, Prioritization, and Protection”:
http://www.whitehouse.gov/news/releases/2003/12/20031217-5.html
?? The USA PATRIOT Act defines critical infrastructure as “systems and assets,
whether physical or virtual, so vital to the United States that the incapacity or
destruction of such systems and assets would have a debilitating impact on
security, national economic security, national public health or safety, or any
combination of these matters.”: http://frwebgate.access.gpo.gov/cgibin/
getdoc.cgi?dbname=107_cong_public_laws&docid=f:publ056.107
?? The President’s National Strategy for Homeland Security (NSHS), issued in July
2002, restates the definition of critical infrastructure provided in the USA
PATRIOT Act. The Strategy expands on this definition, however, summarizing
its rationale for classifying specific infrastructure sectors as critical:
http://www.whitehouse.gov/homeland/book/
4. How to apply the Strengthen Information Sharing and Collaboration
Capabilities Priority to the FY 2006 RTSS Update
RTSWGs are encouraged to develop a strategic framework that outlines an overall
vision and approach relative to the Information Sharing and Collaboration Priority. For
the RTSSs, consideration should be given to how the fusion process will be established,
i.e., as a stand-alone capacity or through direct integration into a statewide or regional
structure, as well as how it will be organized and coordinated.
Some goals to consider in the development of the strategic framework include:
?? Ensuring that the fusion process is fully capable of communicating effectively
and efficiently with the Federal Government through the Homeland Security
Information Network (HSIN), the Homeland Security Operations Center
(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 Federal entities, and sharing the resulting products with state,
tribal, local, and private sector entities via the state's fusion process;
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?? Integrating and coordinating with key local or regional Federal intelligence
entities such as the FBI’s Field Intelligence Groups, the Joint Terrorism Task
Forces, 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 is essential.
For further information on this priority:
The Global Justice Information Sharing Initiative will release the ‘Recommended
Minimum Standards for Establishing and Operating the Intelligence Component of
Fusion Centers for Local, State, Tribal, and Federal Law Enforcement,’ in the ensuing
months.
Information Sharing and Collaboration information can be found at the following web
sites:
?? DHS Homeland Security Information Network (HSIN) website:
http://www.dhs.gov/dhspublic/display?theme=43&content=3747&print=true
?? Southwest Emergency Response Network website: www.swern.gov
?? NorthWest Warning, Alert & Response Network website: www.nwwarn.gov
?? Homeland Security Advisory Council Intelligence and Information Sharing
Initiative:
http://www.dhs.gov/interweb/assetlibrary/HSAC_IntelInfoSharingReport_1204.pdf
Information on FBI and related DOJ efforts in this area can be found at:
http://www.fbi.gov/terrorinfo/counterrorism/waronterrorhome.htm
5. How to apply the Strengthen Interoperable Communications Capabilities
Priority to the FY 2006 RTSS Update
RTSWGs should show in their updated strategy how they plan to support regional
interoperability. The strategy should also illustrate how the process is to be
implemented using the five elements within the Interoperability Continuum, and clearly
explain how the interoperable communication goal(s) fits into the overall framework of
the Continuum.
For further information on this priority:
?? For information on G&T’s Interoperable Communications Technical Assistance
Program (ICTAP):
http://www.ojp.usdoj.gov/odp/ta_ictap.htm
?? More information on implementing interoperable communications can be
obtained from SAFECOM at:
http://www.safecomprogram.gov/SAFECOM/grant/default.htm
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?? SAFECOM grant guidance can be found at:
http://www.safecomprogram.gov/SAFECOM/grant/default.htm
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX E
THE FTA TOP 20
SECURITY PROGRAM
ACTION ITEMS
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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The FTA Top 20 Security Program Action Items
TOP 20 SELF-ASSESSMENT CHECKLIST
FTA Top 20 Security Program Action Items for Transit Agencies:
Self-Assessment Checklist
Notice: This document is disseminated by the Department of Transportation in the interest of
information exchange. The United States Government assumes no liability for its contents or
use thereof.
