HomeMy WebLinkAboutItem 35 - FY 2022 Emergency Management Performance Grant Police Department
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Item # 35
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 7, 2023
TOPIC: FY 2022 Emergency Management Performance Grant
AGENDA TITLE
Adopt a Resolution, Approve an Agreement and Appropriation Adjustment Accepting
the FY 2022 Emergency Management Performance Grant (Non-General Fund)
RECOMMENDED ACTION
1. Adopt a resolution authorizing the City Manager to act on behalf of the City of Santa
Ana for obtaining federal funds related to homeland security, emergency
management and/or disaster recovery, provided by the U.S. Department of
Homeland Security and sub-granted through the State of California and the County
of Orange.
Resolution No. 2023-XXX entitled A RESOLUTION OF THE CITY COUNCIL OF THE
CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER OR HER
DESIGNEE(S) TO OBTAIN 2022 EMERGENCY MANAGEMENT PERFORMANCE
GRANT FUNDS THROUGH THE COUNTY OF ORANGE
2. Authorize the City Manager to execute a two-year agreement with the County of
Orange for the period of July 1, 2022 through June 30, 2024, for the FY 2022
Emergency Management Performance Grant in an amount not to exceed $52,569,
subject to non-substantive changes approved by the City Manager and City Attorney
(Agreement No. 2023-XXX).
3. Approve an appropriation adjustment recognizing $52,569 in Law Enforcement
Grants revenue account, and appropriating same to the Emergency Management
Performance Grant expenditure account. (Requires five affirmative votes)
GOVERNMENT CODE §84308 APPLIES:Yes
DISCUSSION
The Emergency Management Performance Grant (EMPG) is funded by the U.S.
Department of Homeland Security and is passed through the State of California Office of
FY 2022 Emergency Management Performance Grant
November 7, 2023
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Emergency Services. The EMPG grant is designed to assist state and local emergency
management and disaster preparedness programs with employment and development of
emergency management staff, development of emergency plans and procedures, and
preparing cities for disaster response. The EMPG grant is distributed by population to
counties and cities that maintain emergency management staff and meet training,
exercising, and reporting requirements. The County of Orange, Sheriff-Coroner
Department is the lead agency for the county.
In November 2022, the Police Department submitted an initial application for the FY 2022
EMPG Grant and has been awarded $52,569. The Police Department will utilize this
funding to purchase laptop computers and a laptop charging/storage cabinet to equip the
City’s Emergency Operations Center. The grant requires a dollar-for-dollar
match. Existing Police Department funding of the Emergency Operations Coordinator
position fulfills the requirement for matching funds.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
The appropriation adjustment will recognize $52,569 in Law Enforcement Grants, Federal
Grant-Indirect revenue account (no. 12814002-52001), and appropriate same to FY 22
EMPG Grant expenditure account (no. 12814414-63001) as follows:
Fiscal Year Accounting Unit
– Account #
Fund
Description
Accounting Unit, Account
Description Amount
FY 23-24 12814414-63001
Law
Enforcement
Grants
EMPG Grant,
Miscellaneous Operating
Expenses
$52,569
Total $52,569
EXHIBIT(S)
1. Proposed Resolution
2. FY 2022 EMPG Transfer Agreement with County of Orange
Submitted By: David Valentin, Police Chief
Approved By: Steven Mendoza, Acting City Manager
Resolution No. 2023-XXX
Page 1 of 2
RESOLUTION NO. 2023-xxx
A RESOLUTION OF THE CITY COUNCIL OF THE CITY
OF SANTA ANA AUTHORIZING THE CITY MANAGER
OR HER DESIGNEE(S) TO OBTAIN 2022
EMERGENCY MANAGEMENT PERFORMANCE
GRANT FUNDS THROUGH THE COUNTY OF
ORANGE
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA
AS FOLLOWS:
Section 1. The City Council of the City of Santa Ana hereby finds,
determines and declares as follows:
A.The State of California Office of Emergency Services is responsible for
implementing the United States Department of Homeland Security's
Emergency Management Performance Grant Program (EMPG). The
funds cover the salary costs for personnel involved in emerg ency
management activities as well as the cost of miscellaneous equipment
identified on the OHS approved equipment list.
B.The County of Orange is a subgrantee of the 2022 EMPG funds and
will provide funds to local governments for implementation of
countywide emergency management capabilities.
C.The City of Santa Ana is one of the subrecipients of the EMPG funds
and has been allocated $52,569 of the County of Orange's EMPG
fund.
Section 2. The City Council of the City of Santa Ana hereby authorizes the
City Manager, on terms acceptable to the City Attorney, to execute a subrecipient
transfer agreement (also called a transfer agreement) with the County of Orange
and/or Orange County Sheriff's Department in an amount not to exceed $52,569.
Section 3. The City Council of the City of Santa Ana hereby authorizes and
directs the City Manager or the City Manager’s designee, on terms acceptable to the
City Attorney, to prepare reimbursement agreements for salary costs, equipment,
services, or training with the County of Orange pursuant to the guidelines set for in
the EMPG program and EMPG Articles, Assurances, Certifications, Terms and
Conditions.
Section 4. The City Council of the City of Santa Ana hereby approves an
Appropriation Adjustment recognizing the FY 2022 Emergency Management
EXHIBIT 1
Resolution No. 2023-XXX
Page 2 of 2
Performance Grant in the amount of $52,569 and appropriates same in the FY 2022
Emergency Management Performance Grant expenditure accounts.
Section 5. This Resolution shall take effect immediately upon the
signing of this Resolution by the City Council and the Clerk of the Council shall
attest to and certify this the vote adopting this Resolution.
SIGNED this day of _______________, 2023.
______________________________
Valerie Amezcua
Mayor
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By: Tamara Bogosian
Senior Assistant City Attorney
AYES: Councilmembers
NOES: Councilmembers
ABSTAIN: Councilmembers
NOT PRESENT: Councilmembers
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, JENNIFER L. HALL, City Clerk, do hereby attest to and certify the attached
Resolution No. 2023-XXX to be the original resolution adopted by the City Council of
the City of Santa Ana on , 2023.
Date:_______________ _____________________________
City Clerk
City of Santa Ana
CFDA: 97.042
Emergency Management Performance Grant
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AGREEMENT TO TRANSFER FUNDS
FOR 2022 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM
THIS AGREEMENT is entered into this ______ day of ________ 2023, which date is
enumerated for purposes of reference only, by and between the COUNTY OF ORANGE, a political
subdivision of the State of California, hereinafter referred to as “COUNTY,”and
CITY OF SANTA ANA, a municipal corporation, hereinafter referred to as “SUBRECIPIENT.”
WHEREAS, COUNTY, acting through its Sheriff-Coroner Department, hereinafter referred to
as SHERIFF, in its capacity as the lead agency for the Operational Area, has applied for, received
and accepted the Emergency Management Performance Grant (hereinafter referred to as “the grant”)
from the California Office of Emergency Services (“CalOES”).
WHEREAS, the purpose of the grant is to support comprehensive emergency management
at the state, tribal and local levels and to encourage the improvement of prevention, protection,
mitigation, response and recovery capabilities for all hazards, as set forth in Attachment A
hereto (FEMA Preparedness Grants Manual), which is attached hereto and incorporated herein by
reference.
NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
1.COUNTY shall transfer to SUBRECIPIENT grant funds, in arrears, as necessary to
reimburse SUBRECIPIENT for reasonable and permissible expenditures for the grant purposes. In
order to obtain grant funds, SUBRECIPIENT shall comply with the instructions and submit to SHERIFF
all required information and documentation, as set forth in Attachment B (FY2022 EMPG Financial
Management Forms Workbook), which is attached hereto and incorporated herein by reference.
2.Throughout their useful life, grant property and equipment shall be used by
SUBRECIPIENT only for grant purposes in accordance with Attachment A hereto.
3.SUBRECIPIENT shall exercise due care to preserve and safeguard grant property and
equipment from damage or destruction and shall provide regular maintenance and such repairs for grant
property and equipment as are necessary, in order to keep said grant property and equipment
continually in good working order.
EXHIBIT 2
CFDA: 97.042
Emergency Management Performance Grant
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4.If grant property or equipment becomes obsolete, SUBRECIPIENT shall dispose of it
only in accordance with the instructions of COUNTY or the agency from which COUNTY received the
grant funds.
5.SUBRECIPIENT shall submit to the COUNTY grant program reporting documents and
information in accordance with requirements set out in the Attachment C (FY2022 Emergency
Management Performance Grant Program: California Supplement to the FEMA Preparedness Grants
Manual; or, The State Guidance), which is attached hereto and incorporated herein by reference.
6.By executing this Agreement, SUBRECIPIENT agrees to comply with and be fully
bound by this Agreement and all applicable provisions of Attachments A, B, C, and D (Standard
Assurances for all CalOES Federal Grant Programs) hereto. SUBRECIPIENT shall notify COUNTY
immediately upon discovery that it has not abided or no longer will abide by any applicable provision of
this Agreement or Attachments A, B, C, or D hereto.
7.SUBRECIPIENT agrees to indemnify, defend and save harmless COUNTY and the
agency from which COUNTY received grant funds, and their elected and appointed officials, officers,
agents and employees from any and all claims and losses accruing or resulting to any and all contractors,
subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work,
services, materials or supplies in connection with SUBRECIPIENT’s performance of this Agreement,
including Attachments A, B, C, and D hereto, and from any and all claims and losses accruing or
resulting to any person, firm, or corporation who may be injured or damaged by SUBRECIPIENT in the
performance of this Agreement, including Attachments A, B, C, and D hereto.
8.No alteration or variation of the terms of this Agreement shall be valid unless made in
writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or
agreement not incorporated herein shall be binding on any of the parties hereto.
9.SUBRECIPIENT may not assign this Agreement in whole or in part without the express
written consent of COUNTY.
10.SUBRECIPIENT shall provide to COUNTY all records and information requested by
COUNTY for inclusion in quarterly reports and such other reports or records as COUNTY may be
CFDA: 97.042
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required to provide to the agency from which COUNTY received grant funds or other persons or
agencies.
11.For a period of three years after the final Federal Financial Report hereunder or until all
claims related to this Agreement are finally settled, whichever is later, SUBRECIPIENT shall preserve
and maintain all documents, papers and records relevant to the work performed or property or equipment
acquired in accordance with this Agreement, including Attachments A, B, C, and D hereto. For the
same time period, SUBRECIPIENT shall make said documents, papers and records available to
COUNTY and the agency from which COUNTY received the grant funds or their duly authorized
representative(s), for examination, copying, or mechanical reproduction on or off the premises of
SUBRECIPIENT, upon request, during usual working hours.
12.SUBRECIPIENT and COUNTY shall be subject to examination and audit by the State
Auditor General with respect to this Agreement for a period of three years after the final Federal
Financial Report hereunder.
13.COUNTY may terminate this Agreement and be relieved of the payment of any
consideration to SUBRECIPIENT if a) SUBRECIPIENT fails to perform any of the covenants
contained in this Agreement, including the applicable terms of Attachments A, B, C, and D hereto, at the
time and in the manner herein provided, or b) COUNTY loses funding under the grant. In the event of
termination, COUNTY may proceed with the work in any manner deemed proper by COUNTY.
14.SUBRECIPIENT and its agents and employees shall act in an independent capacity in
the performance of this Agreement, including Attachments A, B, C, and D hereto, and shall not be
considered officers, agents or employees of COUNTY or SHERIFF o r of the agency from which
COUNTY received grant funds.
15.By signing this Agreement, SUBRECEIPIENT understands and agrees that:
a.Failure to follow grant guidance, including those detailed below, will result in
ineligibility for any reimbursement under the FY22 EMPG:
b.A SUBRECIPIENT representative must attend half of the Orange County Emergency
Managers Organization meetings held from July 1, 2022 through June 30, 2024;
CFDA: 97.042
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c.SUBRECIPIENT must maintain National Incident Management System (NIMS)
compliance;
d.For any personnel whose salary is charged to the grant, that specific individual must
meet the training and exercise requirements set forth in the grant guidance;
e.Only those expenditures specifically detailed in the Financial Management Forms
Workbook are approved for funding; any changes must be pre-approved by the
California Office of Emergency Services;
IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange,
State of California.
APPROVED AS TO FORM
COUNTY COUNSEL
By
Wendy J. Phillips, Senior Deputy
DATED: August 15 , 2023
COUNTY OF ORANGE, a political subdivision
of the State of California
By
Sheriff-Coroner
“COUNTY”
DATED: , 2023
ATTEST:
Jennifer L. Hall, City Clerk
DATED:
SUBRECIPIENT
By
Title:
DATED:
Chief of Police
, 2023 , 2023
APPROVED AS TO FORM:
SONIA R. CARVALHO
City Attorney
By: _______________________
TAMARA BOGOSIAN
Senior Assistant City Attorney
CITY OF SANTA ANA
_______________________
STEVEN A. MENDOZA
Acting City Manager
CITY OF SANTA ANA
Fiscal Year 2023 Preparedness
Grants Manual
FEMA Grant Programs Directorate
FEMA Manual (FM) 207-22-0001Version 4, 2023
ATTACHMENT A
1
Table of Contents
Table of Contents 1
About the Federal Emergency Management Agency (FEMA) 6
Overview of FEMA 6
Overview of Preparedness Grant Programs 6
Homeland Security Grant Program (HSGP) 6
Tribal Homeland Security Grant Program (THSGP) 7
Nonprofit Security Grant Program (NSGP) 7
Transit Security Grant Program (TSGP) 7
Intercity Bus Security Grant Program (IBSGP) 7
Intercity Passenger Rail (IPR) Program – Amtrak 7
Port Security Grant Program (PSGP) 7
Emergency Management Performance Grant (EMPG) Program 7
Foreword 8
The National Preparedness Goal 8
Pre-Award Application and Submission 9
Pre-Submission Information 9
Agreeing to Terms and Conditions of the Award 9
Address to Request Application Package 10
Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management
(SAM), and Submit an Application 10
Electronic Delivery 11
How to Register to Apply through Grants.gov 11
How to Submit an Initial Application to DHS/FEMA via Grants.gov 13
Submitting the Final Application in ND Grants 14
Timely Receipt Requirements and Proof of Timely Submission 15
Standard Required Application Forms and Information 15
Intergovernmental Review 16
Funding Restrictions and Allowable Costs 16
Management and Administration (M&A) 18
Procedures for Establishing Indirect Cost Rates 19
Award Determination and Obligation 20
Allocations 20
Risk Methodology 20
Application Evaluation Criteria 20
Supplemental Financial Integrity Review 21
Review and Selection Process 21
Federal Award Administration Information 21
2
Notice of Award 21
Pass-Through Requirements 22
Administrative and National Policy Requirements 22
Post-Award Management and Implementation 27
Reporting 27
Federal Financial Reporting Requirements 27
Federal Financial Report (FFR) 27
Financial Reporting Periods and Due Dates 27
Program Performance Reporting Requirements 27
Performance Progress Report (PPR) 27
Program Performance Reporting Periods and Due Dates 28
Additional Programmatic Reporting Requirements and Information 28
Biannual Strategy Implementation Report (BSIR) 28
Closeout Reporting Requirements 28
Administrative Closeout 29
Disclosing Information per 2 C.F.R. § 180.335 30
Reporting of Matters Related to Recipient Integrity and Performance 30
Single Audit Report 30
Additional Information 31
Monitoring and Oversight 31
Overview 31
Financial Monitoring Overview and Approach 32
Programmatic Monitoring Overview and Approach 34
Case Studies and Use of Grant-Funded Resources During Real-World Incident Operations 35
Termination Provisions 35
Period of Performance (POP) Extensions 35
Disability Integration 36
Conflicts of Interest in the Administration of Federal Awards or Subawards 37
Procurement Integrity 38
Important Changes to Procurement Standards in 2 C.F.R Part 200 38
Competition and Conflicts of Interest 39
Supply Schedules and Purchasing Programs 40
Financial Assistance Programs for Infrastructure 42
Build America, Buy America Act 42
Waivers 42
Definitions 42
Records Retention 43
Actions to Address Noncompliance 44
Audits 45
Payment Information 46
National Campaigns and Programs 47
FEMA Strategic Plan 47
Whole Community Preparedness 47
3
Active Shooter Preparedness 48
Soft Targets and Crowded Places 48
Community Lifelines 49
Strategic Framework for Countering Terrorism and Targeted Violence 50
Countering Violent Extremism (CVE) Training 50
Program Appendix A: Homeland Security Grant Program (HSGP) 1
Alignment of HSGP to the National Preparedness System 1
HSGP Funding Guidelines 2
Reporting on the Implementation of the National Preparedness System 21
Identifying and Assessing Risk and Estimating Capability Requirements 21
Building and Sustaining Capabilities 22
National Incident Management System (NIMS) Implementation 22
Planning to Deliver Capabilities 22
Validating Capabilities 23
Fusion Centers 24
Fusion Center Performance Measures 26
Continuity Capability 27
Governance 28
Supplemental SHSP and UASI Guidance 32
Supplemental OPSG Program Guidance 35
OPSG Operational Guidance 38
HSGP Supplemental Material 44
Supplemental Emergency Communications Guidance 47
Program Appendix B: Tribal Homeland Security Grant Program (THSGP) 1
Alignment of THSGP to the National Preparedness System 1
THSGP Funding Guidelines 4
THSGP Priorities 4
Allowable Costs 4
THSGP Investment Modifications – Changes in Scope or Objective 13
Program Appendix C: Nonprofit Security Grant Program (NSGP) 1
NSGP Funding Guidelines 1
NSGP Priorities 1
Allowable Costs 1
NSGP Investment Modifications – Changes in Scope or Objective 7
Pass-Through Requirements 8
SAM/UEI Requirements for Recipients and Subrecipients 9
Program Appendix D: Transit Security Grant Program (TSGP) 1
TSGP Funding Guidelines 1
Pre-Award Costs 1
TSGP Priorities 1
Security Plan Requirements 1
Allowable Direct Costs 2
4
Allowable Indirect Costs 12
Unallowable Costs 12
Maintenance and Sustainment Costs 13
Encouraged Use of Certain Products Produced in the United States 13
Program Appendix E: Intercity Bus Security Grant Program (IBSGP) 1
IBSGP Priorities 1
Pre-Award Costs 1
Allowable Direct Costs 1
Indirect Costs 7
Unallowable Costs 7
Other Allowable Costs 8
Encouraged Use of Certain Products Produced in the United States 9
Program Appendix F: Intercity Passenger Rail (IPR) Program 1
IPR Funding Guidelines 1
IPR Priorities 1
Security Plan Requirements 1
Allowable Costs 2
Operational Activities 3
Funding Availability for OPacks 4
Specific Guidance on EDCT 5
Program Appendix G: Port Security Grant Program (PSGP) 1
PSGP Funding Guidelines 1
PSGP Priorities 1
Limitations on Funding 1
Allowable Direct Costs 2
Port-Wide Risk Management Plans 17
Sample Memorandum of Understanding/Agreement (MOU/MOA) 17
PSGP Investment Modifications 18
Program Appendix H: 1
EMPG Program Priorities 1
Alignment of the EMPG Program to the National Preparedness System 1
Implementation of the National Preparedness System 2
Identifying and Assessing Risk and Estimating Capability Requirements 2
Building and Sustaining Core Capabilities 3
National Incident Management System (NIMS) Implementation 3
National Qualifications System (NQS) Implementation 3
Logistics Planning 6
Distribution Management Plans 6
Additional Logistics Planning Resources 6
Evacuation Planning 7
Disaster Housing Planning 8
State Disaster Recovery Coordinator 9
5
Disaster Financial Management Policies and Procedures 10
Training and Exercises 11
Reviewing and Updating Planning Products 15
Additional Considerations 15
Program Performance Reporting Requirements 16
Performance Progress Reports (PPR) 16
Standardized Programmatic Reporting for the EMPG Program 17
EMPG Program Funding Guidelines 18
Allowable Costs 18
Management and Administration (M&A) 18
Indirect Costs 18
Unrecovered Indirect Costs 18
Whole Community Preparedness 18
Planning 20
Continuity Planning 21
Organization 22
Equipment 23
Training 24
Exercises 25
Construction and Renovation 26
Acquisition of Real Property 28
Leasing of Real Property 28
Maintenance and Sustainment 29
Unallowable Costs 29
Amendments for EMPG Costs 29
EMPG Program Work Plan 31
EMPG Program Work Plan Instructions 31
Definitions and Guidance 32
Quick Links 32
Grant Investment Strategy 32
Grant Activities Outline 33
Detailed Budget – Excluding M&A 35
Budget Narrative – Excluding M&A 35
Detailed Budget – M&A Only 36
Budget Narrative – M&A Only 36
Information for the Detailed Budget and Budget Narrative 36
EMPG Program Summary 38
Implementation Schedule 38
Training Data Table 39
Exercise Data Table 40
EMPG Requirements Matrix 41
6
About the Federal Emergency Management
Agency (FEMA)
Overview of FEMA
FEMA’s mission is helping people before, during, and after disasters, and it has done so for more than 40
years. FEMA remains committed to building resilience and developing a culture of preparedness across
the country and unifying all levels of community and government in an integrated approach to emergency
management. FEMA is part of a larger team of federal agencies, state, local, tribal, and territorial (SLTT)
governments, and non-governmental partners that share responsibility for emergency management and
national preparedness. Those closest to areas impacted by any emergency or disaster are the true first
responders—individuals, families, neighbors, and local communities. FEMA’s role is to coordinate
federal resources to supplement SLTT capabilities. FEMA does this by coordinating across the levels of
government, meaning that states and their local units of government, tribes, and territories are FEMA’s
primary partners.
Overview of Preparedness Grant Programs
FEMA has the statutory authority to deliver numerous disaster and non-disaster financial assistance
programs in support of its mission, and that of the U.S. Department of Homeland Security (DHS), largely
through grants and cooperative agreements. These programs account for a significant amount of the
federal assistance funds for which FEMA is accountable. FEMA officials are responsible and accountable
for the proper administration of these funds pursuant to federal laws and regulations, Office of
Management and Budget circulars, and federal appropriations laws and principles. FEMA has developed
this Manual to provide additional direction on grant policy and implementation for the following grant
programs:
Homeland Security Grant Program (HSGP)
The HSGP includes a suite of risk-based grants to assist SLTT efforts in preventing, preparing for,
protecting against, and responding to acts of terrorism. The grants under HSGP include:
• State Homeland Security Program (SHSP)
The SHSP assists SLTT efforts to build, sustain, and deliver the capabilities necessary to prevent,
prepare for, protect against, and respond to acts of terrorism.
• Urban Area Security Initiative (UASI)
The UASI Program assists high-risk urban areas’ efforts to build, sustain, and deliver the
capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism.
• Operation Stonegarden (OPSG)
OPSG supports enhanced cooperation and coordination among U.S. Customs and Border
Protection (CBP), United States Border Patrol (USBP), and federal and SLTT law enforcement
agencies to improve overall border security. OPSG provides funding to support joint efforts to
secure the United States’ borders along routes of ingress/egress to and from international borders,
to include travel corridors in states bordering Mexico and Canada, as well as states and territories
with international water borders. SLTT law enforcement agencies utilize their own law
enforcement authorities to support the border security mission and do not receive any additional
authority by participating in OPSG.
7
Tribal Homeland Security Grant Program (THSGP)
The THSGP provides funding directly to eligible tribes to strengthen their capacity to prevent, prepare
for, protect against, and respond to potential terrorist attacks.
Nonprofit Security Grant Program (NSGP)
The NSGP provides funding for physical security enhancements and other security-related activities to
nonprofit organizations that are at high risk of a terrorist or other extremist attack. The NSGP also seeks
to integrate the preparedness activities of nonprofit organizations with broader state and local
preparedness efforts.
Transit Security Grant Program (TSGP)
The TSGP provides funds to eligible public transportation systems (which include intra-city bus, ferries,
and all forms of passenger rail) to protect critical transportation infrastructure and the travelling public
from terrorism, and to increase transportation infrastructure resilience.
Intercity Bus Security Grant Program (IBSGP)
The IBSGP provides funds to eligible private operators of intercity over-the-road bus transportation
systems to protect critical transportation infrastructure and travelling public from acts of terrorism, and to
increase transportation infrastructure resilience.
Intercity Passenger Rail (IPR) Program – Amtrak
The IPR provides funds to the National Railroad Passenger Corporation (Amtrak) to protect critical
transportation infrastructure and the travelling public from terrorism, and to increase transportation
infrastructure resilience.
Port Security Grant Program (PSGP)
The PSGP provides funding to port authorities, facility operators, and state and local agencies for
activities associated with implementing Area Maritime Security Plans, facility security plans, and other
port-wide risk management efforts.
Emergency Management Performance Grant (EMPG) Program
The EMPG Program provides funds to assist SLTT emergency management agencies in obtaining the
resources required for implementation of the National Preparedness System and the National
Preparedness Goal of a secure and resilient nation.
8
Foreword
FEMA has developed this Preparedness Grants Manual to guide applicants and grant recipients on how
to manage their grants and other resources. Recipients seeking guidance on policies and procedures for
managing preparedness grants should reference this Manual for further information on both program-
specific information as well as overall guidance on rules and regulations that guide the proper
management of FEMA grants.
The National Preparedness Goal
The National Preparedness Goal (the Goal) is “[a] secure and resilient Nation with the capabilities
required across the whole community to prevent, protect against, mitigate, respond to, and recover from
the threats and hazards that pose the greatest risk.” See Department of Homeland Security, National
Preparedness Goal, Second Edition, (Sept. 2015). The Goal essentially defines what it means for all
communities to be prepared collectively for the threats and hazards that pose the greatest risk to the
nation. The Goal identifies 32 distinct activities, called core capabilities, needed to address the risks. The
Goal organizes these core capabilities into five categories, called mission areas. Some core capabilities
apply to more than one mission area. For example, the first three core capabilities—Planning, Public
Information and Warning, and Operational Coordination—are cross-cutting capabilities, meaning they
apply to each of the five mission areas. The National Preparedness Goal describes the five mission areas
as follows:
•Prevention: Prevent, avoid, or stop an imminent, threatened, or actual act of terrorism.
•Protection: Protect our citizens, residents, visitors, and assets against the greatest threats and
hazards in a manner that allows our interests, aspirations, and way of life to thrive.
•Mitigation: Reduce the loss of life and property by lessening the impact of future disasters.
•Response: Respond quickly to save lives, protect property and the environment, and meet basic
human needs in the aftermath of an incident.
•Recovery: Recover through a focus on the timely restoration, strengthening, and revitalization of
infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic,
and environmental fabric of communities affected by an incident.
The mission areas and core capabilities organize the activities and tasks performed before, during, and
after disasters into a framework for achieving the goal of a secure and resilient Nation. Resilience is the
desired outcome, defined in the Goal as the “ability to adapt to changing conditions and withstand and
rapidly recover from disruption due to emergencies.” Id. at A-2. For more information about the Goal, go
to National Preparedness Goal | FEMA.gov.
Recipients will use the National Preparedness System to build, sustain, and deliver these core capabilities.
The components of the National Preparedness System are Identifying and Assessing Risk, Estimating
Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities,
Validating Capabilities, and Reviewing and Updating. Additional information on the National
Preparedness System is available at National Preparedness System | FEMA.gov. Additional details
regarding the National Preparedness System and how it is supported by these grant programs can be
found in the program-specific appendices.
9
Pre-Award Application and Submission
Pre-Submission Information
These instructions apply to the following programs:
•Homeland Security Grant Program;1
•Tribal Homeland Security Grant Program;
•Nonprofit Security Grant Program;
•Transit Security Grant Program;
•Intercity Bus Security Grant Program;
•Intercity Passenger Rail Program;
•Port Security Grant Program; and
•Emergency Management Performance Grant Program.
All applications must be received by the established deadline established in each program’s Notice of
Funding Opportunity (NOFO). The Non-Disaster (ND) Grants System has a date stamp that indicates
when an applicant submits their application. Applicants will receive an electronic message confirming
receipt of their submission. For additional information on how an applicant will be notified of application
receipt, see the section titled “Timely Receipt Requirements and Proof of Timely Submissi on.”
FEMA will not review applications that it receives after the deadline, nor will it consider these late
applications for funding. FEMA may, however, extend the application deadline on request for an
applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an
extension may include technical problems outside of the applicant’s control that prevent submission of the
application by the deadline, other exigent or emergency circumstances, or statutory requirements for
FEMA to make an award.
Applicants experiencing technical problems outside of their control must notify the respective
FEMA Preparedness Officer or Program Manager as soon as possible and before the application
deadline. Failure to timely notify FEMA of the issue that prevented the timely filing of the application
may preclude consideration of the award. “Timely notification” of FEMA means the following: prior to
the application deadline and within 48 hours after the applicant became aware of the issue.
For additional assistance using the ND Grants System, please contact the ND Grants Service Desk at
(800) 865-4076 or NDGrants@fema.dhs.gov. The ND Grants Service Desk is available Monday through
Friday, 9 a.m. – 6 p.m. ET. For programmatic or grants management questions, please contact your
Preparedness Officer or Program Manager. If applicants do not know their FEMA Preparedness Officer
or if there are programmatic questions or concerns, please contact the Centralized Scheduling and
Information Desk (CSID) by phone at (800) 368-6498 or by e-mail at askcsid@fema.dhs.gov, Monday
through Friday, 9 a.m. – 5 p.m. ET.
Agreeing to Terms and Conditions of the Award
By submitting an application, the applicant agrees to comply with the requirements of the applicable
NOFO, this Manual, and the applicable appendix to this Manual, as well as the terms and conditions of its
award should it receive an award.
1 Under this program, these instructions apply to SHSP, UASI, and OPSG.
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Address to Request Application Package
Initial applications are processed through the Grants.gov portal. Final applications are completed and
submitted through FEMA’s ND Grants System. Application forms and instructions are available on
Grants.gov. Hard copies of the NOFO and associated application materials can also be downloaded at
Grants.gov. To access these materials, go to Grants.gov, select “Applicants” then “Apply for Grants .” In
order to obtain the application package, select “Download a Grant Application Package.” Enter the
Assistance Listing (formerly CFDA) and/or the funding opportunity number located on the cover of the
program’s NOFO, select “Download Package,” and then follow the prompts to download the application
package. In addition, the following Telephone Device for the Deaf (TDD) and/or Federal Information
Relay Service (FIRS) number available for this Notice and all relevant NOFOs is (800) 462-7585.
Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award
Management (SAM), and Submit an Application
Applying for an award under the programs covered by this Manual is a multi-step process and requires
time to complete. Applicants are encouraged to register early, as the registration process can take four
weeks or more to complete. Therefore, registration should be done in sufficient time to ensure it does not
impact the applicant’s ability to meet required submission deadlines. Failure of an applicant to comply
with any of the required steps in submitting an application before the deadline may disqualify that
application from funding consideration.
To apply for an award, all applicants must:
1.Apply for, update, or verify their Unique Entity Identifier (UEI) number from SAM.gov, and
Employer Identification Number (EIN) from the Internal Revenue Service;
2.In the application, provide a UEI number;
3.Have an account with login.gov;
4.Register for, update, or verify their SAM account and ensure the account is active before
submitting the application;
5.Create a Grants.gov account;
6.Add a profile to a Grants.gov account;
7.Establish an Authorized Organizational Representative (AOR) in Grants.gov;
8.Register in ND Grants;
9.Submit an initial application in Grants.gov;
10.Submit the final application in ND Grants, including electronically signing applicable
forms; and
11.Continue to maintain an active SAM registration with current information at all times during
which they have an active federal award or an application or plan under consideration by a federal
awarding agency. As part of this, applicants must also provide information on an applicant’s
immediate and highest-level owner and subsidiaries, as well as on all predecessors that have been
awarded federal contracts or federal financial assistance within the past three years, if applicable.
Specific instructions on how to apply for, update, or verify a UEI number or SAM registration or establish
an AOR are included in the steps below for applying through Grants.gov. Applicants are advised that
FEMA may not make a federal award until the applicant has complied with all applicable UEI and SAM
requirements. Therefore, an applicant’s SAM registration must be active not only at the time of
application, but also during the application review period and when FEMA is ready to make a federal
award. Further, as noted above, an applicant’s or recipient’s SAM registration must remain active for the
duration of an active federal award. If an applicant’s SAM registration is expired at the time of
application, expires during application review, or expires any other time before award, FEMA may
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determine that the applicant is not qualified to receive a federal award and use that determination as a
basis for making a federal award to another applicant.
Per 2 C.F.R. § 25.110(c)(2)(iii), if an applicant is experiencing exigent circumstances that prevent it from
receiving a UEI number and completing SAM registration prior to receiving a federal award, the applicant
must notify FEMA as soon as possible by contacting askcsid@fema.dhs.gov and providing the details of
the circumstances that prevent completion of these requirements. If FEMA determines there are exigent
circumstances and FEMA has decided to make an award, the applicant will be required to obtain a UEI
number, if applicable, and complete SAM registration within 30 days of the federal award date.
Electronic Delivery
FEMA is participating in the Grants.gov initiative to provide the grant community with a single site to
find and apply for grant funding opportunities. FEMA requires applicants to submit their initial
applications online through Grants.gov and to submit their final applications through ND Grants.
How to Register to Apply through Grants.gov
1.General Instructions: Registering and applying for an award under these programs is a multi-
step process and requires time to complete. Read the instructions below about registering to apply
for FEMA funds. Applicants should read the registration instructions carefully and prepare the
information requested before beginning the registration process. Reviewing and assembling the
required information before beginning the registration process will alleviate last-minute searches
for required information.
The registration process can take up to four weeks to complete. To ensure an application
meets the deadline, applicants are advised to start the required steps well in advance of their
submission.
Organizations must have a UEI number, an EIN, and an active SAM registration to apply for
grants. Organizations must also have a Grants.gov account to apply for an award under these
programs. Creating a Grants.gov account can be completed online in minutes, but UEI and SAM
registrations may take several weeks. Therefore, an organization’s registration should be done in
sufficient time to ensure it does not impact the entity’s ability to meet the required application
submission deadlines. Complete organizational instructions can be found on Grants.gov.
If individual applicants are eligible to apply for a grant funding opportunity, refer to Applicant
Registration | Grants.gov to create an account with Grants.gov.
2.Obtain a UEI Number: All entities applying for funding, including renewal funding, must have
a UEI number. Applicants must enter the UEI number in the applicable data entry field on the SF-
424 form.
For more detailed instructions for obtaining a UEI number, refer to SAM.gov.
3.Obtain Employer Identification Number: All entities applying for funding must provide an
EIN. The EIN can be obtained from the IRS by visiting Apply for an Employer Identification
Number (EIN) Online | Internal Revenue Service (irs.gov).
4.Create a login.gov account: Applicants must have a login.gov account in order to register with
SAM or update their SAM registration. Applicants can create a login.gov account at Create your
account - Login.gov.
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Applicants only have to create a login.gov account once. For applicants that are existing SAM
users, use the same email address for the login.gov account as with SAM.gov so that the two
accounts can be linked.
For more information on the login.gov requirements for SAM registration, refer to SAM.gov |
Home.
5.Register with SAM: All organizations applying online through Grants.gov must register with
SAM. Failure to register with SAM will prevent your organization from applying through
Grants.gov. SAM registration must be renewed annually.
For more detailed instructions for registering with SAM, refer to Step 2: Register with SAM |
Grants.gov.
Note: As a new requirement per 2 C.F.R. § 25.200, applicants must also provide the applicant’s
immediate and highest-level owner, subsidiaries, and predecessors that have been awarded
federal contracts or federal financial assistance within the last three years, if applicable.
a.Additional SAM Reminders
Existing SAM.gov account holders should check their account to make sure it is “ACTIVE.”
SAM registration should be completed at the very beginning of the application period and
should be renewed annually to avoid being “INACTIVE.” Please allow plenty of time
before the grant application submission deadline to obtain a UEI number and then to
register in SAM. It may be four weeks or more after an applicant submits the SAM
registration before the registration is active in SAM, and then it may be an additional 24
hours before FEMA’s system recognizes the information.
It is imperative that the information applicants provide is correct and current. Please ensure
that your organization’s name, address, and EIN are up to date in SAM and that the UEI
number used in SAM is the same one used to apply for all other FEMA awards. Payment
under any FEMA award is contingent on the recipient’s having a current SAM registration.
b.Help with SAM
The SAM quick start guide for new recipient registration and SAM video tutorial for new
applicants are tools created by the General Services Administration to assist those registering
with SAM. If applicants have questions or concerns about a SAM registration, please contact
the Federal Support Desk at GDIT Shared (fsd.gov) or call toll free (866) 606-8220.
6.Create a Grants.gov Account: The next step in the registration process is to create an account
with Grants.gov. Applicants must know their or their organization’s UEI number to complete this
process.
For more information, follow the on-screen instructions or refer to Applicant Registration |
Grants.gov.
7.Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single
applicant organization the user represents (i.e., an applicant) or an individual applicant. If you
work for or consult with multiple organizations and have a profile for each, you may log in to one
Grants.gov account to access all your grant applications. To add an organizational profile to your
Grants.gov account, enter the UEI number for the organization in the UEI field while adding a
profile.
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For more detailed instructions about creating a profile on Grants.gov, refer to Add Profile |
Grants.gov.
8. EBiz Point of Contact (POC) Authorized Profile Roles: After you register with Grants.gov and
create an Organization Applicant Profile, the organization applicant’s request for Grants.gov roles
and access are sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize
the appropriate roles, which may include the AOR role, thereby giving you permission to
complete and submit applications on behalf of the organization. You will be able to submit your
application online any time after you have been assigned the AOR role.
For more detailed instructions about creating a profile on Grants.gov, refer to EBiz POC
Authorizes Profile Roles | Grants.gov.
9. Track Role Status: To track your role request, refer to Track Profile Role Status | Grants.gov.
10. Electronic Signature: When applications are submitted through Grants.gov, the name of the
organization applicant with the AOR role that submitted the application is inserted into the
signature line of the application, serving as the electronic signature. The EBiz POC must
authorize individuals who are able to make legally binding commitments on behalf of the
organization as an AOR. Please ensure you have been authorized by the EBiz POC as this step is
often missed, and it is crucial for valid and timely submissions.
How to Submit an Initial Application to DHS/FEMA via Grants.gov
Standard Form 424 (SF 424) is the initial application form.
Grants.gov applicants can apply online using a workspace. A workspace is a shared, online environment
where members of a grant team may simultaneously access and edit different web forms within an
application. For each NOFO, you can create individual instances of a workspace. Applicants are
encouraged to submit their initial applications in Grants.gov at least three days before the application
deadline.
In Grants.gov, applicants need to submit the following forms:
• SF-424, Application for Federal Assistance; and
• Grants.gov Lobbying Form, Certification Regarding Lobbying.
Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for
opportunities using a workspace, refer to: Workspace Overview | Grants.gov
1. Create a Workspace: Creating a workspace allows you to complete it online and route it through
your organization for review before submitting.
2. Complete a Workspace: Add participants to the workspace to work on the application together,
complete all the required forms online or by downloading PDF versions, and check for errors
before submission.
3. Adobe Reader: If you decide not to apply by filling out web forms, you can download individual
PDF forms in Workspace so that they will appear similar to other Standard or DHS/FEMA forms.
The individual PDF forms can be downloaded and saved to your local device storage, network
drive(s), or external drives, and then accessed through Adobe Reader.
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NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate
version of the software at Adobe Software Compatibility | Grants.gov.
4.Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a
different background color. These fields are mandatory fields that must be completed to
successfully submit your application.
5.Complete SF-424 Fields First: The forms are designed to fill in common required fields across
other forms, such as the applicant name, address, and UEI number. To trigger this feature, an
applicant must complete the SF-424 information first. Once it is completed, the information will
transfer to the other forms.
6.Submit a Workspace: An application may be submitted through workspace by clicking the
“Sign and Submit” button on the Manage Workspace page, under the Forms tab. Grants.gov
recommends submitting your application package at least 24-48 hours prior to the close date to
provide you with time to correct any potential technical issues that may disrupt the application
submission.
7.Track a Workspace: After successfully submitting a workspace package, a Grants.gov Tracking
Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be
listed on the confirmation page that is generated after submission. Using the tracking number,
access the Track My Application page under the Applicants tab or the Details tab in the submitted
workspace.
Additional Training and Applicant Support: For additional training resources, including video
tutorials, refer to Applicant Training | Grants.gov.
Grants.gov provides applicants 24/7 support (except federal holidays) via the toll-free number (800) 518-
4726 and email at support@grants.gov and the website at Support | Grants.gov. For questions related to a
specific grant contact the number listed in the NOFO of the grant for which you are applying for.
If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center
and get a ticket number. The Support Center ticket number will assist FEMA with tracking your issue and
understanding background information on the issue.
Submitting the Final Application in ND Grants
After submitting the initial application in Grants.gov, eligible applicants will be notified by FEMA and
asked to proceed with submitting their complete application package in ND Grants. Applicants can
register early with ND Grants and are encouraged to begin their ND Grants registration at the time of the
NOFO announcement or, at the latest, seven days before the application deadline. Early registration will
allow applicants to have adequate time to start and complete their applications.
Applicants needing assistance registering for the ND Grants system should contact
ndgrants@fema.dhs.gov or (800) 865-4076. For step-by-step directions on using the ND Grants system
and other guides, please see Non-Disaster Grants Management System | FEMA.gov.
In ND Grants, applicants will be prompted to submit the standard application information required as
described in the “Content and Form of Application Submission” section below. The Standard Forms
(SFs) are auto-generated in ND Grants, but applicants may access these forms in advance through the
Forms tab under the SF-424 family on Grants.gov. Applicants should review these forms before applying
to ensure they have all the information required.
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An application submitted by an otherwise eligible non-federal entity (i.e., the applicant) may be deemed
ineligible when the person that submitted the application is not: 1) a current employee, personnel,
official, staff, or leadership of the non-federal entity; and 2) duly authorized to apply for an award on
behalf of the non-federal entity at the time of application.
Further, the AOR and Signatory Authority (SA) must be a duly authorized current employee, personnel,
official, staff, or leadership of the recipient, and provide an email address unique to the recipient at the
time of application and upon any change in assignment during the period of performance. Consultants
or contractors of the recipient are not permitted to be the AOR or SA of the recipient.
For program-specific application submission requirements, please refer to the applicable program NOFO
and applicable appendix to this Manual.
Timely Receipt Requirements and Proof of Timely Submission
As application submission is a two-step process, the applicant with the AOR role who submitted the
application in Grants.gov will receive an acknowledgement of receipt, a tracking number
(GRANTXXXXXXXX) from Grants.gov with the successful transmission of its initial application. This
notification does not serve as proof of timely submission, as the application is not complete until it is
submitted in ND Grants. Applicants can also view the ND Grants Agency Tracking Number by
accessing the Details tab in the submitted workspace section in Grants.gov, under the Agency Tracking
Number column. Should the Agency Tracking Number not appear, the application has not yet migrated
from Grants.gov into the ND Grants system. Please allow 24 hours for your ND Grants application
tracking number to migrate.