I. Management and Accountability
1. Written security program and emergency management plans are established.
Baseline Practices:
?? Does a System Security Plan exist?
?? Does an Emergency Management Plan exist?
?? Do standard and emergency operations procedures (SOPs/EOPs) for each mode operated,
including operations control centers, exist?
Exemplary Practices:
?? Do Continuity of Operations Plans exist?
?? Does a Business Recovery Plan (administration, computer systems, operations, etc.) exist?
2. The security and emergency management plans are updated to reflect anti-terrorist
measures and any current threat conditions.
Baseline Practices:
?? What is the date of the latest update?
?? Are security plans reviewed at least annually?
?? Are reviews and changes to the plans documented?
?? Does the plan now include weapons of mass destruction protocols?
3. The security and emergency management plans are an integrated system security
program, including regional coordination with other agencies, security design criteria in
procurements and organizational charts for incident command and management systems.
Baseline Practices:
?? Are emergency management plans integrated with the regional emergency management
authority plans?
?? Do management & staff participate in planning and conducting emergency security
activities (e.g., drills, committees, etc.)?
?? Does management coordinate with the FTA regional office?
?? Are mutual aid agreements with other regional public agencies (e.g., local government, fire,
police, other transit agencies, etc.) approved and signed?
?? Does an inter-departmental program review committee exist and address security issues?
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Exemplary Practice:
?? Is security design criteria/Crime Prevention Through Environmental Design (CPTED)
included in system security program plan?
4. The security and emergency management plans are signed, endorsed and approved by
top management.
Baseline Practices:
?? Is there a policy statement emphasizing the importance of the security plan?
?? Is the security plan approved and signed by the top official?
5. The security and emergency management programs are assigned to a senior level
manager.
Baseline Practices:
?? What are the name and title of the security program manager?
?? Is there a current organizational chart identifying the reporting structure for the security
program manager?
6. Security responsibilities are defined and delegated from management through to the
front line employees.
Baseline Practices:
?? Are security plans distributed to appropriate departments in the organization?
?? Do regular senior and middle management security coordinating meetings occur?
?? Do informational briefings occur whenever security protocols are substantially updated?
?? Are lines of delegated authority/succession of security responsibilities established and
known?
7. All operations and maintenance supervisors, forepersons, and managers are held
accountable for security issues under their control.
Baseline Practices:
?? Are regular supervisor and foreperson security review & coordinating briefings held?
?? Does a security breach reporting system exist and are reports addressed through the
security program review committee?
?? Is facility security (e.g., perimeter/access control) supervision compliance monitored on a
regular basis?
II. Security Problem Identification
8. A threat and vulnerability assessment resolution process is established and used.
Baseline Practices:
?? Does a threat and vulnerability process exist and is it documented?
?? Is a threat and vulnerability assessment conducted whenever a new asset/facility is added to
the system?
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?? Have management & staff responsible for managing the threat and vulnerability assessment
process received adequate training?
?? Is the threat and vulnerability process used to prioritize security investments?
9. Security sensitive intelligence information sharing is improved by joining the FBI Joint
Terrorism Task Force (JTTF) or other regional anti-terrorism task force; the Surface
Transportation Intelligence Sharing & Analysis Center (ISAC); and security information
is reported through the National Transit Database (NTD).
Baseline Practices:
?? Does the transit agency participate in its region's JTTF or coordinate with key police and
intelligence agencies?
?? Has the transit agency joined the ST-ISAC?
?? Does the transit agency provide security information to the National Transit Database?
III. Employee Selection
10. Background investigations are conducted on all new front-line operations and
maintenance employees (i.e., criminal history and motor vehicle records).
Baseline Practices:
?? Are background checks conducted consistent with state and local laws?
?? Is the background investigation process documented?
11. Criteria for background investigations are established.
Baseline Practice:
?? Are the criteria for background checks by employee type (operator, maintenance,
safety/security sensitive, contractor, etc.) documented?
IV. Training
12. Security orientation or awareness materials are provided to all front-line employees.
Baseline Practices:
?? Are security orientation and awareness training materials updated to include counterterrorism/
WMD information?
?? Is there a system in place to track who received what training when?
Exemplary Practice:
?? Are security awareness pocket guides distributed to all front-line employees?
13. Ongoing training programs on safety, security and emergency procedures by work
area are provided.
Baseline Practices:
?? Are training programs, materials and informational briefings tailored to specific work
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groups' activities?
?? Are training program campaigns held whenever there are substantial updates to security
and emergency management plans?
14. Public awareness materials are developed and distributed on a system wide basis.
Baseline Practice:
?? Are security awareness print materials prominently displayed throughout the system (e.g.,
channel cards, posters, fliers, etc.)?
?? Is the transit agency participating in the industry's Transit Watch program?
V. Audits and Drills
15. Periodic audits of security policies and procedures are conducted.
Baseline Practices:
?? Are audits conducted periodically?
?? Is there a disposition process for handling the findings and recommendations from the
audits?
16. Tabletop and functional drills are conducted at least once every six months and fullscale
exercises, coordinated with regional emergency response providers, are performed at
least annually.
Baseline Practices:
?? Are tabletop exercises conducted at least every six months?
?? Does the agency participate in full-scale, regional field drills, held at least annually?
?? Are tabletop and drill de-briefings conducted?
?? Are after-action reports produced and reviewed for all tabletop exercises and field drills?
?? Are plans, protocols and processes updated to reflect after-action report
recommendations/findings?
VI. Document Control
17. Access to documents of security critical systems and facilities are controlled.
Baseline Practice:
?? Have security critical systems, such as tunnel HVAC systems and intrusion alarm detection
systems, been identified and documented?
Exemplary Practices:
?? Is access to security critical systems' documents controlled?
?? Is there an identified department/person responsible for administering the policy?
?? Do regular security committee meetings/briefings include reviewing document control
compliance issues?
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18. Access to security sensitive documents is controlled.
Baseline Practice:
?? Have sensitive security information (SSI) documents, such as security plans and protocols,
been identified?
Exemplary Practices:
?? Is there a documented policy for designating and properly handling SSI documents?
?? Do regular security committee meetings/briefings include reviews of SSI related matters?
VII. Access Control
19. Background investigations are conducted of contractors or others who require access
to security critical facilities, and ID badges are used for all visitors, employees and
contractors to control access to key critical facilities.
Baseline Practices:
?? Have security critical facilities been identified?
?? Is the contractor background investigation process documented?
?? Is the quality control of the process monitored on a regular basis?
?? Are the criteria for contractor background checks documented?
?? Are ID badges used for employee access control? (both policy and actual practice)
?? Are ID badges used for visitors and contractors? (both policy and actual practice)
?? Have security critical facilities been identified?
?? Are there documented policies for restricting access to security critical facilities?
VIII. Homeland Security
20. Protocols have been established to respond to the Office of Homeland Security Threat
Advisory Levels.
Baseline Practices:
?? HSAS threat advisory levels process integrated into security plans and standard/emergency
operating procedures
?? Are specific protective measures defined and developed?
Notes:
(1) This checklist covers all modes directly operated by the transit agency (e.g., bus, light rail,
heavy rail, etc.), and under contract operation (e.g., paratransit, fixed route bus, vanpools, etc.).
(2) Baseline Practices are considered the minimum requirements needed to meet the overall
security action item; Exemplary practices are additional/supplemental activities associated with
exceeding the minimum requirements and are candidates for industry best practices.