All applications must be received in ND Grants by 5 p.m. Eastern Time on the application deadline.
Proof of timely submission is automatically recorded by ND Grants. An electronic date/time stamp is
generated within the system when the application is successfully received by ND Grants. Additionally,
the applicant(s) listed as contacts on the application will receive a system-generated email to confirm
receipt.
Standard Required Application Forms and Information
For all programs, the following forms or information are required to be submitted in either Grants.gov or
ND Grants. The SFs are submitted either through Grants.gov, through forms generated in ND Grants, or
as an attachment in ND Grants. Applicants may also access the SFs at SF-424 Family | Grants.gov.
Grants.gov:
• SF-424, Application for Federal Assistance, initial application submitted through Grants.gov;
and
• Grants.gov Lobbying Form, Certification Regarding Lobbying, submitted through
Grants.gov.
ND Grants:
• SF-424A, Budget Information (Non-Construction), submitted via the forms generated by ND
Grants;
o For construction under an award, submit: SF-424C, Budget Information
(Construction), submitted via the forms generated by ND Grants, in addition to or
instead of SF-424A
• SF-424B, Standard Assurances (Non-Construction), submitted via the forms generated by ND
Grants;
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o For construction under an award, submit: SF-424D, Standard Assurances
(Construction), submitted via the forms generated by ND Grants, in addition to or
instead of SF-424B
•SF-LLL, Disclosure of Lobbying Activities, submitted via the forms generated by ND Grants;
and
•Indirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the budget
includes indirect costs and the applicant is required to have an indirect cost rate agreement or
proposal. If the applicant does not have or is not required to have an indirect cost rate agreement
or proposal, please see the “Funding Restrictions and Allowable Costs” section in the relevant
program NOFO and the section below on indirect costs for further information regarding
allowability of indirect costs and whether alternatives to an indirect cost rate agreement or
proposal might be available or contact the relevant Preparedness Officer or Program Manager for
further instructions.
Generally, applicants need to submit either the non-construction forms (i.e., SF-424A and SF-424B) or
construction forms (i.e., SF-424C and SF-424D), meaning that applicants that only have construction
work and do not have any non-construction work need only submit the construction forms (i.e., SF-424C
and SF-424D) and not the non-construction forms (i.e., SF-424A and SF-424B), and vice versa. However,
applicants who have both construction and non-construction work under these programs need to submit
both the construction and non-construction forms.
Intergovernmental Review
An intergovernmental review may be required. Applicants must contact their state’s Single Point of
Contact to comply with the state’s process under Executive Order 12372.
See Executive Orders | National Archives and Intergovernmental Review (SPOC List) (whitehouse.gov).
Funding Restrictions and Allowable Costs
All costs charged to awards covered by this Manual must comply with the Uniform Administrative
Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated
in this Manual, the applicable program NOFO, or the terms and conditions of the award. This includes,
among other requirements, that costs must be incurred, and products and services must be delivered,
within the period of performance of the award. See 2 C.F.R. § 200.403(h) (referring to budget periods,
which for FEMA preparedness grant awards is the same as the period of performance).
In general, the Cost Principles establish standards for the allowability of costs, provide detailed guidance
on the cost accounting treatment of costs as direct or administrative costs, and set forth allowability
principles for selected items of cost. More specifically, except as otherwise stated in the applicable
program appendix to this Manual, the program NOFO, or the terms and condition of an award, costs
charged to awards covered by this Manual must be consistent with the Cost Principles for Federal Awards
located at 2 C.F.R. Part 200, Subpart E. In order to be allowable, all costs charged to a FEMA award or
applied to the cost share must be reasonable in nature and amount and allocable to the particular FEMA
award.
Additionally, all costs charged to awards must comply with the grant program’s applicable statutes,
policies, NOFOs, and requirements in this Manual and the applicable NOFO, as well as with the terms
and conditions of the award. If FEMA staff identify costs that are inconsistent with any of these
requirements, these costs may be disallowed, and FEMA may recover funds as appropriate, consistent
with applicable laws, regulations, and policies.
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As part of those requirements, grant recipients and subrecipients may only use federal funds or funds
applied to a cost share for the purposes set forth in this Manual, applicable NOFOs, and the terms and
conditions of the award, and those costs and must be consistent with the statutory authority for the award.
Federal funds made available through these awards may be used for the purposes set forth in this Manual,
the applicable program NOFO, and the terms and conditions of the award and must be consistent with the
statutory authority for the award. Grant funds may not be used for matching funds for other federal
grants/cooperative agreements, lobbying, or intervention in federal regulatory or adjudicatory
proceedings. In addition, federal funds may not be used to sue the federal government or any other
government entity.
Specific investments made in support of the funding priorities discussed in the appendices to this Manual
generally fall into one of the following eight allowable expense categories:
1.Construction;
2.Equipment;
3.Exercises;
4.Management & Administration (M&A);
5.Organization;
6.Operational Activities;
7.Planning; and
8.Training.
Please refer to the relevant program-specific appendix for more information on funding restrictions,
funding priorities, and these categories.
Accessibility Compliance
Preparedness grant program recipients using funds to build or alter buildings must comply with
accessibility requirements under the Rehabilitation Act of 1973 and Architectural Barriers Act of 1968
(ABA), as well as the Americans with Disabilities Act (ADA), if applicable, to ensure individuals with
disabilities have access to such buildings. Accessibility standards under the ABA and ADA are highly
similar. Additional information regarding compliance with the Architectural Barriers Act is available at
Chapter 1: Using the ABA Standards (access-board.gov).
Authorized Equipment List
The Authorized Equipment List (AEL) is a list of approved equipment types allowed under FEMA’s
preparedness grant programs. The intended audience of this tool is emergency managers, first responders,
and other homeland security professionals. The list consists of equipment categories divided into
categories, sub-categories, and then individual equipment items.
Prohibitions on Expending Grant or Cooperative Agreement Funds for Certain
Telecommunications and Video Surveillance Services or Equipment
Recipients and subrecipients of FEMA federal financial assistance are subject to the prohibitions
described in section 889 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019
(FY 2019 NDAA), Pub. L. No. 115-232 (2018) and 2 C.F.R. §§ 200.216, 200.327, 200.471, and
Appendix II to 2 C.F.R. Part 200. Beginning August 13, 2020, the statute – as it applies to FEMA
recipients, subrecipients, and their contractors and subcontractors – prohibits obligating or expending
federal award funds on certain telecommunications and video surveillance products and contracting with
certain entities for national security reasons.
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Guidance is available in FEMA Policy #405-143-1, Prohibitions on Expending FEMA Award Funds for
Covered Telecommunications Equipment or Services.
Additional guidance is available at Contract Provisions Guide: Navigating Appendix II to Part 200 -
Contract Provisions for Non-Federal Entity Contracts Under Federal Awards.
Effective August 13, 2020, FEMA recipients and subrecipients may not use any FEMA funds
under open or new awards to:
1.Procure or obtain any equipment, system, or service that uses covered telecommunications
equipment or services as a substantial or essential component of any system, or as critical
technology of any system;
2.Enter into, extend, or renew a contract to procure or obtain any equipment, system, or service
that uses covered telecommunications equipment or services as a substantial or essential
component of any system, or as critical technology of any system; or
3.Enter into, extend, or renew contracts with entities that use covered telecommunications
equipment or services as a substantial or essential component of any system, or as critical
technology as part of any system.
Replacement Equipment and Services: FEMA grant funding may be permitted to procure replacement
equipment and services impacted by this prohibition, provided the costs are otherwise consistent with the
requirements in this Manual and the applicable NOFO.
Definitions
Per section 889(f)(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered telecommunications
equipment or services means:
1.Telecommunications equipment produced by Huawei Technologies Company or ZTE
Corporation, (or any subsidiary or affiliate of such entities);
2.For the purpose of public safety, security of Government facilities, physical security surveillance
of critical infrastructure, and other national security purposes, video surveillance and
telecommunications equipment produced by Hytera Communications Corporation, Hangzhou
Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or
affiliate of such entities);
3.Telecommunications or video surveillance services provided by such entities or using such
equipment; or
4.Telecommunications or video surveillance equipment or services produced or provided by an
entity that the Secretary of Defense, in consultation with the Director of National Intelligence or
the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or
controlled by, or otherwise connected to, the People’s Republic of China.
Examples of the types of products covered by this prohibition include phones, internet, video
surveillance, and cloud servers when produced, provided, or used by the entities listed in the definition of
“covered telecommunications equipment or services.” See 2 C.F.R. § 200.471.
Management and Administration (M&A)
M&A costs are for activities directly related to the management and administration of the award, such as
financial management, reporting, and program and financial monitoring. Some examples of M&A costs
include grants management training for M&A staff, equipment and supplies for M&A staff to administer
the grant award, travel costs for M&A staff to attend conferences or training related to the grant program,
travel costs for the M&A staff to conduct subrecipient monitoring, contractual services to support the
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M&A staff with M&A activities, and auditing costs related to the grant award to the extent required or
permitted by statute or 2 C.F.R. Part 200. Characteristics of M&A expenses can include the following: 1)
direct costs that are incurred to administer a particular Federal award; 2) identifiable and unique to each
Federal award; 3) charged based on the activity performed for that particular Federal award; and 4) not
duplicative of the same costs that are included in the approved Indirect Cost Rate Agreement, if
applicable.
Procedures for Establishing Indirect Cost Rates
The requirements and procedures for establishing indirect cost rates are the same for all the preparedness
programs outlined in the Preparedness Grants Manual. The process for establishing the indirect cost rate
varies based on the type of entity and the amount of funding they receive:
•If the entity is a non-governmental entity, and is a subrecipient, indirect cost rate procedures are
outlined in 2 CFR 200.332(a)(4). These types of entities may either use the de minimis rate or
negotiate a rate with the pass-through entity.
•If the subrecipient is a state or local governmental entity, indirect cost rate procedures are
established in 2 CFR 200, Appendix VII.
o Per Paragraph D.1.b. of Appendix VII, state or local governmental entities receiving
grant funds must develop an indirect cost rate proposal.
▪If the state or local entity receives more than $35 million in grant funding, the
proposal must be approved by the cognizant agency.
▪If a state or local entity receives $35 million or less in grant funding, they have to
develop an indirect cost rate proposal, but that indirect cost rate proposal does not
need to be approved by the cognizant agency.
•If a state or local governmental entity wants to use the de minimis rate (instead of developing an
indirect cost rate proposal), they can request a case-by-case exception from FEMA (per 2 CFR
200.102(b)).
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Award Determination and Obligation
Allocations
Risk Methodology
DHS defines risk as: “potential for an adverse outcome assessed as a function of hazard/threats, assets and
their vulnerabilities, and consequences.” See DHS Lexicon Terms and Definitions: 2017 Edition –
Revision 2, (Oct. 2017). The FEMA risk methodology is focused on three elements:
•Threat: the likelihood of an attack being attempted by an adversary;
•Vulnerability: the likelihood that an attack is successful, given that it is attempted; and
•Consequence: the effect of an event, incident, or occurrence.
Please see the applicable appendix of this Manual for each award program for specific information on the
risk methodology applied for each program.
Application Evaluation Criteria
Programmatic Criteria
See the Manual appendices and relevant program NOFOs for specific information on the application
criteria specific to each program.
Financial Integrity Criteria
Prior to making a federal award, FEMA is required by 31 U.S.C. § 3354, as enacted by the Payment
Integrity Information Act of 2019, Pub. L. No. 116-117 (2020); 41 U.S.C. § 2313; and 2 C.F.R. § 200.206
to review information available through any Office of Management and Budget (OMB)-designated
repositories of governmentwide eligibility qualification or financial integrity information, including
whether the applicant is suspended or debarred. FEMA may also pose additional questions to the
applicant to aid in conducting the pre-award risk review. Therefore, application evaluation criteria may
include the following risk-based considerations of the applicant:
1.Financial stability;
2.Quality of management systems and ability to meet management standards;
3.History of performance in managing federal award;
4.Reports and findings from audits; and
5.Ability to effectively implement statutory, regulatory, or other requirements.
All investments selected for recommendation will also undergo an additional risk review conducted by
the FEMA Grants Management Specialist to evaluate the risk for noncompliance in carrying out the
federal award. Using their subject-matter expertise, the questions the FEMA Grants Management
Specialist may assess include, but are not limited to:
•Is the applicant on any exclusion lists as identified in SAM.gov?
•If the applicant has received federal funding in the past, has the applicant performed all audits
required by the Single Audit requirements under 2 C.F.R. Part 200, Subpart F?
•Has the applicant provided sufficient budget information and justification as required by the
NOFO?
•Are the costs proposed by the applicant in the budget information and justification allowable and
reasonable based on the criteria set forth in this Manual and the applicable appendix, NOFO, and
regulations?
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•Is the budget representative of the total cost of performance of the projects?
•If indirect costs are included, is the applicant required to have an approved indirect cost rate
agreement? If so, has the applicant provided an approved indirect cost rate agreement?
•Is the applicant delinquent on any federal debt?
•Has the applicant had substandard performance in a prior award?
•Is the applicant on the Do Not Pay List?
Based on the outcome of this review, FEMA may determine that it will not make an award to an applicant
that poses a risk of noncompliance. FEMA may also determine that it will make an award to an at-risk
applicant, subject to additional terms and conditions as described in 2 C.F.R. § 200.208.
Supplemental Financial Integrity Review
Prior to making a federal award where the anticipated total federal share will be greater than the
simplified acquisition threshold, currently $250,000:
•FEMA is required to review and consider any information about the applicant, including
information on the applicant’s immediate and highest -level owner, subsidiaries, and predecessors,
if applicable, that is in the designated integrity and performance system accessible through SAM,
which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS).
•An applicant, at its option, may review information in FAPIIS and comment on any information
about itself that a federal awarding agency previously entered.
•FEMA will consider any comments by the applicant, in addition to the other information in
FAPIIS, in making a judgment about the applicant’s integrity, business ethics, and record of
performance under federal awards when completing the review of risk posed by applicants, as
described in 2 C.F.R. § 200.206.
Review and Selection Process
FEMA will follow all applicable statutes, rules, and requirements and will take into consideration
materials accompanying the annual appropriations acts, such as the Joint Explanatory Statement, as
appropriate, in reviewing and selecting recipients.
Please see the applicable NOFO for the review and selection process for that program.
Federal Award Administration Information
Notice of Award
Before accepting the award, the AOR and recipient should carefully review the award package. The
award package includes instructions on administering the grant award and the terms and conditions
associated with responsibilities under federal awards. Recipients must accept all conditions in the
applicable program NOFO, as well as this Manual, in addition to any special terms and conditions
in the Notice of Award to receive an award under the applicable program.
Notification of award approval is made through the ND Grants system through an automatic electronic
mail to the recipient’s authorized official listed in the initial application. The award date will be the date
that FEMA approves the award. The recipient should follow the directions in the notification to confirm
acceptance of the award.
Recipients must accept their awards no later than 60 days from the award date. The recipient shall notify
FEMA of its intent to accept and proceed with work under the award or provide a notice of intent to
decline through the ND Grants system. For instructions on how to accept or decline an award in the ND
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Grants system, please see the Grant Recipient User Guide. Funds will remain on hold until the recipient
accepts the award through the ND Grants system and all other conditions of the award have been satisfied
or until the award is otherwise rescinded. Failure to accept a grant award within the 60-day timeframe
may result in a loss of funds.
Pass-Through Requirements
Please see the applicable NOFO and appendix to this Manual for information on pass-through
requirements for that program.
Administrative and National Policy Requirements
In addition to the requirements in this section and the applicable NOFO, FEMA may place specific terms
and conditions on individual awards in accordance with 2 C.F.R. Part 200.
All successful applicants for all FEMA grants and cooperative agreements are required to comply with
the DHS Standard Terms and Conditions.
The applicable DHS Standard Terms and Conditions will be those in effect at the time the award was
made. The specific terms and conditions that will apply for the award will be clearly stated in the award
package at the time of award.
Ensuring the Protection of Civil Rights
As the Nation works towards achieving the National Preparedness Goal, it is important to continue to
protect the civil rights of individuals. Recipients must carry out their programs and activities, including
those related to the building, sustainment, and delivery of core capabilities, in a manner that respects and
ensures the protection of civil rights for protected populations.
Federal civil rights statutes, such as Section 308 of the Stafford Act, Section 504 of the Rehabilitation Act
of 1973, and Title VI of the Civil Rights Act of 1964, Age Discrimination Act, along with DHS and
FEMA regulations, prohibit discrimination on the basis of race, color, national origin, sex, religion, age,
disability, limited English proficiency, or economic status in connection with programs and activities
receiving federal financial assistance from FEMA.
Recipients must complete the DHS Civil Rights Evaluation Tool within 30 days of receipt of the Notice
of Award. Information about this requirement and a fuller list of the civil rights provisions that apply to
recipients can be found in the DHS Standard Terms and Conditions. Additional information on civil rights
provisions is available at: Civil Rights Resources for Recipients of DHS Financial Assistance | Homeland
Security and Office of Equal Rights | FEMA.gov.
Monitoring and oversight requirements in connection with recipient compliance with federal civil rights
laws are also authorized pursuant to 44 C.F.R Part 7.
In accordance with civil rights laws and regulations, recipients and subrecipients must ensure the consistent
and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to
underserved communities that have been denied such treatment.
Environmental Planning and Historic Preservation (EHP) Compliance
As a federal agency, FEMA is required to consider the effects of its actions on the environment and
historic properties to ensure that all activities and programs funded by FEMA, including grant-funded
projects, comply with federal EHP regulations, laws, and Executive Orders, as applicable.
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All non-critical new construction or substantial improvement of structures in a Special Flood Hazard Area
must, at a minimum, apply the flood elevations of the Federal Flood Risk Management Standard’s
Freeboard Value Approach unless doing so would cause the project to be unable to meet applicable
program cost-effectiveness requirements. All other types of projects may choose to apply the flood
elevations of the Federal Flood Risk Management Standard’s Freeboard Value Approach. See Executive
Order (EO) 14030, Climate-Related Financial Risk and FEMA Policy #-206-21-0003, Partial
Implementation of the Federal Flood Risk Management Standard for Hazard Mitigation Assistance
Programs (Interim).
The Grant Programs Directorate (GPD) manages and administers FEMA’s preparedness and non-disaster
grants and consolidates the grant business operations, systems, training, policy, and oversight of all
FEMA grants. All GPD actions, including grant-funded actions, must comply with National Flood
Insurance Program criteria or any more restrictive federal, state, or local floodplain management
standards or building code (44 CFR § 9.11(d)(6)). All GPD-funded non-critical actions in 1% annual
chance floodplains (also known as 100-year floodplains) that involve new construction or substantial
improvement of structures must be elevated, at a minimum, to the lower of:
•Two feet above the 1% annual chance flood elevation (also known as the base flood elevation), in
accordance with the Federal Flood Risk Management Standard (FFRMS) “Freeboard Value
Approach” (FVA); or
•The 0.2% annual chance flood elevation. Where 0.2% annual chance flood elevations are not
available, such actions must be elevated to at least two feet above the 1% annual chance flood
elevation.
All GPD-funded critical actions in 0.2% annual chance floodplains (also known as 500-year floodplains)
that involve new construction or substantial improvement of structures must be elevated, at a minimum,
to the higher of:
•Three feet above the 1% annual chance flood elevation; or
•The 0.2% annual chance flood elevation. Where 0.2% annual chance flood elevations are not
available, such actions must be elevated to at least three feet above the 1% annual chance flood
elevation.
See Executive Order (EO) 11988, Floodplain Management, as amended by EO 13690, Establishing a
Federal Flood Risk Management Standard and a Process for Further Soliciting and Considering
Stakeholder Input.
Recipients and subrecipients proposing projects that have the potential to impact the environment,
including, but not limited to, the construction of communication towers, modification or renovation
of existing buildings, structures, and facilities, new construction, including replacement of facilities,
and some training activities, must participate in the FEMA EHP review process. The EHP review
process involves the submission of a detailed project description along with any supporting
documentation requested by FEMA in order to determine whether the proposed project has the potential
to impact environmental resources or historic properties.
In some cases, FEMA is also required to consult with other regulatory agencies and the public in order to
complete the review process. The EHP review process must be completed before funds are released to
carry out the proposed project; otherwise, FEMA may not be able to fund the project due to
noncompliance with EHP laws, Executive Orders, regulations, and policies.
DHS and FEMA EHP policy is found in directives and instructions available on Environmental and
Historic Preservation Guidance for FEMA Grant Applications, the FEMA website page that includes
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documents regarding EHP responsibilities and program requirements, including implementation of the
National Environmental Policy Act and other EHP regulations and Executive Orders.
A GPD EHP screening form and supporting documentation for preparedness projects requiring EHP
review should be submitted to gdpehpinfo@fema.dhs.gov. Additionally, all recipients under this funding
opportunity are required to comply with the FEMA GPD EHP Policy Guidance, FEMA Policy #108-023-
1, Grant Programs Directorate Environmental and Historic Preservation Policy Guidance.
Executive Order (EO) 13985, Advancing Racial Equity and Support for Underserved Communities
through the Federal Government, rearticulates and strengthens the environmental justice framework
articulated in 1994 in EO 12898, Federal Actions to Address Environmental Justice in Minority
Populations and Low-Income Populations. Specifically, Section 1 of E.O. 13985 states that:
“Affirmatively advancing equity, civil rights, racial justice, and equal opportunity is the responsibility of
the whole of our Government. Because advancing equity requires a systemic approach to embedding
fairness in decision-making processes, executive departments and agencies…must recognize and work to
redress inequalities in their policies and programs that serve as barriers to equal opportunity.”
Many projects funded by GPD’s grant programs can have significant impacts on environmental justice. In
particular, construction of buildings and other structures and construction of new communication towers
may have disproportionately high and adverse effects on minority and low-income populations. FEMA
acknowledges the important role that FEMA recipients and subrecipients play in advancing and achieving
environmental justice by identifying low-income and minority populations within a proposed project’s
affected area as early as possible and taking steps to accommodate these interests.
For consistency with the Administration’s policy, FEMA will review and evaluate potential projects for
racial equity and justice concerns. If FEMA determines that a proposed project would have a
disproportionately high and adverse effect on minority or low-income populations, FEMA will consult
with recipients and subrecipients to discuss the feasibility of revising the scope of work to avoid these
adverse impacts, or otherwise applying mitigation measures to alleviate these effects. In addition, FEMA
may work with other recipients and subrecipients to solicit public input on the proposed projects for a
more informed decision-making process. To learn more about how FEMA environmental justice
responsibilities might affect your project, go to Executive Order 12898: Environmental Justice |
FEMA.gov.
National Incident Management System (NIMS) Implementation
NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to
work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS
provides stakeholders across the whole community with the shared vocabulary, systems, and processes to
successfully deliver the capabilities described in the National Preparedness System.
The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions clarify the
NIMS implementation requirements in FEMA preparedness grant NOFOs. As recipients and
subrecipients of federal preparedness (non-disaster) grant awards, jurisdictions and organizations must
achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. The objectives
can be found on the NIMS webpage at NIMS Implementation and Training | FEMA.gov.
Emergency management and incident response activities require carefully managed resources (personnel,
teams, facilities, equipment, and/or supplies) to meet incident needs. NIMS defines a national,
interoperable approach for sharing resources, coordinating, and managing incidents, and communicating
information. Incident management refers to how incidents are managed across all homeland security
activities, including prevention, protection, mitigation, response, and recovery. Utilization of the
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standardized resource management concepts such as typing, credentialing, and inventorying promote a
strong national mutual aid capability needed to support the delivery of core capabilities. Additional
information on resource management, NIMS resource typing definitions, job titles, and position
qualifications is available at NIMS Components - Guidance and Tools | FEMA.gov. Please also see the
individual program appendices in this Manual for additional requirements regarding NIMS
implementation for specific programs.
FEMA developed the NIMS Guideline for the National Qualification System (NQS) to describe national
credentialing standards and to provide written guidance regarding the use of those standards. This
guideline describes credentialing and typing processes and identifies tools that Federal Emergency
Response Officials and emergency managers at all levels of government may use both routinely and to
facilitate multijurisdictional coordinated responses. Starting in FY 2023, EMPG program recipients are
required to use EMPG Program funds to support NQS implementation efforts.
Additional information about NIMS in general is available on FEMA’s website at National Incident
Management System | FEMA.gov.
The NQS doctrine promotes interoperability by establishing a common language for defining job titles
and by enabling jurisdictions and organizations to plan for, request, and have confidence in the
capabilities of personnel deployed for disasters and emergencies from other entities through mutual aid
agreements and compacts. Following the concepts and processes in this Guideline will enhance national
preparedness by expanding the network of qualified incident management and support personnel who can
be deployed nationwide.
Additional information about NIMS implementation is available at NIMS Implementation and Training |
FEMA.gov.
FirstNet
The Middle-Class Tax Relief and Job Creation Act of 2012, Pub. L. No. 112-96, as amended (codified in
part at 47 U.S.C. §§ 1401-1473) established the First Responder Network Authority (hereinafter FirstNet
Authority) as an independent authority within the National Telecommunications and Information
Administration (NTIA). 47 U.S.C. § 1424(a). The FirstNet Authority’s statutory mission is to establish a
nationwide public safety broadband network (FirstNet). 47 U.S.C. § 1426(b). FirstNet uses the 700 MHz
D block spectrum to provide Long-Term Evolution (LTE)-based broadband services and applications to
public safety entities. 47 U.S.C. §§ 1401(2), 1421(a). FirstNet became operational in March 2018 and is
based on a single, national network architecture that evolves with technological advances and consists of
a physically separate evolved packet core (EPC) network and radio access networks (RANs).
FirstNet provides public safety entities with mission-critical broadband data capabilities and services
including, but not limited to messaging, image sharing, video streaming, group text, voice, data storage,
application, location-based services, and Quality of Service, Priority, and Preemption. Public safety
entities seeking to enhance their operational capabilities using broadband technology may seek grant
funding from appropriate programs to support the following:
•Planning for integration of information technology (IT) infrastructure, software, and site upgrades
necessary to connect to FirstNet;
•Handheld broadband devices including smartphones, feature phones, tablets, wearables, push-to-
talk (PTT) devices;
•Vehicle-mounted or otherwise field operated data devices, such as ruggedized laptops;
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•Network access devices, including portable Wi-Fi devices, Universal Serial Bus (USB)
modems/dongles, trunk-mounted modems, routers;
•Customer-Owned and Managed (COAM) broadband deployable equipment, enabling public
safety to own and dispatch coverage expansion or capacity enhancement equipment within their
jurisdiction;
•Broadband device accessories that enable efficient and safe public safety operations such as
headsets, belt clips, earpieces, remote Bluetooth sensors, ruggedized cases;
•Subscriber Identification Modules (SIMs)/Universal Integrated Circuit Cards (UICCs) to allow
public safety users to update existing devices to operate on public safety prioritized services; and
•One-time purchase and subscription-based applications for public safety use which could include,
among several other options, enterprise mobility management (EMM), mobile device
management (MDM), mobile Virtual Private Network (VPN), identity services, or cloud service
tools.
As FirstNet is built out in all 56 states and territories, and coverage and capacity for first responders
expands, recipients are strongly encouraged to coordinate with the Statewide Interoperability Coordinator
(SWIC) and FirstNet on the planning, deployment timelines, and operational availability of the network
deployment within a specific state or territory, and to ensure that project does not conflict with network
planning efforts and complies with all technical requirements. FirstNet requires participating agencies to
demonstrate a subscription to public safety-prioritized broadband services to purchase FirstNet broadband
devices or applications. Recipients must coordinate with FirstNet in advance of any strategic acquisition
of broadband LTE equipment to ensure that purchases adhere to all applicable standards for public safety
entities. Recipients with questions on FirstNet should contact info@firstnet.gov. Please also refer to the
most recent SAFECOM Guidance on Emergency Communications Grants for additional guidance.
SAFECOM Guidance Compliance
All entities using preparedness grant funding to support emergency communications investments are
required to comply with the SAFECOM Guidance on Emergency Communications Grants (SAFECOM
Guidance). The SAFECOM Guidance provides current information on emergency communications
policies, eligible costs, best practices, and technical standards for SLTT recipients investing federal funds
in emergency communications projects. It is also designed to promote and align with the National
Emergency Communications Plan (NECP). Compliance with the SAFECOM Guidance helps ensure that
federally funded investments are compatible, interoperable, resilient, and support national goals and
objectives for improving emergency communications. Applicants should use the SAFECOM Guidance
during planning, development, and implementation of emergency communications projects and in
conjunction with other planning documents (e.g., Statewide Communication Interoperability Plans
(SCIP)). Specifically, Appendix D of the SAFECOM Guidance contains compliance instructions for
FEMA grant recipients.
Emergency communications investments also will be reviewed jointly by FEMA and the
Cybersecurity and Infrastructure Security Agency (CISA) to verify compliance with SAFECOM
Guidance. FEMA will coordinate directly with the recipient on any compliance concerns and will
provide technical assistance as necessary to help ensure full compliance.
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Post-Award Management and Implementation
Reporting
Recipients are required to submit various financial and programmatic reports as a condition of award
acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent.
Consultants or contractors are not permitted to be the AOR or the SA of the recipient. The AOR, as the
Authorized Official for the award, is responsible for submitting programmatic and financial performance
reports, accepting award packages, signing assurances and certifications, and submitting award
amendments.
Federal Financial Reporting Requirements
Federal Financial Report (FFR)
Recipients must report obligations and expenditures to FEMA on a quarterly basis through the FFR form
(SF-425). Recipients may review the FFR Form (SF-425) at Post-Award Reporting Forms | Grants.gov.
Recipients must file the FFR electronically using the Payment and Reporting Systems (PARS).
Financial Reporting Periods and Due Dates
An FFR must be submitted quarterly throughout the period of performance (POP), including partial
calendar quarters, as well as in periods where no grant award activity occurs. The final FFR is due within
120 days after the end of the POP. Future awards and fund drawdowns may be withheld if these reports
are delinquent, demonstrate a lack of progress, or are insufficient in detail.
Except for the final FFR due at 120 days after the end of the POP for purposes of closeout, the following
reporting periods and due dates apply for the FFR:
FFR Reporting Period Report Due Date
October 1 – December 31 January 30
January 1 – March 31 April 30
April 1 – June 30 July 30
July 1 – September 30 October 30
Because of a system limitation, if at the end of the POP a recipient still has funds to draw down, PARS
requires an FFR be submitted within 30 days of the end of the POP in order to access those funds. In that
case, the recipient will need to submit an FFR within 30 days of the end of the POP in addition to the final
FFR within 120 days of the end of the POP. All other recipients who do not need to draw down funds
after the end of the POP are only required to submit the final FFR within 120 days after the end of the
POP.
Program Performance Reporting Requirements
Performance Progress Report (PPR)
Recipients are responsible for providing updated performance reports on a biannual basis as an
attachment in ND Grants. The PPR should include the following:
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• A brief narrative of overall project(s) status;
• A summary of project expenditures; and
• A description of any potential issues that may affect project completion.
Note: This requirement does NOT apply to the EMPG Program, which has different performance
reporting requirements. These are described in the EMPG Program Appendix in this Manual.
Program Performance Reporting Periods and Due Dates
The following reporting periods and due dates apply for the PPR:
Reporting Period Report Due Date
January 1 – June 30 July 30
July 1 – December 31 January 30
Additional Programmatic Reporting Requirements and Information
Biannual Strategy Implementation Report (BSIR)2
In addition to the quarterly financial and biannual performance progress reports, recipients are responsible
for completing and submitting BSIRs through the Grants Reporting Tool (GRT). The BSIR is due within
30 days after the end of the reporting period: July 30 for the reporting period of January 1 through June 30
(summer BSIR report); and January 30 for the reporting period of July 1 through December 31 (winter
BSIR report). All required attributes of each project must be included. Updated obligations, expenditures,
and significant developments must be provided within the BSIR to show the progress of implementation
for every project as well as how expenditures support Planning, Organization, Equipment, Training, and
Exercises (POETE). The first BSIR will be due by January 30, or 30 days after the end of the first
reporting period of the award. Subsequent BSIR reports will require recipients to report on a project-by-
project basis.
Recipients also are responsible for completing and submitting a closeout BSIR. When an award’s POP or
the liquidation period ends in the middle of a reporting period, a “regular” BSIR must be submitted with
full accounting of actual project information/expenditures before a Closeout BSIR can be created/
submitted. The last “regular” BSIR is required because the Closeout BSIR does NOT contain full
functionality to edit any project information/expenditures. Once the last “regular” BSIR is approved by
GPD, the Closeout BSIR can be created/submitted. Please contact your HQ Preparedness Officer for
guidance on the information required for the Closeout BSIR.
Closeout Reporting Requirements
Within 120 days after the end of the POP for the prime award or after an amendment has been issued to
close out an award before the original POP ends, whichever occurs first, recipients must liquidate all
financial obligations and submit the following documentation in ND Grants:
1. The final request for payment, if applicable;
2. The final FFR (SF-425);
3. The final PPR;
2 BSIR requirements are applicable to the following grant programs: HSGP (SHSP, UASI, and OPSG), THSGP,
EMPG, and NSGP.
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4.A qualitative narrative summary of the impact of those accomplishments throughout the entire
POP submitted to the respective FEMA Preparedness Officer; and
5.Other documents required by program guidance, NOFOs, appendices to this Manual, terms and
conditions of the award, or other FEMA guidance.
In addition, any recipient that issues subawards to any subrecipient is responsible for closing out those
subawards as described in 2 C.F.R. § 200.344; subrecipients are still required to submit closeout materials
within 90 days of the subaward POP end date. When a subrecipient completes all closeout requirements,
pass-through entities must promptly complete all closeout actions for subawards in time for the recipient
to submit all necessary documentation and information to FEMA during the closeout of their prime
award.
After the prime award closeout reports have been reviewed and approved by FEMA, a closeout notice
will be completed to close out the grant. The notice will indicate the POP as closed, list any remaining
funds that will be deobligated, and address the requirement of maintaining the award records for at least
three years from the date of the final FFR. The record retention period may be longer than three years due
to an audit, litigation, for equipment or real property used beyond the period of performance or other
circumstances outlined in 2 C.F.R. § 200.334.
Recipients are responsible for refunding to FEMA any balances of unobligated cash that FEMA paid that
are not authorized to be retained per 2 C.F.R. § 200.344(d).
Administrative Closeout
Administrative closeout is a mechanism for FEMA to unilaterally move forward with closeout of an
award using available award information in lieu of final reports from the recipient per 2 C.F.R. §
200.344(h)-(i). It is a last resort available to FEMA, and if FEMA needs to administratively close an
award, this may negatively impact a recipient’s ability to obtain future funding. This mechanism can
also require FEMA to make cash or cost adjustments and ineligible cost determinations based on the
information it has, which may result in identifying a debt owed to FEMA by the recipient.
When a recipient is not responsive to FEMA’s reasonable efforts to collect required reports needed to
complete the standard closeout process, FEMA is required under 2 C.F.R. § 200.344(h) to start the
administrative closeout process within the regulatory timeframe. FEMA will make at least three written
attempts to collect required reports before initiating administrative closeout. If the recipient does not
submit all required reports in accordance with 2 C.F.R. § 200.344, the relevant program NOFO, this
Manual, and the terms and conditions of the award, FEMA must proceed to administratively close the
award with the information available within one year of the POP end date. Additionally, if the recipient
does not submit all required reports within one year of the POP end date, per 2 C.F.R. § 200.344(i),
FEMA must report in FAPIIS the recipient’s material failure to comply with the terms and conditions of
the award.
If FEMA administratively closes an award where no final FFR has been submitted, FEMA uses that
administrative closeout date in lieu of the final FFR submission date as the start of the three-year record
retention period under 2 C.F.R. § 200.334.
In addition, if an award is administratively closed, FEMA may decide to impose remedies for
noncompliance per 2 C.F.R. § 200.339, consider this information in reviewing future award applications,
or apply special conditions to existing or future awards.
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Disclosing Information per 2 C.F.R. § 180.335
This reporting requirement pertains to disclosing information related to government-wide suspension and
debarment requirements. Before a recipient enters into a grant award with FEMA, the recipient must
notify FEMA if it knows if it or any of the recipient’s principals under the award fall under one o r more
of the four criteria listed at 2 C.F.R. § 180.335:
•Are presently excluded or disqualified;
•Have been convicted within the preceding three years of any of the offenses listed in 2 C.F.R. §
180.800(a) or had a civil judgment rendered against it or any of the recipient’s principals for one
of those offenses within that time period;
•Are presently indicted for or otherwise criminally or civilly charged by a governmental entity
(federal, state, or local) with commission of any of the offenses listed in 2 C.F.R. § 180.800(a); or
•Have had one or more public transactions (federal, state, or local) terminated within the preceding
three years for cause or default.
At any time after accepting the award, if the recipient learns that it or any of its principals falls under one
or more of the criteria listed at 2 C.F.R. § 180.335, the recipient must provide immediate written notice to
FEMA in accordance with 2 C.F.R. § 180.350.
Reporting of Matters Related to Recipient Integrity and Performance
Per 2 C.F.R. Part 200, Appendix I § F.3, the additional post-award reporting requirements in 2 C.F.R. Part
200, Appendix XII may apply to applicants who, if upon becoming recipients, have a total value of
currently active grants, cooperative agreements, and procurement contracts from all federal awarding
agencies that exceeds $10 million for any period of time during the POP of an award under these funding
opportunities.
Recipients that meet these criteria must maintain current information reported in FAPIIS about civil,
criminal, or administrative proceedings described in paragraph 2 of Appendix XII at the reporting
frequency described in paragraph 4 of Appendix XII.
Single Audit Report
For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000.00 or
more from all federal funding sources during their fiscal year are required to submit an organization-wide
financial and compliance audit report, also known as a “single audit” report.
The audit must be performed in accordance with the requirements of the U.S. Government Accountability
Office’s (GAO) Government Auditing Standards, located at Yellow Book | U.S. GAO, and the
requirements of Subpart F of 2 C.F.R. Part 200, located at eCFR :: 2 CFR Part 200 Subpart F -- Audit
Requirements.
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Additional Information
Monitoring and Oversight
Overview
Per 2 C.F.R. § 200.337, FEMA, through its authorized representatives, has the right, at all reasonable
times, to make site visits or conduct desk reviews to review project accomplishments and management
control systems in order to evaluate award progress and to provide any required technical assistance.
During site visits or desk reviews, FEMA will review recipients’ files related to the award. As part of any
monitoring and program evaluation activities, recipients must permit FEMA, upon reasonable notice, to
review grant-related records and to interview the organization’s staff and co ntractors regarding the
program. Recipients must respond in a timely and accurate manner to FEMA requests for information
relating to the award.
Effective monitoring and oversight help FEMA ensure that recipients use grant funds for their intended
purpose(s), verify that projects undertaken are consistent with approved plans, and ensure that recipients
make adequate progress towards stated goals and objectives. Additionally, monitoring serves as the
primary mechanism to ensure that recipients comply with applicable laws, rules, regulations, program
guidance, and requirements. FEMA regularly monitors all grant programs both financially and
programmatically in accordance with federal laws, regulations (including 2 C.F.R. Part 200), program
guidance, and the terms and conditions of the award. All monitoring efforts ultimately serve to evaluate
progress towards grant goals and proactively target and address issues that may threaten grant success
during the period of performance.
FEMA staff will periodically monitor recipients to ensure that administrative processes, policies and
procedures, budgets, and other related award criteria are meeting Federal Government-wide and FEMA
regulations. Aside from reviewing quarterly financial and programmatic reports, FEMA may also conduct
enhanced monitoring through desk-based reviews, onsite monitoring visits, or both. Enhanced monitoring
will involve the review and analysis of financial compliance and administrative processes, policies,
activities, and other attributes of each federal assistance award, and it will identify areas where the
recipient may need technical assistance, corrective actions, or other support.
Financial and programmatic monitoring are complementary processes within FEMA’s overarching
monitoring strategy that function together to ensure effective grants management, accountability, and
transparency; validate progress against grant and program goals; and safeguard federal funds against
fraud, waste, and abuse. Financial monitoring primarily focuses on statutory and regulatory compliance
with administrative grant requirements, while programmatic monitoring seeks to validate and assist in
grant progress, targeting issues that may be hindering project goals and ensuring compliance with the
purpose of the grant and grant program. Both monitoring processes are similar in that they feature initial
reviews of all open awards, and in-depth monitoring of grants requiring additional attention.
Recipients and subrecipients who are pass-through entities are responsible for monitoring their
subrecipients in a manner consistent with the terms of the federal award at 2 C.F.R. Part 200, including 2
C.F.R. § 200.332. This includes the pass-through entity’s responsibility to monitor the activities of the
subrecipient as necessary to ensure that the subaward is used for authorized purposes, in compliance with
federal statutes, regulations, and the terms and conditions of the subaward; and that subaward
performance goals are achieved.
In terms of overall award management, recipient and subrecipient responsibilities include, but are not
limited to accounting of receipts and expenditures, cash management, maintaining adequate financial
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records, reporting, and refunding expenditures disallowed by audits, monitoring if acting as a pass-
through entity, other assessments and reviews, and ensuring overall compliance with the terms and
conditions of the award or subaward, as applicable, including the terms of 2 C.F.R. Part 200.
Financial Monitoring Overview and Approach
FEMA’s approach to financial monitoring provides a standard monitoring framework that promotes
consistent processes across all monitoring staff. There are four core components of the monitoring
process:
1. Monitoring Assessment: Monitoring staff measure each grant’s monitoring needs using a system
of pre-determined evaluation criteria. The criteria help assess the recipient and potential
challenges to the success of the grant award.
2. Monitoring Selection and Scheduling: Monitoring staff make selection and scheduling
decisions in accordance with applicable statutory requirements, such as the Homeland Security
Act of 2002, as amended (hereafter “HSA”), and consider the results of the monitoring assessment
process.
3. Monitoring Activities: Monitoring activities include cash analysis, desk reviews, and site visits.
Grants Management Specialists are responsible for conducting quarterly or semi-annual reviews
of all grants via cash analysis. Desk reviews and site visits are additional monitoring activities
conducted on grants where the monitoring assessment process identified the need for additional
monitoring and validated the use of FEMA resources for these activities.
4. Post-Monitoring Actions: Monitoring staff may follow up with recipients via post-monitoring
actions based on the outcomes of monitoring activities. Post-monitoring actions include
conducting additional monitoring; reviewing Corrective Action Plans (CAP) and monitoring the
progress of CAP deliverables; documenting the resolution of identified corrective actions and
issues; providing technical assistance and recipient training; and debt collection.
In addition to the monitoring guidance outlined above, section 2022(a)(2)(A) of the HSA mandates the
frequency of monitoring activities for applicable preparedness grants. The applicable section of the HSA
reads as follows:
Not less than once every 2 years, the Administrator shall conduct, for each state and high-risk
urban area receiving a grant administered by the Department, a programmatic and financial
review of all grants awarded by the Department to prevent, prepare for, protect against, or
respond to natural disasters, acts of terrorism, or other man-made disasters, excluding assistance
provided under section 203, title IV, or title V of the Robert T. Stafford Disaster Relief and
Emergency Assistance Act (42 U.S.C. 5133, 5170 et seq., and 5191 et seq.).
The following preparedness grant programs covered by this Manual are subject to HSA monitoring
requirements:
• HSGP
o SHSP
o UASI
o OPSG
• NSGP
• TSGP
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•PSGP
•EMPG Program
Standard Monitoring Activity: Cash Analysis
Through cash analysis, a Grants Management Specialist assesses and reports on the recipients’ cash-on-
hand, expenditures, and unliquidated obligations; gauges potential cost share shortfalls; cash on hand
issues; and spend down activities within the POP. The analysis reconciles and compares grant
disbursement records with the recipient submitted FFR. This process identifies recipients that may require
additional monitoring due to issues identified with drawdowns or FFR submissions.
Enhanced Monitoring Activities: Desk Review, Site Visit
Desk reviews and site visits are two forms of additional monitoring that FEMA conducts on a recipient.
Table 1 defines the key differences and similarities.
Table 1 - Enhanced Financial Monitoring Activities (Desk Review and Site Visit)
Attribute Desk Review Site Visit
Location/
Logistics
A detailed, paper-based review and
evaluation conducted at a FEMA office.
Desk reviews do not require travel.
A visit by FEMA grants management staff
conducted at the site of the recipient’s
operations and/or selected performance
sites. Site visits may require travel.
Materials
Reviewed
Required reports, correspondence, and
other documentation, including policies
and procedures, to substantiate
compliance. Additional documentation
available remotely may include
information available through the grant
file, financial reports, interviews, and
other documentation and correspondence
to verify compliance.
Includes documents listed under the desk
review in addition to all applicable
documents and required reports necessary
to assess recipient capability and progress,
validate records, and substantiate
compliance with laws, regulations, and
policies.
Goal of
Monitoring
Activity
The goals of FEMA’s financial desk
review monitoring activities are, as
applicable, to:
•Review grant files to verify
compliance, conduct interviews to
confirm adherence to approved
program plans, and confirm
equipment acquisition, allowable
use, and inventory controls;
•Document that recipient
institutions possess adequate
internal controls, policies,
processes, and systems to manage
FEMA grants effectively;
•Assist the recipient with the grant
process and provide guidance to
improve recipient administrative
efficiencies;
•Identify and analyze relevant
The goals of FEMA’s financial site visit
monitoring activities are, as applicable, to:
•Review grant files to verify
compliance, conduct interviews to
confirm adherence to approved
program plans, and confirm
equipment acquisition, allowable
use, and inventory controls;
•Document that recipient institutions
possess adequate internal controls,
policies, processes, and systems to
manage FEMA grants effectively;
•Assist the recipient with the grant
process and provide guidance to
improve recipient administrative
efficiencies;
•Identify and analyze relevant
problems that might prevent the
program from achieving its
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Attribute Desk Review Site Visit
problems that might prevent the
program from achieving its
internal and external objectives;
and
•Provide technical assistance.
internal and external objectives;
and
•Provide technical assistance.
Programmatic Monitoring Overview and Approach
Programmatic monitoring involves oversight throughout the award lifecycle in order for FEMA to verify
that programs and projects undertaken by recipients are consistent with approved plans and comply with
applicable laws, regulations, program guidance, and the terms and conditions of the award.
FEMA’s monitoring approach complies with the monitoring requirements described in section 2022 of
the HSA. Programmatic monitoring also plays an important role in ensuring that FEMA preparedness
grant funding builds and sustains capabilities at the SLTT levels that advance the National Preparedness
Goal. Programmatic monitoring also is an opportunity for FEMA staff to build relationships with
recipients and to work collaboratively to identify and mitigate factors that may impede programmatic
performance.
Programs covered by this Manual that are included in the programmatic monitoring approach are listed
below, including the programs subject to section 2022 of the HSA and three additional programs
(THSGP, IPR, and IBSGP):
•HSGP
o SHSP
o UASI
o OPSG
•NSGP
•THSGP
•TSGP
•IPR
•IBSGP
•PSGP
•EMPG Program
FEMA uses a risk- and project-based programmatic monitoring framework for its preparedness grant
programs that is designed for data-driven grants management, and which interacts seamlessly with other
aspects of the grant lifecycle. FEMA uses monitoring as a vehicle to validate data previously self-reported
by recipients in applications and reporting tools. FEMA does not utilize monitoring as a data collection
tool in and of itself. By specializing monitoring in this way, FEMA avoids duplicative data collection,
targets its resources more effectively, and provides stronger and more proactive technical assistance to its
recipients. The framework also comprehensively documents grant management decisions for resource
allocation.
This programmatic monitoring approach establishes baseline monitoring of all open awards across the
FEMA preparedness grant portfolio using a First Line Review (FLR). The FLR identifies recipients and
awards with a high potential for noncompliance with regulations or failure to meet project objectives. The
FLR uses quantifiable measures (criteria) to prioritize and rank recipients and awards according to
identified risks that threaten the success of FEMA’s preparedness grant awards. Results of this
prioritization process determine which high-risk recipients and awards will receive advanced monitoring.
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Post-monitoring actions document and communicate findings and recommendations for resolution to the
recipients and FEMA leadership and allow for increasingly cohesive programmatic and financial
monitoring processes.
Case Studies and Use of Grant-Funded Resources During Real-World
Incident Operations
Analyzing the use of grant-funded investments in real-world incidents will improve the ability of FEMA
and its SLTT partners to assess the effectiveness of these investments and to better understand how grant
funds support improvements in nationwide capability levels. Currently, FEMA conducts case studies with
a limited number of grant recipients each year to explore how jurisdictions prioritize grant investments
based on risk and capability assessments, and the ways specific investments improve SLTT preparedness
(Preparedness Grants Case Studies | FEMA.gov). By accepting the award, the recipient agrees to
participate in a case study or evaluation if requested.
Termination Provisions
FEMA may terminate a federal award in whole or in part for one of the following reasons. FEMA and the
recipient must still comply with closeout requirements at 2 C.F.R. §§ 200.344-200.345 even if an award is
terminated in whole or in part. To the extent that subawards are permitted under the respective program’s
NOFO, pass-through entities should refer to 2 C.F.R. § 200.340 for additional information on termination
regarding subawards.
1.Noncompliance. If an applicant fails to comply with the terms and conditions of a federal award,
FEMA may terminate the award in whole or in part. If the noncompliance can be corrected,
FEMA may first attempt to direct the recipient to correct the noncompliance. This may take the
form of a Compliance Notification. If the noncompliance cannot be corrected or the recipient is
non-responsive, FEMA may proceed with a Remedy Notification, which could impose a remedy
for noncompliance per 2 C.F.R. § 200.339, including termination. Any action to terminate based
on noncompliance will follow the requirements of 2 C.F.R. §§ 200.341-200.342 as well as the
requirement of 2 C.F.R. § 200.340(c) to report in FAPIIS the recipient’s material failure to
comply with the award terms and conditions. See also the section on Actions to Address
Noncompliance.
2.With the Consent of the Recipient. FEMA may also terminate an award in whole or in part with
the consent of the recipient, in which case the parties must agree upon the termination
conditions, including the effective date, and in the case of partial termination, the portion to be
terminated.
3.Notification by the Recipient. The recipient may terminate the award, in whole or in part, by
sending written notification to FEMA setting forth the reasons for such termination, the effective
date, and in the case of partial termination, the portion to be terminated. In the case of partial
termination, FEMA may determine that a partially terminated award will not accomplish the
purpose of the federal award, so FEMA may terminate the award in its entirety. If that occurs,
FEMA will follow the requirements of 2 C.F.R. §§ 200.341-200.342 in deciding to fully
terminate the award.
Period of Performance (POP) Extensions
Extensions to the POP for programs addressed in this Manual are allowed under limited circumstances.
Extensions to the initial POP identified in the award will only be considered through formal, written
requests to the recipient’s FEMA Preparedness Officer or Program Manager and must contain specific
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and compelling justifications as to why an extension is required. Recipients are advised to coordinate with
their FEMA Preparedness Officer or Program Manager as needed when preparing an extension request.
All extension requests must address the following:
1.The grant program, fiscal year, and award number;
2.Reason for the delay–including details of the legal, policy, or operational challenges that prevent
the final outlay of awarded funds by the deadline;
3.Current status of the activity(ies);
4.Approved POP termination date and new project completion date;
5.Amount of funds drawn down to date;
6.Remaining available funds, both federal and, if applicable, non-federal;
7.Budget outlining how remaining federal and, if applicable, non-federal funds will be expended;
8.Plan for completion, including milestones and timeframes for achieving each milestone and the
position or person responsible for implementing the plan for completion; and
9.Certification that the activity(ies) will be completed within the extended POP without any
modification to the original statement of work, as described in the investment justification and as
approved by FEMA.
Extension requests will be granted only due to compelling legal, policy, or operational challenges.
Extension requests will only be considered for the following reasons:
•Contractual commitments by the recipient or subrecipient with vendors prevent completion of the
project within the existing POP;
•The project must undergo a complex environmental review that cannot be completed
within the existing POP;
•Projects are long-term by design, and therefore acceleration would compromise core
programmatic goals; or
•Where other special or extenuating circumstances exist.
Recipients should submit all proposed extension requests to FEMA for review and approval at least 120
days prior to the end of the POP to allow sufficient processing time. Extensions are typically granted for
no more than a six-month period. Recipients are advised to coordinate with their FEMA Preparedness
Officer or Program Manager as needed when preparing an extension request.
Disability Integration
Pursuant to Section 504 of the Rehabilitation Act of 1973, recipients of FEMA financial assistance must
ensure that their programs and activities do not discriminate against otherwise qualified individuals with
disabilities.
Preparedness grant recipients should engage with the whole community to advance individual and
community preparedness and to work as a nation to build and sustain resilience. In doing so, recipients
are encouraged to consider the needs of individuals with disabilities into the activities and projects funded
by the grant.
FEMA expects that the integration of the needs of people with disabilities will occur at all levels,
including planning; alerting, notification, and public outreach; training; purchasing of equipment and
supplies; protective action implementation; and exercises/drills.
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The following are examples that demonstrate the integration of the needs of people with disabilities in
carrying out FEMA awards:
•Include representatives of organizations that work with/for people with disabilities on planning
committees, work groups and other bodies engaged in development and implementation of the
grant programs and activities.
•Hold all activities related to the grant in locations that are accessible to persons with physical
disabilities to the extent practicable.
•Acquire language translation services, including American Sign Language, that provide public
information across the community and in shelters.
•Ensure shelter-specific grant funds are in alignment with FEMA’s Guidance on Planning for
Integration of Functional Needs Support Services in General Population Shelters.
•If making alterations to an existing building to a primary function area utilizing federal funds,
complying with the most recent codes and standards, and making path of travel to the primary
function area accessible to the greatest extent possible.
•Implement specific procedures used by public transportation agencies that include evacuation and
passenger communication plans and measures for individuals with disabilities.
•Identify, create, and deliver training to address any training gaps specifically aimed toward
whole-community preparedness. Include and interact with individuals with disabilities, aligning
with the designated program capability.
•Establish best practices in inclusive planning and preparedness that consider physical access,
language access, and information access. Examples of effective communication access include
providing auxiliary aids and services such sign language interpreters, Computer Aided Real-time
Translation (CART), and materials in Braille or alternate formats.
FEMA grant recipients can fund projects towards the resiliency of the whole community, including
people with disabilities, such as training, outreach, and safety campaigns, provided that the project aligns
with the applicable NOFO, this Manual, the applicable appendix to this Manual, and the terms and
conditions of the award. For specific guidelines on funding a disability inclusive project, please refer to
the program-specific appendix in this Manual.
Conflicts of Interest in the Administration of Federal Awards or
Subawards
For conflicts of interest under grant-funded procurements and contracts, refer to the section on
Procurement Integrity in the applicable NOFO, this Manual, and 2 C.F.R. §§ 200.317 – 200.327.
To eliminate and reduce the impact of conflicts of interest in the subaward process, recipients and pass-
through entities must follow their own policies and procedures regarding the elimination or reduction of
conflicts of interest when making subawards. Recipients and pass-through entities are also required to
follow any applicable federal or SLTT statutes or regulations governing conflicts of interest in the making
of subawards.
The recipient or pass-through entity must disclose to the respective Preparedness Officer or Program
Manager, in writing, any real or potential conflict of interest that may arise during the administration of
the federal award, as defined by the federal or SLTT statutes or regulations or their own existing policies,
within five days of learning of the conflict of interest. Similarly, subrecipients, whether acting as
subrecipients or as pass-through entities, must disclose any real or potential conflict of interest to the
38
recipient or next-level pass-through entity as required by the recipient or pass-through entity’s conflict of
interest policies, or any applicable federal or SLTT statutes or regulations.
Conflicts of interest may arise during the process of FEMA making a federal award in situations where an
employee, officer, or agent, any members of his or her immediate family, his or her partner has a close
personal relationship, a business relationship, or a professional relationship, with an applicant,
subapplicant, recipient, subrecipient, or FEMA employees.
Procurement Integrity
Through audits conducted by the DHS Office of Inspector General (OIG) and FEMA grant monitoring,
findings have shown that some FEMA recipients have not fully adhered to the proper procurement
requirements when spending grant funds. Anything less than full compliance with federal procurement
requirements jeopardizes the integrity of the grant, as well as the grant program. To assist with
determining whether an action is a procurement or instead a subaward, please consult 2 C.F.R § 200.331.
For detailed guidance on the federal procurement standards, recipients and subrecipients should refer to
various materials issued by FEMA’s Procurement Disaster Assistance Team (PDAT), such a s the PDAT
Field Manual and Contract Provisions Guide. Additional resources, including an upcoming trainings
schedule, can be found on the PDAT Website Contracting with Federal Funds for Goods and Services
Before, During and After Disasters | FEMA.gov.
The below highlights the federal procurement requirements for FEMA recipients when procuring goods
and services with federal grant funds. FEMA will include a review of recipients’ procurement practices as
part of the normal monitoring activities. All procurement activity must be conducted in accordance
with federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. Select requirements under
these standards are listed below. The recipient and any of its subrecipients must comply with all
requirements, even if they are not listed below.
Under 2 C.F.R. § 200.317, when procuring property and services under a federal award, states (including
territories) must follow the same policies and procedures they use for procurements from their non-federal
funds; additionally, states must now follow 2 C.F.R. § 200.321 regarding socioeconomic steps, § 200.322
regarding domestic preferences for procurements, § 200.323 regarding procurement of recovered
materials, and § 200.327 regarding required contract provisions.
All other non-federal entities, such as tribes (collectively, non-state entities), must have and use their
own documented procurement procedures that reflect applicable SLTT laws and regulations, provided
that the procurements conform to applicable federal law and the standards identified in 2 C.F.R. Part 200.
These standards include, but are not limited to, providing for full and open competition consistent with
the standards of 2 C.F.R. § 200.319 and § 200.320.
Important Changes to Procurement Standards in 2 C.F.R Part 200
OMB recently updated various parts of Title 2 of the Code of Federal Regulations, among them, the
procurement standards. States are now required to follow the socioeconomic steps in soliciting small and
minority businesses, women’s business enterprises, and labor surplus area firms per 2 C.F.R. § 200.321.
All non-federal entities should also, to the greatest extent practicable under a federal award, provide a
preference for the purchase, acquisition, or use of goods, products, or materials produced in the United
States per 2 C.F.R. § 200.322. More information on OMB’s revisions to the federal procurement
standards can be found in Purchasing Under a FEMA Award: OMB Revisions Fact Sheet.
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The recognized procurement methods in 2 C.F.R. § 200.320 have been reorganized into informal
procurement methods, which include micro-purchases and small purchases; formal procurement methods,
which include sealed bidding and competitive proposals; and noncompetitive procurements. The federal
micro-purchase threshold is currently $10,000, and non-state entities may use a lower threshold when
using micro-purchase procedures under a FEMA award. If a non-state entity wants to use a micro-
purchase threshold higher than the federal threshold, it must follow the requirements of 2 C.F.R. §
200.320(a)(1)(iii)-(v). The federal simplified acquisition threshold is currently $250,000, and a non-state
entity may use a lower threshold but may not exceed the federal threshold when using small purchase
procedures under a FEMA award. See 2 C.F.R. § 200.1 (citing the definition of simplified acquisition
threshold from 48 C.F.R. Part 2, Subpart 2.1).
See 2 C.F.R. §§ 200.216, 200.471, and Appendix II as well as FEMA Policy #405-143-1, Prohibitions on
Expending FEMA Award Funds for Covered Telecommunications Equipment or Services, the relevant
program NOFO, and this Manual regarding prohibitions on covered telecommunications equipment or
services.
Competition and Conflicts of Interest
Among the requirements of 2 C.F.R. § 200.319(b) applicable to all non-federal entities other than states,
contractors that develop or draft specifications, requirements, statements of work, or invitations for bids
or requests for proposals must be excluded from competing for such procurements in order to ensure
objective contractor performance and eliminate unfair competitive advantages. FEMA considers these
actions to be an organizational conflict of interest and interprets this restriction as applying to contractors
that help a non-federal entity develop its grant application, project plans, or project budget. This
prohibition also applies to the use of former employees to manage the grant or carry out a contract when
those former employees worked on such activities while they were employees of the non-federal entity.
Under this prohibition, unless the non-federal entity solicits for and awards a contract covering both
development and execution of specifications (or similar elements as described above), and this contract
was procured in compliance with 2 C.F.R. §§ 200.317 – 200.327, federal funds cannot be used to pay a
contractor to carry out the work if that contractor also worked on the development of those specifications.
This rule applies to all contracts funded with federal grant funds, including pre-award costs, such as grant
writer fees, as well as post-award costs, such as grant management fees.
Additionally, some of the situations considered to be restrictive of competition include but are not limited
to:
•Placing unreasonable requirements on firms in order for them to qualify to do business;
•Requiring unnecessary experience and excessive bonding;
•Noncompetitive pricing practices between firms or between affiliated companies;
•Noncompetitive contracts to consultants that are on retainer contracts;
•Organizational conflicts of interest;
•Specifying only a “brand name” product instead of allowing “an equal” product to be offered and
describing the performance or other relevant requirements of the procurement; and
•Any arbitrary action in the procurement process.
Per 2 C.F.R. § 200.319(c), non-federal entities other than states must conduct procurements in a manner
that prohibits the use of statutorily or administratively imposed SLTT geographical preferences in the
evaluation of bids or proposals, except in those cases where applicable federal statutes expressly mandate
or encourage geographic preference. Nothing in this section preempts state licensing laws. When
contracting for architectural and engineering services, geographic location may be a selection criterion
40
provided its application leaves an appropriate number of qualified firms, given the nature and size of the
project, to compete for the contract.
Under 2 C.F.R. § 200.318(c)(1), non-federal entities other than states are required to maintain written
standards of conduct covering conflicts of interest and governing the actions of their employees engaged
in the selection, award, and administration of contracts. No employee, officer, or agent may participate
in the selection, award, or administration of a contract supported by a federal award if he or she
has a real or apparent conflict of interest. Such conflicts of interest would arise when the employee,
officer, or agent, any member of his or her immediate family, his or her partner, or an organization that
employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a
tangible personal benefit from a firm considered for a contract. The officers, employees, and agents of the
non-federal entity may neither solicit nor accept gratuities, favors, or anything of monetary value from
contractors or parties to subcontracts. However, non-federal entities may set standards for situations in
which the financial interest is not substantial, or the gift is an unsolicited item of nominal value. The
standards of conduct must provide for disciplinary actions to be applied for violations of such standards
by officers, employees, or agents of the non-federal entity.
Under 2 C.F.R. § 200.318(c)(2), if the recipient or subrecipient (other than states) has a parent, affiliate,
or subsidiary organization that is not a state, local, tribal, or territorial government, the non-federal entity
must also maintain written standards of conduct covering organizational conflicts of interest. In this
context, organizational conflict of interest means that because of a relationship with a parent company,
affiliate, or subsidiary organization, the non-federal entity is unable or appears to be unable to be
impartial in conducting a procurement action involving a related organization. The non-federal entity
must disclose in writing any potential conflicts of interest to FEMA or the pass-through entity in
accordance with applicable FEMA policy.
Supply Schedules and Purchasing Programs
Generally, a non-federal entity may seek to procure goods or services from a federal supply schedule,
state supply schedule, or group purchasing agreement.
General Services Administration Schedules
States, tribes, and local governments, and any instrumentality thereof (such as local education agencies or
institutions of higher education), may procure goods and services from a General Services Administration
(GSA) schedule. GSA offers multiple efficient and effective procurement programs for state, tribal, and
local governments, and instrumentalities thereof, to purchase products and services directly from pre-
vetted contractors. The GSA Schedules (also referred to as the Multiple Award Schedules and the Federal
Supply Schedules) are long-term government-wide contracts with commercial firms that provide access to
millions of commercial products and services at volume discount pricing.
Information about GSA programs for states, tribes, and local governments, and instrumentalities thereof,
can be found at Programs for State and Local Governments | GSA and State and Local Governments |
GSA.
For tribes, local governments, and their instrumentalities that purchase off of a GSA schedule, this will
satisfy the federal requirements for full and open competition provided that the recipient follows the GSA
ordering procedures; however, tribes, local governments, and their instrumentalities will still need to
follow the other rules under 2 C.F.R. §§ 200.317 – 200.327, such as solicitation of minority businesses,
women’s business enterprises, small businesses, or labor surplus area firms (§ 200.321), domestic
preferences (§ 200.322), contract cost and price (§ 200.324), and required contract provisions (§ 200.327
and Appendix II).
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Other Supply Schedules and Programs
For non-federal entities other than states, such as tribes, local governments, and nonprofits, that want to
procure goods or services from a state supply schedule, cooperative purchasing program, or other similar
program, in order for such procurements to be permissible under federal requirements, the following must
be true:
•The procurement of the original contract or purchasing schedule and its use by the non-federal
entity complies with state and local law, regulations, and written procurement procedures;
•The state or other entity that originally procured the original contract or purchasing schedule
entered into the contract or schedule with the express purpose of making it available to the non-
federal entity and other similar types of entities;
•The contract or purchasing schedule specifically allows for such use, and the work to be
performed for the non-federal entity falls within the scope of work under the contract as to type,
amount, and geography;
•The procurement of the original contract or purchasing schedule complied with all the
procurement standards applicable to a non-federal entity other than states under at 2 C.F.R. §§
200.317 – 200.327; and
•With respect to the use of a purchasing schedule, the non-federal entity must follow ordering
procedures that adhere to applicable state, tribal, and local laws and regulations and the minimum
requirements of full and open competition under 2 C.F.R. Part 200.
If a non-federal entity other than a state seeks to use a state supply schedule, cooperative purchasing
program, or other similar type of arrangement, FEMA recommends the recipient discuss the procurement
plans with its FEMA Preparedness Officer or Program Manager.
Procurement Documentation
Per 2 C.F.R. § 200.318(i), non-federal entities other than states and territories are required to maintain and
retain records sufficient to detail the history of procurement covering at least the rationale for the
procurement method, contract type, contractor selection or rejection, and the basis for the contract price.
States and territories are encouraged to maintain and retain this information as well and are reminded that
in order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g).
Examples of the types of documents that would cover this information include but are not limited to:
•Solicitation documentation, such as requests for quotes, invitations for bids, or requests for
proposals;
•Responses to solicitations, such as quotes, bids, or proposals;
•Pre-solicitation independent cost estimates and post-solicitation cost/price analyses on file for
review by federal personnel, if applicable;
•Contract documents and amendments, including required contract provisions; and
•Other documents required by federal regulations applicable at the time a grant is awarded to a
recipient.
Additional information on required procurement records can be found on pages 24-26 of the PDAT Field
Manual.
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Financial Assistance Programs for Infrastructure
Build America, Buy America Act
Recipients and subrecipients must comply with the Build America, Buy America Act (BABAA), which
was enacted as part of the Infrastructure Investment and Jobs Act §§ 70901-70927, Pub. L. No. 117-58
(2021); and Executive Order 14005, Ensuring the Future is Made in All of America by All of America’s
Workers. See also OMB Memorandum M-22-11, Initial Implementation Guidance on Application of Buy
America Preference in Federal Financial Assistance Programs for Infrastructure.
None of the funds provided under this program may be used for a project for infrastructure unless the iron
and steel, manufactured products, and construction materials used in that infrastructure are produced in
the United States.
The Buy America preference only applies to articles, materials, and supplies that are consumed in,
incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools, equipment,
and supplies, such as temporary scaffolding, brought to the construction site and removed at or before the
completion of the infrastructure project. Nor does a Buy America preference apply to equipment and
furnishings, such as movable chairs, desks, and portable computer equipment, that are used at or within
the finished infrastructure project but are not an integral part of the structure or permanently affixed to the
infrastructure project.
To see whether a particular FEMA federal financial assistance program is considered an infrastructure
program and thus required to include a Buy America preference, please see Programs and Definitions:
Build America, Buy America Act | FEMA.gov and Build America, Buy America Act Frequently Asked
Questions (FAQs) | FEMA.gov. Additional information is found in Buy America Preference in FEMA
Financial Assistance Programs for Infrastructure, FEMA Interim Policy #207-22-0001.
Waivers
When necessary, recipients (and subrecipients through their pass-through entity) may apply for, and
FEMA may grant, a waiver from these requirements.
A waiver of the domestic content procurement preference may be granted by the agency awarding official
if FEMA determines that:
•Applying the domestic content procurement preference would be inconsistent with the public
interest.
•The types of iron, steel, manufactured products, or construction materials are not produced in the
United States in sufficient and reasonably available quantities or of a satisfactory quality.
•The inclusion of iron, steel, manufactured products, or construction materials produced in the
United States will increase the cost of the overall project by more than 25%.
For FEMA awards, the process for requesting a waiver from the Buy America preference requirements
can be found on FEMA’s website at “Buy America” Preference in FEMA Financial Assistance Programs
for Infrastructure | FEMA.gov.
Definitions
Construction materials: an article, material, or supply—other than an item primarily of iron or steel; a
manufactured product; cement and cementitious materials; aggregates such as stone, sand, or gravel; or
aggregate binding agents or additives—that is or consists primarily of non-ferrous metals, plastic and
polymer-based products (including polyvinylchloride, composite building materials, and polymers used in
fiber optic cables), glass (including optic glass), lumber, paint, and drywall.
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Domestic content procurement preference: Means all iron and steel used in the project are produced in the
United States; the manufactured products used in the project are produced in the United States; or the
construction materials used in the project are produced in the United States.
Federal financial assistance: Generally defined in 2 C.F.R. § 200.1 and includes all expenditures by a
federal agency to a non-federal entity for an infrastructure project, except that it does not include
expenditures for assistance authorities relating to major disasters or emergencies under sections 402, 403,
404, 406, 408, or 502 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act relating to
a major disaster or emergency declared under section 401 or 501, respectively, or pre and post disaster or
emergency response expenditures.
Infrastructure: infrastructure projects which serve a public function, including at a minimum, the
structures, facilities, and equipment for, in the United States, roads, highways, and bridges; public
transportation; dams, ports, harbors, and other maritime facilities; intercity passenger and freight
railroads; freight and intermodal facilities; airports; water systems, including drinking water and
wastewater systems; electrical transmission facilities and systems; utilities; broadband infrastructure; and
buildings and real property; and structures, facilities, and equipment that generate, transport, and
distribute energy.
Produced in the United States means the following for:
• Iron and steel: All manufacturing processes, from the initial melting stage through the application
of coatings, occurred in the United States.
• Manufactured products: The product was manufactured in the United States, and the cost of the
components of the manufactured product that are mined, produced, or manufactured in the United
States is greater than 55% of the total cost of all components of the manufactured product, unless
another standard for determining the minimum amount of domestic content of the manufactured
product has been established under applicable law or regulation.
• Construction Materials: All manufacturing processes for the construction material occurred in the
United States.
Project: is any activity related to the construction, alteration, maintenance, or repair of infrastructure in
the United States.
Records Retention
Record Retention Period
Financial records, supporting documents, statistical records, and all other non-federal entity records
pertinent to a federal award generally must be maintained for at least three years from the date the final
FFR is submitted. See 2 C.F.R. § 200.334. Further, if the recipient does not submit a final FFR and the
award is administratively closed, FEMA uses the date of administrative closeout as the start of the general
record retention period.
The record retention period may be longer than three years or have a different start date in certain
cases. These include:
• Records for real property and equipment acquired with federal funds must be retained for three
years after final disposition of the property. See 2 C.F.R. § 200.334(c).
• If any litigation, claim, or audit is started before the expiration of the three-year period, the
records must be retained until all litigation, claims, or audit findings involving the records have
been resolved and final action taken. See 2 C.F.R. § 200.334(a).
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•The record retention period will be extended if the recipient is notified in writing of the
extension by FEMA, the cognizant or oversight agency for audit, or the cognizant agency for
indirect costs. See 2 C.F.R. § 200.334(b).
•Where FEMA requires recipients to report program income after the period of performance ends,
the program income record retention period begins at the end of the recipient’s fiscal year
in which program income is earned. See 2 C.F.R. § 200.334(e).
•For indirect cost rate proposals, cost allocation plans, or other rate computations records, the start
of the record retention period depends on whether the indirect cost rate documents were
submitted for negotiation. If the indirect cost rate documents were submitted for negotiation,
the record retention period begins from the date those documents were submitted for
negotiation. If indirect cost rate documents were not submitted for negotiation, the record
retention period begins at the end of the recipient’s fiscal year or other accounting period
covered by that indirect cost rate. See 2 C.F.R. § 200.334(f).
Types of Records to Retain
FEMA requires that non-federal entities maintain the following documentation for federally funded
purchases:
•Specifications;
•Solicitations;
•Competitive quotes or proposals;
•Basis for selection decisions;
•Purchase orders;
•Contracts;
•Invoices; and
•Canceled checks.
Non-federal entities should keep detailed records of all transactions involving the grant. FEMA may at
any time request copies of any relevant documentation and records, including purchasing documentation
along with copies of canceled checks for verification. See, e.g., 2 C.F.R. §§ 200.318(i), 200.334, 200.337.
In order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g). Non-
federal entities who fail to fully document all purchases may find their expenditures questioned and
subsequently disallowed.
Actions to Address Noncompliance
Non-federal entities receiving financial assistance from FEMA are required to comply with requirements
in the terms and conditions of their awards or subawards, including the terms set forth in applicable
federal statutes, regulations, NOFOs, policies, and this Manual. Throughout the award lifecycle or even
after an award has been closed, FEMA or the pass-through entity may discover potential or actual
noncompliance on the part of a recipient or subrecipient. This potential or actual noncompliance may be
discovered through routine monitoring, audits, closeout, or reporting from various sources.
In the case of any potential or actual noncompliance, FEMA may place special conditions on an award
per 2 C.F.R. §§ 200.208 and 200.339, FEMA may place a hold on funds until the matter is corrected, or
additional information is provided per 2 C.F.R. § 200.339, or it may do both. Similar remedies for
noncompliance with certain federal civil rights laws are authorized pursuant to 44 C.F.R Parts 7 and 19.
45
In the event the noncompliance is not able to be corrected by imposing additional conditions or the
recipient or subrecipient refuses to correct the matter, FEMA might take other remedies allowed under 2
C.F.R. § 200.339. These remedies include actions to disallow costs, recover funds, wholly or partly
suspend or terminate the award, initiate suspension and debarment proceedings, withhold further federal
awards, or take other remedies that may be legally available. For further information on termination due
to noncompliance, see the section on Termination Provisions in the relevant NOFO.
FEMA may discover and take action on noncompliance even after an award has been closed. The
closeout of an award does not affect FEMA’s right to disallow costs and recover funds as long as the
action to disallow costs takes place during the record retention period. See 2 C.F.R. §§ 200.334,
200.345(a). Closeout also does not affect the obligation of the non-federal entity to return any funds due
as a result of later refunds, corrections, or other transactions. See 2 C.F.R. § 200.345(a)(2).
The types of funds FEMA might attempt to recover include, but are not limited to, improper payments,
cost share reimbursements, program income, interest earned on advance payments, or equipment
disposition amounts.
FEMA may seek to recover disallowed costs through a Notice of Potential Debt Letter, a Remedy
Notification, or other letter. The document will describe the potential amount owed, the reason why
FEMA is recovering the funds, the recipient’s appeal rights, the requirement to retain records, how the
amount can be paid, and the consequences, including billing and collection, for not appealing or paying
the amount by the deadline.
If the recipient neither appeals nor pays the amount by the deadline, the amount owed will become final.
Potential consequences if the debt is not paid in full or otherwise resolved by the deadline include the
assessment of interest, administrative fees, and penalty charges; administratively offsetting the debt
against other payable federal funds; and transferring the debt to the U.S. Department of the Treasury for
collection.
FEMA notes the following common areas of noncompliance for the preparedness grant programs:
•Insufficient documentation and lack of record retention;
•Failure to follow the procurement under grants requirements;
•Failure to submit closeout documents in a timely manner;
•Failure to follow EHP requirements; and
•Failure to comply with the POP deadline.
Audits
FEMA grant recipients are subject to audit oversight from multiple entities including the DHS OIG, the
GAO, the pass-through entity, or independent auditing firms for single audits, and may cover activities
and costs incurred under the award. Auditing agencies such as the DHS OIG, the GAO, and the pass-
through entity (if applicable), and FEMA in its oversight capacity, must have access to records pertaining
to the FEMA award. Recipients and subrecipients must retain award documents for at least three years
from the date the final FFR is submitted, and even longer in many cases subject to the requirements of 2
C.F.R. § 200.334. In the case of administrative closeout, documents must be retained for at least three
years from the date of closeout, or longer subject to the requirements of 2 C.F.R. § 200.334. If documents
are retained longer than the required retention period, the DHS OIG, the GAO, and the pass-through
entity, as well as FEMA in its oversight capacity, have the right to access these records as well. See 2
C.F.R. §§ 200.334, 200.337.
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Additionally, non-federal entities must comply with the single audit requirements at 2 C.F.R. Part 200,
Subpart F. Specifically, non-federal entities, other than for-profit subrecipients, that expend $750,000 or
more in federal awards during their fiscal year must have a single or program-specific audit conducted for
that year in accordance with Subpart F. 2 C.F.R. § 200.501. A single audit covers all federal funds
expended during a fiscal year, not just FEMA funds. The cost of audit services may be allowable per 2
C.F.R. § 200.425, but non-federal entities must select auditors in accordance with 2 C.F.R. § 200.509,
including following the proper procurement procedures. For additional information on single audit
reporting requirements, see the section in this Manual titled “Single Audit Report.”
The objectives of single audits are to:
•Determine if financial statements conform to generally accepted accounting principles (GAAP);
•Determine whether the schedule of expenditures of federal awards is presented fairly;
•Understand, assess, and test the adequacy of internal controls for compliance with major
programs; and
•Determine if the entity complied with applicable laws, regulations, and contracts or grants.
For single audits, the auditee is required to prepare financial statements reflecting its financial position, a
schedule of federal award expenditures, and a summary of the status of prior audit findings and
questioned costs. The auditee also is required to follow up and take appropriate corrective actions on new
and previously issued but not yet addressed audit findings. The auditee must prepare a corrective action
plan to address the new audit findings. See 2 C.F.R. §§ 200.508, 200.510, 200.511.
Non-federal entities must have an audit conducted, either single or program-specific, of their financial
statements and federal expenditures annually or biennially pursuant to 2 C.F.R. § 200.504. Non-federal
entities must also follow the information submission requirements of 2 C.F.R. § 200.512, including
submitting the audit information to the Federal Audit Clearinghouse within the earlier of 30 calendar days
after receipt of the auditor’s report(s) or nine months after the end of the audit period. The audit
information to be submitted include the data collection form described at 2 C.F.R. § 200.512(c) and
Appendix X to 2 C.F.R. Part 200 as well as the reporting package described at 2 C.F.R. § 200.512(b).
The non-federal entity must retain one copy of the data collection form and one copy of the reporting
package for three years from the date of submission to the Federal Audit Clearinghouse. 2 C.F.R. §
200.512; see also 2 C.F.R. § 200.517 (setting requirements for retention of documents by the auditor and
access to audit records in the auditor’s possession).
FEMA, the DHS OIG, the GAO, and the pass-through entity (if applicable), as part of monitoring or as
part of an audit, may review a non-federal entity’s compliance with the single audit requirements. In cases
of continued inability or unwillingness to have an audit conducted in compliance with 2 C.F.R. Part 200,
Subpart F, FEMA and the pass-through entity, if applicable, are required to take appropriate remedial
action under 2 C.F.R. § 200.339 for noncompliance, pursuant to 2 C.F.R. § 200.505.
Payment Information
FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. To
enroll in the DD/EFT, the recipient must complete the SF-1199A, Direct Deposit Form.
FEMA utilizes the Payment and Reporting System (PARS) for financial reporting, invoicing, and tracking
payments. For additional information, refer to PARS Security (fema.gov).
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National Campaigns and Programs
Preparedness grant funding can generally be used to support the following campaigns and programs that
have been developed by or in partnership with DHS or FEMA.
FEMA Strategic Plan
The 2022–2026 FEMA Strategic Plan outlines a bold vision and three ambitious goals designed to
address key challenges the agency faces during a pivotal moment in the field of emergency management.
Wide-ranging and long-term, the goals defined in the plan respond to the changing landscape in which we
find ourselves. The goals to meet this challenge are:
•Goal 1 - Instill Equity as a Foundation of Emergency Management. Disasters impact people
and communities differently. Every disaster occurs within a unique context based on a
community’s geographic, demographic, political, historical, and cultural characteristics. These
unique contexts require tailored solutions that are designed to meet their unique needs;
•Goal 2 - Lead Whole of Community in Climate Resilience. Climate change represents a
profound crisis for the nation, making natural disasters more frequent, more intense, and more
destructive. The growing severity of disasters increases the time it takes for communities to
recover – a process that can be further complicated by repeat events in areas already struggling to
bounce back. These cascading and compounding impacts, propelled by climate change, pose the
greatest risk to our communal and nationwide resilience; and
•Goal 3 - Promote and Sustain a Ready FEMA and Prepared Nation. The increase in
frequency, severity, and complexity of emergency, disaster, and fire incidents has heightened
demands on FEMA and on the larger emergency management community. FEMA must expand
its approach to agency readiness and to national preparedness. The only way to achieve this is to
increase the nation’s overall emergency management capabilities at all levels of government, as
well as the private sector, the nonprofit sector, and among individuals.
These goals position FEMA to address the increasing range and complexity of disasters, support the
diversity of communities we serve, and complement the nation’s growing expectations of the emergency
management community. All preparedness grant program recipients are encouraged to review the 2022–
2026 FEMA Strategic Plan and consider how FY 2023 grant funding can be used to support the Plan’s
goals and objectives of equity, climate resilience, and readiness as they apply to an entity’s specific needs
and the needs of the whole community. We invite all stakeholders and partners to also adopt these
priorities and join us in building a more prepared and resilient nation.
Whole Community Preparedness
Preparedness is a shared responsibility that calls for the involvement of everyone—not just the
government—in preparedness efforts. By working together, everyone can help keep the nation safe from
harm and help keep it resilient when struck by hazards, such as natural disasters, acts of terrorism, and
pandemics.
Whole Community includes, but is not limited to:
•Individuals and families, including those with access and functional needs;
•Businesses;
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• Faith-based and community organizations;
• Nonprofit groups;
• Schools and academia;
• Media outlets; and
• All levels of government, including state, local, tribal, territorial, and federal partners.
The phrase “Whole Community” often appears repeatedly in preparedness materials, as it is one of the
guiding principles. It means two things:
1. Involving people in the development of national preparedness documents; and
2. Ensuring their roles and responsibilities are reflected in the content of the materials.
Additional information on incorporating whole community preparedness is available in the relevant
program-specific appendix to this Manual, as applicable.
Active Shooter Preparedness
DHS aims to enhance national preparedness through a whole-community approach by providing the
necessary products, tools, and resources to help all stakeholders prepare for and respond to an active
shooter incident. To that end, DHS has developed a comprehensive Active Shooter Preparedness website,
which includes informational resources, available at Active Shooter Preparedness | CISA.
An additional resource, the Joint DHS and Federal Bureau of Investigation (FBI) Countering Violent
Extremism (CVE) and Active Shooter Web Portal is located within the Homeland Security Information
Network (HSIN). The portal provides a restricted-access forum to share Unclassified, For Official Use
Only (FOUO), Sensitive but Unclassified (SBU), and Law Enforcement Sensitive (LES) information. The
portal provides users and training practitioners with accurate, appropriate, and relevant CVE and Active
Shooter training development resources, subject-matter expert information, and outreach initiatives. It
also has forums to provide feedback, products useful to others, and allows participants to ask questions
concerning CVE or the Active Shooter Program. Persons with a job-related duty, public service interest,
or who support a CVE and/or Active Shooter program can request access to this Portal. Additional
information can be found at: CVEAS Portal | Homeland Security (dhs.gov).
States and high-risk urban areas are encouraged to review the referenced active shooter guidance,
evaluate their preparedness needs, and consider applying for funding to address any needs identified in
this area (please see the most current NOFO for allowable costs). To address training needs associated
with active shooter incidents, FEMA’s Emergency Management Institute provides a free, web -based
training course entitled IS-907: Active Shooter: What You Can Do, available at FEMA - Emergency
Management Institute (EMI) Course | IS-907: Active Shooter: What You Can Do.
Soft Targets and Crowded Places
There are continued and growing threats facing Soft Targets and Crowded Places (ST-CP) throughout the
nation. ST-CPs are those locations or environments that are easily accessible to large numbers of people
on a predictable or semi-predictable basis that have limited security or protective measures in place.
These locations are vulnerable to attack using simple tactics and readily accessible weapons such as small
arms, edged weapons, vehicles, improvised explosive devices, and unmanned aircraft systems. ST-CPs
can include places such as town centers, shopping malls, open-air venues, outside hard targets/venues
perimeters, and other places of meeting and gathering. DHS is committed to reducing the risk of attacks
against ST-CPs and the impact of attacks if they do occur. However, the protection and security of ST-
49
CPs is a shared responsibility among whole community partners including the public, ST-CP owners and
operators, security industry partners, the Federal Government, and SLTT government partners. States,
territories, high-risk urban areas, and public and private sector partners are encouraged to identify security
gaps and build capabilities that address security needs of ST-CPs, understanding the unique challenges
related to protecting locations that are open to the public. States, territories, high-risk urban areas, and
public and private sector partners are also encouraged to use resources to instill a culture of awareness,
vigilance, and preparedness. For more information and additional resources, please see the DHS’s
Hometown Security Program.
Community Lifelines
FEMA created Community Lifelines to reframe incident information, understand and communicate
incident impacts using plain language, and promote unity of effort across the whole community to
prioritize efforts to stabilize the lifelines during incident response. Although lifelines were developed to
support response planning and operations, the concept can be applied across the entire preparedness cycle.