(3) Additional informational resources/references are available at "FTA Top 20 Security
Program Action Items for Transit Agencies" website:
http://transit-safety.volpe.dot.gov/security/SecurityInitiatives/Top20
(4) Questions? Please contact Rick Gerhart, FTA Office of Safety and Security at (202) 366-
8970 or Richard.Gerhart@fta.dot.gov November 7, 2003
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
APPENDIX F
NATIONAL
ENVIRONMENTAL POLICY
ACT GUIDANCE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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National Environmental Policy Act Guidance
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, the Office
of Grants and Training (G&T) 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. G&T 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. G&T will not issue an award until after NEPA
compliance has been completed. G&T 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 G&T 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 G&T’s intention to adhere to
this instruction and to require only enough analysis to accomplish the objectives
specified by the regulations.
This information may be provided using one of the attachment fields within
Grants.gov.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Transit Security Grant Program
NEPA Resource Guide
Applicant Name:
Application 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?
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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 G
BIANNUAL STRATEGY
IMPLEMENTATION
REPORT GUIDANCE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Biannual Strategy Implementation Report Guidance
A. Biannual Strategy Implementation Report (BSIR) Web Application
G&T will provide a web application for submission of the BSIR. All reports must be
completed and submitted to G&T electronically using the web application. All
information submitted to G&T through these reports is considered to be dynamic. Each
report submitted will be stored as a historical record of that submission. Updates will be
made during subsequent submissions. It is therefore critical that each report submitted
be comprehensive and include a thorough update of all information requested. All
reports must be transmitted via the web in accordance with G&T-scheduled submission
deadlines. The URL to the new web application is https://www.reporting.odp.dhs.gov/.
B. BSIR Report
For this grant process, applicants are not required to provide budget detail worksheets
with their application. However, grantees will be required to submit budget data to
G&T via the web as part of their June and December BSIR submissions. The
BSIRs should account for all funds awarded, and the applicable SAAs are
responsible for completing and submitting all BSIR reports to G&T.
The BSIR is a detailed report of the planned activities associated with G&T grant
funding. BSIR submissions are required to be completed biannually, and are due on
July 31st and January 31st of each year. The BSIR will provide a complete accounting of
how the state has complied with the requirement to pass through 97% of all funds to
transit agencies, and will also demonstrate how the planned expenditure of grant funds
will be used to administer the grant and to fund the critical resource gaps identified in
the RTSS. This will be accomplished through the specific identification of a project or
projects to be accomplished by each sub-grantee with funds provided during the grant
award period. All funds provided must be linked to one or more projects. States are
reminded to keep a record of sub-grantee budget worksheets and must make them
available for DHS review upon request.
This report must be completed for all funds retained by the state and for each subaward.
Allocation of all financial resources provided through the FY 2006 TSGP must
be used to fund the critical resource gaps identified in the RTSS.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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C. Grant Reporting Timeline
Based on a 30 month period of performance, G&T expects most grants will have a
reporting schedule similar to timeline below (see Figure 1). Most grants will have
SEVEN submissions over the course of the period of performance including, six BSIR
submissions, and one final BSIR submission.
D. Reported Information
While the web application for the BSIR will be provided to grantees, it is important for
applicants to fully understand the data points that must be collected. Each BSIR will
include, but is not limited to, the following information for funds provided to each subgrantee
and funds retained at the state level:
1. Jurisdiction Name
2. Total Award Amount
3. List the oal or objective that is being supported by the project
4. Identify the amount of funding designated for each discipline from each grant
program area:
Identify the solution area(s) in which expenditures will be made and the
amount that will be expended under each solution area:
?? Planning
?? Organization
?? Equipment
?? Training
?? Exercises
?? M&A
5. Metrics indicating project progress/success
Note: The web application provided by G&T will include appropriate data fields for all
information discussed above. Additionally, brief narrative descriptions may be required
for certain data points, such as project titles, etc.
Beginning of
Period of
Performance
Award Date
BSIR Due
July 31st
End of
Period of
Performance
120 Days
Final BSIR Due
Figure 1. Grant Reporting Timeline
January 31st
BSIR Due BSIR Due
January 31st July 31st
BSIR Due
January 31st
BSIR Due
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
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Application Checklist
All G&T TSGP applicants must complete the following:
SF-424 Grant Application with Certifications (through Grants.gov)
? Non-Supplanting Certification
? Assurances
? Certifications Regarding Lobbying; Debarment, Suspension, and
Other Responsibility Matters; and Drug-Free Workplace Requirement
? Regional Transit Sector Overview (optional)
? See guidance in Appendix C
? Submit via secure portal at: https://odp.esportals.com/
? Revised Regional Transit Security Strategy (optional)
? See guidance in Appendix D
? Submit via secure portal at: https://odp.esportals.com/
? NEPA Checklist for each project (as a file attachment in Grants.gov), if applicable
? See form in Appendix F
? DUNS Number (through Grants.gov form)
For New Transit Systems Only (those not eligible for TSGP funding in FY 2005)
? Individual System Risk Assessment
? Submit via secure portal at: https://odp.esportals.com/
? Individual Agency Security and Emergency Preparedness Plan
? Submit via secure portal at: https://opd.esportals.com/
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.
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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.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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Authorize your Organization Representative
?? 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.
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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, 97.075. 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.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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 Goal9
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.10 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.
9 As this grant guidance went to print, the final Goal document was also being prepared for release.
10 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.11 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.12 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.13
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
11 NIMS, March 2004.
12 Homeland Security Presidential Directive-7 (HSPD-7) December 2003.
13 The National Strategy for the Physical Protection of Critical Infrastructures and Key Assets, February
2003.
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allowing appropriate citizen response.14 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.15
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.
14 NIMS, March 2004.
15 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.16 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:
16 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
the NRP, HSPD-8 (i.e., the Goal) and the Interim NIPP. The NIMS Integration Center
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(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
of these partners. For example, state, territorial, local, and tribal governments are
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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 Transit 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
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
For transit agencies this role could be filled by the RTSWG, the AMSC in port areas, or
internal working groups.
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
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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:
?? 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 on the next page.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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
?? 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.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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?? 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 state or regional planning groups or
entities that currently have the ability to allocate funds based on regional
preparedness strategies. However, the process will still provide valuable
guidance on the identification of cost effective projects that address strategic
preparedness goals and objectives.
Step 5: Update Strategies and Submit Funding Justifications
Once options are chosen, entities can update their preparedness strategies and prepare
and submit annual Funding 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. Funding Justifications should identify prioritized
resource needs to close capability gaps.
Step 6: Review Justifications and Allocate Funds
The review of Funding Justifications and allocation of funds occurs at all levels of
government. At each level, relevant decision makers will lead a comparison of Funding
Justifications and map these to current resources under their control or to 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:
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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?? 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
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
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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.
States17 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 local18 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:
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
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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
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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
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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 state19 and local20 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
19 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)
20 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
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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
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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
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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
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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
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National Infrastructure Protection Plan
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
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?? 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
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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
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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.
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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
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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.