Efforts to protect lifelines, prevent and mitigate potential impacts to them, and build back stronger and
smarter during recovery will drive overall resilience of the nation. Applying the lifelines construct allows
decision-makers to:
•Prioritize, sequence, and focus response efforts towards maintaining or restoring the most critical
services and infrastructure;
•Utilize a common lexicon to facilitate unity of purpose among all stakeholders;
•Promote a response that facilitates unity of purpose and better communication among the whole
community (federal, state, tribal, territorial, and local governments, and private sector and non-
governmental entities); and
•Clarify which components of the disaster are complex (multifaceted) or complicated (difficult),
requiring cross-sector coordination.
Lifelines are used to:
•Enhance the ability to gain, maintain, and communicate situational awareness for the whole
community in responding to disasters;
•Analyze impacts to the various lifelines and develop priority focus areas for each operational
period during response;
•Identify and communicate complex interdependencies to identify major limiting factors hindering
stabilization; and
•Update the National Response Framework to reflect use of lifelines in response planning.
Lifelines include opportunities to:
•Enable a true unity of effort between government, non-governmental organizations, and the
private sector, including infrastructure owners and operators;
•Integrate preparedness efforts, existing plans, and identify unmet needs to better anticipate
response requirements; and
•Refine reporting sources and products to enhance situational awareness, best determine capability
gaps, and demonstrate progress towards stabilization.
For more information on lifelines, please visit FEMA’s Community Lifelines Page and Implementation
Toolkit.
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Strategic Framework for Countering Terrorism and Targeted Violence
The United States faces increasingly complex threats from terrorism and targeted violence. Both continue
to pose a grave threat in ways that have evolved dramatically in the nearly two decades since the 9/11
attacks. Although foreign terrorist organizations remain intent on striking our Homeland, we also face a
growing threat from domestic actors. Combating terrorism and targeted violence requires the combined
efforts of DHS, our federal and SLTT government partners, and civil society.
To address these threats, in September 2019 DHS adopted the DHS Strategic Framework for Countering
Terrorism and Targeted Violence which explains how the department will use the tools and expertise that
have protected and strengthened the country from foreign terrorist organizations to address the evolving
challenges of today. DHS has also now finalized a corresponding Public Action Plan. Preparedness grant
recipients are encouraged to familiarize themselves with these documents and consider adopting the
concepts, principles, and goals and ojbectives they outline.
Countering Violent Extremism (CVE) Training
Per FEMA Grant Programs Directorate Information Bulletin 432, Review and Approval Requirements for
Training Courses Funded Through Preparedness Grants, issued on July 19, 2018, states, territories, tribal
entities, and high-risk urban areas are no longer required to request approval from FEMA for personnel to
attend non-DHS FEMA training as long as the training is coordinated with and approved by the state,
territory, tribal, or high-risk urban area Training Point of Contact (TPOC) and falls within the FEMA
mission scope and the jurisdiction’s Emergency Operations Plan.
FEMA will conduct periodic reviews of all state, territory, and high-risk urban area training funded by
FEMA. These reviews may include requests for all course materials and physical observation of, or
participation in, the funded training. If these reviews determine that courses are outside the scope of this
guidance, the costs will be disallowed.
When developing new courses, recipients are encouraged to apply the Analysis, Design, Development,
Implementation, and Evaluation (ADDIE) model of instructional design. For further information on
developing courses using the instructional design methodology and tools that can facilitate the process,
State Administrative Agencies, and TPOCs are encouraged to review the National Training and Education
Division Training Resource and Development Center website at First Responder Training Resource and
Development Center.
All training, presentations, and speakers regarding CVE must be consistent with DHS and U.S.
Government policy, in particular by avoiding the use of hostile, stereotypical, or factually inaccurate
information about Muslims and Islam or any community, and by emphasizing the importance of
community engagement and interaction to promote communities as part of the solution rather than the
problem needing solution.
Foreign terrorist groups and individual terrorist thought leaders are seeking to recruit or inspire
Westerners to carry out attacks against western and U.S. targets. They seek to recruit and/or inspire
individuals living in communities with the U.S. via, but not limited to, print, video, and social media, as
well as through personal interaction. But we also know that violent extremism is not a phenomenon
restricted solely to one community and that any effort to counter violent extremism must be applicable to
all ideologically motivated violence. Efforts to provide information and training regarding CVE should
emphasize the strength of local communities approach. The following are examples that demonstrate the
integration of community engagement and CVE that reflect the strength of local communities approach:
51
•Training objectives should be clearly defined to meet specific CVE goals, such as community
engagement, cultural awareness, community-based policing, etc.;
•Engaging diverse American communities around CVE may require working with local grassroots
community organizations to develop engagement and outreach initiatives;
•Training programs should be sensitive to Constitutional values, such as protecting fundamental
civil rights and civil liberties, and eschew notions of racial and ethnic profiling;
•It may be necessary to conduct vetting procedures for self-selected CVE training experts who
offer programs that may claim to address CVE, but serve to demonize certain individuals or
whole cross sections of a community;
•Training programs must ensure that the clearly defined objectives are in line with DHS strategies
to counter violent extremism;
•It may be necessary to provide a review process to determine if CVE training focuses on
community engagement and outreach;
•Support may be needed for law enforcement to increase knowledge, skills, and abilities to
increase engagement techniques with diverse American communities; and
•Cultural awareness courses of diverse American communities may be necessary to ensure
stakeholders are taught to work with communities and build trust, rather than feed existing
misconceptions and stereotypes of people, culture, or religion.
HSGP Appendix | 2023 Page A-1
Program Appendix A:
Homeland Security Grant Program (HSGP)
As a reminder, while this appendix contains HSGP-specific information and requirements, the main
content of this Manual (non-appendix information) contains important information relevant to all
preparedness grant programs, including the HSGP. Please be sure to read the main content of this Manual
in addition to the program-specific appendices.
Alignment of HSGP to the National Preparedness System
The Nation uses the National Preparedness System to build, sustain, and deliver core capabilities to
achieve the National Preparedness Goal (the Goal). Recipients will use the National Preparedness System
to support their efforts to build, sustain, and deliver these core capabilities. The components of the National
Preparedness System are Identifying and Assessing Risk, Estimating Capability Requirements, Building
and Sustaining Capabilities, Planning to Deliver Capabilities, Validating Capabilities, and Reviewing and
Updating. Additional information on the National Preparedness System is available at National
Preparedness System | FEMA.gov.
As the National Preparedness System matures, we are getting better data on our capabilities as a Nation
that can be used to drive our focus and our resources at all levels. States and territories provide annual
data on their proficiency across 32 core capabilities through the Threat and Hazard Identification and Risk
Assessment (THIRA), Stakeholder Preparedness Review (SPR), exercise and real world after-action
reports, and other preparedness data. This data feeds into the National Preparedness Report and forms a
shared national picture of needs relative to capability gaps—including what threats and hazards are posing
the greatest risks, and what core capabilities are most in need of improvement or sustainment.
Communities and federal agencies alike use this data to prioritize, synchronize, and guide programs and
activities to build and sustain capabilities. Analytic results help shape prioritization decisions at FEMA
and across the nation to make sure we are focusing our time and our resources in the right areas.
The HSGP provides financial support to state, local, tribal, and territorial (SLTT) jurisdictions to help
them build, sustain, and deliver core capabilities identified in the Goal. A key focus and requirement of
the HSGP is to prevent terrorism and other catastrophic events and to prepare the Nation for the threats
and hazards that pose the greatest risk to the security of the United States, including risks along the
Nation’s borders. When applicable, funding should support deployable assets that can be used anywhere
in the Nation through automatic assistance and mutual aid agreements, including, but not limited to, the
Emergency Management Assistance Compact (EMAC).
The HSGP supports investments that improve the ability of jurisdictions nationwide to:
•Prevent a threatened or an actual act of terrorism;
•Protect citizens, residents, visitors, and assets against the threats that pose the greatest risk to the
security of the United States;
•Mitigate the loss of life and property by lessening the impact of future catastrophic events;
•Respond quickly to save lives, protect property and the environment, and meet basic human
needs in the aftermath of a catastrophic incident; and/or
HSGP Appendix | 2023 Page A-2
HSGP Funding Guidelines
Recipients must comply with all the requirements in 2 C.F.R. Part 200 (Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards). In general, recipients should
consult with their FEMA HQ Preparedness Officer prior to making any investment that does not clearly
meet the allowable expense criteria. Funding guidelines established within this section support four of the
five mission areas—Prevention, Protection, Mitigation, and Response—and associated core capabilities
within the Goal. While Recovery is part of the Goal, it is not explicitly part of the HSGP. Allowable
investments made in support of the national priorities, as well as other capability-enhancing projects must
have a nexus to terrorism preparedness and fall into the categories of planning, organization, exercises,
training, or equipment, aligned to building capability, closing capability gaps, and/or sustaining
capabilities, as defined by CPG 201: THIRA/SPR Guide—3rd Edition (Comprehensive Preparedness
Guide (CPG) 201, 3rd Edition (fema.gov)). Recipients are encouraged to use grant funds for evaluating
grant-funded project effectiveness and return on investment. FEMA encourages recipients to provide the
results of that analysis to FEMA.
Multiple Purpose or Dual-Use of Funds
For both the State Homeland Security Program (SHSP) and Urban Area Security Initiative (UASI), many
activities that support the achievement of core capabilities related to the national priorities and terrorism
preparedness may simultaneously support enhanced preparedness for other hazards unrelated to acts of
terrorism. However, all SHSP- and UASI-funded projects must assist recipients and subrecipients in
achieving core capabilities related to preventing, preparing for, protecting against, or responding to acts of
terrorism per section 2008(c) of the Homeland Security Act of 2002 (6 U.S.C. § 609(c)).
Planning (SHSP and UASI)
SHSP and UASI funds may be used for a range of emergency preparedness and management planning
activities, such as those associated with the development, review, and revision of the THIRA, SPR,
continuity plans, and other planning activities that support the Goal and placing an emphasis on updating
and maintaining a current Emergency Operations Plan (EOP) that conforms to the guidelines outlined in
Comprehensive Preparedness Guide (CPG) 101 v2. Planning efforts can also include conducting risk and
resilience assessments on increasingly connected cyber and physical systems, on which security depends,
using the Infrastructure Resilience Planning Framework and related Cybersecurity and Infrastructure
Security Agency (CISA) resources.
Additionally, SHSP and UASI funds may be used for planning efforts related to state court cybersecurity,
911 call capabilities, alert and warning capabilities, and implementation of the REAL ID Act (Pub. L. No.
109-13).
Organization (SHSP and UASI)
States and high-risk urban areas must justify proposed expenditures of SHSP or UASI funds to support
organization activities within their Investment Justification (IJ) submission. Organizational activities
include:
•Program management;
•Development of whole community partnerships, through groups such as Citizen Corp Councils;
•Structures and mechanisms for information sharing between the public and private sector;
•Implementing models, programs, and workforce enhancement initiatives to address
ideologically inspired radicalization to violence in the homeland;
HSGP Appendix | 2023 Page A-3
•Tools, resources, and activities that facilitate shared situational awareness between the public
and private sectors;
•Operational Support;
•Utilization of standardized resource management concepts such as typing, inventorying,
organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before,
during, and after an incident;
•Responding to an increase in the threat level under the National Terrorism Advisory System
(NTAS) or needs resulting from a National Special Security Event;
•Paying salaries and benefits for personnel to serve as qualified Intelligence Analysts. Per the
Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security
Act (PRICE Act), Pub. L. No. 110-412, § 2, codified in relevant part, as amended, at 6 U.S.C. §
609(a), SHSP and UASI funds may be used to hire new staff and/or contractor positions to serve
as intelligence analysts to enable information/intelligence sharing capabilities, as well as support
existing intelligence analysts previously covered by SHSP or UASI funding. See 6 U.S.C. §
609(a). To be hired as an intelligence analyst, staff and/or contractor personnel must meet at least
one of the following criteria:
o Complete training to ensure baseline proficiency in intelligence analysis and production
within six months of being hired; and/or,
o Previously served as an intelligence analyst for a minimum of two years either in a
federal intelligence agency, the military, or state and/or local law enforcement
intelligence unit.
•All fusion center analytical personnel must demonstrate qualifications that meet or exceed
competencies identified in the Common Competencies for state, local, and tribal intelligence
analysts, which outlines the minimum categories of training needed for intelligence analysts. A
certificate of completion of such training must be on file with the State Administrative Agency
(SAA) and must be made available to the recipient’s respe ctive FEMA HQ Preparedness Officer
upon request; and
•Migrating online services to the “.gov” internet domain.
All SAAs are allowed to use up to 50% of their SHSP funding, and all high-risk urban areas are allowed to
use up to 50% of their UASI funding, for personnel costs per 6 U.S.C. § 609(b)(2)(A). Personnel hiring,
overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for
the allowable activities within the scope of the grant. Personnel expenses may include, but are not limited
to training and exercise coordinators, program managers and planners, intelligence analysts, and
Statewide Interoperability Coordinators (SWICs).
At the request of a recipient, the FEMA Administrator (or their designee) may grant a waiver of this 50%
limitation under 6 U.S.C. § 609(b)(2)(B). Requests for waivers to the personnel cap must be submitted by
the authorized representative of the SAA to FEMA in writing on official letterhead, with the following
information:
•Documentation explaining why the cap should be waived;
•Conditions under which the request is being submitted; and
•A budget and method of calculation of personnel costs both in percentages of the grant award and
in total dollar amount.
Please see Information Bulletin (IB) 421b, Clarification on the Personnel Reimbursement for Intelligence
Cooperation and Enhancement of Homeland Security Act of 2008 (Public L. No. 110–412 – the PRICE
Act), dated October 30, 2019, for additional information on the waiver request process.
HSGP Appendix | 2023 Page A-4
Organizational activities under SHSP and UASI include:
Operational Overtime Costs. In support of efforts to enhance capabilities for detecting, deterring,
disrupting, and preventing acts of terrorism and other catastrophic events, operational overtime costs are
allowable for increased protective security measures at critical infrastructure sites or other high-risk
locations and to enhance public safety during mass gatherings and high-profile events. In that regard, HSGP
recipients are urged to consider using grant funding to support soft target preparedness activities. SHSP or
UASI funds may be used to support select operational expenses associated with increased security measures
in the authorized categories cited in the table below, but this table is not exhaustive. FEMA retains the
discretion to approve other types of requests that do not fit within one of the categories of the table.
Table 2 - Authorized Operational Overtime Categories
Category Description
1
National Terrorism
Advisory System
(NTAS)
Security measures in response to an increase in the threat level
under the NTAS to an “elevated” or “imminent” alert status. FEMA
Information Bulletin No. 367, Impact of National Terrorism
Advisory System on Homeland Security Grant Programs, remains
applicable; therefore, advance authorization from FEMA is not
required. Refer to National Terrorism Advisory System | Homeland
Security (dhs.gov) for additional information on the NTAS.
2 National Security
Special Event (NSSE)
Security measures for a designated NSSE. NSSEs are events of
national or international significance deemed by DHS to be a
potential target for terrorism or other criminal activity.
3
Special Event
Assessment Rating
(SEAR) Level 1 through
Level 4 Events
Security measures required for SEAR Level 1 through Level 4
events as designated by DHS and included in the DHS National
Special Events List, as defined below:
•SEAR 1: A significant event with national and/or
international importance that may require extensive federal
interagency support.
•SEAR 2: A significant event with national and/or
international importance that may require some level of
federal interagency support.
•SEAR 3: An event of national and/or international
importance that requires only limited federal support.
•SEAR 4: An event with limited national importance that is
managed at state and local level.
NOTE: In cases where a threat of terrorism can be associated with a
SEAR Level 5 event, the event planners should coordinate with their
state or territory Homeland Security Advisor to seek re-adjudication
of the SEAR rating. Operational overtime for security measures
associated with such events will be considered for approval by
FEMA if re-adjudication results in a SEAR 1 through 4 rating.
4 States of Emergency
Declarations of states of emergency by the Governor associated with
a terrorism-related threat or incident. This excludes Presidentially
declared major disasters or emergencies where federal funding
support for the proposed grant-funded activity is made available
through the FEMA Public Assistance program or other federal
disaster grants.
HSGP Appendix | 2023 Page A-5
Category Description
5
National Critical
Infrastructure
Prioritization Program
(NCIPP)
Protection of Level 1 and Level 2 facilities identified through DHS’s
NCIPP based on a terrorism-related threat to critical infrastructure.
6 Directed Transit Patrols Targeted security patrols in airports and major transit hubs based on
a terrorism-related threat to transportation systems.
7 Other Related Personnel
Overtime Costs
Overtime costs may be authorized for personnel assigned to directly
support any of the security activities relating to the categories above.
Examples include firefighters and emergency medical services
personnel; public works employees who may be responsible for
installing protective barriers and fencing; public safety personnel
assigned to assist with event access and crowd control; emergency
communications specialists; backfill and overtime for staffing state
or major urban area fusion centers; state Active Duty National
Guard deployments to protect critical infrastructure sites, including
all resources that are part of the standard National Guard
deployment package (note: consumable costs, such as fuel expenses,
are not allowed except as part of the standard National Guard
deployment package); contract security services for critical
infrastructure sites; participation in Regional Resiliency Assessment
Program activities, increased border security activities in
coordination with USBP, etc.
8 Operational Support to
a Federal Agency
Overtime costs are allowable for personnel to participate in
information, investigative, and intelligence sharing activities related
to homeland security/terrorism preparedness and specifically
requested by a federal agency. Allowable costs are limited to
overtime associated with federally requested participation in eligible
activities, including anti-terrorism task forces, Joint Terrorism Task
Forces (JTTFs), Area Maritime Security Committees (as required by
the Maritime Transportation Security Act of 2002), DHS Border
Enforcement Security Task Forces, and Integrated Border
Enforcement Teams. In addition, reimbursement for operational
overtime law enforcement activities related to combating
transnational crime organizations in support of efforts to enhance
capabilities for detecting, deterring, disrupting, and preventing acts
of terrorism is an allowable expense under SHSP and UASI on a
case-by-case basis. Grant funding can only be used in proportion to
the federal man-hour estimate and only after funding for these
activities from other federal sources (i.e., FBI JTTF payments to
state and local agencies) has been exhausted.
All allowable operational overtime costs are also subject to the administration requirements outlined in
the following subsection.
Administration of Operational Overtime Requests
•Except for an elevated NTAS alert, SHSP or UASI funds may only be spent for operational
overtime costs upon prior written approval by FEMA. The SAA must submit operational
overtime requests in writing to its assigned FEMA Preparedness Officer. FEMA will consider
HSGP Appendix | 2023 Page A-6
requests for special event activities up to one year in advance. However such requests must be
within the award’s current POP and must not result in the need for a request to extend the period
of performance. SAAs should contact the Centralized Scheduling and Information Desk (CSID)
for Preparedness Officer contact information. CSID can be reached by phone at (800) 368-6498
or by e-mail at askcsid@fema.dhs.gov, Monday through Friday, 9a.m. – 5p.m. ET;
•All operational overtime requests must clearly explain how the request meets the criteria of one
or more of the categories listed in the table above. Requests must address the threat environment
as it relates to the event or activity requiring operational overtime support and explain how the
overtime activity is responsive to the threat. Request letters sent to FEMA must be
UNCLASSIFIED but may be labeled “For Official Use Only .” If explaining the threat will
require the sharing of classified information, the letter should state that fact. FEMA will then plan
for the sharing of classified information through official channels;
•Post-event operational overtime requests will only be considered on a case-by-case basis, where it
is demonstrated that exigent circumstances prevented submission of a request in advance of the
event or activity;
•Under no circumstances may FEMA grant funding be used to pay for costs already supported by
funding from another federal source;
•States with UASI jurisdictions can use funds retained at the state level to reimburse eligible
operational overtime expenses incurred by the state (per the above guidance limitations). Any
UASI funds retained by the state must be used in direct support of the high-risk urban area. States
must provide documentation to the Urban Area Working Group (UAWG) and FEMA upon
request demonstrating how any UASI funds retained by a state would directly support the high-
risk urban area; and
•FEMA will consult and coordinate with appropriate DHS components as necessary to verify
information used to support operational overtime requests.
Personnel Costs. Personnel hiring, overtime, and backfill expenses are permitted under this grant to
perform allowable HSGP planning, training, exercise, and equipment activities. Personnel may include
but are not limited to training and exercise coordinators, program managers for activities directly
associated with SHSP and UASI funded activities, intelligence analysts, and SWICs.
For further details, SAAs should refer to IB #421b,(Clarification on the Personnel Reimbursement for
Intelligence Cooperation and Enhancement of Homeland Security Act of 2008) or contact their FEMA
Preparedness Officer. HSGP funds may not be used to support the hiring of any personnel to fulfill
traditional public health and safety duties nor to supplant traditional public health and safety positions and
responsibilities. The following definitions apply to personnel costs:
•Hiring. State and local entities may use grant funding to cover the salary of newly hired personnel
who are exclusively undertaking allowable FEMA grant activities as specified in this guidance.
This may not include new personnel who are hired to fulfill any non-FEMA program activities
under any circumstances. Hiring will always result in a net increase of Full Time Equivalent
(FTE) employees.
•Overtime. These expenses are limited to the additional costs that result from personnel working
over and above 40 hours of weekly work time as the direct result of their performance of FEMA-
approved activities specified in this guidance. Overtime associated with any other activity is not
eligible.
•Backfill-Related Overtime. Also called “Overtime as Backfill,” these expenses are limited to
overtime costs that result from personnel who are working overtime (as identified above) to
perform the duties of other personnel who are temporarily assigned to FEMA-approved activities
HSGP Appendix | 2023 Page A-7
outside their core responsibilities. Neither overtime nor backfill expenses are the result of an
increase of FTE employees.
•Supplanting. Grant funds will be used to supplement existing funds and will not replace
(supplant) funds that have been appropriated for the same purpose. Applicants or recipients 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.
Organization (OPSG)
Personnel Costs
OPSG funds may be used for domestic travel and per diem, including costs associated with the
deployment/redeployment of personnel to border areas and for travel associated with law enforcement
entities assisting other local jurisdictions in law enforcement activities. In addition, allowable costs
include supporting up to six-month deployment of law enforcement personnel to critical Southwest
Border locations for operational activities (travel costs must be in accordance with applicable travel
regulations).
Operational Overtime Costs
OPSG funds should be used for operational overtime costs associated with law enforcement activities in
support of border law enforcement agencies for enhanced border security. Overtime pay is for increased
patrol time for certified public safety officers, along with limited support for other law enforcement direct
support personnel (e.g., Communication Officers/Dispatchers, non-sworn patrol pilots, etc.). Overtime
shall be reimbursed consistent with the non-federal entity’s overtime policy and the requirements as stated
below:
•Overtime is time worked that exceeds the required number of hours during an employee’s
designated shift;
•Overtime must be worked to increase patrol capacity and be in support of identified and approved
United States Border Patrol (USBP) border security operations;
•The OPSG overtime hourly rate of pay will be no more than the approved overtime rate per local
law and policy and must be in accordance with applicable state and federal regulations;
•All overtime expenses under OPSG must be reasonable for the services rendered and conform to
the non-federal entity’s established written policy, which must apply to both federally funded and
non-federally funded activities and comply with the other applicable requirements under 2 C.F.R.
§§ 200.430-200.431; and
•The non-federal entity may not utilize OPSG funding to pay for an employee’s overtime hours or
pay that exceeds 16 hours worked in any 24-hour period.
Personnel Costs
Up to 50% of an OPSG award may be used to pay for all personnel costs (only to the extent that such
expenses are for the allowable activities within the scope of the grant). At the request of a recipient or
subrecipient, the FEMA Administrator (or designee) may waive the 50% personnel cap. Waiver decisions
are at the discretion of the FEMA Administrator and will be considered on a case-by-case basis in
accordance with IB 421b. 6 U.S.C. § 609(b)(2). A formal OPSG personnel waiver request should:
•Be on official letterhead, include a written justification, and be signed by the local jurisdiction;
•Include a budget and method of calculation of personnel costs both in the percentage of the grant
award and in total dollar amount, reflecting the change in scope or objective to the project;
•Include an approved Operations Order from the USBP Sector office that supports the local
jurisdiction’s written justification; and
HSGP Appendix | 2023 Page A-8
•Be coordinated with the USBP Sector, SAA, and the DHS/Customs and Border Protection (CBP)
Office of the Border Patrol (OBP).
Further, changes in scope or objective also require FEMA’s prior written approval pursuant to 2 C.F.R. §
200.308(c)(1). If the cost changes are allowable under the grant, a Fragmentary Order (FRAGO) must be
submitted to HSIN to obtain FEMA’s prior written approval of such changes in accordance with 2 C.F.R.
§ 200.308(c)(1). These modifications will be annotated in the annex section of the FRAGO.
OPSG funds may be used to pay additional current part-time law enforcement personnel salaries to bring
them to temporary full-time status. OPSG funds may support a Governor’s request to activate, deploy, or
redeploy specialized National Guard Units/Package and/or elements of state law enforcement serving as
friendly forces to increase or augment specialized/technical law enforcement elements’ operational
activities. Costs associated with backfill for personnel supporting operational activities are allowable.
As with all OPSG personnel costs, OPSG grant funds will be used to supplement existing funds and will
not replace (supplant) funds that have been appropriated for the same purpose. Applicants or recipients
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.
Intelligence Support
Per 6 U.S.C. § 609(a), OPSG funds may, as applicable and operationally beneficial, be used to pay
salaries and benefits or overtime for personnel to serve as qualified Intelligence Analysts to enable and
enhance information/intelligence sharing capabilities, as well as support existing intelligence analysts
previously covered by OPSG funding. Qualified OPSG-funded intelligence analysts can be assigned to an
applicable law enforcement facility/intelligence function as long as information/intelligence sharing is
maintained. To serve as an OPSG-funded intelligence analyst, personnel must meet at least one of the
following criteria:
•Complete training to ensure baseline proficiency in intelligence analysis and production within
six months of being hired; and/or,
•Previously served as an intelligence analyst for a minimum of two years either in a federal
intelligence agency, the military, or state and/or local law enforcement intelligence unit.
OPSG-funded intelligence analysts must demonstrate qualifications that meet or exceed competencies
identified in the Common Competencies for state, local, and tribal intelligence analysts, which outlines
the minimum categories of training needed for intelligence analysts. A certificate of completion of such
training must be on file with the SAA and must be made available to the recipient’s respective FEMA HQ
Preparedness Officer upon request.
Temporary or Term Appointments
•Subrecipients may utilize temporary or term appointments to augment the law enforcement
presence on the borders. However, applying funds toward hiring full-time or permanent sworn
public safety officers is unallowable;
•OPSG-funded temporary or term appointments may not exceed the approved period of
performance:
o For OPSG purposes, temporary appointments are non-status appointments for less than
one year; and
o For OPSG purposes, term appointments are non-status appointments for one year,
extendable for one year as necessary.
HSGP Appendix | 2023 Page A-9
•OPSG funding for temporary or term appointments may pay for salary only. Benefits are not
allowable expenses for term or temporary employees;
•OPSG remains a non-hiring program. Appropriate uses of temporary or term appointments
include:
o To carry out specific enforcement operations work for ongoing OPSG-funded patrols
throughout the Sector Area of Operation;
o To staff operations of limited duration, such as OPSG-enhanced enforcement patrols
targeting specific locations or criminal activity; and
o To fill OPSG positions in activities undergoing transition or personnel shortages and
local backfill policies (medical/military deployments).
•OPSG term and temporary appointments must have all necessary certifications and training to
enforce state and local laws. OPSG funds will not be used to train or certify term or temporary
appointments except as otherwise stated in this Manual and the HSGP Notice of Funding
Opportunity (NOFO); and
•FEMA provides no guarantee of funding for temporary or term appointments. In addition to the
terms of this Manual and the HSGP NOFO, subrecipients must follow their own applicable
policies and procedures regarding temporary or term appointments.
Management and Administration
Management and administration (M&A) costs are allowed. Recipients may use a maximum of up to 5%
of HSGP funds awarded for their M&A, and any funds retained are to be used solely for M&A purposes
associated with the HSGP award. Subrecipients may also retain a maximum of up to 5% of the funding
passed through by the state solely for M&A purposes associated with the HSGP award. M&A activities
are those directly relating to the management and administration of HSGP funds, such as financial
management and monitoring. M&A expenses must be based on actual expenses or known contractual
costs. M&A requests that are simple percentages of the award, without supporting justification, will not
be allowed or considered for reimbursement.
M&A costs are not operational costs. They are the necessary costs incurred in direct support of the grant
or as a result of the grant and should be allocated across the entire lifecycle of the grant. Examples include
preparing and submitting required programmatic and financial reports, establishing and/or maintaining
equipment inventory, documenting operational and equipment expenditures for financial accounting
purposes, responding to official informational requests from state and federal oversight authorities,
including completing the Civil Rights Evaluation Tool as required by DHS, and grant performance
measurement or evaluation activities.
Recipients or subrecipients may apply or credit M&A funding toward the recipient’s requirement to
allocate funding toward the National Priority Areas. For example, if a recipient spends $5,000 to manage
or administer its funding dedicated toward its protection of soft targets/crowded places investment, the
recipient may credit that funding toward its requirement to allocate at least 3% of its award to the
protection of soft targets and crowded places National Priority Area.
A state’s HSGP funds for M&A calculation purposes includes the total of its SHSP, UASI, and OPSG
awards. While the SAA may retain up to 5% of this total for M&A, the state must still ensure that all
subrecipient award amounts meet the mandatory minimum pass-through requirements that are applicable
to each HSGP program. To meet this requirement, the percentage of SHSP and UASI funds passed
through to local or tribal jurisdictions must be based on the state’s total HSG P award prior to withholding
any M&A.
HSGP Appendix | 2023 Page A-10
In retaining these funds, states may retain a maximum of 2.5% of the OPSG allocation, which must be
withheld from the pass-through to each subrecipient county or tribe in an equal percentage. The SAA may
also retain additional funding from its SHSP award to manage and administer the OPSG award, but that
additional amount is also capped at an amount equal to 2.5% of the OPSG award. Examples applying this
principle:
SAA 1:
Total award: $6,000,000
SHSP: $1,000,000 OPSG: $2,500,000 UASI: $2,500,000
M&A Maximum: $300,000 (5% of $6,000,000)
Maximum M&A for SHSP = $50,000
Maximum M&A for OPSG = $125,000. Of that amount, $62,500 (2.5%) may be retained from
the OPSG allocation, and the other $62,500 would come from the SHSP allocation. Any
amount used to manage and administer OPSG that is charged to SHSP may be above and
beyond the $50,000 available to manage the SHSP allocation.
Maximum M&A for UASI = $125,000
SAA 2:
Total award: $4,500,000
SHSP: $3,500,000 OPSG: $1,000,000
M&A Maximum: $225,000 (5% of $4,500,000)
Maximum M&A for SHSP = $175,000
Maximum M&A for OPSG = $50,000. Of that amount, $25,000 (2.5%) may be retained from
the OPSG allocation, and the other $25,000 would come from the SHSP allocation. Any
amount used to manage and administer OPSG that is charged to SHSP may be above and
beyond the $175,000 available to manage the SHSP allocation.
HSGP recipients are also reminded that any M&A charged to a recipient’s or subrecipient’s UASI
funding must be directly allocable to administration of the UASI grant program and cannot be used to
cover M&A costs that are directly allocable to SHSP or OPSG funding. Similarly, any M&A charged to a
recipient’s or subrecipient’s SHSP or OPSG funding cannot be used to cover M&A c osts directly
allocable to UASI funding.
Specific for OPSG, subrecipients and friendly forces may retain funding for M&A purposes; however, the
total amount retained cannot exceed 5% of the subrecipient’s subaward. Friendly forces are local law
enforcement entities that are subordinate subrecipients under OPSG. In other words, friendly forces are
entities that receive a subaward from a subrecipient under the OPSG program. Friendly forces must
comply with all requirements of subrecipients under 2 C.F.R. Part 200.
Equipment (SHSP and UASI)
The 21 allowable prevention, protection, mitigation, and response equipment categories for HSGP are
listed on the Authorized Equipment List (AEL). Some equipment items require prior approval from
FEMA before obligation or purchase of the items. Please reference the grant notes for each equipment
item to ensure prior approval is not required or to ensure prior approval is obtained if necessary.
Recipients and subrecipients may purchase equipment not listed on the AEL, but only if they first seek
and obtain prior approval from FEMA.
Unless otherwise stated, all equipment must meet all mandatory regulatory and/or FEMA-adopted
standards to be eligible for purchase using these funds. In addition, recipients will be responsible for
obtaining and maintaining all necessary certifications and licenses for the requested equipment.
HSGP Appendix | 2023 Page A-11
Investments in emergency communications systems and equipment must meet applicable SAFECOM
Guidance on Emergency Communications Grants (SAFECOM Guidance) recommendations. Such
investments must be coordinated with the SWIC and the State Interoperability Governing Body (SIGB) to
ensure interoperability and long-term compatibility. For personal protective equipment (PPE), recipients
are encouraged to give procurement preference to domestic manufacturers of PPE or PPE raw materials to
the maximum practicable and allowed by law.
Grant funds may be used for the procurement of medical countermeasures. Procurement of medical
countermeasures must be conducted in collaboration with state, city, or local health departments that
administer federal funds from the Department of Health and Human Services for this purpose and with
existing Metropolitan Medical Response System committees where available, to sustain their long-term
planning for appropriate, rapid, and local medical countermeasures, including antibiotics and antidotes for
nerve agents, cyanide, and other toxins. Procurement must have a sound threat-based justification with an
aim to reduce the consequences of mass casualty incidents during the first crucial hours of a response.
Prior to procuring pharmaceuticals, recipients must have in place an inventory management plan to avoid
large periodic variations in supplies due to coinciding purchase and expiration dates. Recipients are
encouraged to enter into rotational procurement agreements with vendors and distributors. Purchases of
pharmaceuticals must include a budget for the disposal of expired drugs within each fiscal year’s P OP for
HSGP. The cost of disposal cannot be carried over to another FEMA grant or grant period.
EMS electronic patient care data systems should comply with the most current data standard of the
National Emergency Medical Services Information System.
Recipients are reminded that school hardening is an eligible activity under SHSP and UASI. School
hardening measures include but are not limited to:
•Bullet resistant doors and glass;
•Hinge-locking mechanisms;
•Immediate notification to emergency 911 systems;
•Mechanisms that provide real time actionable intelligence directly to law enforcement and first
responders;
•Installation of distraction devices or other countermeasures administered by law enforcement; and
•Other measures determined to provide significant improvements to schools’ physical security.
Additionally, SHSP and UASI funds may be used for equipment purchases related to state court
cybersecurity, 911 call capabilities, alert and warning capabilities, and implementation of the REAL ID
Act (Pub. L. No. 109-13).
Equipment (OPSG)
OPSG equipment is intended to be incidental to the enhanced border security operations being performed.
The grant is not intended to be used to outfit or supply general equipment to SLTT law enforcement
agencies. Equipment must be relatable to and justified by the operational benefit it will provide. Each
appropriate OPSG sector coordinator is required to keep an inventory of OPSG purchased equipment that
includes at a minimum: 1) grant funding year; 2) purchase amount; 3) purchase date; 4) purchase
quantity; 5) equipment ID; 6) source of funding for the property, including the Federal Award
Identification Number; 7) who holds title to the property; 8) federal share percent of the property; 9)
location of the property; 10) use and condition of the property; 11) disposal date; and 12) brief disposal
justification information and sale price if sold. Each Operations Order/FRAGO will require that each
friendly force submit the equipment inventory for each Operations Order/FRAGO submission.
•Equipment Marking. Because equipment purchased with OPSG funding is intended to be used
to support OPSG activities, it may be appropriately marked to ensure its ready identification and
HSGP Appendix | 2023 Page A-12
primary use for that purpose. When practicable, any equipment purchased with OPSG funding
should be prominently marked as follows: "Purchased with DHS funds for Operation
Stonegarden Use."
•Fuel Cost and Mileage Reimbursement. There is no cap for reimbursement of fuel or mileage
costs in support of operational activities. Subrecipients and friendly forces may not claim
reimbursements for both mileage and fuel/maintenance for the same equipment at the same time.
•Vehicle and Equipment Acquisition, Including Leasing and Rentals. Allowable purchases
under OPSG include patrol vehicles and other mission-specific equipment whose primary purpose
is to increase operational capabilities on or near a border nexus in support of approved border
security operations. A detailed justification must be submitted to the respective FEMA HQ
Preparedness Officer prior to purchase.
•Medical Emergency Countermeasures. Allowable purchases under OPSG include narcotic
antagonist pharmaceuticals, detection and identification equipment, safe storage and
transportation, personnel protective equipment, and initial equipment training, as reflected in the
AEL.
Requirements for Small Unmanned Aircraft System (SHSP, UASI, and OPSG)
All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply
with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, and also
include a description of the policies and procedures in place to safeguard individuals’ privacy, civil rights,
and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.
SUAS policies are not required at the time of application but must be received and approved by FEMA prior
to obligating HSGP funds. All grant-funded procurements must be executed in a manner compliant with
federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. For recipients that use HSGP funds for
sUAS, FEMA advises that there is a general privacy concern related to the use of this equipment if the
data the devices collect is transmitted to servers not under the control of the operator. It has been reported
that some manufacturers of sUAS encrypt data and send that data to servers outside the United States. The
U.S. Department of Homeland Security’s Privacy Office suggests the recipient fully explore data
transmission and storage issues with vendors to reduce the possibility of data breaches.
Additionally, the Joint Explanatory Statement (JES) accompanying the FY 2023 DHS Appropriations Act
further requires recipients to certify they have reviewed the Industry Alert on Chinese Manufactured
Unmanned Aircraft Systems, and completed a risk assessment that considers the proposed use of foreign-
made sUAS to ascertain potential risks (e.g., privacy, data breaches, cybersecurity, etc.) related to foreign-
made versus domestic sUAS.
Acquisition and Use of Technology to Mitigate UAS (Counter-UAS)
In August 2020, FEMA was alerted of an advisory guidance document issued by DHS, the Department of
Justice, the Federal Aviation Administration, and the Federal Communications Commission: Interagency
Legal Advisory on UAS Detection and Mitigation Technologies | Homeland Security (dhs.gov). The
purpose of the advisory guidance document is to help non-federal public and private entities better
understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate
threats posed by UAS operations (i.e., Counter-UAS or C-UAS).
The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the
authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do
they conduct legal reviews of commercially available product compliance with those laws. The advisory
does not address state and local laws nor potential civil liability, which UAS detection and mitigation
capabilities may also implicate.
HSGP Appendix | 2023 Page A-13
It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection
and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state
criminal, surveillance, and communications laws. Entities should conduct their own legal and technical
analysis of each UAS detection and/or mitigation system and should not rely solely on vendors’
representations of the systems’ legality or functionality. Please also see the DHS press release on this
topic for further information: Interagency Issues Advisory on Use of Technology to Detect and Mitigate
Unmanned Aircraft Systems | Homeland Security (dhs.gov).
Training (SHSP and UASI)
Allowable training-related costs under HSGP include the establishment, support, conduct, and attendance of
training specifically identified under the SHSP and UASI program and/or in conjunction with emergency
preparedness training by other federal agencies (e.g., HHS and Department of Transportation [DOT]).
Training conducted using HSGP funds should address a performance gap identified through an Integrated
Preparedness Plan (IPP) or other assessments (e.g., National Emergency Communications Plan [NECP]
Goal Assessments) and contribute to building a capability that will be evaluated through a formal exercise.
Any training or training gaps, including training related to under-represented, diverse populations that may
be more impacted by disasters, including children, seniors, individuals with disabilities or other access and
functional needs, individuals with diverse culture and language use, individuals with lower economic
capacity and other underserved populations, should be identified in an IPP and addressed in the state or
high-risk urban area training cycle. Emergency preparedness training related to those training gaps,
including related to under-represented, diverse populations that may be more impacted by disasters, is
allowable. Recipients are encouraged to use existing training rather than developing new courses. When
developing new courses, recipients are encouraged to apply the Analysis, Design, Development,
Implementation, and Evaluation (ADDIE) model of instructional design.
Recipients are also encouraged to utilize FEMA’s National Preparedness Course Catalog. Trainings include
programs or courses developed for and delivered by institutions and organizations funded by FEMA. This
includes the Center for Domestic Preparedness (CDP), the Emergency Management Institute (EMI), and
FEMA’s Training Partner Programs, including the Continuing Training Grants (CTG), the National
Domestic Preparedness Consortium (NDPC), the Rural Domestic Preparedness Consortium (RDPC), and
other partners.
The catalog features a wide range of course topics in multiple delivery modes to meet FEMA’s mission
scope as well as the increasing training needs of federal, state, local, territorial, and tribal audiences. The
catalog can be accessed at NTED | National Preparedness Course Catalog Home
(firstrespondertraining.gov).
Some training activities require Environmental and Historic Preservation (EHP) Review, including
exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of
temporary structures or that are not located at facilities designed to conduct training and exercises.
Additional information on training requirements and EHP review can be found online at Environmental &
Historic Preservation Guidance for FEMA Grant Applications | FEMA.gov.
Exercises (SHSP and UASI)
Exercises conducted with grant funding should be managed and conducted consistent with Homeland
Security Exercise and Evaluation Program (HSEEP). HSEEP guidance for exercise design, development,
conduct, evaluation, and improvement planning is located at Homeland Security Exercise and Evaluation
Program | FEMA.gov.
HSGP Appendix | 2023 Page A-14
Some exercise activities require EHP review, including exercises, drills or trainings that require any type of
land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities
designed to conduct training and exercises. Additional information on training requirements and EHP
review can be found online at Environmental & Historic Preservation Guidance for FEMA Grant
Applications | FEMA.gov.
Maintenance and Sustainment (SHSP, UASI, and OPSG)
Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty
coverage, licenses, and user fees. These contracts may exceed the period of performance if they are
purchased incidental to the original purchase of the system or equipment as long as the original purchase
of the system or equipment is consistent with that which is typically provided for, or available through,
these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending
an existing maintenance contract on an already-owned piece of equipment system, coverage purchased
may not exceed the period of performance of the award used to purchase the maintenance agreement or
warranty, and it may only cover equipment purchased with HSGP funds or for equipment dedicated for
HSGP-related purposes. As with warranties and maintenance agreements, this extends to licenses and
user fees as well.
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement
costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise
noted. Except for maintenance plans or extended warranties purchased incidental to the original purchase
of the equipment, the period covered by maintenance or warranty plan must not exceed the POP of the
specific grant funds used to purchase the plan or warranty.
Grant funds are intended to support the Goal by funding projects that build and sustain the core
capabilities necessary to prevent, protect against, mitigate the effects of, and respond to those threats that
pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this
objective, the policy set forth in FEMA’s IB 379, Guidance to State Administrative Agencies to Expedite
the Expenditure of Certain DHS/FEMA Grant Funding, initially for FY 2007-2011, allows for the
expansion of eligible maintenance and sustainment costs which must be in (1) direct support of existing
capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program; (3) be
tied to one of the core capabilities in the five mission areas contained within the Goal, and (4) shareable
through the EMAC. Additionally, eligible costs may also be in support of equipment, training, and critical
resources that have previously been purchased with either federal grant or any other source of funding
other than FEMA preparedness grant program dollars.
Law Enforcement Terrorism Prevention Activities Allowable Costs (SHSP and UASI)
When identifying and selecting projects to meet the Law Enforcement Terrorism Prevention Activities
(LETPA) set-aside requirement, recipients are strongly encouraged to consult with the law enforcement
community and to consider the capabilities and resource requirements of law enforcement agencies and
their unique and central role in preventing and protecting against acts of terrorism. LETPAs can also
support a National Priority Area (e.g., an investment can be counted as supporting both the Soft
Targets/Crowded Places and LETPA minimum allocation requirements, if applicable). For FY 2023, the
LETPA set-aside requirement is 35% of SHSP and UASI awards. In particular, recipients should
consider investing in projects such as:
•Maturation and enhancement of designated state and major urban area fusion centers, including
information sharing and analysis, threat recognition, terrorist interdiction, and intelligence
analyst training and salaries (subject to certain conditions);
HSGP Appendix | 2023 Page A-15
•Regional counterterrorism training programs for small, medium, and large jurisdictions to
exchange information and discuss the current threat environment, lessons learned, and best
practices to help prevent, protect against, and mitigate acts of terrorism;
•Support for coordination of regional full-scale training exercises (federal, state, and local law
enforcement participation) focused on terrorism-related events; and
•Law enforcement Chemical, Biological, Radiological, Nuclear, and high yield Explosives
detection and response capabilities, such as bomb detection/disposal capability deployment,
sustainment, or enhancement, including canine teams, robotics platforms, and x-ray technology.
Additional examples of allowable LETPA projects include but are not limited to:
•Coordination between fusion centers and other intelligence, operational, analytic, or
investigative efforts including, but not limited to JTTFs, Field Intelligence Groups (FIGs), High-
Intensity Drug Trafficking Areas (HIDTA), Regional Information Sharing Systems (RISS)
Centers, criminal intelligence units, real-time crime analysis centers and DHS intelligence,
operational, analytic, and investigative entities;
•Implementation and maintenance of the Nationwide Suspicious Activity Reporting (SAR)
Initiative (NSI), including training for front-line personnel on identifying and reporting
suspicious activities, tips/leads, and online/social media-based threats, as well as the execution
and management of threat assessment programs to identify, evaluate, and analyze indicators and
behaviors indicative of terrorism, targeted violence, threats to life, and other criminal activity;
•Management and operation of activities that support the execution of the intelligence process
and fusion centers, including but not limited to: Fusion Liaison Officer (FLO) programs,
security programs to protect the facility, personnel, and information, and the protection of
privacy, civil rights, and civil liberties;
•Implementation of the “If You See Something, Say Something®” campaign to raise public
awareness of indicators of terrorism and terrorism-related crime and associated efforts to
increase the sharing of information with public and private sector partners, including nonprofit
organizations. Note: DHS requires that all public and private sector partners wanting to
implement and/or expand the DHS “If You See Something, Say Something®” campaign using
grant funds work directly with the DHS Office of Partnership and Engagement (OPE) to ensure
all public awareness materials (e.g., videos, posters, tri-folds, etc.) are consistent with DHS’s
messaging and strategy for the campaign and compliant with the initiative’s trademark, which is
licensed to DHS by the New York Metropolitan Transportation Authority. Coordination with
OPE, through the Campaign’s Office (seesay@hq.dhs.gov), must be facilitated by the FEMA
HQ Preparedness Officer;
•Increase physical security, through law enforcement personnel and other protective measures,
by implementing preventive and protective measures at critical infrastructure sites or at-risk
nonprofit organizations;
•Building and sustaining preventive radiological and nuclear detection capabilities, including
those developed through the Securing the Cities initiative;
•Integration and interoperability of systems and data, such as computer aided dispatch (CAD)
and record management systems (RMS), to facilitate the collection, evaluation, and assessment
of suspicious activity reports, tips/leads, and online/social media-based threats; and
•Development of countering violent extremism programs, projects, and initiatives, addressing
prevention, intervention, and diversion efforts, including training on roles of law enforcement
and how to effectively partner with law enforcement; developing and promoting training
specifically for law enforcement executives and frontline officers on potential behaviors and
indicators of violent extremism and how to appropriately analyze and report them; supporting
community and law enforcement engagement strategies such as table top exercises, roundtable
events, town hall meetings, and peer to peer activities; funding for existing and/or expansion of
HSGP Appendix | 2023 Page A-16
law enforcement community relations efforts, support for the development of community
engagement plans, and joint projects to increase the awareness of violent extremist threats and
community mitigation solutions.
Law Enforcement Readiness (SHSP, UASI, and OPSG)
OPSG grant funds may be used to increase operational, material, and technological readiness of SLTT
law enforcement agencies. The Delegation of Immigration Authority, Section 287(g) of the Immigration
and Nationality Act (INA) program allows a state or local law enforcement entity to enter into a
partnership with Immigration and Customs Enforcement (ICE), under a joint Memorandum of Agreement
(MOA), to receive delegated authority for immigration enforcement within their jurisdictions.
SHSP, UASI, or OPSG grant funds may be requested and may be approved on a case-by-case basis for
immigration enforcement training in support of the border security mission. Requests for training will be
evaluated on a case-by-case basis and can only be used for certification in the section 287(g) program
provided by DHS/ICE. SHSP, UASI, or OPSG subrecipients with agreements under section 287(g) of the
INA (8 U.S.C. § 1357(g)) to receive delegated authority for immigration enforcement within their
jurisdictions may also be reimbursed for section 287(g) related operational activities with approval from
FEMA on a case-by-case basis. For OPSG, subrecipients must be authorized by USBP Headquarters and
Sectors, and operational activities must be coordinated through a USBP Sector.
Regional Border Projects (OPSG)
Recipients are encouraged to prioritize the acquisition and development of regional projects on the
borders to maximize interoperability and coordination capabilities among federal agencies and with state,
local, and tribal law enforcement partners. Such regional projects include:
•Communications equipment;
•Radio systems and repeaters;
•Integration with regional intelligence and information sharing effort (i.e., fusion centers):
o Intelligence analysts.
•Situational Awareness equipment:
o License Plate Reader Networks;
o Visual detection and surveillance systems;
o Sensor Systems;
o Radar Systems (for air and/or marine incursions); and
o Aircraft systems (manned or unmanned).
Critical Emergency Supplies (SHSP and UASI)
Critical emergency supplies, such as shelf stable products, water, and medical equipment and supplies are
an allowable expense under SHSP and UASI. Prior to the allocation of grant funds for stockpiling
purposes, each state must have FEMA’s approval of a five-year viable inventory management plan, which
should include a distribution strategy and related sustainment costs if planned grant expenditure is over
$100,000.00.
If grant expenditures exceed the minimum threshold, the five-year inventory management plan will be
developed by the recipient and monitored by FEMA. FEMA will provide program oversight and technical
assistance as it relates to the purchase of critical emergency supplies under UASI. FEMA will establish
guidelines and requirements for the purchase of these supplies under UASI and monitor development and
status of the state’s inventory management plan.
HSGP Appendix | 2023 Page A-17
SAAs (through their state Emergency Management Office) are strongly encouraged to consult with their
respective FEMA Regional Logistics Chief regarding disaster logistics-related issues. States are further
encouraged to share their FEMA approved plan with local jurisdictions and tribes.
Construction and Renovation (SHSP and UASI)
Project construction using SHSP and UASI funds may not exceed the greater of $1 million or 15% of the
grant award. For the purposes of the limitations on funding levels, communications towers are not
considered construction. See guidance on communication towers below.
All construction and renovation projects require EHP review. Recipients and subrecipients are
encouraged to have completed as many steps as possible for a successful EHP review in support of their
proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential
historic preservation issues and to discuss the potential for project effects, compliance with all state and
local EHP laws and requirements). Projects for which the recipient believes an Environmental
Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Rev 01, FEMA
Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness
Officer within six months of the award and completed EHP review materials must be submitted no later
than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening
Form can both be found on FEMA.gov. EHP review materials should be sent to
gpdehpinfo@fema.dhs.gov.
Written approval must be provided by FEMA prior to the use of any HSGP funds for construction or
renovation. When applying for construction funds, recipients must submit evidence of approved zoning
ordinances, architectural plans, and any other locally required planning permits. Additionally, recipients
are required to submit a SF-424C form with budget detail citing the project costs, and an SF-424D Form
for standard assurances for the construction project.
Recipients using funds for construction projects must comply with the Davis-Bacon Act (codified as
amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 609(b)(4)(B) (cross-referencing 42 U.S.C. §
5196(j)(9), which cross-references Davis-Bacon). Recipients must ensure that their contractors or
subcontractors for construction projects pay workers no less than the prevailing wages for laborers and
mechanics employed on projects of a character like the contract work in the civil subdivision of the state
in which the work is to be performed. Additional information regarding compliance with the Davis-Bacon
Act, including Department of Labor (DOL) wage determinations, is available online at
https://www.dol.gov/whd/govcontracts/dbra.htm.
Construction and Renovation (OPSG)
OPSG funds may not be used for any construction.
Communications Towers
All construction of communication towers requires EHP review. When applying for funds to construct
communication towers, recipients and subrecipients must submit evidence that the Federal
Communication Commission’s Section 106 of the National Historic Preservation Act, Pub. L. No. 89-
665, as amended, review process has been completed and submit all documentation resulting from that
review to FEMA with a GPD EHP Screening Form and supporting materials for EHP review. Recipients
and subrecipients are encouraged to have completed as many steps as possible for a successful EHP
review in support of their proposal for funding (e.g., coordination with their State Historic Preservation
Office to identify potential historic preservation issues and to discuss the potential for project effects,
compliance with all state and local EHP laws and requirements). Projects for which the recipient believes
an EA may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA
HSGP Appendix | 2023 Page A-18
Directive 108-1, and FEMA Instruction 108-1-1, Instruction on Implementation of the Environmental
Planning and Historic Preservation Responsibilities and Program Requirements, must also be identified to
the FEMA HQ Preparedness Officer within six months of the award and completed EHP review materials
must be submitted no later than 12 months before the end of the period of performance. EHP policy
guidance and the EHP Screening Form can both be found on FEMA.gov. EHP review materials should be
sent to gpdehpinfo@fema.dhs.gov.
Western Hemispheric Travel Initiative (SHSP)
In addition to the expenditures outlined above, SHSP funds may be used to support the implementation
activities associated with the Western Hemisphere Travel Initiative (WHTI), including the issuance of
WHTI-compliant tribal identification cards.
Emergency Management Accreditation Program
States can encourage their local jurisdictions to pursue assessment and accreditation under the Emergency
Management Accreditation Program (EMAP). EMAP’s assessment and accreditation of emergency
management organizations against consensus-based, American National Standards Institute (ANSI)-
certified standards allows for standardized benchmarking of critical functions necessary for an emergency
management organization to meet the core capabilities identified in the Goal. Additional information on
the EMAP Standard is available at http://www.emap.org.
28 C.F.R. Part 23 Guidance
FEMA requires that any information technology system funded or supported by these funds comply with
28 C.F.R. Part 23, Criminal Intelligence Systems Operating Policies if this regulation is determined to be
applicable. Additionally, please see 28 C.F.R. Part 23 requirements that pertain to fusion centers at
http://www.dhs.gov/homeland-security-grant-programs-hsgp.
Unallowable Costs (OPSG)
OPSG unallowable costs include costs associated with evidence collection, arrest processing, prosecution,
and Traffic/DUI checkpoints, such as evidence documentation cameras, fingerprinting supplies, alcohol
breathalyzers, portable work lights, traffic barricades, and similar law enforcement expenses. OPSG
unallowable costs also include costs associated with staffing and general IT computing equipment and
hardware, such as personal computers, faxes, copy machines, modems, etc. OPSG is not intended as a
hiring program. Therefore, applying funds toward hiring full-time or permanent sworn public safety
officers is unallowable. OPSG funding shall not be used to supplant inherent routine patrols and law
enforcement operations or activities not directly related to providing enhanced coordination between local
and federal law enforcement agencies. Finally, construction and/or renovation costs are prohibited under
OPSG. Applicants should refer to IB 421b, or contact their FEMA HQ Preparedness Officer for guidance
and clarification. Due to the nature of OPSG, exercise expenses are not allowable costs under OPSG.
Unallowable Costs (SHSP, UASI, and OPSG)
•Per FEMA policy, the purchase of weapons and weapons accessories, including ammunition, is
not allowed with HSGP funds;
•Grant funds may not be used for the purchase of equipment not approved by FEMA. Grant funds
must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA
Awards, and may not be used for the purchase of the following equipment: firearms; ammunition;
grenade launchers; bayonets; or weaponized aircraft, vessels, or vehicles of any kind with weapons
installed;
•Unauthorized exercise-related costs include:
HSGP Appendix | 2023 Page A-19
o Reimbursement for the maintenance or wear and tear costs of general use vehicles (e.g.,
construction vehicles), medical supplies, and emergency response apparatus (e.g., fire
trucks, ambulances); and
o Equipment that is purchased for permanent installation and/or use, beyond the scope of
the conclusion of the exercise (e.g., electronic messaging sign).
Indirect Costs
Indirect costs are allowable under this program. See the “Procedures for Establishing Indirect Cost Rates”
Section in “Pre-Submission Information” for more information.
Resources for Planning, Training, and Exercising (SHSP, UASI, and OPSG)
Planning Assistance
FEMA’s National Preparedness Directorate (NPD) offers technical assistance (TA) that is designed to
provide recipients and subrecipients with specialized expertise to improve and enhance the continuing
development of state and local emergency management across the five mission areas of the Goal and
across all core capabilities. TA provides the opportunity to engage emergency managers, emergency
planners, and appropriate decision-makers in open discussion of options to improve plans and planning
considering their jurisdiction’s needs . Although there is no direct cost to approved jurisdictions for FEMA
TA, jurisdictions are expected to invest staff resources and take ownership of the resulting products and
tools.
TA deliveries combine current emergency management best practices with practical consideration of
emerging trends, through discussion facilitated by FEMA contract specialists and with the support of
FEMA Region operational specialists. Additionally, peer-to-peer representation may also be included
from other jurisdictions that have recently addressed the same planning issue. The TA request form can be
accessed at https://www.fema.gov/emergency-managers/nims/implementation-training.
Training Information
Per IB 432,Review and Approval Requirements for Training Courses Funded Through Preparedness
Grants, issued on July 19, 2018, states, territories, tribal entities, and high-risk urban areas are no longer
required to request approval from FEMA for personnel to attend non-DHS FEMA training as long as the
training is coordinated with and approved by the state, territory, tribal, or high-risk urban area Training
Point of Contact (TPOC) and falls within the FEMA mission scope and the jurisdiction’s EOP . For
additional information on review and approval requirements for training courses funded with
preparedness grants, see FEMA Policy 207-22-0002, Prohibited or Controlled
Equipment Under FEMA Awards.
FEMA will conduct periodic reviews of all state, local, territory, tribal entities, and high-risk urban area
training funded by FEMA. These reviews may include requests for all course materials and physical
observation of, or participation in, the funded training. If these reviews determine that courses are outside
the scope of this guidance, recipients will be asked to repay grant funds expended in support of those
efforts. For further information on developing courses using the ADDIE model (Analysis, Design,
Development, Implementation, and Evaluation) and tools that can facilitate the process, SAAs and
TPOCs are encouraged to review the National Training and Education Division Training Resource and
Development Center website at FRT-TRDC Home (firstrespondertraining.gov).
Some training and exercise activities require EHP Review, including exercises, drills or trainings that
require any type of land, water, or vegetation disturbance or building of temporary structures or that are not
located at facilities designed to conduct training and exercises. Additional information on training
HSGP Appendix | 2023 Page A-20
requirements and EHP review can be found online at Environmental & Historic Preservation Guidance
for FEMA Grant Applications | FEMA.gov.
DHS/FEMA Provided Training and Education
FEMA offers tuition-free training and education programs and courses through several providers including
the CDP, EMI, and the National Training and Education Division’s Training Partners Program (TPP). TPP
includes the Center for Homeland Defense and Security, NDPC, RDPC, and the CTG Program.
FEMA’s National Preparedness Course Catalog
This online searchable catalog features a wide range of course topics in multiple delivery modes to meet
FEMA’s mission scope as well as the increasing training needs of federal, state, local, territorial, and tribal
audiences. The catalog can be accessed at NTED | National Preparedness Course Catalog Home
(firstrespondertraining.gov).
Training Not Provided by DHS/FEMA
These trainings include courses that are either state-sponsored or federal-sponsored (non-DHS/FEMA),
coordinated and approved by the SAA or their designated TPOC, and fall within the FEMA mission scope
to prepare SLTT personnel to prevent, protect against, mitigate, and respond to acts of terrorism or
catastrophic events.
•State Sponsored Courses. These courses are developed for and/or delivered by institutions or
organizations other than federal entities or FEMA and are sponsored by the SAA or their
designated TPOC.
•Joint Training and Exercises with the Public and Private Sectors. These courses are sponsored
and coordinated by private sector entities to enhance public-private partnerships for training
personnel to prevent, protect against, mitigate, and respond to acts of terrorism or catastrophic
events. In addition, states, territories, tribes, and high-risk urban areas are encouraged to
incorporate the private sector in government- sponsored training and exercises.
Additional information on both FEMA provided training and other federal and state training can be found
at National Training and Education Division (NTED) (firstrespondertraining.gov).
Training Information Reporting System (“Web-Forms”)
Web-Forms is an electronic data management system built to assist SAA TPOCs and federal agencies
with submitting non-National Training and Education Division provided training courses for inclusion in
the State/Federal-Sponsored Course Catalog through electronic forms. The information collected is used
in a two-step review process to ensure the training programs adhere to the intent of the HSGP guidance
and the course content is structurally sound and current. As these programs may be delivered nationwide,
it is vital to ensure each training program’s viability and relevance to the Homeland Security mission.
Reporting training activities through Web-Forms is not required under present funding. However, the
system remains available and can be accessed through the Web-Forms section of the FEMA National
Preparedness Course Catalog to support recipients in their own tracking of training deliveries. Users need
to request FRTS Admin rights from NTED in order to access the Web-Forms.
Exercise Information
Recipients that use HSGP funds to conduct an exercise(s) are encouraged to complete a progressive
exercise series. Exercises conducted by states and high-risk urban areas may be used to fulfill similar
exercise requirements required by other grant programs. Recipients are encouraged to invite
representatives/planners involved with other federally mandated or private exercise activities. States and
HSGP Appendix | 2023 Page A-21
high-risk urban areas are encouraged to share, at a minimum, the multi- year training and exercise
schedule with those departments, agencies, and organizations included in the plan.
•Validating Capabilities. Exercises examine and validate capabilities-based planning across the
Prevention, Protection, Mitigation, and Response mission areas. The extensive engagement of
the whole community, including but not limited to examining the needs and requirements for
individuals with disabilities, individuals with limited English proficiency, and others with other
access and functional needs, is essential to the development of an effective and comprehensive
exercise program. Exercises are designed to be progressive – increasing in scope and complexity
and drawing upon results and outcomes from prior exercises and real-world incidents – to
challenge participating communities. Consistent with HSEEP guidance and tools, the National
Exercise Program (NEP) serves as the principal exercise mechanism for examining national
preparedness and measuring readiness. Exercises should align with priorities and capabilities
identified in a multi-year IPP.
•Special Event Planning. If a state or high-risk urban area will be hosting a special event (e.g.,
Super Bowl, G-8 Summit), the special event planning should be considered as a training or
exercise activity for the multi-year IPP. States must include all confirmed or planned special
events in the multi-year IPP. The state or high-risk urban area may plan to use SHSP or UASI
funding to finance training and exercise activities in preparation for those events. States and
high-risk urban areas should also consider exercises at major venues (e.g., arenas, convention
centers) that focus on evacuations, communications, and command and control.
•Regional Exercises. States should also anticipate participating in at least one regional exercise
annually.
•Role of Non-Governmental Entities in Exercises. Non-governmental participation in all levels of
exercises is strongly encouraged. Leaders from non-governmental entities should be included in
the planning, design, and evaluation of an exercise. SLTT jurisdictions are encouraged to
develop exercises that test the integration and use of resources provided by non-governmental
entities, defined as the private sector and private non-profit, faith-based, and community
organizations. Participation in exercises should be coordinated with local Citizen Corps Whole
Community Council(s) or their equivalents and other partner agencies.
Reporting on the Implementation of the National Preparedness
System
Identifying and Assessing Risk and Estimating Capability Requirements
By December 31, 2022, states, territories, and high-risk urban areas are required to complete a
THIRA/SPR that addresses all 32 core capabilities and is compliant with CPG 201, Third Edition.
Beginning in 2020, jurisdictions began the requirement to respond to a series of planning-related
questions as part of the THIRA/SPR.
Jurisdictions are required to submit a THIRA every three years to establish a consistent baseline for
assessment. While the THIRA is only required every three years, jurisdictions are required to submit an
SPR annually. For additional guidance on the THIRA/SPR, please refer to Comprehensive Preparedness
Guide (CPG) 201, Third Edition.
Reporting
•States and territories will submit their THIRA and SPR through the Unified Reporting Tool
(URT) on Prep Toolkit no later than December 31 of the applicable year (every three years for
THIRA and each year for SPR).
HSGP Appendix | 2023 Page A-22
•High-risk urban areas that receive UASI funding will submit their THIRA/SPR through the URT
on Prep Toolkit no later than December 31 for the years they have UASI open grants. If a UASI
recipient has completed closeout for their UASI grant award period of performance, they do not
have to submit a THIRA/SPR as the requirement is not applicable to closed grant awards. While
UASIs that have completed closeout for the award period of performance are not required to
complete a THIRA/SPR, it is encouraged.
•Calendar year 2022 is the start of the new 3-year THIRA/SPR cycle and baseline assessment year
for existing recipients. Any new grant recipients during calendar year 2023, for which the
THIRA/SPR requirement applies, will start their new 3-year THIRA/SPR cycle and baseline
assessment year in 2023. States, territories, and high-risk urban areas should work collaboratively
to create the most accurate THIRA and SPR possible. States, territories, and high-risk urban areas
may share scenarios, targets, and assessed capabilities when appropriate.
•Please contact FEMA-SPR@fema.dhs.gov if you have questions.
Building and Sustaining Capabilities
States, territories, and high-risk urban areas must prioritize and align SHSP and UASI grant funding
investments in building and sustaining capabilities in areas that align with the national priorities in the
annual HSGP NOFO and capability gaps identified in their THIRA and SPR.
Reporting
In each HSGP recipient’s Biannual Strategy and Implementation Report (BSIR), as part of programmatic
monitoring, the recipient must describe how expenditures support building capability, closing capability
gaps, or sustaining capabilities identified in the THIRA and SPR. HSGP recipients must, on a project-by-
project basis, check one of the following:
•Building a capability with HSGP funding; and
•Sustaining a capability with HSGP funding.
National Incident Management System (NIMS) Implementation
Recipients receiving HSGP funding are required to implement NIMS. NIMS guides all levels of
government, nongovernmental organizations (NGO), and the private sector to work together to prevent,
protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the
whole community with the shared vocabulary, systems, and processes to successfully deliver the
capabilities described in the National Preparedness System. HSGP recipients must use standardized
resource management concepts for resource typing, credentialing, and an inventory to facilitate the
effective identification, dispatch, deployment, tracking, and recovery of resources.
The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions clarify the
NIMS implementation requirements in FEMA preparedness grant NOFOs. As recipients and
subrecipients of federal preparedness (non-disaster) grant awards, jurisdictions and organizations must
achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. The objectives
can be found on the NIMS webpage at NIMS Implementation and Training | FEMA.gov.
Reporting
•Recipients report in the applicable secondary NIMS assessment portion of the URT as part of
their THIRA/SPR submission, as outlined in the HSGP NOFO.
Planning to Deliver Capabilities
Recipients shall develop and maintain, jurisdiction-wide, all threats and hazards EOPs consistent with
Comprehensive Preparedness Guide 101, Version 2.0 (CPG 101 v2), Developing and Maintaining
HSGP Appendix | 2023 Page A-23
Emergency Operations Plans (November 2010). Recipients must update their EOPs at least once every
two years.
Reporting
•Recipients report EOP compliance with CPG 101 v2 by completing the secondary CPG-101
assessment as part of their THIRA/SPR submission in the URT.
Validating Capabilities
All recipients will develop and maintain a progressive exercise program consistent with HSEEP guidance
in support of the NEP. The NEP serves as the principal exercise mechanism for examining national
preparedness and measuring readiness. The NEP is a two-year cycle of exercises across the nation that
validates capabilities in all preparedness mission areas. The two-year NEP cycle is guided by Principals’
Strategic Priorities, established by the National Security Council, and informed by preparedness data from
jurisdictions across the Nation.
To develop and maintain a progressive exercise program consistent with HSEEP and in support of the
NEP, recipients should engage senior leaders and other whole community stakeholders to identify
preparedness priorities. These priorities should be informed by various factors, including jurisdiction-
specific threats and hazards (i.e., the THIRA); areas for improvement identified by real-world events and
exercises; external requirements such as state or national preparedness reports, homeland security policy,
and industry reports; and accreditation standards, regulations, or legislative requirements. Recipients
should document these priorities and use them to deploy a schedule of preparedness events in a multi-year
IPP. Information related to Integrated Preparedness Planning Workshops (IPPWs) can be found on the
HSEEP website at Homeland Security Exercise and Evaluation Program | FEMA.gov and Welcome -
Preparedness Toolkit (fema.gov).
The NEP provides exercise sponsors the opportunity to receive exercise design and delivery assistance,
tools and resources, enhanced coordination, and the ability to directly influence and inform policy and
preparedness programs. If you have any questions, or would like to request assistance through the NEP,
please visit the NEP website at Exercises | FEMA.gov, or reach out to the National Exercise Program
directly at NEP@fema.dhs.gov.
•Recipients must have a current multi-year IPP that identifies preparedness priorities and
activities. The current multi-year IPP must be submitted to hseep@fema.dhs.gov before January
31 of each year:
o Recipients are encouraged to enter their exercise information into the Preparedness
Toolkit at Welcome - Preparedness Toolkit (fema.gov).
•Recipients must submit After-Action Report (AAR)/Improvement Plans (IPs) to
hseep@fema.dhs.gov and indicate which fiscal year’s funds were used (if applicable);
•Submission of AAR/IPs must take place within 90 days following completion of the single
exercise or progressive series:
o Recipients are encouraged to submit AAR/IPs reflecting tabletop exercises that validate
critical plans or those reflecting large-scale functional or full-scale exercises that took
place at the state, territorial, tribal, or UASI level. Recipients are discouraged from
submitting AAR/IPs specific to local jurisdictions that reflect drills;
o If a recipient endures a significant real-world incident during the calendar year that
delays or prevents conduct of a grant-funded exercise, they can submit the AAR from
that event in place of the exercise AARs. Jurisdictions submitting real world AARs
should include an explanation with the AAR submission to hseep@fema.dhs.gov; and
HSGP Appendix | 2023 Page A-24
o Recipients can access a sample AAR/IP template at:
https://preptoolkit.fema.gov/web/hseep-resources/improvement-planning.
Fusion Centers
A critical component of the national response to the 9/11 terrorist attacks was the development of a
national-level, decentralized, and coordinated terrorism-related information sharing environment (ISE).
State and local governments, supported by federal investments from DHS, the Department of Justice
(DOJ), Department of Health and Human Services (HHS), and other federal agencies, established the
National Network of Fusion Centers (National Network), which became the backbone of the national ISE.
This National Network, comprised of 80 state and major urban area fusion centers, collaborates and
shares information with partners from all levels of government and the private sector, as well as other
field-based information sharing partners, including HIDTAs, RISS Centers, JTTFs, major city/county
intelligence units, and real-time crime analysis centers, among others.
National Network participation in NSI enables fusion centers to identify, receive and analyze suspicious
activity reporting and other tips/leads from frontline public safety personnel, the private sector, and the
public, and ensure the sharing of SARs with DHS and the FBI’s JTTFs for further investigation. In
addition to those activities identified in the National Prevention Framework, fusion centers are also
required to collaborate with those intelligence, operational, analytic, investigative, and information-
sharing focused entities to combat a wide array of threats – noted below – in support of efforts to enhance
capabilities for detecting, deterring, disrupting, and preventing acts of terrorism, targeted violence, and
other threats. Such entities include, but are not limited to JTTFs, Area Maritime Security Committees,
Border Enforcement Security Task Forces, Integrated Border Enforcement Teams, HIDTAs, and RISS
Centers as well as other federal intelligence, operational, analytic, and investigative entities. Applicants
should describe their collaboration plan and proposed efforts in their required Fusion Center project as
part of the Intelligence and Information Sharing National Priority.
Today’s threats—including international and domestic terrorism, drugs, gangs, active shooters, targeted
violence, transnational organized crime, and cyber—require federal, state, and local governments to
leverage this national capacity to effectively respond to the evolving nature of the various national and
homeland security threats confronting our Nation. Ultimately, timely identification and analysis of key
indicators from local, state, and federal partners will enable all stakeholders to address threats and
develop and implement data-driven strategies to prevent, protect against, mitigate, and respond
effectively, while ensuring the protection of privacy, civil rights, and civil liberties.
To underscore the importance of the National Network as a critical component of our Nation’s distributed
homeland security and counterterrorism architecture, FEMA preparedness grants will continue to
prioritize support for designated fusion centers (http://www.dhs.gov/fusion-center-locations-and-contact-
information) and the maturation of the ISE. Fusion centers must prioritize the following capabilities to
further enable and mature this national asset and strengthen the collective capacity to identify, collect,
analyze, and share information, and to disseminate actionable and strategic intelligence to key
stakeholders:
•Addressing Threats: Fusion centers provide a national level, decentralized, and coordinated ISE
across all levels of government and disciplines that can be leveraged and applied to address
threats to homeland security, national security, public safety, and/or public health, and especially
those threats that may have little or no warning. Fusion centers should leverage and build upon
their terrorism-focused analytic and information-sharing capabilities so they can be applied to
address threats across the DHS mission space, including threats from both international terrorism
HSGP Appendix | 2023 Page A-25
and domestic violent extremists, threats to life and targeted violence, transnational organized
criminal activity, cyber threats, and natural hazards, among others that require close collaboration
with DHS operational, investigative, and analytic entities such as CBP, ICE, United States Secret
Service (USSS), CISA, the United States Coast Guard (USCG), and FEMA.
•Analytic Capability: Fusion centers must maintain strong analytic capabilities at tactical,
operational, and strategic levels to address a wide array of threats or hazards that could have
implications for homeland security or national security. These capabilities directly support
operational, investigative, and information sharing efforts across all levels of government. These
capabilities include, but are not limited to:
o Building and sustaining a capable workforce of analysts who have the necessary
experience and training; access to open source, unclassified and classified information,
products, data, suspicious activity reporting; tips/leads and online/social media-based
threats; as well as necessary services and technology to facilitate analytic capabilities and
collaboration;
o Assessing, evaluating, and deconflicting acts of targeted violence, threats to life, and
other criminal or suspicious activity, to include potential indicators and behaviors, for
potential connection to or implications for international or domestic terrorism, or other
threats within the DHS mission space;
o Providing analytic support and responses to requests for information from federal, state,
and local partners during no notice threats, attacks, or incidents, as well as other planned
events such as NSSEs;
o Conducting threat assessments within their respective jurisdictions, including the
identification of threats, intelligence gaps, and mitigation efforts;
o Establishing, formalizing, and maintaining bi-directional information sharing with federal
and other state agencies in accordance with jurisdictional authorities;
o Leveraging available resources and capabilities to conduct target and event deconfliction
in support of threat identification, officer safety, and information sharing.
o Maintaining an ability to routinely support federal government efforts to watchlist
terrorists and transnational organized crime actors; and
o Appropriately planning for, and assessing/forecasting, prioritizing, and executing against
both known and emerging threat vectors, and ensuring the safety and security of all
operations, while protecting privacy, civil rights, and civil liberties.
Fusion centers should also consider their operational capacity when aligning manpower and
resources in support of this capability (e.g., the ability to maintain watch and analytic support
functions over a 24/7 operational tempo).
•Technological Integration: Access to data, information, and products is essential for fusion
centers and the federal government to effectively identify, collect, analyze, and share information.
Just as threats do not stop at jurisdictional borders, fusion centers must be able to effectively
access and share appropriate information and data across jurisdictions, agencies, and disciplines.
Fusion centers must ensure and certify via the Fusion Center Assessment they have the
necessary technological capacity to access, analyze, and share information, including criminal
intelligence and online/social media threat information, both within their jurisdictions, as well as
with other fusion centers across the country and with the Federal Government through a variety
of systems, databases, tools, and technologies that allow for federated searching and
data/information analysis that protects Personally Identifiable Information and includes
appropriate security, privacy, civil rights, and civil liberties protections. This includes
maintenance of the ability to collect, integrate, evaluate, and assess SAR, tips/leads, data resident
in CAD and RMS, and online/social media-based threats from agencies across the jurisdiction.
Such approaches should also address the evaluation and use of emerging capabilities, including
social network analysis, federated search technology across CAD, RMS, and other data systems,
HSGP Appendix | 2023 Page A-26
complex data indexing, social media, open source, facial recognition, unmanned aircraft systems,
geographic information systems (GIS), license plate reader technologies, and other artificial
intelligence technologies.
•Interagency Collaboration: Fusion centers must maintain strong partnerships to enable
intelligence, operational, investigative, and analytic collaboration and deconfliction of threat
information with other partners located within their jurisdiction and across their region, including
HIDTAs, RISS Centers, DHS intelligence, operational, investigative, and analytic entities, FBI
Field Offices, JTTFs, and major city/county intelligence units.
State and urban area fusion centers receiving SHSP or UASI grant funds will be evaluated based on
compliance with the guidance and requirements for the National Network as set forth by DHS
Intelligence and Analysis (I&A) through the annual Fusion Center Assessment.
•Additional fusion center grant requirements are listed at http://www.dhs.gov/homeland-security-
grant-program-hsgp.
•FEMA approved analyst courses that meet the grant requirement are listed at
http://www.dhs.gov/fema-approved-intelligence-analyst-training-courses.
Through the Program Performance Report (PPR), fusion centers will report on the compliance with
measurement requirements within the fusion centers through the annual Fusion Center Assessment
managed by DHS I&A and reported to FEMA. In addition to the activities identified in the National
Prevention Framework, fusion centers are also required to collaborate with those analytic, investigative,
and information-sharing entities focused on preventing, detecting, deterring, and disrupting acts of
terrorism and combating transnational criminal organizations. Such entities include, but are not limited to
JTTFs, Area Maritime Security Committees, Border Enforcement Security Task Forces, Integrated
Border Enforcement Teams, HIDTAs, and RISS Centers, as well as other federal intelligence,
operational, analytic, and investigative entities. Applicants will be required to provide information
regarding their information sharing partnerships, including how they will identify, address, and
overcome any existing laws, policies, and practices that prevent information sharing, via the
Information and Intelligence National Priority Investment and supporting data via the annual
Fusion Center Assessment.
Fusion Center Performance Measures
Reference
Number Performance Measures
2023.1 Percentage of federal Information Intelligence Reports (IIRs) originating from fusion center
information that address a specific Intelligence Community need
2023.2 Percentage of federal IIRs originating from fusion center information that the Intelligence
Community otherwise used in performing its mission (e.g., contained first-time reporting;
corroborated existing information; addressed a critical intelligence gap; or helped to define an issue
or target)
2023.3 Number of SARs vetted and submitted by fusion centers that result in the initiation or enhancement
of an investigation by the FBI
2023.4 Number of SAR vetted and submitted by fusion centers that involve an individual on the Watchlist
2023.5 Percentage of Requests for Information (RFIs) from the Terrorist Screening Center (TSC) for which
fusion centers provided information for a TSC case file
2023.6 Percentage of I&A Watchlist nominations that were initiated or updated existing case files based on
information provided by fusion centers
HSGP Appendix | 2023 Page A-27
Reference
Number Performance Measures
2023.7 Number of distributable analytic products co-authored by one or more fusion centers and/or federal
agencies
2023.8 Percentage of fusion center distributable analytic products that address Homeland Security topics
2023.9 Percentage of fusion center distributable analytic products that address state/local customer
information needs
2023.10 Percentage of key customers reporting that fusion center products are relevant
2023.11 Percentage of key customers reporting that fusion center services are relevant
2023.12 Percentage of key customers reporting that fusion center products are timely for mission needs
2023.13 Percentage of key customers reporting that fusion center services are timely for mission needs
2023.14 Percentage of key customers reporting that fusion center products influenced their decision making
related to threat response activities within their AOR
2023.15 Percentage of key customers reporting that fusion center services influenced their decision making
related to threat response activities within their AOR
2023.16 Percentage of key customers reporting that fusion center products resulted in increased situational
awareness of threats within their AOR
2023.17 Percentage of key customers reporting that fusion center services resulted in increased situational
awareness of threats within their AOR
2023.18 Number of tips and leads vetted by the fusion center
2023.19 Number of tips and leads vetted by the fusion center that were provided to other F/SLTT agencies
for follow up action
2023.20 Number of responses to RFIs from all sources
2023.21 Number of situational awareness products developed and disseminated by fusion centers
2023.22 Number of case support and/or tactical products developed and disseminated by fusion centers
2023.23 Percentage of federally designated special events in which fusion centers played a direct role
2023.24 Percentage of federally declared disasters in which fusion centers played a direct role
2023.25 Number of public safety incidents in which fusion centers played a direct role
Continuity Capability
Continuity should be integrated into each core capability and the coordinating structures that provide
them. Continuity capabilities increase resilience and the probability that organizations can perform
essential functions in the delivery of core capabilities that support the mission areas. FEMA is responsible
for coordinating the implementation and development, execution, and assessment of continuity
capabilities among executive departments and agencies. To support this role, FEMA develops and
promulgates directives, policy, and guidance for federal and SLTT governments, non-governmental
organizations, and private sector critical infrastructure owners and operators. Federal Continuity
Directives (FCDs) establish continuity program and planning requirements for executive departments and
agencies. This direction and guidance assist in developing capabilities for continuing the essential
functions of federal and SLTT governmental entities, as well as public/private critical infrastructure
owners, operators, and regulators enabling them.
HSGP Appendix | 2023 Page A-28
The Federal Continuity Directives and the Continuity Resource Toolkit provide guidance and resources
for organizations. For additional information on continuity programs, guidance, and directives, visit
https://www.fema.gov/emergency-managers/national-preparedness/continuity.
Governance
In keeping with the guiding principles of governance for all FEMA preparedness programs, recipients
must coordinate activities across preparedness disciplines and levels of government, including state,
territorial, local, and tribal governments. A cohesive planning framework should incorporate FEMA
resources, as well as those from other federal and SLTT entities, the private sector, and faith-based
community organizations. Specific attention should be paid to how available preparedness funding
sources can effectively support a whole community approach to emergency preparedness and
management and the enhancement of core capabilities. To ensure this, the SAA must establish or
reestablish a unified Senior Advisory Committee. Additionally, high-risk urban areas are required to
establish UAWGs representative of the counties, cities, towns, and tribes within the high-risk urban area,
including, as appropriate, representatives of rural jurisdictions, high-population jurisdictions, and high-
threat jurisdictions.
Senior Advisory Committee (SAC)
The SAC builds upon previously established advisory bodies under the SHSP, UASI Program, Transit
Security Grant Program (TSGP), and Port Security Grant Program (PSGP). Examples of advisory bodies
that should be included on a SAC include UAWGs, SIGB, Area Maritime Security Committees
(AMSCs), Regional Transportation Security Working Groups (RTSWGs), Citizen Corps Whole
Community Councils, Disability Inclusion Working Groups, and Children’s Working Groups. The
membership of the SAC must reflect a state’s unique risk profile and the interests of the five mission areas
as outlined in the Goal. Further, the SAC must include representatives that were involved in the production
of the state’s THIRA and SPR.
SAC Composition and Scope
SAC membership shall include at least one representative from relevant stakeholders including:
•Individuals from the counties, cities, towns, and Indian tribes within the state or high-risk urban
area, including, as appropriate, representatives of rural, high-population, and high-threat
jurisdictions of UASI-funded high-risk urban areas;
•Representatives that were involved in the production of the state’s THIRA and SPR;
•State and urban area Chief Information Officers (CIOs) and Chief Information Security Officers
(CISOs);
•SWIC and SIGB members;
•Citizen Corps Whole Community Councils;
•Local or tribal government officials;
•Tribal organizations;
•Emergency response providers, including representatives of the fire service, law enforcement,
emergency medical services, and emergency managers;
•Public health officials and other appropriate medical practitioners;
•Hospitals;
•Individuals representing educational institutions, including elementary schools, middle schools,
junior high schools, high schools, community colleges, and other institutions of higher education;
•State and regional interoperable communications coordinators, as appropriate;
HSGP Appendix | 2023 Page A-29
•State and major urban area fusion centers, as appropriate; and
•Nonprofit, faith-based, and other voluntary organizations, such as the American Red Cross.
Additionally, program representatives from the following entities should be members of the SAC (as
applicable): State Primary Care Association, State Homeland Security Advisor (HSA) (if this role is not
also the SAA), State Emergency Management Agency (EMA) Director, State Public Health Officer, State
Awardee for HHS’ Hospital Preparedness Program, State Public Safety Officer (and SAA for Justice
Assistance Grants, if different), State Coordinator for the DoD 1033 Program (also known as the Law
Enforcement Support Office [LESO] Program), State Court Official, State Emergency Medical Services
(EMS) Director, State Trauma System Manager, Statewide Interoperability Coordinator, State Citizen
Corps Whole Community Council, the State Emergency Medical Services for Children (EMSC)
Coordinator, State Education Department, State Human Services Department, State Child Welfare
Services, State Juvenile Justice Services, Urban Area POC, Senior Members of AMSCs, Senior Members
of the RTSWG, Senior Security Officials from Major Transportation Systems, and the Adjutant General.
SACs are encouraged to develop subcommittee structures, as necessary, to address the issue or region-
specific considerations. The SAC must include whole community intrastate and interstate partners as
applicable and have balanced representation among entities with operational responsibilities for
terrorism/disaster prevention, protection, mitigation, and response activities within the state, and include
representation from the stakeholder groups and disciplines identified above.
The above membership requirement does not prohibit states, high-risk urban areas, regional transit and
port entities, or other recipients of FEMA preparedness funding from retaining their existing structure
under separate programs; however, at a minimum, those bodies must support and feed into the larger
SAC. The composition, structure, and charter of the SAC should reflect this focus on building core
capabilities, instead of simply joining previously existing advisory bodies under other grant programs. For
designated high-risk urban areas, the SAA Point of Contacts (POCs) are responsible for identifying and
coordinating with the POC for the UAWG, which should be a member of the SAC. The POC’s contact
information must be provided to FEMA with the grant application. SAAs must work with existing high-
risk urban areas to ensure that information for current POCs is on file with FEMA.