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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
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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
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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
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE OF GRANTS AND TRAINING
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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,
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and exercises that can be customized for specific state/regional programs. Grant
applicants are encouraged to consider developing or enhancing detection capabilities in
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
ACRONYMS AND
ABBREVIATIONS
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Acronyms and Abbreviations
A
AAR After Action Reports
ACH Automated Clearing House
AG Automated Guideway
AEL Authorized Equipment List
AFG Assistance to Firefighters Grant
ANSI American National Standards Institute
AOR Authorized Organization Representative
ASAP Automated Standard Application for Payments
B
BSIR Biannual Strategy Implementation Reports
BZPP Buffer Zone Protection Program
C
CAP Corrective Action Plan
CAPR Categorical Assistance Progress Reports
CBRNE Chemical, Biological, Radiological, Nuclear, and Explosive
CC Cable Car
CCR Central Contract 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
CMC Crisis Management Center
CMIA Cash Management Improvement Act
COR/COS Carrier Operated Relay/Carrier Operated Squelch
CRWG Comprehensive Review Working Group
CPTED Crime Prevention Through Environmental Design
CSID Centralized Scheduling and Information Desk
D
D&B Dun and Bradstreet
DHS U.S. Department of Homeland Security
DLA Defense Logistics Agency
DNDO Domestic Nuclear Detection Office
DOE U.S. Department of Energy
DOT U.S. Department of Transportation
DUNS Data Universal Numbering System
E
EA Environmental Assessment
EIS Environmental Impact Statement
EMI Emergency Management Institute
EMS Emergency Medical Service
EOC Emergency Operations Center
EOP Emergency Operations Plans
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ESF Emergency Support Functions
F
FAR Federal Acquisition Regulations
FCC Federal Communications Commission
FICA Federal Insurance Contributions Act
FOIA Freedom of Information Act
FSR Financial Status Report
FTA Federal Transit Administration
FTE Full-Time Employees
FJ Funding Justification
FY Fiscal Year
G
G&T Office of Grants and Training
GAN Grant Adjustment Notice
GMS Grants Management System
GPS Global Positioning Systems
H
HDER Homeland Defense Equipment Reuse
HHS U.S. Department of Health and Human Services
HRSA Health Resources and Services Administration
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
ICS Incident command system
ICTAP Interoperable Communications Technical Assistance Program
ID Identity
IED Improvised Explosive Device
IEDDA International Explosive Detection Dog Association
IP Improvement Plan
IPP Infrastructure Protection Program
ISAC Information Sharing & Analysis Center
IWN Integrated Wireless Network
J
JIC Joint Information Center
JIS Joint Information System
JTTF Joint Terrorism Task Force
L
LEP Limited English Proficiency
LLIS Lessons Learned Information Sharing
LMR Land Mobile Radio
LOCES Letter of Credit Electronic Certification System
M
M&A Management and Administrative
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MARSEC Maritime Security
MIPT Memorial Institute for the Prevention of Terrorism
MO Monorail
MOU Memorandum of Understanding
MPIN Marketing Partner Identification Number
MRA Mutual Response Agreement
MT/HSAP Mass Transit Homeland Security Assistance Program
MTSA Maritime Transportation Security Act
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 Support 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
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
OGO Office of Grant Operations
OIC Office for Interoperability and Compatibility
OJP Office of Justice Programs
OGC Office of General Counsel
OMB Office of Management and Budget
P
PAPRS Phone Activated Paperless Request System
POC Point of Contact
POETE Planning, Organization, Equipment, Training, and Exercises
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 Program
PSTN Public Switched Telephone Network
PTT Push-to-Talk
R
RAD/NUC Radiological/Nuclear
RDT&E Research, Development, Test and Evaluation
RKB Responder Knowledge Base
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RTSWG Regional Transit Security Work Group
RTSS Regional Transit Security Strategy
S
S&T Science and Technology
SAA State Administrative Agency
SEL Standardized Equipment List
SEPP Security and Emergency Preparedness Plan
SOP Standard Operating Procedures
SPOC Single Point of Contact
SSI Sensitive Security Information
SSA Sector Specific Agency
SSP Sector-Specific Plan
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
TSOC Transportation Security Operations Center
TSI Transportation Security Incident
U
UASI Urban Area Security Initiative
UAWG Urban Area Working Group
USA
PATRIOT
Uniting and Strengthening America by Providing Appropriate Tools
Required to Intercept and Obstruct Terrorism Act of 2001
USC United States Code
USPCA United States Police Canine Association
UTL Universal Task List
V
VOX Voice Operated Transmit
W
WMD Weapons of Mass Destruction