Finally, FEMA recommends that organizations advocating on behalf of youth, older adults, individuals
with disabilities, individuals with limited English proficiency and others with other access and functional
needs, socio-economic factors and cultural diversity be invited to participate in the SAC. Applicants must
submit the list of SAC members and the SAC charter at the time of application as an attachment in ND
Grants. SAAs will use the URT to verify compliance with SAC charter requirements.
SAC Responsibilities
The responsibilities of a SAC include:
•Integrating preparedness activities across disciplines, the private sector, nonprofit, faith-based,
and community organizations, and SLTT governments, with the goal of maximizing coordination
and reducing duplication of effort;
•Creating a cohesive planning network that builds and implements preparedness initiatives using
FEMA resources, as well as other federal, SLTT, private sector, and faith-based community
resources;
•Management of all available preparedness funding sources to ensure their effective use and to
minimize duplication of effort;
•Ensuring investments support building capability, closing capability gaps, or sustaining
capabilities identified in the THIRA/SPR;
HSGP Appendix | 2023 Page A-30
•Assist in preparation and revision of the state, regional, or local homeland security plan or the
threat and hazard identification and risk assessment, as the case may be; and
•Assist in determining effective funding priorities for SHSP grants.
SAC Charter
The governance of the SHSP and UASI programs through the SAC should be directed by a charter. All
members of the SAC should sign and date the charter showing their agreement with its content and their
representation on the Committee. Revisions to the governing charter must be sent to the recipient’s
assigned FEMA HQ Preparedness Officer. The SAC charter must at a minimum address the following:
•A detailed description of the SAC’s composition and an explanation of key governance processes,
including how the SAC is informed by the state’s and urban area’s THIRA/SPR;
•A description of the frequency at which the SAC will meet;
•How the committee will leverage existing governance bodies;
•A detailed description of how decisions on programmatic priorities funded by SHSP and UASI
are made and how those decisions will be documented and shared with its members and other
stakeholders, as appropriate; and
•A description of defined roles and responsibilities for financial decision making and meeting
administrative requirements.
To ensure ongoing coordination efforts, SAAs are encouraged to share community preparedness
information submitted in a state’s BSIR with members of the SAC. SAAs are also encouraged to share
their THIRA/SPR data with members of the SAC who are applying for other FEMA preparedness grants
to enhance their understanding of statewide capability gaps. The charter should be made available upon
request to promote transparency in decision-making related to SHSP and UASI activities.
To manage this effort and to further reinforce collaboration and coordination across the stakeholder
community, a portion of the 20% holdback of a state or territory award may be utilized by the SAA to
support the SAC and to ensure representation and active participation of SAC members. Funding may be
used for hiring and training planners, establishing and maintaining a program management structure,
identifying and managing projects, conducting research necessary to inform the planning process, and
developing plans that bridge mechanisms, documents, protocols, and procedures.
Urban Area Working Group (UAWG)
UASI program implementation and governance must include regional partners and should have balanced
representation among entities with operational responsibilities for prevention, protection, mitigation, and
response activities within the region. In some instances, high-risk urban area boundaries cross state
borders. States must ensure that the identified high-risk urban areas take an inclusive regional approach to
the development and implementation of the UASI program and involve the contiguous jurisdictions,
mutual aid partners, port authorities, rail and transit authorities, state agencies, Statewide Interoperability
Coordinators, Citizen Corps Whole Community Council(s), and campus law enforcement in their
program activities.
UAWG Composition and Scope
Pursuant to section 2003(b) of the Homeland Security Act of 2002 (codified as amended at 6 U.S.C. §
604(b)), eligible high-risk urban areas were determined based on an analysis of relative risk of the 100
most populous Metropolitan Statistical Areas (MSAs), as defined by the Office of Management and
Budget (OMB). MSAs are used by FEMA to determine eligibility for participation in the program.
HSGP Appendix | 2023 Page A-31
Geographical areas queried do not equate to minimum mandated membership representation of an urban
area, nor does this guarantee funding for geographical areas queried. UAWGs are not required to expand
or contract existing urban area participation to conform to MSA composition. Detailed information on
MSAs is publicly available from the United States Census Bureau at https://www.census.gov/programs-
surveys/metro-micro.html.
An SAA must confirm a specific POC with the designated high-risk urban area. The SAA POC is
responsible for identifying and coordinating with the POC for the UAWG. This information must be
provided to FEMA with the grant application. SAAs must work with existing high-risk urban areas to
ensure that information for current POCs is on file with FEMA.
Membership in the UAWG must provide either direct or indirect representation for all relevant
jurisdictions and response disciplines (including law enforcement, fire service, EMS, hospitals, public
health, and emergency management) that comprise the defined high-risk urban area. It must also be
inclusive of local Whole Community Citizen Corps Council and tribal representatives. The UAWG
should also include at least one representative from each of the following significant stakeholders:
•Local or tribal government officials
•CIO and CISO
•Emergency response providers, which shall include representatives of the fire service, law
enforcement, emergency medical services, and emergency managers
•Public health officials and other appropriate medical practitioners, including Health Care
Coalitions (HCCs)
•Individuals representing educational institutions, including elementary schools, middle schools,
junior high schools, high schools, community colleges, and other institutions of higher education
•State and regional interoperable communications coordinators, and state and major urban area
fusion centers, as appropriate
In addition to representatives from the local jurisdictions and tribes within the state or high-risk urban
area, the UAWG should include officials responsible for the administration of Centers for Disease
Control and Prevention’s (CDC) and the HHS Assistant Secretary for Preparedness and Response’s
(ASPR) cooperative agreements. Finally, it must be inclusive of members advocating on behalf of youth,
older adults, individuals with disabilities, individuals with limited English proficiency and others with
other access and functional needs, socio-economic factors, and cultural diversity.
High-risk urban areas will use the URT to verify UAWG structure and membership. The list of UAWG
members must also be submitted at the time of application as an attachment in ND Grants. High-risk
urban areas must notify the SAA and the FEMA Headquarters Preparedness Officer of any updates to the
UAWG structure or membership after the application is submitted.
UAWG Responsibilities
UAWGs must ensure that applications for funding under the UASI program support building capability,
closing capability gaps, or sustaining capabilities identified in the high-risk urban area’s THIRA/SPR.
The UAWG should support state efforts to develop the SPR, particularly as it relates to UASI-funded
activities. The UAWG, in coordination with the SAA POC, must develop a methodology for allocating
funding available through the UASI program. The UAWG must reach consensus on all UASI funding
allocations. If consensus cannot be reached within the 45-day period allotted for the state to obligate
funds to subrecipients, the SAA must make the allocation determination. The SAA must provide written
documentation verifying the consensus of the UAWG or the failure to achieve otherwise on the allocation
of funds and submit it to FEMA immediately after the 45-day period allotted for the state to obligate
HSGP Appendix | 2023 Page A-32
funds to subrecipients. Any UASI funds retained by the state must be used in direct support of the high-
risk urban area. States must provide documentation to the UAWG, and FEMA upon request,
demonstrating how any UASI funds retained by a state are directly supporting the high-risk urban area.
UAWG Charter
In keeping with sound project management practices, the UAWG must ensure that its approach to critical
issues such as membership, governance structure, voting rights, grant management and administration
responsibilities, and funding allocation methodologies are formalized in a working group charter, or
another form of standard operating procedure related to the UASI program governance. The charter must
also outline how decisions made in UAWG meetings will be documented and shared with UAWG
members. The UAWG charter must be submitted at the time of application as an attachment in ND Grants
and must be on file with FEMA prior to drawing down UASI funding. It also must be available to all
UAWG members to promote transparency in decision making related to the UASI program.
Supplemental SHSP and UASI Guidance
Collaboration
Collaboration with Other Federal Preparedness Programs
FEMA strongly encourages states, high-risk urban areas, tribes, and territories to understand other federal
preparedness programs in their jurisdictions and to work with them in a collaborative manner to leverage
all available resources and avoid duplicative activities. For example, HHS has two robust preparedness
programs—CDC’s Public Health Emergency Preparedness (PHEP) cooperative agreement and ASPR’s
Hospital Preparedness Program (HPP) cooperative agreement—that focus on preparedness capabilities.
CDC’s 15 public health preparedness capabilities and ASPR’s 4 healthcare preparedness capabilities
serve as operational components for many of the core capabilities, and collaboration with the PHEP
directors and HPP coordinators can build capacity around shared interests and investments that fall in the
scope of these HHS cooperative agreements and the HSGP.
States and high-risk urban areas should coordinate among the entire scope of federal partners, national
initiatives, and grant programs to identify opportunities to leverage resources when implementing their
preparedness programs. These may include but are not limited to: Medical Reserve Corps; Emergency
Medical Services for Children grants; ASPR HPP; CDC PHEP; CDC Cities Readiness Initiative;
Strategic National Stockpile Programs; EMS; DOJ grants; the Department of Defense 1033 Program (also
known as the LESO Program); and the Resilience Directorate/Office of Infrastructure Protection’s (OIP)
Regional Resilience Assessment Program (RRAP). However, coordination is not limited to grant funding.
It also includes leveraging assessments such a Transportation Security Agency’s (TSA) Baseline
Assessment for Security Enhancement (BASE), reporting from the Intelligence Community, risk
information such as USCG’s Maritime Security Risk Analysis Model (MSRAM), and USBP Sector
Analysis.
Each SHSP- and UASI-funded investment that addresses biological risk, patient care, or health systems
preparedness should be implemented in a coordinated manner with other federal programs that support
biological and public health incident preparedness such as those administered by HHS ASPR, CDC, and
DOT’s National Highway Traffic Safety Administration (NHTSA).
Collaboration with Health Care Coalitions (HCCs)
HCCs are regional entities comprised of health care, public health, emergency management, and
emergency medical services organizations that plan and respond together, leverage resources, and address
HSGP Appendix | 2023 Page A-33
challenges in health care delivery brought on by public health and medical incidents. Given that many of
the risks being mitigated include the potential for a range of mass casualties, including those across the
chemical, biological, radiological, nuclear, explosive (CBRNE) spectrum, planning efforts should include
the participation of HCCs and should take into account the elements and capabilities articulated in the
2017-2022 Health Care Preparedness and Response Capabilities
(https://www.phe.gov/Preparedness/planning/hpp/reports/Documents/2017-2022-healthcare-pr-
capablities.pdf).
Collaboration with Nonprofit Organizations
SHSP and UASI recipients are encouraged to work with the nonprofit community to address terrorism
and all-hazards prevention concerns, seek input on the needs of the nonprofit sector, and support the goals
of their investments.
Collaboration with Tribes
FEMA strongly encourages states, high-risk urban areas, and territories to work with tribal nations in
overall initiatives, such as whole community preparedness and emergency management planning.
Whole Community Preparedness
SHSP and UASI recipients should engage with the whole community to advance community and
individual preparedness and to work as a nation to build and sustain resilience. Recipients should consider
the three goals of the 2022-2026 FEMA Strategic Plan in their program design and delivery, specifically
Strategic Objective 1.3: Achieve equitable outcomes for those we serve, and Goal 3: Promote and sustain
a ready FEMA and prepared nation. Recipients should integrate program design and delivery practices
that ensure representation and services for under-represented diverse populations that may be more
impacted by disasters including children, seniors, individuals with disabilities or other access and
functional needs, individuals with diverse culture and language use, individuals with lower economic
capacity, and other underserved populations. Individual preparedness must be coordinated by an
integrated body of government and nongovernmental representatives as well, including but not limited to,
elected officials, the private sector (especially privately owned critical infrastructure), private nonprofits,
nongovernmental organizations (including faith-based, community-based, and voluntary organizations),
advocacy groups for under-represented diverse populations that may be more impacted by disasters
including children, seniors, individuals with disabilities or other access and functional needs, individuals
with diverse culture and language use, individuals with lower economic capacity, and other underserved
populations.
FEMA has programming designed to increase the resilience of individual Americans and communities.
Please email Prepare@fema.dhs.gov to contact one of the Agency’s subject matter experts to receive
guidance and assistance. The following tools, trainings, and products may be ordered directly, free of
charge, from FEMA’s warehouse at https://orders.gpo.gov/icpd/ICPD.aspx; many of them might be
allowable costs, but recipients and subrecipients should ensure that these activities can also help
build target capabilities for preventing, preparing for, protecting against, and responding to acts of
terrorism.
•Community Emergency Response Team (CERT) programs, which educate volunteers about
disaster preparedness for the hazards that may impact their area and train them in basic disaster
response skills, such as fire safety, light search and rescue, team organization, and disaster
medical operations. CERT offers a consistent, nationwide approach to volunteer training and
organization that professional responders can rely on during disaster situations, allowing them to
focus on more complex tasks.
HSGP Appendix | 2023 Page A-34
•Financial Resilience: FEMA partners with philanthropic and nonprofit organizations to increase
the financial resilience of the public in advance of disasters, including acts of terrorism. Activities
include helping the public to organize finances and increasing the understanding of what FEMA
assistance can provide. Partnerships with local financial wellness organizations such as credit
unions, financial counselors, community banks, and others that reach a variety of audiences are
encouraged. The Emergency Financial First Aid Kit (EFFAK) provides individuals, families, and
businesses the ability to organize critical financial, medical, and household information. It
includes a checklist of important documents and forms to compile your relevant information.
•Building Capacity with Community Based Organizations: Community-Based Organizations
serve as a critical safety net for Americans disproportionately impacted by disasters, including
acts of terrorism. Allowable activities include Whole Community exercises, trainings, and
activities focused on staff preparedness; information sharing with clients and government; and
continuity of essential functions in the event of an emergency. In 2019, FEMA launched the
Organizations Preparing for Emergency Needs Training (OPEN). OPEN includes both a web-
based, self-guided training, and a downloadable instructor kit that will guide participants on how
to identify risks, locate resources, and take preparedness actions. When Community-Based
Organizations, such as food pantries, daycares, and nonprofits, are unable to sustain operations
during an emergency incident, individuals who rely on them are exponentially impacted. Because
of their importance in keeping the community going, OPEN is designed to empower these
organizations to better prepare for incidents. Community-Based Organizations include but are not
limited to food banks, food pantries, homeless shelters, school readiness and after school centers,
adult day care centers, job training centers, legal assistance centers, and cultural centers.
•Preparedness Actions: FEMA curates validated guidance for decision-making (protective
actions) for the public in order to increase survival rates and improve disaster recovery, including
from acts of terrorism. Recipients may order, free of charge, hazard information sheets on 17
different types of threats and hazards, the “12 Ways to Prepare Postcard,” guidance on how to
create an emergency communications plan for a family, and a breadth of depth of other material
at https://orders.gpo.gov/icpd/ICPD.aspx.
•Youth Preparedness Resources are available on www.ready.gov/kids. Bolstering youth
preparedness across the nation is a priority for FEMA as the Agency works with state, local,
tribal, and territorial partners to create a culture of preparedness in the United States. Information
on youth-centric educational curricula, games, planning materials, and other relevant resources
can be found at www.ready.gov/kids.
The following are examples of youth preparedness activities that grantees are encouraged to
undertake as allowable costs:
o Reach out to a local school board or elementary school to encourage the adoption of the
Student Tools for Emergency Planning (STEP) curriculum. STEP is a classroom-based
emergency preparedness curriculum for 4th- and 5th-graders in an easy, ready-to-teach
format. Students will learn about disasters, emergencies, and hazards, and how to create a
disaster supply kit and family emergency communication plan. An overview of the STEP
program along with the instructor guide and student activity book is available at
https://www.ready.gov/student-tools-emergency-planning-step; and
o Sponsor the creation of a Teen CERT in your jurisdiction. The CERT Program is a
national program of volunteers trained in disaster preparedness and emergency response.
Volunteers come from all ages and all walks of life, including teenagers. Additional
information, including a step-by-step guide on how to start a Teen CERT, is available at
https://www.ready.gov/teen-cert.
The following tools are available to order from FEMA’s warehouse free of charge:
HSGP Appendix | 2023 Page A-35
o “Prepare with Pedro” is a joint product of FEMA and the American Red Cross. The
“Prepare with Pedro: Disaster Preparedness Activity Book” is designed to teach young
children and their families about how to stay safe during disasters and emergencies. The
book follows Pedro around the United States and offers safety advice through
crosswords, coloring pages, matching games, and more. Additional information,
including an ordering form, is available at https://www.ready.gov/prepare-pedro; and
o The Ready 2 Help card game is a fun way for kids to learn how to respond to
emergencies by working with friends and using skills that will help in a real emergency.
Ready 2 Help teaches five simple steps to stay safe and make a difference until help
arrives:
•Stay Safe;
•Stay Calm;
•Get Help;
•Give Info; and
•Give Care.
Ready 2 Help is designed for children ages 8 and up. Additional information, including
an ordering form, is available at https://www.ready.gov/ready-2-help.
Supplemental OPSG Program Guidance
OPSG supports enhanced cooperation and coordination among CBP, USBP, and federal and SLTT law
enforcement agencies to improve overall border security. OPSG provides funding to support joint efforts
to secure the United States’ borders along routes of ingress/egress to and from international borders to
include travel corridors in states bordering Mexico and Canada, as well as states and territories with
international water borders. OPSG also further enhances the sharing of threat information and intelligence
between federal, state, local, tribal, and territorial law enforcement agencies through the development and
sustainment of a capable workforce of analysts that have the necessary experience and training, access to
open source, unclassified and classified information, products, data, suspicious activity reporting,
tips/leads, and online/social media-based threats, as well as necessary services and technology to facilitate
analytic capabilities and collaboration.
SLTT law enforcement agencies will utilize their own law enforcement authorities to support the CBP
and USBP border security mission and will not receive any additional authority as a result of participation
in the grant. An OPSG award does not provide any additional authority to SLTT law enforcement
agencies. More specifically, SLTT law enforcement agencies are not empowered through OPSG to
enforce immigration authorities under Title 8 of the U.S. Code (i.e., the Immigration and Nationality Act).
SLTT law enforcement agencies are expected utilize their own jurisdictional authority in support of
enhanced border security unless some other agreement applies. SLTT law enforcement agencies are
further expected to operate within the bounds of all applicable laws, to include federal laws, state statutes,
and local laws, policies, and procedures.
OPSG is intended to support border states and territories of the United States in accomplishing the
following objectives:
•Increase intelligence and operational capabilities to prevent, protect against, and respond to
border security issues;
•Increase coordination and collaboration among federal and SLTT law enforcement agencies;
•Continue the distinct capability enhancements required for border security and border protection;
HSGP Appendix | 2023 Page A-36
•Provide intelligence-based operations through USBP Sector Level experts to ensure safety and
operational oversight of federal and SLTT law enforcement agencies participating in OPSG
operational activities;
•Support a request to any Governor to activate, deploy, or redeploy specialized National Guard
Units/Packages and/or elements of state law enforcement to increase or augment
specialized/technical law enforcement elements operational activities;
•Continue to increase operational, material, and technological readiness of SLTT law enforcement
agencies;
•Enhance the sharing of threat information and intelligence between federal and SLTT law
enforcement agencies; and
•Develop and sustain a capable workforce of analysts that have the necessary experience and
training, as well as access to open source, unclassified, and/or classified information, products,
data, suspicious activity reporting, tips/leads, and online/social media-based threats, and the
necessary services and technology to facilitate these analytic activities.
OPSG funds must be used to provide an enhanced law enforcement presence and to increase operational
and intelligence capabilities of federal and SLTT law enforcement, promoting a layered, coordinated
approach to law enforcement within border states and territories of the United States.
•Federal and SLTT OPSG Integrated Planning Team (IPT). Federal and SLTT partners must
establish and maintain a formalized OPSG IPT with representation from all participating law
enforcement agencies, co-chaired by representatives from USBP, the SAA, and participating law
enforcement agencies’ OPSG program representatives.
•No fewer than two IPT meetings must take place during every funding year:
o Prior to submitting the Concept of Operations (application)
o Prior to submitting the Campaign Plan
•OPSG funds may be used for travel and per diem in support of the IPTs and OPSG strategic
planning events as long as the costs are otherwise compliant with other program and regulatory
requirements.
Coordination Requirements
All operational plans should be crafted in cooperation and coordination among federal and SLTT
partners. Consideration will be given to applications that are coordinated across multiple jurisdictions. All
applicants must coordinate with the USBP Sector Headquarters with geographic responsibility for the
applicant’s location in developing and submitting an Operations Order with an embedded budget to the
SAA. OPSG funds must be used to provide increased operational capabilities to SLTT partners in support
of enhanced border security through:
•Enhanced Law Enforcement Presence;
•Enhanced Situational Awareness; and
•Enhanced Intelligence Collection and Distribution.
After awards are announced, prospective recipients will re-scope the draft Operations Order and resubmit
it as a final Operations Order with an embedded budget based on actual dollar amounts awarded. The
appropriate Sector Headquarters will approve final Operations Orders and forward those orders to
Headquarters, Office of Border Patrol, Washington, DC, before funding is released. Recipients may not
begin operations, obligate, or expend any funds until FEMA and USBP Headquarters have approved the
final Operations Order and the embedded budget and removed any existing special conditions and/or
restrictions.
HSGP Appendix | 2023 Page A-37
Transportation Costs and Costs Related to the Provision of Acute Medical Care
Vehicle, fuel, mileage, operational overtime, and other types of costs otherwise allowable under an OPSG
award’s HSGP NOFO are allowable where the costs are in support of the necessary transportation of
individuals interdicted while carrying out allowable OPSG-funded activities or operations from the point
of interdiction to an applicable law enforcement facility.
When transporting individuals interdicted in the course of carrying out allowable OPSG-funded activities
or operations from the point of interdiction, non-Federal entities may charge vehicle, fuel, mileage,
operational overtime, and other types of costs otherwise allowable under an OPSG award’s HSGP NOFO
associated with necessary transportation to provide acute medical care for individuals being transported
from the point of interdiction. In such cases, non-Federal entities may also charge operational overtime
for personnel that monitor a detained individual receiving acute medical care where the individual
remains in the custody of the non-Federal law enforcement agency. Costs incurred beyond the acute phase
of medical care (e.g., upon admission to the hospital, or after transfer from an acute care facility to the
hospital) and costs incurred once the custodial responsibility of the individual is transferred to CBP are
not allowable under OPSG.
Costs described above are allowable regardless of what entity or agency initially makes the interdiction.
Personnel costs incurred by non-Federal law enforcement agencies eligible under OPSG (including
deputies, corrections officers, or detention officers) for costs described above are allowable.
OPSG Operations Order Template and Instructions
Operations Order Template Instructions
To access the OPSG Operations Order Template:
•Find the Homeland Security Grant Program posting via the search function on Grants.gov;
•Select the Related Documents tab on the posting; and
•Click on the OPSG Operations Order Template and fill out all sections of the template.
Executive Summary Overview
Operations Order Executive Summary
Operations Order Executive Summary must:
•Identify the organization name, point of contact, committees, and other structures accountable for
implementing OPSG in the jurisdiction (typically this will be a program lead or manager
overseeing operations and individuals assigned to that agency); and
•Describe how federal and SLTT law enforcement agencies will work together to establish and
enhance coordination and collaboration on border security issues.
Budget Requirements Overview
Operations Order Detailed Annual Budget must:
•Explain how costs and expenses were estimated; and
•Provide a narrative justification for costs and expenses. Supporting tables describing cost and
expense elements (e.g., equipment, fuel, vehicle maintenance costs) may be included.
Submission Requirements
Operations Orders must meet the following submission requirements:
HSGP Appendix | 2023 Page A-38
•Must be submitted as an Adobe PDF document;
•All documents submitted must use the unique identifier created by the OPSG data management
system from the original associated operation order; and
•Applicable OPSG sector representatives must coordinate with the SAA and OPSG participants to
submit an accurate inventory of all specified OPSG purchased property with each Operations
Order/FRAGO.
Due to the competitive nature of this program, separate attachments will neither be accepted nor
reviewed.
OPSG Operational Guidance
This section provides operational guidance to OPSG applicants on the development of a concept of
operations and campaign planning, the tactical operation period, and reporting procedures. This guidance
also delineates specific roles and responsibilities, expectations for operations, and performance measures .
Successful execution of these objectives will promote situational awareness among participating agencies
and ensure a rapid, fluid response to emerging border-security conditions.
OPSG uses an integrated approach to address transnational criminal activity. Federal and SLTT partners
are required to establish and maintain an OPSG IPT with representation from all participating law
enforcement agencies, co-chaired by representatives from USBP, the SAA, and participating local law
enforcement agencies’ OPSG program representa tives. Each operational order will address specific
threats, gaps, and vulnerabilities identified by the USBP. All requests in the operational plan will be
reviewed and approved by the corresponding sector's Chief Patrol Agent or his/her designee for border
security value. USBP will provide routine monitoring and technical expertise to each participating
agency. The content of each operational plan, to include the requested items will be reviewed for border-
security value and approved by the corresponding sector’s Chief Patrol Agent or his/her designee.
All operational plans should be crafted in cooperation and coordination with federal and SLTT partners to
meet the needs of the USBP Sector. Consideration will be given to applications that are coordinated
across multiple jurisdictions. All applicants must coordinate with the CBP/USBP Sector Headquarters
with geographic responsibility for the applicant’s location in developing and submitting an Operations
Order with an embedded budget to the SAA. Operations are to be crafted so that resources are allocated to
one or more of the supportable categories:
1)Law Enforcement Presence;
2)Situational Awareness; and/or
3)Intelligence Collection, Analysis, and Distribution.
HSGP Appendix | 2023 Page A-39
Law Enforcement Presence includes activities and costs associated to having an SLTT partner provide a
law enforcement patrol presence in an area designated by the USBP Sector in support of border security
efforts. Situational Awareness includes technology to provide current and immediately relevant
information about currently active border security threats. Intelligence Collection and Distribution
includes both technology and manpower related to the gathering and analysis of intelligence with a nexus
to border security.
The terms of an OPSG award do not extend to an SLTT partner any authority to enforce additional laws,
statues, or regulations beyond their own authorities; SLTT partners are not empowered through OPSG to
enforce immigration authorities under Title 8 of the U.S. Code (i.e., the INA). Participation in the grant
does not grant participants the power to operate outside of their own jurisdictional boundaries.
Concept of Operations and Campaign Planning
Post-Allocation Announcement/Pre-Award
The overarching operational cycle involves three stages: 1) application; and 2) concept of operations to
formulate a Campaign Plan, which are all developed by the IPT. All Operations Orders: Concept of
Operations (CONOPS), Operation Orders (OO) or Campaign Plans and FRAGOs shall be submitted
through the CBP Stonegarden Data Management System. All OPSG grant Application packages shall be
submitted to the SAA for entry into Grants.gov.
Application: Please refer to the current fiscal year’s HSGP NOFO and relevant information in this
Manual.
Campaign Plan: After awards are announced, participants will create and submit an operations order that
forms a campaign plan and captures the initial, generalized-budgetary intent to their IPT.
The campaign plan should articulate the participant agency’s long -term border security objectives and
goals designed to mitigate border-security risk.
Funds should be obligated as needed to target specific threats or vulnerabilities and ensure that OPSG
usage is commensurate to the unique risk of each border region. This may require several short-term
operations that combine to form an ongoing operational cycle, ensuring that USBP commanders and
SLTT agency partners reserve the flexibility to respond to the ever-changing elements of border security.
The operations plan also will articulate the budgetary intent of how funds are to be used throughout the
performance period. The operations plan will project planned expenditures in the following categories:
overtime, equipment, travel, maintenance, fuel, and administrative funds. The subrecipient can initiate the
procurement of equipment as well as state how much the county intends to use for M&A while keeping
funds for overtime or residual equipment funds available for use as needed. If the subrecipient intends to
spend more than 50% of its award on overtime over the course of the performance period, a PRICE Act
waiver request must be submitted in accordance with the policy initially outlined in IB 379: Guidance to
State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding. The
operations plan will meet both the SAA expectations to obligate the funds within 45 days of the award
announcement and the demands of the grant’s operational intent . Sector approved campaign plans must
be submitted to USBP Headquarters no later than four months after the official awards
announcement has been made.
Investment Modifications - Changes in Scope or Objective: Changes in scope or objective of the
award – including those resulting from intended actions by the recipient or subrecipients – require
FEMA’s prior written approval, in accordance with 2 C.F.R. §§ 200.308(c)(1), 200.407.
HSGP Appendix | 2023 Page A-40
In the event that changes must be made to the original operational plan, such as additional funding
requests or other changes to the original scope or objectives, a FRAGO must be submitted in HSIN to
obtain FEMA’s prior written approval of such changes in accordance with 2 C.F.R. § 200.308(c)(1).
These modifications will be annotated in the annex section of the FRAGO.
Operational Execution
In the event that changes or additional funding requests to the original operational order must be made, a
FRAGO will be created. These modifications will be annotated in the annex section of the FRAGO.
Operational discipline is necessary for the success of OPSG. Deliberate, adaptive, integrated, and
intelligence-driven planning is critical to conducting targeted enforcement operations consistent with the
objectives of the OPSG. By participating in the OPSG, the state, local, tribal, and territorial agencies
agree to conduct operations designed to reduce border-security risk.
Operations are composed of six critical elements: 1) a pre-planning meeting with the IPT; 2) specified
beginning and ending dates; 3) the integration of intelligence and border security; 4) use of targeted
enforcement techniques; 5) clearly stated objectives; and 6) an after-action meeting. These operations
require deliberate on-going planning to ensure command, staff, and unit activities synchronize to current
and future operations. The cyclical nature of the process will ensure OPSG activities align with the
fluctuating border-security threats and vulnerabilities. The IPT should leverage information provided by
the fusion center, Border Intelligence Centers, or other local intelligence center, when possible, and
establish a common operational vision.
The USBP Sector’s Chief Patrol Agent, or his/her designee, will ensure that the information or
intelligence has a clear nexus to border security. Intelligence will be shared and vetted for border security
value, driving the focus of operations. Once intelligence-driven targets are identified, the IPT will decide
on operational objectives that reflect the intended impact of operations. The objectives should outline how
the operation will deter, deny, degrade, or dismantle the operational capacity of the targeted transnational
criminal organizations.
Each operational period will begin on a predetermined date and end on a predetermined date, but the dates
may be subject to change commensurate with emerging security conditions. The starting date of the
operational period should be established to allow sufficient time for the order to be submitted and
approved by the corresponding USBP Sector and in concurrence with its SAA and USBP Headquarters.
The USBP Sectors will upload copies of operations order in the corresponding folder in the CBP
Stonegarden Data Management System.
Reporting Procedures
Participation in OPSG requires accurate, consistent, and timely reporting of how funds are used, and how
the state, local and tribal agencies’ operations have impacted border security through the mitigation of
threat or vulnerability and the overall reduction of risk. Reporting will focus on monitoring program
performance; determining the level of integration and information sharing; and developing best practices
for future operations. To ensure consistent reporting each state, local, and tribal agency will identify a
single point of contact to represent their agency as a member of the IPT and to coordinate the submission
of reports or execute other aspects of the grant.
The Daily Activity Report (DAR), which can be found by selecting the link for the current fiscal year
HSGP NOFO on FEMA’s preparedness grants page (https://www.fema.gov/homeland-security-grant-
program) to be used to submit the ongoing results and outputs from OPSG operations conducted . The
information and statistics included in the DAR will be delineated by agency (friendly forces). The DAR
must be submitted to the USBP sector or the participating agency’s OPSG coordinator within 48 hours
HSGP Appendix | 2023 Page A-41
of the conclusion of each OPSG shift. Subrecipients and Sectors are responsible to ensure that DARs are
submitted in the proper format and in a timely manner . DARs will be submitted using the CBP
Stonegarden Data Management System. Friendly Forces receiving funding through a subrecipient will
submit DARs within 48 hours. Border Patrol Sectors and OPSG subrecipients will implement internal
protocols to ensure operational data from subrecipients and friendly force DARs are properly collected
following the established guidelines.
In addition to the ongoing reporting of outputs, subrecipient participants will be required to submit AARs
to USBP sectors within 10 days of closing the operational POP for that funding year. The AAR should
carefully articulate outcomes and outputs as well as how the results of the operation compare with the
objectives identified during the pre-planning meeting. Failure to submit the AAR in a timely manner may
prevent the approval of future operations requests. All AARs and other OPSG reporting requirements will
be submitted through the CBP Stonegarden Data Management System. Sectors are responsible for
submitting AARs into Border Patrol Enforcement Tracking System (BPETS) as applicable.
Operational Roles and Responsibilities
To achieve unity of effort, it is essential that each participant know the roles and responsibilities within
the IPT. The USBP sector’s Chief Patrol Agent, or his/her designee, will:
•Coordinate and chair the area IPT’s meetings;
•Coordinate with all interested and eligible SLTT agencies in the sector’s area of operation during
the open period of the OPSG application process by:
o Assisting applicants in completing the operations planning portion of the application,
which is like the Operations Order used by the USBP;
o Forwarding the approved operation portion of the application to CBP/USBP
Headquarters as well as to the SAA to complete the application process set by FEMA;
and
o Detailing what operational support the USBP Sector anticipates for specific periods and
matching the capabilities of partners to fill those gaps.
•Following the announcement of grant awards, coordinate and chair a meeting with SLTT
agencies that received OPSG awards to develop an individualized campaign plan. This includes:
o Working with SLTT agencies, along with other federal law enforcement agencies to
determine the dates, focus, and needs of each operational period, ensuring that each
operation has a nexus to border security;
o Receiving the first periodic operations order from the SLTT agencies and ensuring that
the operation is conducted as outlined in the Campaign Planning section;
o Monitoring and supporting the Operational Cycle throughout the performance period
o Ensuring the DAR and the AAR are submitted by state, local, and tribal agencies in the
proper format and within the established timeframes;
o Providing instruction, when possible, to state, local, and tribal agencies regarding
techniques, methods, and trends used by transnational criminal organizations in the area;
o Providing a single point of contact to participants as a subject-matter expert in OPSG that
can coordinate, collect, and report operational activities within the established reporting
procedures;
o Providing verification that operations are conducted;
o Documenting and conducting random, on-site operational verification of OPSG patrols
by subrecipients and friendly forces;
o Verifying that subrecipients are performing OPSG enforcement duties in accordance with
the applicable grant, statute, and regulatory guidance and instructions; and
HSGP Appendix | 2023 Page A-42
o Ensuring that grant funds are appropriately expended to meet sector border enforcement
operational requirements and assist in enhancing subrecipient/friendly force capabilities
to provide for enhanced enforcement presence, operational integration, and intelligence
sharing in border communities.
The state, local or tribal agency lead, or their designee, will:
•Coordinate with the SAA on all grant management matters including but not limited to the
development and review of operations orders, expenditure of funds, allowable costs, reporting
requirements;
•Upon receiving a grant award, coordinate and meet as a member of the IPT to develop an
individualized campaign plan that covers the length of the grant performance period;
•Work within the IPT to develop an initial Operational Cycle and determine the duration of the
first operational period based on the tactical needs specific to the area;
•Submit all operations orders for review and submit the operations order to the Border Patrol and
ensure the operation meets the six criteria established in the Operations Section:
o Conduct operations on an as-needed basis throughout the length of the grant performance
period;
o Integrate law enforcement partners from contiguous counties and towns into their tactical
operations to expand the layer of security beyond existing areas;
o Ensure all required reports, including reports from friendly forces, are submitted to the
Border Patrol and the SAA, when applicable, in the proper format and within established
timeframes;
o Ensure applicable OPSG-derived data is shared with the designated fusion center in the
state or high-risk urban areas;
o Ensure applicable intelligence is shared with the designated fusion center in the state
and/or high-risk urban areas;
o Request instruction and information from the SAA, when applicable, and/or USBP and
other federal law enforcement agencies regarding techniques, methods, and trends used
by transnational criminal organizations in the area;
o Provide the SAA and USBP a single point of contact that maintains subject-matter
expertise in OPSG who can coordinate, collect, and report operational activities within
the established reporting procedures; and
o Assist as required with the coordination, management, and operational aspects of the
grant.
The SAA will:
•Actively engage in the IPT meetings;
•Work in direct coordination and communication with the local or tribal agency lead on all grant
management matters;
•Review all operations orders created by the local or tribal agency;
•Acts as the fiduciary agent for the program and provide expertise in state policy and regulations;
•Enter into a subaward agreement to disburse the allocated funding awarded through FEMA;
•Generate biannual reports to FEMA capturing the subrecipients’ obligations and expenditures of
funds;
•Determine if the grant’s performance period requires additional refinement over the federally
established 36-month period;
•Conduct audits of the program to ensure that the subrecipients are following program guidance;
and
HSGP Appendix | 2023 Page A-43
•Assist as required with the coordination, management, and operational aspects of the grant.
Definitions (OPSG only)
Area of Interest: A specific area, areas, or facilities known to be used by transnational criminal
organizations in furtherance of their criminal activity.
Border-security related crime: Any action or enterprise that constitutes an offense which is punishable by
law:
•That results in a favorable environment for criminal enterprise network, transnational criminal, or
terrorist organizations; the smuggling/trafficking of humans, contraband, narcotics, or weapons of
mass destruction across or in proximity to the U.S. border or;
•That has a direct nexus to illicit cross-border activity; and
•For which prosecution would serve established border security goals as outlined by the CBP for a
whole of community approach.
Campaign Plan: The first Operational Order based on the CONOP aimed at accomplishing a strategic or
operational objective within a given time and space.
Concept of Operations (CONOP): A written statement that clearly and concisely expresses what the
State, local, or tribal commander intends to accomplish and how it will be done using available resources
(and funding). It is also the operational equivalent of the OPSG grant application.
Fragmentary Order (FRAGO): A fragmentary order is a modification of the approved campaign plan,
reflecting changes to the scope or objective pursuant to 2 C.F.R. § 200.308(c)(1). After an operation order
has been approved, any changes to a campaign plan will be submitted via HSIN as a FRAGO for FEMA’s
approval. Subsequent FRAGOs are permissible, subject to FEMA’s prior written approval, consistent
with the requirements of 2 C.F.R. §§ 200.308, 200.407.
Friendly Forces: Local law enforcement entities with whom OPSG subrecipients provide funding to
support border security operations.
Integrated Planning Team (IPT): Group that coordinates on all aspects of OPSG application, planning,
and de-briefings.
Operational Cycle: A deliberate on-going cycle of command, staff, and unit activities intended to
synchronize current and future operations (driven by current intelligence and short-term goals that
support the campaign).
Operational Discipline: The organized manner in which an organization plans, coordinates, and executes
the OPSG mission with common objectives toward a particular outcome.
Operation/Operational Order (OO): A formal description of the action to be taken to accomplish or
satisfy a CONOP, Campaign Plan, or FRAGO. The OO includes a detailed description of actions to be
taken and required logistical needs to execute an operation.
Opioid Receptor Antagonists: Any medically approved drug or medical substance that can be utilized by
first responder personnel in an emergency situation that is designed to counteract the effects of an opioid
overdose.
HSGP Appendix | 2023 Page A-44
Performance Measure: A numerical expression that quantitatively conveys how well the organization is
doing against an associated performance goal, objective, or standard.
Risk: Potential for an adverse outcome assessed as a function of threats, vulnerabilities, and consequences
associated with an incident, event, or occurrence.
Targeted Enforcement: The leveraging of all available assets against a specific action, area, individual, or
organization and using those deemed most appropriate to mitigate risk.
Target of Interest: A specific person, group of persons, or conveyance known to be part of, or used by
transnational criminal organizations to advance their criminal activity.
Threat: Information expressing intent to conduct illegal activity often derived from intelligence sources,
the overall context, a specific event or series of events, or observation of suspicious activity.
Tier: Tier refers to the geographical location of a municipality, county, or tribe with respect to the United
States national border, i.e., Tier 1 is a county located on the border; a Tier 2 county is a county contiguous
to a Tier 1 county; and a. Tier 3 is a county not located on the physical border but is a contiguous to a Tier
2 county.
Unity of Effort: Coordination and cooperation among all organizational elements, even though they may
not be part of the same command structure, to achieve success.
Vulnerability: The protective measures in place are less than the protective measures needed to mitigate
risk.
HSGP Supplemental Material
FEMA collaborates with various subject-matter experts and acknowledges the value and expertise these
Federal partner agencies provide to help shape the development and implementation of the HSGP. This
continued partnership and collaboration helps provide recipients with the greatest number of resources
required to effectively manage and implement funds as well as promotes transparency. Therefore, FEMA
is providing hyperlinks to information on various subjects and policies that are relevant to the mission and
intent of the FEMA and its preparedness grant programs.
Chemical, Biological, Radiological, and Nuclear (CBRN) Detection
The Countering Weapons of Mass Destruction (CWMD) Office is a support component within DHS
established in December 2017 to counter attempts by terrorists or other threat actors to carry out an attack
against the United States or its interests using a weapon of mass destruction. The CWMD Office provides
guidance to improve national coordination on CBRN issues and works with federal and SLTT agencies to
ensure operators have better access to current data and subject matter expertise they need. The National
Preparedness Assessments Division at FEMA offers implementation support on the THIRA/SPR for
SLTT partners and the CWMD Office offers technical assistance to provide guidance to SLTT partners
seeking to address CBRN threats and to build or sustain CBRN detection and response capabilities. For
more information or assistance, please contact CWMD-THIRA@hq.dhs.gov.
National Information Exchange Model (NIEM)
NIEM is a common vocabulary that enables efficient information exchange across diverse public and
private organizations. NIEM can save time and money by providing consistent, reusable data terms and
definitions and repeatable processes. To support information sharing, all recipients of grants for projects
HSGP Appendix | 2023 Page A-45
implementing information exchange capabilities are required to use NIEM and to adhere to the NIEM
compliance rules. Go to https://niem.gov/ for guidance on how to utilize FEMA award funding for
information sharing, exchange, and interoperability activities.
The NIEM Emergency Management domain supports emergency-related services (including preparing
first responders and responding to disasters), information sharing, and activities such as homeland
security and resource and communications management. The NIEM Emergency Management domain has
an inclusive governance structure that includes federal, state, local, industry, and, where necessary,
international partnerships. The NIEM Emergency Management domain is committed to community
support via technical assistance and NIEM training. For more information on the NIEM Emergency
Management domain, to request training or technical assistance or to just get involved, go to
https://niem.gov/EM.
Infrastructure Resilience Planning Framework (IRPF)
State, local, tribal, and territorial (SLTT) governments are faced with complex long-term decisions,
limited sources of revenue, and changing populations. CISA developed the IRPF as a resource for SLTT
planners. The IRPF provides a process and a series of tools and resources for incorporating critical
infrastructure resilience considerations into planning activities. The IRPF can be used to support capital
improvement plans, hazard mitigation plans, or other planning documents, as well as funding requests.
For more information, see Infrastructure Resilience Planning Framework (IRPF) (cisa.gov).
Integrated Public Alert and Warning System (IPAWS)
The current IPAWS Supplemental Guidance on Public Alert and Warning provides guidance on eligible
public alert and warning activities and equipment standards for prospective SLTT recipients. The intent of
this document is to promote consistency in policy across federal grant programs and to ensure
compatibility among federally funded projects. For more information on the IPAWS, go to
https://www.fema.gov/informational-materials.
Homeland Security Information Network (HSIN)
HSIN is a user-driven, web-based, information sharing platform that connects all homeland security
professionals including the DHS and its federal, state, local, tribal, territorial, international, and private
sector partners across all homeland security mission areas. HSIN is used to support daily operations,
events, exercises, natural disasters, and incidents. To support user mission needs, HSIN provides three
sets of services for secure information sharing. The first service provides a shared place for communities
to securely collaborate on homeland security issues and includes core functions such as a web
conferencing and instant messaging tools with white boarding, video, and chat services for real-time
communication and situational awareness. The second set provides secure dissemination and sharing
capabilities for homeland security alerts, reports, and products. The third set allows users to access and
query a variety of shared data and services from all homeland security mission areas and trusted federal
partners. Preparedness grant funds may be used to support planning, training and development costs
associated with developing and managing, mission critical, HSIN communities of interest and sites. Learn
more about HSIN at HSIN HSGP Guidance | Homeland Security (dhs.gov).
SLTT Cybersecurity Engagement Program
CISA is responsible for enhancing the security, resilience, and reliability of the Nation’s cyber and
communications infrastructure. CISA works to prevent or minimize disruptions to critical information
infrastructure to protect the public, the economy, and government services. CISA leads efforts to protect
the Federal “.gov” domain of civilian government networks and to collaborate with the private sector—
the “.com” domain—to increase the security of critical networks.
HSGP Appendix | 2023 Page A-46
The DHS SLTT Cybersecurity Engagement Program within CISA was established to help non-federal
public stakeholders and associations manage cyber risk. The program provides appointed and elected
SLTT government officials with cybersecurity risk briefings, information on available resources, and
partnership opportunities to help protect their citizens online. Through these and related activities, the
program coordinates DHS’s cybersecurity efforts with its SLTT partners to enhance and protect their
cyber interests. More information on all of the CISA resources available to support SLTT governments is
available at Resources | CISA.
Framework for Improving Critical Infrastructure Cybersecurity
When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in
implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (the
“Framework”) developed by the National Institute of Standards and Technology (NIST). The Framework
gathers existing international standards and practices to help organizations understand, communicate, and
manage their cyber risks. For organizations that do not know where to start with developing a
cybersecurity program, the Framework provides initial guidance. For organizations with more advanced
practices, the Framework offers a way to improve their programs, such as better communication with
their leadership and suppliers about management of cyber risks.
CISA’s Critical Infrastructure Cyber Community C³ Voluntary Program also provides resources to critical
infrastructure owners and operators to assist in adoption of the Framework and managing cyber risks.
Additional information on the Critical Infrastructure Cyber Community C³ Voluntary Program can be
found at Critical Infrastructure Cyber Community C³ Voluntary Program | CISA.
DHS’s Enhanced Cybersecurity Services (ECS) program is an example of a resource that assists in
protecting U.S.-based public and private entities and combines key elements of capabilities under the
“Detect” and “Protect” functions to deliver an impactful solution relative to the outcomes of the
Cybersecurity Framework. Specifically, ECS offers intrusion prevention and analysis services that help
U.S.-based companies and SLTT governments defend their computer systems against unauthorized
access, exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat
indicators from sensitive and classified Government Furnished Information (GFI). DHS then shares those
indicators with accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to
block certain types of malicious traffic from entering a company’s networks. Groups interested in
subscribing to ECS must contract directly with a CSP in order to receive services. Please visit Enhanced
Cybersecurity Services (ECS) | CISA for a current list of ECS CSP points of contact.
Regional Resiliency Assessment Program (RRAP)
The RRAP is a cooperative assessment of specific critical infrastructure within a designated geographic
area and a regional analysis of the surrounding infrastructure that address a range of infrastructure
resilience issues that could have regionally and nationally significant consequences. These voluntary,
non-regulatory RRAP projects are led by the Infrastructure Security Division and are selected each year
by DHS with input and guidance from federal, state, and local partners. For additional information on the
RRAP, visit Regional Resiliency Assessment Program | CISA.
Law Enforcement Support Office (LESO), or 1033 Program
The LESO facilitates a law enforcement support program, which originated from the National Defense
Authorization Act of Fiscal Year 1997. This law allows the transfer of excess Department of Defense
property that might otherwise be destroyed by law enforcement agencies across the United States and its
territories.
HSGP Appendix | 2023 Page A-47
No equipment is purchased for distribution. All items were excess that had been turned in by military
units or had been held as part of reserve stocks until no longer needed. Requisitions cover the gamut of
items used by America’s military ― clothing and office supplies, tools, and rescue equipment, vehicles,
small arms, and more. There is no fee for the equipment itself, however, the law enforcement agencies are
responsible for the shipping costs.
For additional information on the LESO, please visit:
http://www.dla.mil/DispositionServices/Offers/Reutilization/LawEnforcement.aspx.
Supplemental Emergency Communications Guidance
Lessons learned from recent major disasters, unplanned events, and full-scale exercises have identified a
need for greater coordination of emergency communications among senior elected officials, emergency
management agencies, and first responders at all levels of government. Federal responders arriving on the
scene of a domestic incident are not always able to communicate with SLTT response agencies, as well as
key government officials. State and local first responders sometimes experience similar problems,
particularly when the incident requires a multi-agency, regional response effort or when primary
communications capabilities fail. This lack of operability and interoperability between federal and SLTT
agencies―further complicated by problems with communications survivability and resilience―has
hindered the ability to share critical information, which can compromise the unity-of-effort required for
an effective incident response.
Departments and agencies at all levels of government have identified a need for improvement in a number
of high-priority areas, including Governance, Planning, Training and Exercises, Operational
Coordination, and Technology. In addition, communications resilience and continuity should be viewed
as a critical component within each of these areas. These priorities are explained in detail in Section 2 of
the SAFECOM Guidance. By addressing these priorities, which are reflective of proven best practices,
emergency communications can be significantly improved at all levels of government. The end goal is to
ensure operable, interoperable, and resilient communications that maintain a continuous flow of critical
information, under all conditions, among multi-jurisdictional and multi-disciplinary emergency
responders, command posts, agencies, critical infrastructure sectors, and government officials for the
duration of an emergency response operation, and in accordance with NIMS and the National Emergency
Communications Plan, which describes goals and objectives for improving emergency communications
nationwide.
To help meet this goal, the SAFECOM Guidance outlines requirements for grant applications, including
alignment to national, regional, and state communications plans (e.g., NECP, Statewide Communication
Interoperability Plan (SCIP), Tactical Interoperability Communications Plan (TICP), FEMA Regional
Emergency Communications Plan (RECP)), project coordination, and technical standards for emergency
communications technologies. SCIPs define the current and future direction for interoperable and
emergency communications within a state or territory, while TICPs are designed to allow urban areas,
counties, regions, states/territories, tribes, or federal departments/agencies to document interoperable
communications governance structures, technology assets, and usage policies and procedures. In addition,
FEMA’s formal planning process has produced 10 RECPs and their associa ted state and/or
tribal/territorial annexes that identify emergency communications capability shortfalls and potential
resource requirements. Grant recipients are encouraged to leverage these planning resources as a source
of input and reference for all emergency communications grant applications and investment justifications.
In addition, FEMA formally recognizes several statewide emergency communications governance bodies
(e.g., SWIC, SIGB, Statewide Interoperability Executive Committee (SIEC), FirstNet State Single Point
of Contact (SPOC)), and strongly encourages grant recipients to closely coordinate with these entities
HSGP Appendix | 2023 Page A-48
when developing an emergency communications investment to ensure projects support the state or
territory’s strategy to improve their communications capabilities with the goal of achieving fully operable,
interoperable, and resilient communications. In addition, grant applicants should work with public and
private entities, and across jurisdictions and disciplines, to demonstrate engagement with the Whole
Community in accordance with Presidential Policy Directive-8 (PPD-8).
For regional, cross-border initiatives, FEMA requires applicants to coordinate projects with national level
emergency communications coordination bodies, such as the National Council of Statewide
Interoperability Coordinators (NCSWIC) and the Regional Emergency Communications Coordination
Working Groups (RECCWGs). The NCSWIC promotes and coordinates state-level activities designed to
ensure the highest level of public safety communications across the nation. RECCWGs are
congressionally mandated planning and coordination bodies located in each FEMA Region and provide a
collaborative forum to assess and address the survivability, sustainability, operability, and interoperability
of emergency communications systems at all levels of government. Grant-funded investments that are
coordinated with these bodies will help ensure that federally funded emergency communications
investments are interoperable and support national policies.
Resilient Communications Guidance
Nothing better demonstrates a modern nation than its ability to effectively communicate. The risk
imposed by the reliance on communication systems by government and the private sector can be reduced
by understanding dependencies, analyzing effects, and taking action. Entities planning to use HSGP
funding for communications investments are encouraged to work with state emergency management
agencies, SWICs, SIGBs, and appropriate stakeholders at the regional, state, local, territorial, and tribal
levels to:
•Establish robust, resilient, reliable, and interoperable communications capabilities. Account for
the mission impact of communication system disruptions in your planning;
•Ensure mission-related communications (voice, video, data, and network security requirements)
are adequately planned for and understood. It is important to maintain current documentation of
your communication systems architecture and perform regular audits. Your ability to continue
operations is dependent on the availability of and access to communications systems with
sufficient resiliency, redundancy, and accessibility to perform essential functions and provide
critical services during a disruption;
•Ensure critical communication systems connectivity among key government leadership, internal
elements, other supporting organizations, and the public under all conditions. As such,
organizations should ensure current copies of vital records, including electronic files and
software, are backed-up and maintained off-site;
•Ensure all communications systems/networks are traced from end to end to identify all Single
Points of Failure (SPF). In doing so, grantees should work with communication service providers
to add redundancy at key critical infrastructure facilities as needed;
•Ensure key communication systems resiliency through:
o Ensuring availability of backup systems;
o Ensuring diversity of network element components and routing;
o Ensuring geographic separation of primary and alternate transmission media;
o Ensuring availability of back-up power sources;
o Ensuring availability and access to systems that are not dependent on commercial
infrastructure;
o Maintain spares for designated critical communication systems; and
o Work with commercial suppliers to remediate communication Single Points of Failure.
•All communications system owners are encouraged to address the following issues:
HSGP Appendix | 2023 Page A-49
o Integrate communications needs into continuity planning efforts by incorporating
mitigation options to ensure uninterrupted communications support;
o Establish a cybersecurity plan that includes continuity of a communications component
such as Radio Frequency (RF)-based communications that do not rely on public
infrastructure;
o Maintain communications capabilities to ensure their readiness when needed;
o Frequently train and exercise personnel required to operate communications capabilities
o Test and exercise communications capabilities; and
o Consider Electromagnetic Pulse (EMP) protective measures for communications systems
where practical.
DHS/FEMA Communications Support Services
CISA and FEMA offer a variety of technical assistance and other support services to assist state and local
entities in their efforts to comply with the above requirements, including the SAFECOM Guidance, with
the goal of ensuring interoperable and resilient emergency communications. A summary of DHS/FEMA
support services is provided below. Grant recipients are encouraged to refer to the respective websites for
additional information.
CISA Support:
CISA assists agencies through a myriad of services, including direct TA and training provided at no cost
to the jurisdiction. The TA offerings include (but are not limited to):
•Coordinated statewide governance (e.g., State Mapping Tool, Interoperable Communications
Reference Guides);
•Comprehensive emergency communications planning (e.g., SCIPs, TICPs, and Field Operations
Guides);
•Next Generation 911 planning and implementation;
•Data operability and interoperability;
•Alerts and warnings;
•Broadband deployment;
•Cybersecurity education and awareness; and
•Communications Unit (COMU) planning and procedures.
Information on these services is available at https://www.cisa.gov/safecom/ictapscip-resources and
https://www.cisa.gov/interoperable-communications-technical-assistance-program.
FEMA Disaster Emergency Communications Division (DEC) Support:
The DEC, within FEMA Headquarters’ Response Directorate, has developed State Communications
Annexes for all 56 states and territories. DEC provides technical assistance, coordinated through the
FEMA Region’s Regional Emergency Communications Coordinator (RECC) in scheduling with the
states and territories for major updates to the Annexes. Major updates are scheduled on a 3 to 5-year
cycle. FEMA DEC supports the major update with a team of communications and emergency
management specialists that facilitate a process of interaction with state representatives. This process is
coordinated through the SWIC or state designated representative. All documentation is the responsibility
of the FEMA support team and validated through state interaction.
Minor yearly updates to the State Annexes are accomplished through the RECCWG process. FEMA DEC
support staff, working in coordination with the region-specific RECC, incorporate pertinent update
information provided by state and local representatives. Additionally, operational information identified
through exercises and incident response activities is a source of update data. The FEMA RECC, with the
HSGP Appendix | 2023 Page A-50
support of the DEC team, is responsible for maintaining the State Annexes ― changes and modifications
to the Annexes are validated with the state through RECC coordination with the SWIC or designated state
representative.
FEMA National Preparedness Directorate (NPD) Support:
NPD provides training, exercises, and technical assistance to SLTT stakeholders that support operational
and emergency communications. Descriptions and resources specific to operational communication are
available on FEMA’s website (https://www.fema.gov/core-capability-development-sheets) within the
Response Mission Area and include the following information to support jurisdictions:
•Description of the operational communications core capability;
•Training for building and sustaining operational communication with specific course titles:
o Trainings can also be found at https://www.firstrespondertraining.gov/.
•Example capability targets to complete a THIRA:
o Help in developing targets can be found at www.preptoolkit.fema.gov/urt or requested at
FEMA-SPR@fema.dhs.gov.
•Resource types that support operational communications:
o Additional resource types and position qualifications can be found at
https://www.fema.gov/preparedness-checklists-toolkits.
•Tools to validate capabilities through exercises:
o Technical assistance and support from subject matter experts can be requested through
www.fema.gov/national-exercise-program.
FEMA Office of National Continuity Programs (ONCP) Support:
NCP’s support services focus on holistic continuity planning, of which communications continuity is an
important component. Currently, continuity communications training and technical assistance is limited to
the FEMA National Radio System (FNARS) and IPAWS and is delivered either on an ad hoc basis at the
request of the state entity, through a FEMA Region, or via a requirement for terms of use. Entities
interested in ONCP support services should contact FEMA-CGC@fema.dhs.gov or consult ONCP’s
Continuity Resources Toolkit webpage at https://www.fema.gov/emergency-managers/national-
preparedness/continuity/toolkit.
THSGP Appendix | 2023 Page B-1
Program Appendix B:
Tribal Homeland Security Grant Program (THSGP)
As a reminder, while this appendix contains THSGP-specific information and requirements, the main
content of this Manual (non-appendix information) contains important information relevant to all
preparedness grant programs, including the THSGP. Please be sure to read the main content of this
Manual in addition to the program-specific appendices.
Alignment of THSGP to the National Preparedness System
The THSGP plays an important role in the implementation of the National Preparedness Goal by
supporting the building, sustainment, and delivery of the core capabilities. The core capabilities are
essential for the execution of critical tasks for each of the five mission areas outlined in the Goal.
Delivering core capabilities requires the combined effort of the whole community, rather than the
exclusive effort of any single organization or level of government. THSGP allowable costs support efforts
to build and sustain core capabilities across the prevention, protection, mitigation, and response mission
areas described in the Goal.
Particular emphasis in THSGP will be placed on capabilities that address the greatest risks to the security
and resilience of tribal communities and the United States and that provide a clear nexus to preventing
acts of terrorism. Funding will support deployable assets that can be utilized through automatic assistance
and mutual aid agreements. THSGP supports investments that improve the ability of jurisdictions
nationwide to:
•Prevent a threatened or an actual act of terrorism;
•Protect our citizens, residents, visitors, and assets against the greatest threats and hazards;
•Mitigate the loss of life and property by lessening the impact of future disasters;
•Respond quickly to save lives, protect property and the environment, and meet basic human needs
in the aftermath of a catastrophic incident; and/or
To support building, sustaining, and delivering these core capabilities, recipients will use the components
of the National Preparedness System, which include Identifying and Assessing Risk, Estimating
Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities,
Validating Capabilities, and Reviewing and Updating. Additional information on the National
Preparedness System is available at: http://www.fema.gov/national-preparedness-system.
FEMA requires recipients to prioritize grant funding to demonstrate how investments support identified
national priorities and building capability, closing capability gaps, or sustaining capabilities as defined by
CPG 201: THIRA/SPR Guide—3rd Edition. In addition to capability gaps they have identified at their
level, recipients should consider areas where community capability gaps have consistently been the
largest, which are outlined in the most recent National Preparedness Report. They include cybersecurity,
economic recovery, housing, infrastructure systems, natural and cultural resources, and supply chain
integrity and security. Addressing these areas for improvement will enhance preparedness nationwide.
Minimum funding amounts are not prescribed by the Department for these priorities; however, recipients
are expected to support state, local, regional, and national efforts in achieving the desired outcomes of
these priorities.
recipients are required to submit an SPR annually. For additional guidance on the THIRA/SPR, please
refer to the Comprehensive Preparedness Guide (CPG) 201, Third Edition. Recipients must align
THSGP grant investments in building and sustaining capabilities with closing capability gaps and/or
sustaining capabilities they identified in their THIRA and SPR.
THSGP Appendix | 2023 Page B-2
Reporting on the Implementation of the National Preparedness System
By December 31, 2023, any new THSGP recipients during calendar year 2023 are required to complete a
THIRA/SPR that addresses all 32 core capabilities and is compliant with the Comprehensive
Preparedness Guide (CPG) 201, Third Edition.
THSGP recipients must complete every step of the THIRA/SPR for the following eight core capabilities:
Cybersecurity; Infrastructure Systems; Mass Care Services; Mass Search and Rescue Operations; On-
scene Security, Protection, and Law Enforcement; Operational Communications; Operational
Coordination; and Public Information and Warning. For the remaining 24 core capabilities, THSGP
recipients are only required to indicate planning, organization, equipment, training, and exercise gaps in
functional areas related to those capabilities. THSGP recipients may optionally complete additional
portions of the THIRA/SPR for these 24 core capabilities.
THSGP recipients are required to respond to a series of planning-related questions as part of the
THIRA/SPR. THSGP recipients are required to submit a THIRA every three years to establish a
consistent baseline for assessment. While the THIRA is only required every three years, THSGP
Reporting Requirements
•THSGP recipients must submit their THIRA/SPR through the Unified Reporting Tool (URT) on
Prep Toolkit no later than December 31 for the years they have open THSGP grant awards. If a
recipient has completed closeout for their THSGP grant award period of performance, they do not
have to submit any more THIRA/SPR updates as the requirement does not apply to closed
awards. While UASIs are not required to complete a THIRA/SPR, it is encouraged.
•Calendar year 2022 is the start of the new 3-year THIRA/SPR cycle and baseline assessment year
for existing recipients. Any new grant recipients during calendar year 2023, for which the
THIRA/SPR requirement applies, will start their new 3-year THIRA/SPR cycle and baseline
assessment year in 2023. Please contact FEMA-SPR@fema.dhs.gov if you have questions.
•In each THSGP recipient’s Biannual Strategy and Implementation Report (BSIR), as part of
programmatic monitoring, recipients will be required to describe how investments support
building capability, closing capability gaps, or sustaining capabilities identified in the
THIRA/SPR. THSGP recipients will, on a project-by-project basis, check one of the following:
o Building a capability with THSGP funding; or
o Sustaining a capability with THSGP funding.
National Incident Management System (NIMS) Implementation
Recipients receiving THSGP funding are required to implement the National Incident Management
System (NIMS). NIMS guides all levels of government, nongovernmental organizations (NGO), and the
private sector to work together to prevent, protect against, mitigate, respond to, and recover from
incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems,
and processes to successfully deliver the capabilities described in the National Preparedness Goal.
THSGP recipients must utilize standardized resource management concepts such as typing, credentialing,
and inventorying resources that facilitates the effective identification, dispatch, deployment, tracking and
recovery of their resources.
THSGP Appendix | 2023 Page B-3
The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions clarifies the
NIMS implementation requirements in FEMA preparedness grant Notices of Funding Opportunities
(NOFOs). As recipients and subrecipients of federal preparedness (non-disaster) grant awards,
jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS
Implementation Objectives. The objectives can be found on the NIMS webpage at NIMS Implementation
and Training | FEMA.gov.
Reporting Requirements
Recipients report in the applicable secondary NIMS assessment portion of the URT as part of their
THIRA/SPR submission, as outlined in the THSGP NOFO.
Planning to Deliver Capabilities
Recipients shall develop and maintain a jurisdiction-wide, all threats and hazards Emergency Operations
Plans (EOPs) consistent with CPG 101 Version 2.0 (CPG 101 v2). Recipients must submit an EOP once
during the period of performance.
Reporting Requirements
Recipients report EOP compliance with Developing and Maintaining Emergency Operations Plans by
completing the secondary CPG 101 v2 assessment portion of the URT as part of their THIRA/SPR
submission, as outlined in the THSGP NOFO.
Validating Capabilities
All recipients will develop and maintain a progressive exercise program consistent with Homeland
Security Exercise and Evaluation Program (HSEEP) guidance in support of the National Exercise
Program (NEP). The NEP serves as the principal exercise mechanism for examining national
preparedness and measuring readiness. The NEP is a two-year cycle of exercises across the nation that
validates capabilities in all preparedness mission areas. The two-year NEP cycle is guided by Principals’
Strategic Priorities, established by the National Security Council, and informed by preparedness data from
jurisdictions across the Nation.
To develop and maintain a progressive exercise program consistent with HSEEP and in support of the
NEP, recipients should engage senior leaders and other whole community stakeholders to identify
preparedness priorities. These priorities should be informed by various factors, including jurisdiction-
specific threats and hazards (i.e., the THIRA); areas for improvement identified by real-world events and
exercises; external requirements such as state or national preparedness reports, homeland security policy,
and industry reports; and accreditation standards, regulations, or legislative requirements. Recipients
should document these priorities and use them to deploy a schedule of preparedness events in a multi-year
Integrated Preparedness Plan (IPP). Information related to IPPs and Integrated Preparedness Planning
Workshops (IPPWs) can be found on the HSEEP website at Homeland Security Exercise and Evaluation
Program | FEMA.gov and Welcome - Preparedness Toolkit (fema.gov).
The NEP provides exercise sponsors the opportunity to receive exercise design and delivery assistance,
tools and resources, enhanced coordination, and the ability to directly influence and inform policy and
preparedness programs. If you have any questions or would like to request assistance through the NEP,
please visit the NEP website at Exercises | FEMA.gov or reach out to the NEP directly at
NEP@fema.dhs.gov.
Reporting Requirements
THSGP Appendix | 2023 Page B-4
•Recipients must have a current multi-year IPP that identifies preparedness priorities and
activities. The current multi-year IPP must be submitted to hseep@fema.dhs.gov before January
31 of each year:
o Recipients are encouraged to enter their exercise information into the Preparedness
Toolkit at https://preptoolkit.fema.gov/.
•Recipients must submit After-Action Report (AAR)/Improvement Plans (IPs) to
hseep@fema.dhs.gov and indicate which fiscal year’s funds were used (if applicable);
•Submission of AAR/IPs must occur within 90 days after completion of the single exercise or
progressive series:
o Recipients are encouraged to submit AAR/IPs reflecting tabletop exercises that validate
critical plans or those reflecting large-scale functional or full-scale exercises that took
place at the state, territorial, tribal, or UASI level. Recipients are discouraged from
submitting AAR/IPs specific to local jurisdictions that reflect drills;
o If a recipient endures a significant real-world incident during the calendar year that
delays or prevents conduct of a grant-funded exercise, they can submit the AAR from
that event in place of the exercise AAR. Jurisdictions submitting real world AARs should
include an explanation with the AAR submission to hseep@fema.dhs.gov; and
o Recipients can access a sample AAR/IP template at
https://preptoolkit.fema.gov/web/hseep-resources/improvement-planning.
THSGP Funding Guidelines
Recipients and subrecipients must comply with all applicable requirements of the Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards located at 2 C.F.R. Part 200.
In administering a THSGP grant award, recipients must comply with the following general requirements:
THSGP Priorities
See the annual THSGP NOFO.
Allowable Costs
Management and Administration (M&A)
M&A activities are those defined as directly relating to the management and administration of THSGP
funds, such as financial management and monitoring. Recipients may use up to 5% of the amount of the
award for M&A, and where applicable, subrecipients may use up to 5% for M&A of the amount they
receive. Reasonable costs of grant management training are also allowable.
Indirect Costs
Indirect costs are allowable under this program. See the “Procedures for Establishing Indirect Cost Rates”
Section in “Pre-Submission Information” for more information.
Allowable Direct Costs
The following pages outline global allowable costs guidance specifically applicable to THSGP.
Allowable activities made in support of the national priorities, as well as other capability-enhancing
projects must fall into the categories of planning, organization, equipment, training, or exercises
(POETE). Additional detail about each of these allowable expense categories, as well as sections on
additional activities including explicitly unallowable costs is provided. In general, recipients should
THSGP Appendix | 2023 Page B-5
consult their FEMA Preparedness Officer prior to implementing any investment to ensure that it clearly
meets the allowable expense criteria established by the guidance.
Recipients are encouraged to use grant funds for evaluating grant-funded project effectiveness and return
on investment aligned to the relevant POETE element, and FEMA encourages grant recipients to provide
the results of that analysis to FEMA.
Planning
Planning efforts can include prioritizing needs; conducting risk and resilience assessments on increasingly
connected cyber and physical systems, on which security depends, using the Infrastructure Resilience
Planning Framework and related CISA resources; updating preparedness strategies; and allocating
resources across stakeholder groups (e.g., law enforcement, fire, emergency medical services, health care
systems, public health, behavioral health, public works, rural water associations, agriculture, information
technology, emergency communications, and the general public, including people with disabilities) and
levels of government. Planning provides a methodical way to engage the whole community in thinking
through the life cycle of potential crises, determining required capabilities, and establishing a framework
for roles and responsibilities. Planning must include participation from all stakeholders in the community
who are able to contribute critical perspectives and may have a role in executing the plan. Planning should
be flexible enough to address incidents of varying types and magnitudes.
Planning activities should focus on the prevention, protection, mitigation, and response mission areas
outlined in the Goal. All jurisdictions are encouraged to work with Citizen Corps Whole Community
Councils, nongovernmental entities, and the general public in planning activities. Whole community
planning should integrate program design and delivery practices that ensure representation and services
for under-represented diverse populations that may be more impacted by disasters including children,
seniors, individuals with disabilities or other access and functional needs, individuals with diverse culture
and language use, individuals with lower economic capacity and other underserved populations.
Recipients must use the CPG 101 v2, Third Edition in order to develop robust and effective plans.
For additional planning and resource information, please see:
•FEMA CPG 101 v.2 - http://www.fema.gov/pdf/about/divisions/npd/CPG_101_V2.pdf
•CISA Infrastructure Resilience Planning Toolkit - http://www.cisa.gov/idr-program
•FEMA Citizen Corps - http://www.ready.gov/citizen-corps
•FEMA CERT - http://www.fema.gov/community-emergency-response-teams
•Ready.gov - www.ready.gov/kids
•Emergency Planning with Children - http://www.fema.gov/media-library/assets/documents/94775
•National Disaster Recovery Framework - https://www.fema.gov/sites/default/files/2020-
06/national_disaster_recovery_framework_2nd.pdf
Additionally, THSGP funds may be used for planning activities related to 911 call capabilities, alert and
warning capabilities, and implementation of the REAL ID Act (Pub. L. No. 109-13).
Continuity Capability
FEMA is responsible for developing, managing, and promulgating national continuity planning, guidance,
training, and exercise programs for the whole community. To support this role, FEMA provides direction
and guidance to assist in developing capabilities for continuing federal and state, local, tribal, and
territorial (SLTT) government jurisdictions and private sector organizations' essential functions across a
broad spectrum of emergencies.
THSGP Appendix | 2023 Page B-6
Presidential Policy Directive 40: National Continuity Policy, Federal Continuity Directive (FCD) 1, FCD
2, and Continuity Guidance Circular (CGC) outline continuity requirements for agencies and
organizations and provide guidance, methodology, and checklists. For additional information on
continuity programs, guidance, and directives, visit the Continuity Resource Toolkit at
https://www.fema.gov/emergency-managers/national-preparedness/continuity/toolkit.
Organization
Recipients may use grant funds for organization activities:
•Organizational activities may include, paying salaries and benefits for personnel, including
individuals employed to serve as qualified intelligence analysts. Personnel hiring, overtime, and
backfill expenses are permitted under this grant only to the extent that such expenses are for the
allowable activities within the scope of the grant.
•Other organization activities may include implementing standardized resource management
concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch,
deployment, and recovery of resources before, during, and after an incident.
Additionally, migrating online services to the “.gov” internet domain is an allowable expense.
Equipment
The 21 allowable prevention, protection, mitigation, response, and recovery equipment categories and
equipment standards for THSGP are listed on the web-based version of the Authorized Equipment List
(AEL). Unless otherwise stated, equipment must meet all mandatory regulatory and DHS-adopted
standards to be eligible for purchase using these funds. In addition, recipients and subrecipients, as
applicable, agencies will be responsible for obtaining and maintaining all necessary certifications and
licenses for the requested equipment. Recipients may purchase equipment not listed on the AEL, but only
if they first seek and obtain prior approval from FEMA.
Grant funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under
FEMA Awards and may not be used for the purchase of the following unallowable equipment: firearms,
ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with
weapons installed. Recipients should analyze the costs and benefits of purchasing versus leasing
equipment, especially high-cost items, and those subject to rapid technical advances. Large equipment
purchases must be identified and explained. For more information regarding property management
standards for equipment, please reference 2 C.F.R. Part 200, including 2 C.F.R. §§ 200.310, 200.313, and
200.316. Also see 2 C.F.R. §§ 200.216, 200.471, and FEMA Policy #405-143-1, Prohibitions on
Expending FEMA Award Funds for Covered Telecommunications Equipment or Services, issued May 10,
2022. In addition, recipients that are using THSGP funds to support emergency communications
equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants,
including provisions on technical standards that ensure and enhance interoperable communications. This
SAFECOM Guidance can be found at Funding Resources | CISA.
Additionally, THSGP funds may be used for equipment purchases related to 911 call capabilities, alert
and warning capabilities, and implementation of the REAL ID Act (Pub. L. No. 109-13).
Requirements for Small Unmanned Aircraft System
All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply
with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, and also
include a description of the policies and procedures in place to safeguard individuals’ privacy, civil rights,
THSGP Appendix | 2023 Page B-7
and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.
SUAS policies are not required at the time of application but must be received and approved by FEMA prior
to obligating THSGP funds. All grant-funded procurements must be executed in a manner compliant with
federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. For recipients that use THSGP funds for
sUAS, FEMA advises that there is a general privacy concern related to the use of this equipment if the
data the devices collect is transmitted to servers not under the control of the operator. It has been reported
that some manufacturers of sUAS encrypt data and send that data to servers outside the United States. The
U.S. Department of Homeland Security’s Privacy Office sugge sts the recipient fully explore data
transmission and storage issues with vendors to reduce the possibility of data breaches.
Additionally, the Joint Explanatory Statement (JES) accompanying the FY 2023 DHS Appropriations Act
further requires recipients to certify they have reviewed the Industry Alert on Chinese Manufactured
Unmanned Aircraft Systems, and completed a risk assessment that considers the proposed use of foreign-
made sUAS to ascertain potential risks (e.g., privacy, data breaches, cybersecurity, etc.) related to foreign-
made versus domestic sUAS.
Acquisition and Use of Technology to Mitigate UAS (Counter-UAS)
In August 2020, FEMA was alerted of an advisory guidance document issued by DHS, the Department of
Justice, the Federal Aviation Administration, and the Federal Communications Commission:
https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-technologies.
The purpose of the advisory guidance document is to help non-federal public and private entities better
understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate
threats posed by UAS operations (i.e., Counter-UAS or C-UAS).
The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the
authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do
they conduct legal reviews of commercially available product compliance with those laws. The advisory
does not address state and local laws nor potential civil liability, which UAS detection and mitigation
capabilities may also implicate.
It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection
and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state
criminal, surveillance, and communications laws. Entities should conduct their own legal and technical
analysis of each UAS detection and/or mitigation system and should not rely solely on vendors’
representations of the systems’ legality or functionality. Please also see the DHS press release on this
topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use-
technology-detect-and-mitigate-unmanned-aircraft.
Training and Exercises
Tribes are strongly encouraged to use THSGP funds to develop or maintain a homeland security training
program. Allowable training-related costs under the THSGP include the establishment, support, conduct,
and attendance of training specifically identified under the THSGP or in conjunction with emergency
preparedness training by other federal agencies (e.g., the Department of Health and Human Services or
the Department of Transportation). Training conducted using THSGP funds should address a performance
gap identified through an assessment or contribute to building a capability that will be evaluated through a
formal exercise. Exercises should be used to provide the opportunity to demonstrate and validate skills
learned in training, as well as to identify training gaps. Any training or training gaps evaluated though a
formal exercise, including those for vulnerable populations including children, the elderly, pregnant
women, and individuals with disabilities or other access and functional needs should be identified in an
AAR/IP.
THSGP Appendix | 2023 Page B-8
All training and exercises conducted with THSGP funds should support the development and testing of
the jurisdiction’s Emergency Operations Plan (EOP), consistent with the priorities in the National
Preparedness System. Recipients are encouraged to use existing training rather than developing new
courses. When developing new courses, recipients are encouraged to apply the Analysis, Design,
Development, Implementation, and Evaluation (ADDIE) model of instruction design, available with
additional training information at First Responder Training System and First Responder Training
Systemhttps://www.firstrespondertraining.gov/frts/trdc/state/development.
FEMA supports and encourages the coordination of all emergency preparedness training towards the
achievement of the Goal. To this end, FEMA supports the establishment of a Tribal Training Point of
Contact (TTPOC). The role of the TTPOC is to coordinate the tribes’ training needs and activities with
FEMA and FEMA’s federal training partners and holds the same authority and roles that state training
points of contact serve within SAAs nationwide. FEMA will coordinate with Tribal Training Officers
(TTOs) as it relates to FEMA training when notified by recipients.
Per FEMA Grant Programs Directorate IB 432, Review and Approval Requirements for Training Courses
Funded Through Preparedness Grants, issued on July 19, 2018, states, territories, tribal entities, and
high-risk urban areas are no longer required to request approval from FEMA for personnel to attend non-
DHS/FEMA training as long as the training is coordinated with and approved by the state, territory, tribal,
or high-risk urban area TPOC and falls within the FEMA mission scope and the jurisdiction’s EOP . For
additional information on review and approval requirements for training courses funded with
preparedness grants, please refer to Review and Approval Requirements for Training Courses Funded
Through Preparedness Grants Policy (fema.gov)https://www.fema.gov/sites/default/files/2020-
09/fema_gpd-review-approval-requirements-training-policy_09-10-13.pdf.
DHS/FEMA Provided Training and Education
FEMA offers tuition-free training and education programs and courses through several providers
including the Center for Domestic Preparedness, the Emergency Management Institute, and the National
Training and Education Division’s Training Partner Program (TPP). TPP includes the Center for
Homeland Defense and Security, National Domestic Preparedness Consortium, Rural Domestic
Preparedness Consortium, and training partners through the Continuing Training Grants program.
FEMA’s National Preparedness Course Catalog
This online searchable catalog features a wide range of course topics in multiple delivery modes to meet
FEMA’s mission scope as well as the increasing training needs of fed eral, state, local, territorial, and
tribal audiences. The catalog can be accessed at NTED | National Preparedness Course Catalog Home
(firstrespondertraining.gov).
Training Not Provided by DHS/FEMA
These trainings include courses that are either state sponsored or federal sponsored (non-DHS/FEMA),
coordinated and approved by the SAA or their designated TPOC, and fall within the FEMA mission
scope to prepare SLTT personnel to prevent, protect against, mitigate, and respond to acts of terrorism or
catastrophic events.
•State Sponsored Courses. These courses are developed for and/or delivered by institutions or
organizations other than federal entities or FEMA and are sponsored by the SAA or their
designated TPOC.
•Joint Training and Exercises with the Public and Private Sectors. These courses are
sponsored and coordinated by private sector entities to enhance public-private partnerships for
training personnel to prevent, protect against, mitigate, and respond to acts of terrorism or
THSGP Appendix | 2023 Page B-9
catastrophic events. In addition, states, territories, tribes, and high-risk urban areas are
encouraged to incorporate the private sector in government-sponsored training and exercises.
Additional information on both FEMA provided training and other federal and state training can be found
at First Responder Training System.
Training Information Reporting System (“Web-Forms”)
Web-Forms is an electronic data management system built to assist SAAs, designated TPOCs, and federal
agencies with submitting non-National Training and Education Division provided training courses for
inclusion in the State/Federal-Sponsored Course Catalog through electronic forms. The information
collected is used in a two-step review process to ensure the training programs adhere to the intent of the
HSGP guidance and the course content is structurally sound and current. As these programs may be
delivered nationwide, it is vital to ensure each training program’s viability and relevance to the Homeland
Security mission. Reporting training activities through Web-Forms is not required under FY 2023
THSGP. However, the system remains available and can be accessed through the Web-Forms section of
the FEMA National Preparedness Course Catalog to support recipients in their own tracking of training
deliveries.
Exercises
For additional information on conducting exercises under THSGP, please refer to the earlier section in
this appendix titled “Validating Capabilities” on page B-3.
Personnel Activities
Personnel hiring, overtime, and backfill expenses are permitted under this grant in order to perform
allowable THSGP planning, training, exercise, and equipment activities.
Not more than 50% of total THSGP funds may be used for personnel activities as directed by the
Homeland Security Act of 2002, as amended by the Personnel Reimbursement for Intelligence
Cooperation and Enhancement (PRICE) of Homeland Security Act (Pub. L. No. 110-412) (6 U.S.C.
§609(b)(2)(A)). This 50% cap may be waived, however, per 6 U.S.C. § 609(b)(2)(B). For further details,
THSGP recipients should refer to IB 421b, or contact their FEMA HQ Preparedness Officer. THSGP
funds may not be used to support the hiring of any personnel for the purposes of fulfilling traditional
public safety duties or to supplant traditional public safety positions and responsibilities.
Construction and Renovation
Construction projects are only permitted where they will assist the recipient to achieve target capabilities
related to preventing, preparing for, protecting against, or responding to acts of terrorism, including
through the alteration or remodeling of existing buildings for the purpose of making them secure against
acts of terrorism. THSGP funding may not be used for construction and renovation projects without prior
written approval from FEMA. All recipients of THSGP funds must request and receive approval from
FEMA before any THSGP funds are used for any construction or renovation. Additionally, recipients are
required to submit an SF-424C Form containing budget detail citing the construction project costs and an
SF-424D Form for standard assurances for the construction project. The total cost of any construction or
renovation paid for using THSGP funds may not exceed the greater amount of $1 million or 15% of the
THSGP award.
All construction and renovation projects require Environmental Planning and Historic Preservation (EHP)
review. Recipients and subrecipients are encouraged to have completed as many steps as possible for a
successful EHP review in support of their proposal for funding (e.g., coordination with their State
Historic Preservation Office to identify potential historic preservation issues and to discuss the potential
THSGP Appendix | 2023 Page B-10
for project effects, compliance with all state and local EHP laws and requirements). Projects for which the
recipient believes an EA may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision
01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ
Preparedness Officer within six months of the award and completed EHP review materials must be
submitted no later than 12 months before the end of the period of performance. EHP policy guidance and
the EHP Screening Form can both be found on FEMA.gov. EHP review materials should be sent to
gpdehpinfo@fema.dhs.gov.
THSGP recipients using funds for construction projects must comply with the Davis-Bacon Act (codified
as amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 609(b)(4)(B) (cross-referencing 42 U.S.C. §
5196(j)(9), which cross-references Davis-Bacon). Grant recipients must ensure that their contractors or
subcontractors for construction projects pay workers no less than the prevailing wages for laborers and
mechanics employed on projects of a character similar to the contract work in the civil subdivision of the
state in which the work is to be performed. Additional information regarding compliance with the Davis-
Bacon Act, including Department of Labor (DOL) wage determinations, is available from the following
website Davis-Bacon and Related Acts | U.S. Department of Labor (dol.gov).
Communications Towers
For the purposes of the limitations on funding levels only, communications towers are not considered
construction. When applying for construction funds, including communications towers, at the time of
application, recipients must submit evidence of approved zoning ordinances, architectural plans, and any
other locally required planning permits.
When applying for funds to construct communication towers, recipients and subrecipients must submit
evidence that the Federal Communication Commission’s Section 106 review process has been completed
and submit all documentation resulting from that review, with a FEMA Grant Programs Directorate EHP
Screening Form, to FEMA as part of the project’s EHP Review submittal . Recipients and subrecipients
are encouraged to have completed as many steps as possible for a successful EHP review in support of
their proposal for funding (e.g., coordination with their Tribal Historic Preservation Office to identify
potential historic preservation issues and to discuss the potential for project effects; compliance with all
state and local EHP laws and requirements). Projects for which an EA may be needed, as defined in DHS
Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1,
must also be identified to the FEMA HQ Preparedness Officer within six months of the recipient’s receipt
of the award. Completed EHP review materials for communication tower projects must be submitted no
later than 12 months before the end of the period of performance. EHP policy guidance and the EHP
Screening Form can both be found on FEMA.gov. EHP review materials should be sent to
gpdehpinfo@fema.dhs.gov.
Multiple Purpose or Dual-Use of Funds
Many activities that support the achievement of target capabilities related to terrorism preparedness may
simultaneously support enhanced preparedness for other hazards unrelated to acts of terrorism. See 6 U.S.C.
§609I. However, all THSGP-funded projects must assist recipients and subrecipients in achieving target
capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism.
Whole Community Preparedness
In addition to the Citizen Corps Whole Community Councils and Community Emergency Response Team
(CERT) programs mentioned above, youth preparedness activities are another allowable cost. Bolstering
youth preparedness across the nation is a priority for FEMA as the Agency works with state, local, tribal,
and territorial partners to create a culture of preparedness in the United States. Information on youth-
THSGP Appendix | 2023 Page B-11
centric educational curricula, games, planning materials, and other relevant resources can be found at
https://www.ready.gov/kids. Furthermore, FEMA’s Individual and Community Preparedness Division
(ICPD) and regional based Community Preparedness Officers (CPOs) are available to provide grant
recipients with guidance and assistance. Please email FEMA-Prepare@fema.dhs.gov to contact one of the
Agency’s subject matter experts.
The following are examples of youth preparedness activities that grantees are encouraged to undertake as
allowable costs:
•Reach out to a local school board or elementary school to encourage the adoption of the Student
Tools for Emergency Planning (STEP) curriculum. STEP is a classroom-based emergency
preparedness curriculum for 4th- and 5th-graders in an easy, ready-to-teach format. Students will
learn about disasters, emergencies, and hazards, and how to create a disaster supply kit and family
emergency communication plan. An overview of the STEP program along with the instructor
guide and student activity book is available at https://www.ready.gov/student-tools-emergency-
planning-step; and
•Sponsor the creation of a Teen CERT in your jurisdiction. The CERT Program is a national
program of volunteers trained in disaster preparedness and emergency response. Volunteers come
from all ages and all walks of life, including teenagers. Additional information, including a step -
by-step guide on how to start a Teen CERT, is available at https://www.ready.gov/teen-cert.
The following tools are available to order from FEMA’s warehouse free of charge:
•“Prepare with Pedro” is a joint product of FEMA and the American Red Cross. The “Prepare with
Pedro: Disaster Preparedness Activity Book” is designed to teach young children and their
families about how to stay safe during disasters and emergencies. The book follows Pedro around
the United States and offers safety advice through crosswords, coloring pages, matching games,
and more. Additional information, including an ordering form, is available at
https://www.ready.gov/prepare-pedro; and
•The Ready 2 Help card game is a fun way for kids to learn how to respond to emergencies by
working with friends and using skills that will help in a real emergency. Ready 2 Help teaches
five simple steps to stay safe and make a difference until help arrives:
o Stay Safe;
o Stay Calm;
o Get Help;
o Give Info; and
o Give Care.
Ready 2 Help was designed for children ages 8 and up. Additional information, including an ordering
form, is available at https://www.ready.gov/ready-2-help.
Other Allowable Costs
Maintenance and Sustainment
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement
costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise
noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty
coverage, licenses, and user fees. These contracts may exceed the period of performance if they are
purchased incidental to the original purchase of the system or equipment as long as the original purchase
of the system or equipment is consistent with that which is typically provided for, or available through,
these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending
THSGP Appendix | 2023 Page B-12
an existing maintenance contract on an already-owned piece of equipment system, coverage purchased
may not exceed the period of performance of the award used to purchase the maintenance agreement or
warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well.
Grant funds are intended to support the National Preparedness Goal and fund projects that build and
sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, and respond to
those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the
ability to meet this objective, the policy set forth in IB 379: Guidance to State Administrative Agencies to
Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for the expansion of eligible
maintenance and sustainment costs which must be in (1) direct support of existing capabilities, (2) must
be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the
core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs must also be in
support of equipment, training, and critical resources that have previously been purchased with either
federal grant money or any other source of funding other than FEMA preparedness grant program dollars.
Critical Emergency Supplies
In furtherance of DHS’s mission, critical emergency supplies, such as shelf -stable food products, water,
and basic medical supplies are an allowable expense under THSGP. Prior to allocating grant funds for
stockpiling purposes, each Tribe must have FEMA’s approval of a five-year viable inventory
management plan, an effective distribution strategy, and related sustainment costs if the planned grant
expenditure is over $100,000.
The inventory management plan and distribution strategy, to include sustainment costs, will be developed
and monitored by FEMA. FEMA will provide program oversight and technical assistance as it relates to
the purchase of critical emergency supplies under THSGP. FEMA will establish guidelines and
requirements for the purchase of these supplies under THSGP and monitor development and status of the
Tribe’s inventory management plan and distribution strategy. Linkages between specific projects
undertaken with THSGP funds and strategic goals and objectives will be highlighted through regular
required reporting mechanisms. If grant expenditures exceed the minimum threshold, the five-year
inventory management plan will be developed and monitored by FEMA.
Secure Identification
THSGP funds may be used to support the development and production of enhanced tribal documents
(e.g., Enhanced Tribal Cards) designed to meet the requirements of the Western Hemisphere Travel
Initiative (WHTI). More information on the WHTI may be found at
http://www.dhs.gov/files/programs/gc_1200693579776.shtm and https://www.cbp.gov/travel/us-
citizens/western-hemisphere-travel-initiative.
When completing the Investment Justification, refer to the National Preparedness Goal at for a list of the
core capabilities that best fit the proposed activities and costs. For additional assistance in determining the
core capabilities that fit the proposed WHTI project, please contact the CSID by phone at (800) 368-6498
or by e-mail at askcsid@fema.gov.
Fidelity Bonds
Reasonable costs of fidelity bonds (or like insurance as provided for by applicable state or tribal laws)
covering the maximum amount of THSGP funds the officer, official, or employee handles at any given
time for all personnel who disburse or approve disbursement of THSGP funds may be allowable if
required by the terms and conditions of the award or if generally required by the tribe in its general
operations. If a fidelity bond is required by a tribe in its general operations, those costs must be charged as
indirect costs. See 2 C.F.R. § 200.427.
THSGP Appendix | 2023 Page B-13
Framework for Improving Critical Infrastructure Cybersecurity
When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in
implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (the
“Framework”) developed by the National Institute of Standards and Technology (NIST). The Framework
gathers existing international standards and practices to help organizations understand, communicate, and
manage their cyber risks. For organizations that do not know where to start with developing a
cybersecurity program, the Framework provides initial guidance. For organizations with more advanced
practices, the Framework offers a way to improve their programs, such as better communication with
their leadership and suppliers about management of cyber risks.
CISA’s Critical Infrastructure Cyber Community C³ Voluntary Program also provides resources to critical
infrastructure owners and operators to assist in adoption of the Framework and managing cyber risks.
Additional information on the Critical Infrastructure Cyber Community C³ Voluntary Program can be
found at http://www.cisa.gov/ccubedvp.
DHS’s Enhanced Cybersecurity Services (ECS) program is an example of a resource that assists in
protecting U.S.-based public and private entities and combines key elements of capabilities under the
“Detect” and “Protect” functions to deliver an impactful solution relative to the outcomes of the
Cybersecurity Framework. Specifically, ECS offers intrusion prevention and analysis services that help
U.S.-based companies and SLTT governments defend their computer systems against unauthorized
access, exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat
indicators from sensitive and classified Government Furnished Information (GFI). DHS then shares those
indicators with accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to
block certain types of malicious traffic from entering a company’s networks. Groups interested in
subscribing to ECS must contract directly with a CSP in order to receive services. Please visit Enhanced
Cybersecurity Services (ECS) | CISA for a current list of ECS CSP points of contact.
THSGP Investment Modifications – Changes in Scope or Objective
Changes in scope or objective of the award—including those resulting from intended actions by the
recipient or subrecipients—require FEMA’s prior written approval, in accordance with 2 C.F.R. §§
200.308(c)(1), 200.407. THSGP is competitive, with applications recommended for funding based on
threat, vulnerability, and consequence, and their mitigation of potential terrorist attacks. However,
consistent with 2 C.F.R § 200.308(c)(1), Change in Scope Prior Approval, FEMA requires prior approval
of any change in scope or objective of the grant-funded activity after the award is issued. See 2 C.F.R. §
200.308(b), (c). Scope or objective changes will be considered on a case-by-case basis, provided the
change does not negatively impact the competitive process used to recommend THSGP awards.
Requests to change the scope or objective of the grant-funded activity after the award is made must be
submitted via ND Grants as a Scope Change Amendment. The amendment request must include the
following:
•A written request on the recipient’s letterhead, outlining the scope or objective change , including
the approved projects from the IJ, the funds and relative scope or objective significance allocated
to those projects, the proposed changes, and any resulting reallocations as a result of the change
of scope or objective;
•An explanation why the change of scope or objective is necessary;
•How the proposed scope or objective changes to the project support the vulnerabilities and
capability gaps identified in the approved IJ; and
THSGP Appendix | 2023 Page B-14
•The request must also address whether the proposed changes will impact the recipient’s ability to
complete the project within the award’s period of performance.
Recipients may not proceed with implementing any scope or objective changes until they receive prior
written approval from FEMA through ND Grants.
NSGP Appendix | 2023 Page C-1
Program Appendix C:
Nonprofit Security Grant Program (NSGP)
As a reminder, while this appendix contains NSGP-specific information and requirements, the main
content of this Manual (non-appendix information) contains important information relevant to all
preparedness grant programs, including the NSGP. Please be sure to read the main content of this Manual
in addition to the program-specific appendices.
NSGP grant recipients (e.g., State Administrative Agencies [SAA]) and subrecipients (e.g., nonprofit
organizations) may only use NSGP grant funds for the purpose set forth in the grant award and must use
funding in a way that is consistent with the statutory authority for the award. Grant funds may not be used
for matching funds for other federal grants or cooperative agreements, lobbying, or intervention in federal
regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal
Government or any other government entity.
Pre-award costs are allowable only with the prior written approval of FEMA and if they are included in
the award agreement. To request pre-award costs a written request must be included with the application,
signed by the Authorized Organizational Representative (AOR) of the entity. The letter must outline what
the pre-award costs are for, including a detailed budget break-out of pre-award costs from the post-award
costs, and a justification for approval. The following information outlines general allowable and
unallowable NSGP costs guidance.
NSGP Funding Guidelines
Recipients and subrecipients must comply with all applicable requirements of the Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards located at 2 C.F.R. Part 200.
In administering a NSGP grant award, recipients must comply with the following general requirements:
NSGP Priorities
See the annual NSGP NOFO.
Allowable Costs
Management and Administration (M&A)
M&A costs are for activities directly related to the management and administration of the award. M&A
activities are those defined as directly relating to the management and administration of NSGP funds,
such as financial management and monitoring, for that fiscal year. For example, FY 2023 M&A funding
can only be used to cover administrative costs incurred in the management of FY 2023 NSGP grant
awards. M&A expenses must be based on actual expenses or known contractual costs. Requests that are
simple percentages of the award, without supporting justification, will not be allowed or considered for
reimbursement.
M&A costs are not operational costs, they are the necessary costs incurred in direct support of the grant or
as a result of the grant and should be allocated across the entire lifecycle of the grant. Examples include
preparing and submitting required programmatic and financial reports, establishing and/or maintaining
equipment inventory, documenting operational and equipment expenditures for financial accounting
NSGP Appendix | 2023 Page C-2
purposes, and responding to official informational requests from state and federal oversight authorities.
M&A costs include the following categories of activities:
•Hiring of full-time or part-time staff or contractors/consultants responsible for activities relating
to the management and administration of NSGP funds. Hiring of contractors/consultants must
follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327; and
•Meeting-related expenses directly related to M&A of NSGP funds.
M&A costs are allowed under this program as described below:
•SAA (Recipient) for NSGP-Urban Area (NSGP-UA) and NSGP-State (NSGP-S) M&A:
SAAs may use and expend up to the percent noted in the relevant fiscal year (FY) NOFO for
M&A purposes (5% for FY 2023) associated with their NSGP-UA and NSGP-S awards. SAAs
must be able to separately account for M&A costs associated with the NSGP-UA award from
those associated with the NSGP-S, and neither can exceed the percent noted in the relevant FY
NOFO (5% of each award for FY 2023).
•Nonprofit (Subrecipient) for NSGP-UA and NSGP-S, and Community Project Funding
M&A: Nonprofit organizations that receive a subaward under this program may use and expend
up to the percent noted in the relevant FY NOFO for M&A purposes associated with the
subaward (5% of each subaward for FY 2023).
Indirect Costs
Indirect costs are allowable under this program. See the “Procedures for Establishing Indirect Cost Rates”
Section in “Pre-Submission Information” for more information.
National Incident Management System (NIMS) Implementation
Recipients receiving NSGP funding are strongly encouraged to implement NIMS. NIMS guides all levels
of government, nongovernmental organizations (NGO), and the private sector to work together to prevent,
protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the
whole community with the shared vocabulary, systems, and processes to successfully deliver the
capabilities described in the National Preparedness System.
Incident management activities require carefully managed resources (personnel, teams, facilities,
equipment, and supplies). NIMS defines a national, interoperable approach for sharing resources,
coordinating, and managing incidents, and communicating information. Incident management refers to
how incidents are managed across all homeland security activities, including prevention, protection,
mitigation, response, and recovery.
Utilization of the standardized resource management concepts such as typing, credentialing, and
inventorying promote a strong national mutual aid capability needed to support delivery of core
capabilities. Recipients should manage resources purchased or supported with FEMA grant funding
according to NIMS resource management guidance.
Additional information on resource management and NIMS resource typing definitions and job
titles/position qualifications is on FEMA’s website at NIMS Component–s - Guidance and Tools |
FEMA.gov. Additional information about NIMS in general is available at National Incident Management
System | FEMA.gov.
NSGP Appendix | 2023 Page C-3
Allowable Direct Costs
Planning
Funding may be used for security or emergency planning expenses and the materials required to conduct
planning activities. Planning must be related to the protection of the facility and the people within the
facility and should include consideration of access and functional needs as well as those with limited
English proficiency. Planning efforts can also include conducting risk and resilience assessments on
increasingly connected cyber and physical systems, on which security depends, using the Infrastructure
Resilience Planning Framework and related CISA resources. Examples of planning activities allowable
under this program include:
•Development and enhancement of security plans and protocols;
•Development or further strengthening of security assessments;
•Emergency contingency plans;
•Evacuation/Shelter-in-place plans;
•Coordination and information sharing with fusion centers; and
•Other project planning activities with prior approval from FEMA.
Equipment
Allowable costs are focused on facility hardening and physical security enhancements. Funding can be
used for the acquisition and installation of security equipment on real property (including buildings and
improvements) owned or leased by the nonprofit organization, specifically in prevention of and/or
protection against the risk of a terrorist or other extremist attack. This equipment is limited to select
items on the Authorized Equipment List (AEL):
•03OE-03-MEGA System, Public Address, Handheld or Mobile
•04AP-05-CRED System, Credentialing
•04AP-09-ALRT Systems, Public Notification and Warning
•04AP-11-SAAS Applications, Software as a Service
•05AU-00-TOKN System, Remote Authentication
•05EN-00-ECRP Software, Encryption
•05HS-00-MALW Software, Malware/Anti-Virus Protection
•05HS-00-PFWL System, Personal Firewall
•05NP-00-FWAL Firewall, Network
•05NP-00-IDPS System, Intrusion Detection/Prevention
•06CP-01-PORT Radio, Portable
•06CC-02-PAGE Services/Systems, Paging
•06CP-03-ICOM Intercom
•06CP-03-PRAC Accessories, Portable Radio
•10GE-00-GENR Generators
•13IT-00-ALRT System, Alert/Notification
•14CI-00-COOP System, Information Technology Contingency Operations
•14EX-00-BCAN Receptacles, Trash, Blast-Resistant
•14EX-00-BSIR Systems, Building, Blast/Shock/Impact Resistant
•14SW-01-ALRM Systems/Sensors, Alarm
•14SW-01-DOOR Doors and Gates, Impact Resistant
•14SW-01-LITE Lighting, Area, Fixed
•14SW-01-PACS System, Physical Access Control
•14SW-01-SIDP Systems, Personnel Identification
NSGP Appendix | 2023 Page C-4
•14SW-01-SIDV Systems, Vehicle Identification
•14SW-01-SNSR Sensors/Alarms, System and Infrastructure Monitoring, Standalone
•14SW-01-VIDA Systems, Video Assessment, Security
•14SW-01-WALL Barriers: Fences; Jersey Walls
•15SC-00-PPSS Systems, Personnel/Package Screening
•21GN-00-INST Installation
•21GN-00-TRNG Training and Awareness
Unless otherwise stated, equipment must meet all mandatory statutory, regulatory, and FEMA-adopted
standards to be eligible for purchase using these funds, including the Americans with Disabilities Act. In
addition, recipients will be responsible for obtaining and maintaining all necessary certifications and
licenses for the requested equipment, whether with NSGP funding or other sources of funds (see the
Maintenance and Sustainment section below for more information). In addition, subrecipients that are
using NSGP funds to support emergency communications equipment activities must comply with the
SAFECOM Guidance on Emergency Communications Grants, including provisions on technical
standards that ensure and enhance interoperable communications. This SAFECOM Guidance can be
found at Funding Resources | CISA.
Recipients and subrecipients may purchase equipment not listed on the AEL, but only if they first seek
and obtain prior approval from FEMA. NOTE: Nonprofits should indicate in their budget narratives if a
cost includes shipping and/or tax. It is not required to break the costs out as separate from the relevant
purchase(s).
Applicants and subapplicants should analyze the cost benefits of purchasing versus leasing equipment,
especially high-cost items and those subject to rapid technical advances. Large equipment purchases must
be identified and explained. For more information regarding property management standards for
equipment, please reference 2 C.F.R. Part 200, including but not limited to 2 C.F.R. §§ 200.310, 200.313,
and 200.316. Also see 2 C.F.R. §§ 200.216, 200.471, and FEMA Policy #405-143-1, Prohibitions on
Expending FEMA Award Funds for Covered Telecommunications Equipment or Services, regarding
prohibitions on covered telecommunications equipment or services.
The installation of certain equipment may trigger Environmental Planning and Historic Preservation
(EHP) requirements. Please reference the EHP sections in the NOFO and this Manual for more
information. Additionally, some equipment installation may constitute construction or renovation. Please
see the Construction and Renovation section of this appendix for additional information.
Exercises
Funding may be used to conduct security-related exercises. This includes costs related to planning,
meeting space and other meeting costs, facilitation costs, materials and supplies, and documentation.
Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and
assess progress toward meeting capability targets in a controlled, low risk setting. All shortcomings or
gaps—including those identified for children and individuals with access and functional needs—should
be identified in an improvement plan. Improvement plans should be dynamic documents with corrective
actions continually monitored and implemented as part of improving preparedness through the exercise
cycle.
The Homeland Security Exercise and Evaluation Program (HSEEP) provides a set of guiding principles
for exercise programs, as well as a common approach to exercise program management, design and
development, conduct, evaluation, and improvement planning. For additional information on HSEEP,
refer to Homeland Security Exercise and Evaluation Program | FEMA.gov. In accordance with HSEEP
NSGP Appendix | 2023 Page C-5
guidance, subrecipients are reminded of the importance of implementing corrective actions iteratively
throughout the progressive exercise cycle. This link provides access to a sample After Action Report
(AAR)/Improvement Plan (IP) template: Improvement Plannin–g - HSEEP Resource–s - Preparedness
Toolkit (fema.gov). Recipients are encouraged to enter their exercise data and AAR/IP in the
Preparedness Toolkit.
Maintenance and Sustainment
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement
costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise
noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty
coverage, licenses, and user fees. These contracts may exceed the period of performance if they are
purchased incidental to the original purchase of the system or equipment as long as the original purchase
of the system or equipment is consistent with that which is typically provided for, or available through,
these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending
an existing maintenance contract on an already-owned piece of equipment system, coverage purchased
may not exceed the period of performance of the award used to purchase the maintenance agreement or
warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well.
Grant funds are intended to support the National Preparedness Goal (the Goal) and fund projects that
build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of,
respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order
to provide recipients the ability to meet this objective, the policy set forth in IB 379: Guidance to State
Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for
the expansion of eligible maintenance and sustainment costs that must be in (1) direct support of existing
capabilities, (2) must be an otherwise allowable expenditure under the applicable grant program, and (3)
be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible
costs may also support equipment, training, and critical resources that have previously been purchased
with either federal grant or any other source of funding other than FEMA preparedness grant program
dollars.
Construction and Renovation
NSGP funding may not be used for construction and renovation projects without prior written approval
from FEMA. In some cases, the installation of equipment may constitute construction and/or renovation.
If you have any questions regarding whether an equipment installation project could be considered
construction or renovation, please contact your Preparedness Officer. All recipients of NSGP funds must
request and receive prior approval from FEMA before any NSGP funds are used for any construction or
renovation. Additionally, recipients are required to submit a SF-424C Budget and budget detail citing the
project costs and an SF-424D Form for standard assurances for the construction project. The total cost of
any construction or renovation paid for using NSGP funds may not exceed the greater amount of $1
million or 15% of the NSGP award.
All construction and renovation projects require EHP review. Recipients and subrecipients are
encouraged to have completed as many steps as possible for a successful EHP review in support of their
proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential
historic preservation issues and to discuss the potential for project effects, compliance with all state and
local EHP laws and requirements). Projects for which the recipient believes an Environmental
Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01,
FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ
Preparedness Officer within six months of the award and completed EHP review materials must be
submitted no later than 12 months before the end of the period of performance. Additional information on
EHP policy and EHP review can be found online at Environmental & Historic Preservation Grant
Preparation Resources | FEMA.gov. EHP review packets should be sent to gpdehpinfo@fema.gov.
NSGP Appendix | 2023 Page C-6
NSGP recipients using funds for construction projects must comply with the Davis-Bacon Act (codified
as amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 609(b)(4)(B) (cross-referencing 42 U.S.C. §
5196(j)(9), which cross-references Davis-Bacon). Grant recipients must ensure that their contractors or
subcontractors for construction projects pay workers no less than the prevailing wages for laborers and
mechanics employed on projects of a character similar to the contract work in the civil subdivision of the
state in which the work is to be performed. Additional information regarding compliance with the Davis-
Bacon Act, including Department of Labor (DOL) wage determinations, is available from the following
website: https://www.dol.gov/whd/govcontracts/dbra.htm.
Training
Nonprofit organizations may use NSGP funds for the following training-related costs:
•Employed or volunteer security staff to attend security-related training within the United States;
•Employed or volunteer staff to attend security-related training within the United States with the
intent of training other employees or members/congregants upon completing the training (i.e.,
“train-the-trainer” type courses); and
•Nonprofit organization’s employees, or members/congregants to receive on -site security training.
Allowable training-related costs under the NSGP are limited to attendance fees for training and related
expenses, such as materials, supplies, and/or equipment. Overtime, backfill, and travel expenses are not
allowable costs.
Allowable training topics are limited to the protection of critical infrastructure key resources, including
physical and cybersecurity, facility hardening, and terrorism/other extremism awareness/employee
preparedness such as Community Emergency Response Team (CERT) training, indicators and behaviors
indicative of terrorist/other extremist threats, Active Shooter training, and emergency first aid
training. Additional examples of allowable training courses include: “Stop The Bleed” training,
kits/equipment, and training aids; First Aid and other novice level “you are the help until help arrives”
training, kits/equipment, and training aids; and Automatic External Defibrillator (AED) and AED/Basic
Life Support training, kits/equipment, and training aids.
Training conducted using NSGP funds must address a specific threat and/or vulnerability, as identified in
the nonprofit organization’s Investment Justification (IJ). Training should provide the opportunity to
demonstrate and validate skills learned as well as to identify any gaps in these skills. Proposed
attendance at training courses and all associated costs using the NSGP must be included in the
nonprofit organization’s IJ.
Contracted Security Personnel
Contracted security personnel are allowed under this program only as described in the NOFO and Manual
and comply with guidance set forth in IB 421b and IB 441. NSGP funds may not be used to purchase
equipment for contracted security. The subrecipient must be able to sustain this capability in future years
without NSGP funding, and a sustainment plan will be required as part of the closeout package for any
award funding this capability.
Additionally, NSGP recipients and subrecipients may not use more than 50% of their awards to pay for
personnel activities unless a waiver is approved by FEMA. For more information on the 50% personnel
cap and applicable procedures for seeking a waiver, please see IB 421b, Clarification on the Personnel
Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public
Law 110-412 – the PRICE Act).
NSGP Appendix | 2023 Page C-7
Unallowable Costs
The following projects and costs are considered ineligible for award consideration:
•Organization costs, and operational overtime costs;
•Hiring of public safety personnel;
•General-use expenditures;
•Overtime and backfill;
•Initiatives that do not address the implementation of programs/initiatives to build prevention and
protection-focused capabilities directed at identified facilities and/or the surrounding
communities;
•The development of risk/vulnerability assessment models;
•Initiatives that fund risk or vulnerability security assessments or the development of the IJ;
•Initiatives in which federal agencies are the beneficiary or that enhance federal property;
•Initiatives which study technology development;
•Proof-of-concept initiatives;
•Initiatives that duplicate capabilities being provided by the Federal Government;
•Organizational operating expenses;
•Reimbursement of pre-award security expenses;
•Cameras for license plate readers/license plate reader software;
•Cameras for facial recognition software;
•Weapons or weapons-related training; and
•Knox boxes.
NSGP Investment Modifications – Changes in Scope or Objective
Changes in scope or objective of the award—whether as a result of intended actions by the recipient or
subrecipients—require FEMA’s prior written approval, in accordance with 2 C.F.R. §§ 200.308(c)(1),
200.407. NSGP is competitive, with applications recommended for funding based on threat, vulnerability,
consequence, and their mitigation to a specific facility/location. However, consistent with 2 C.F.R §
200.308(c)(1), Change in Scope Notification, FEMA requires prior written approval of any change in
scope/objective of the grant-funded activity after the award is issued. See 2 C.F.R. § 200.308(b), (c).
Scope/objective changes will be considered on a case-by-case basis, provided the change does not
negatively impact the competitive process used to recommend NSGP awards. Requests to change the
scope or objective of the grant-funded activity after the award is made must be submitted by the SAA via
ND Grants as a Scope Change Amendment. The amendment request must include the following:
•A written request from the NSGP subrecipient on its letterhead, outlining the scope or objective
change, including the approved projects from the subrecipient’s IJ, the funds and relative scope or
objective significance allocated to those projects, the proposed changes, and any resulting
reallocations as a result of the change of scope or objective;
•An explanation why the change of scope or objective is necessary;
•Validation from the SAA that any deviations from the approved IJ are addressed in the
vulnerability assessment submitted by the subrecipient at the time of application; and
•The subrecipient request must also address whether the proposed changes will impact its ability to
complete the project within the award’s period of performance .
FEMA will generally not approve NSGP change-of-scope requests resulting from the following
situations:
NSGP Appendix | 2023 Page C-8
•Subrecipients that relocate their facilities after submitting their application who are requesting a
change of scope to allow them to use NSGP funds towards projects at the new facility; or
•Subrecipients that renovate their facilities after submitting their application in cases where the
subsequent renovations would affect the vulnerability/risk assessment upon which the IJ is based.
NSGP project funding is based on the ability of the proposed project to mitigate the risk factors identified
in the IJ. For this reason, FEMA may reject requests to significantly change the physical security
enhancements that are purchased with NSGP funding where FEMA believes approval of the request
would change or exceed the scope of the originally approved project. FEMA will consider all requests to
deviate from the security project as originally proposed on a case-by-case basis, consistent with 2 C.F.R. §
200.308(c)(1).
Subrecipients may not proceed with implementing any scope/objective changes until the SAA receives
written approval from FEMA through ND Grants and until the SAA has made any required subaward
modifications.
If a subrecipient is simply making changes to its own budget without impacting the scope or objective of
the subaward, and where the budget changes do not involve other prior approval requirements listed in 2
C.F.R. § 200.407, then the subrecipient does not need the prior approval of the SAA or FEMA. See 2
C.F.R. § 200.308. Instead, the subrecipient is only required to report to the SAA the budget changes.
Similarly, the SAA should report those budget changes to FEMA.
Pass-Through Requirements
Pass-through funding is required under this program. Awards made to the SAA for the NSGP carry
additional pass-through requirements. Pass-through is defined as an obligation on the part of the state to
make subawards to selected nonprofit organizations. The SAA must provide funds awarded under NSGP
to successful nonprofit applicants within 45 days of receipt of the funds. A letter of intent (or equivalent)
to distribute funds is not sufficient. Award subrecipients that are selected for funding under this program
must be provided with funding within 45 days from the date the funds are first made available to the
recipient so that they can initiate implementation of approved investments.
For the SAA to successfully meet the pass-through requirement and provide funding to the subrecipients,
the SAA must meet the following four requirements:
•There must be some action by the SAA to establish a firm commitment to award the funds to the
selected nonprofit organization;
•The action must be unconditional on the part of the SAA (i.e., no contingencies for availability of
SAA funds);
•There must be documentary evidence of the commitment of the award of funding to the selected
nonprofit organization; and
•The SAA must communicate the terms of the subaward to the selected nonprofit organization.
If a nonprofit organization is selected for an NSGP award and elects to decline the award, the SAA must
notify their FEMA Preparedness Officer. The SAA may not re-obligate to another subrecipient without
prior approval. “Receipt of the funds” occurs either when the SAA accepts the award or 15 calendar days
after the SAA receives notice of the award, whichever is earlier. SAAs are sent notification of NSGP
awards via the ND Grants system. If an SAA accepts its award within 15 calendar days of receiving
notice of the award in the ND Grants system, the 45-calendar day pass-through period will start on the
date the SAA accepted the award. Should an SAA not accept the NSGP award within 15 calendar days of
NSGP Appendix | 2023 Page C-9
receiving notice of the award in the ND Grants system, the 45-calendar days pass-through period will
begin 15 calendar days after the award notification is sent to the SAA via the ND Grants system.
It is important to note that the period of performance start date does not directly affect the start of the 45-
calendar day pass-through period. For example, an SAA may receive notice of the NSGP award on
August 20, 2023, while the period of performance dates for that award are September 1, 2023, through
August 31, 2026. In this example, the 45-day pass-through period will begin on the date the SAA accepts
the NSGP award or September 4, 2023 (15 calendar days after the SAA was notified of the award),
whichever date occurs first. The period of performance start date of September 1, 2023 would not affect
the timing of meeting the 45-calendar day pass-through requirement.
SAM/UEI Requirements for Recipients and Subrecipients
As the direct applicant and recipient of NSGP funding, the SAA is required to have a Unique Entity
Identifier (UEI) number and be registered in the System for Award Management (SAM) and must
maintain the currency of the ’AA's information in SAM until the SAA submits the final financial report
required under the award or receives final payment, whichever is later. First tier subrecipients, including
nonprofit organizations under the NSGP, will only be required to register in SAM.gov to obtain the UEI,
but will not be required to maintain an active registration in SAM.gov. Further guidance on obtaining
a UEI in SAM.gov can be found at GSA UEI Update and here SAM.gov Update.
TSGP Appendix | 2023 Page D-1
Program Appendix D:
Transit Security Grant Program (TSGP)
As a reminder, while this appendix contains TSGP-specific information and requirements, the main
content of this Manual (non-appendix information) contains important information relevant to all
preparedness grant programs, including the TSGP. Please be sure to read the main content of this Manual
in addition to the program-specific appendices.
TSGP grant recipients may only use TSGP grant funds for the purpose set forth in the Notice of Funding
Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award.
Grant funds may not be used for matching funds for other federal awards, lobbying, or intervention in
federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the
Federal Government or any other government entity.
TSGP Funding Guidelines
Costs charged to a TSGP award must be consistent with the Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards, located at 2 C.F.R. Part 200. For more
information on 2 C.F.R. Part 200, please see Information Bulletin (IB) 400, FEMA’s Implementation of 2
C.F.R. Part 200, the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for
Federal Awards (“Super Circular” or “Omni Circular”), dated December 23, 2014, regarding FEMA’s
implementation of these provisions prior to the recent 2020 revisions. For information on the recent
revisions to these regulations, see 2 CFR Grants Management Policy Updates.
Pre-Award Costs
Pre-award costs are not allowable and will not be approved, with the exception of costs resulting from
pre-award grant writing services provided by an independent contractor that shall not exceed $1,500.00.
See below for more information on these costs.
TSGP Priorities
See the annual TSGP NOFO.
Security Plan Requirements
The following information regarding security plan requirements is provided in 6 U.S.C. § 1134(c)(2):
Security plans should include the following, as appropriate:
•A prioritized list of all items included in the public transportation agency’s security assessment
that have not yet been addressed;
•A detailed list of any additional capital and operational improvements identified by DHS or the
public transportation agency and a certification of the public transportation agency’s technical
capacity for operating and maintaining any security equipment that may be identified in such list;
TSGP Appendix | 2023 Page D-2
•Specific procedures to be implemented or used by the public transportation agency in response to
a terrorist attack, including evacuation and passenger communication plans and appropriate
evacuation and communication measures for the elderly and individuals with disabilities;
•A coordinated response plan that establishes procedures for appropriate interaction with state and
local law enforcement agencies, emergency responders, and federal officials in order to
coordinate security measures and plans for response in the event of a terrorist attack or other
major incident;
•A strategy and timeline for conducting training under 49 C.F.R. § 1570.109(b) and 49 C.F.R. Part
1582;
•Plans for providing redundant and other appropriate backup systems necessary to ensure the
continued operation of critical elements of the public transportation system in the event of a
terrorist attack or other major incident;
•Plans for providing service capabilities throughout the system in the event of a terrorist attack or
other major incident in the city or region which the public transportation system serves;
•Methods to mitigate damage within a public transportation system in case of an attack on the
system, including a plan for communication and coordination with emergency responders; and
•Other actions or procedures as the Secretary of Homeland Security determines are appropriate to
address the security of the public transportation system.
Allowable Direct Costs
Specific investments made in support of the funding priorities in the annual TSGP NOFO generally fall
into one of the following six allowable expense categories:
•Planning;
•Operational Activities;
•Equipment and Capital Projects;
•Training and Awareness Campaigns;
•Exercises; and
•Management and Administration.
The following provides guidance on allowable costs within each of these areas:
Planning
Planning activities address the Soft Targets/Crowded Places; Cybersecurity; and Planning Priorities.
TSGP funds may be used for the following types of planning activities:
•Development and enhancement of system-wide security risk management plans that ensure the
continuity of essential functions, to include cyber;
•Development or further strengthening of continuity plans, response plans, station action plans,
risk assessments, and asset-specific remediation plans;
•Development or further strengthening of security assessments, including multi-agency and multi-
jurisdictional partnerships and conferences to facilitate planning activities;
•Hiring of full or part-time staff and contractors or consultants to assist with planning activities
only to the extent that such expenses are for the allowable activities within the scope of the grant
(not for the purpose of hiring public safety personnel); hiring of contractors/consultants must
follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327;
•Materials required to conduct planning activities;
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•Conducting risk and resilience assessments on increasingly connected cyber and physical
systems, on which security depends, using the Infrastructure Resilience Planning Framework and
related CISA resources;
•Planning activities related to alert and warning capabilities; and
•Other project planning activities with prior approval from FEMA.
Operational Activities
Operational Activities address the Soft Targets/Crowded Places Priority.
FEMA encourages applicants to develop innovative operational approaches to enhance the security of
transit systems. Projects that use visible, unpredictable deterrence, to include operational packages
dealing with explosive detection canine teams, mobile screening teams, and anti-terrorism teams, directly
support enhancing the protection of soft targets and crowded places. Implementation of one of the three
Operational Package (OPack) models discussed below complements existing security systems and
provides an appropriate, practical, and cost-effective means of protecting assets.
Agencies may submit Investment Justifications (IJ) to fund transit security police forces/law enforcement
providers for patrols and activities on overtime, such as directed patrols, additional canine teams, mobile
screening teams, or anti-terrorism team patrols. These activities must be dedicated to the transit
environment and must be anti-terrorism in nature. Agencies must identify the type of activity, length of
operation (hours), number of personnel, and cost based on length of operation and personnel. Agencies
should also provide a risk-based justification for the request, to include linkage to a known event, such as
hosting a significant regional sporting or political event; or a period of heightened awareness, such as a
national holiday. Three OPack types have been developed to support operational activities and are
available for funding under the TSGP:
•Explosives Detection Canine Teams (EDCTs). When combined with the existing capability of a
transit security/police force, the added value provided through the addition of an EDCT is
significant. EDCTs are a proven, reliable resource to detect explosives and are a key component
in a balanced counter-sabotage program. The TSGP will provide funds to establish dedicated
security/police force canine teams. Each canine team will be composed of one dog and one
handler.
•Anti-Terrorism Teams (ATTs). The ATT capability provided through TSGP funding is for
uniformed, dedicated transit patrols on a normal operational basis, rather than using teams only
for a surge capacity as provided by FEMA in the past. ATTs do not supersede other local transit
security forces; rather, they augment current capabilities. Each ATT will consist of four
individuals, including two overt elements (e.g., uniformed transit sector law enforcement officer,
canine team, mobile explosive screeners), and two discreet observer elements.
•Mobile Explosive Screening Teams (MESTs). The MESt OPack will allow recipients the
flexibility to deploy combinations of certified explosive ordinance technicians with mobile
explosive screening technologies, including during local National Special Security Events. This
screening technology will be coupled with mobile explosive screening technologies. Each MEST
should have a minimum of two members and one mobile explosive screening apparatus.
Note: Funds for canine teams may not be used to fund drug detection and apprehension technique
training. Only explosives detection training for the canine teams will be funded.
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Funding Availability for OPacks
OPacks have the potential to be funded for up to a 36-month period from the award date. The monetary
figures presented below are stated in terms of cost per period of performance (which indicates
actual/complete funding for the 36-month period). Additionally, any OPack costs after the 36-month
period of performance (including expenses related to the maintenance, personnel, equipment, etc.) are the
responsibility of the applicable transit system. If these positions are not sustained, the public
transportation agency may not be eligible for this personnel support in the future. The table below
identifies the maximum funding available for the different OPack types.
Available Funding for OPacks
Operational Package
Maximum Funding per Year
(12 months)
Maximum Funding per Period of
Performance (36 months)
EDCT $150,000 per team $450,000 per team
ATT $500,000 per team $1,500,000 per team
MEST $600,000 per team $1,800,000 per team
OPack Requirements
TSGp OPack funds may be used for new positions or to sustain existing capabilities/programs (e.g.,
canine teams) already supported by the recipient. Applicants submitting IJs for both new OPacks and
sustainment funding for existing OPacks must clearly indicate which is their highest priority if funding is
available for only one of the IJs. Additionally, applicants must provide the number of existing teams
(EDCT, ATT, and MEST) already in place with either in-house funding or TSGP funding. The table
below identifies specific OPack requirements.
OPack Requirements
Operational Package Requirements
Explosives Detection Canine Teams Please refer to the pages below for detailed information regarding
EDCTs under the TSGP.
Five-Year Security Capital Plan and Operational Sustainment
Applicant requests for OPack funding must include the submission of a Five-Year Security Capital
and Operational Sustainment Plan in ND Grants. This plan must include how the agency proposes to
implement capital projects and demonstrate how the agency will sustain the operational investments
(including officers hired with federal funding) and capabilities after grant funding has been expended.
Requests for OPacks will not be funded if the applicant does not have a Security Capital and
Operational Sustainment Plan.
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Operational Package Requirements
Anti-Terrorism Teams
Specific for the Canine Team within the ATT:
•Each canine team, composed of one dog and one handler,
must be certified by an appropriate, qualified organization;
•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 team, with
weekly training and daily exercising (comparable training and
certification standards, such as those promulgated by the
Transportation Security Administration (TSA) Explosive
Detection Canine Program), the National Police Canine
Association (NPCA), the United States Police Canine
Association (USPCA), or the International Explosive
Detection Dog Association (IEDDA) may be used to meet
this requirement;
•The individuals hired for the covert and overt elements must
be properly trained law enforcement officers; and
•Certifications should be on file with the recipient and must be
made available to FEMA upon request
Mobile Explosives Screening Team Certifications should be on file with the recipient and must be
made available to FEMA upon request.
Allowable Expenses for OPacks
The below table identifies allowable expenses for the various OPacks. Please see the inserted notes for
clarification of certain allowable costs.
Allowable Expenses for OPacks
Operational Package Salary and Fringe Benefits Training and CertificationEquipment Costs Purchase and Train a Canine Canine Costsb1) EDCTa ✓ ✓ ✓ ✓c ✓
2) ATT ✓ ✓ ✓ ✓ ✓
3) MEST ✓ ✓d
a Travel costs associated with training for personnel, handlers, and canines are allowable
b Canine costs include but are not limited to veterinary, housing, and feeding costs
c One type of allowable training is training specific to the detection of common explosives odors.
d Equipment and other costs can include but are not limited to explosives detection; stainless steel search tables;
consumables such as gloves, swabs, and alcohol; and land mobile radios
Specific Guidance on EDCTs
EDCT Certification. Each EDCT, composed of one dog and one handler, must be certified by an
appropriate, qualified organization. TSA-certified EDCTs will meet or exceed certification standards set
by the TSA National Explosives Detection Canine Team Program (NEDCTP). Recipient EDCTs that do
not participate in the NEDCTP will be required to certify annually under their respective agency, local
TSGP Appendix | 2023 Page D-6
and state regulations. The recipient (i.e., TSGP-grant supported) will maintain certification, utilization,
and training data to show their compliance in meeting or exceeding those guidelines set forth by the
Scientific Working Group on Dog and Orthogonal Detection Guidelines (SWGDOG), as of September
14, 2007, in addition to requirements set forth in the NOFO.
EDCT Submission Requirements
1)The recipient will ensure that a written security procedure plan exists for the safekeeping of all
explosive training aids, including safe transportation. The recipient will document the removal,
use, and return of explosive training aids used during training exercises or for any other reason.
The plan and all documentation must be made available to FEMA upon request;
2)The recipient will comply with requirements for the proper storage, handling, and transportation
of all explosive training aids in accordance with the Bureau of Alcohol, Tobacco, Firearms and
Explosives’ Publication 5400.7 (ATF P 5400.7) (09/00), Federal Explosive Law and Regulation;
3)The recipient will ensure that certified EDCTs are available to respond to situations 24 hours a
day, seven days per week on an on-duty or off-duty on call basis. If TSGP-funded EDCTs are not
available, other non-TSGP-funded EDCTs may be utilized for this response. The intent is to
provide maximum coverage during peak operating hours and to maintain the ability to promptly
respond to threats that affect public safety or mass transit operations;
4)EDCTs under this grant are single purpose and will be trained to detect “live” explosives only not
“simulated” explosives. EDCTs must not have received previous training to detect any other
substances;
5)Recipient EDCTs will ensure that each EDCT receives on-site proficiency training at a minimum
of four hours per week per duty cycle. This training shall include, but not be limited to mass
transit passenger cars, terminal/platform, luggage, freight/warehouse, and vehicles. Complete,
detailed, and accurate training records must be maintained for all proficiency training conducted
by each EDCT. These records must be made available to FEMA upon request;
6)The TSGP grant recipient will conduct appropriate training or other canine activities, within view
of the public, to increase public awareness of EDCTs and provide a noticeable deterrent to acts
which affect public safety or mass transit operations. Recipient EDCTs will also ensure that such
activities include, over a period of time, a presence in operational areas of the mass transit system
during peak and off-peak hours. The recipient agrees that EDCTs will be utilized in the field at
least 80% of their duty time, annually;
7)Recipient EDCTs will provide safe and sanitary kennel facilities for program canines, and these
costs may be allowable with prior approval by FEMA. This applies to kenneling canines at the
mass transit system, handlers’ residences, or commercial boarding facilities. Canines must not be
left in makeshift accommodations or without proper supervision, protection, and care. The
recipient will ensure that canines are transported on-duty and off-duty in vehicles configured with
adequate temperature control, padding and screening to ensure proper health, safety, and security;
and
8)Recipient EDCTs will ensure that adequate routine and emergency veterinary care are provided
for all canines.
Note: FEMA reserves the right to conduct an on-site operational and record review upon 48-hour notice
to ensure compliance with applicable federal regulations.
Equipment and Capital Projects
Equipment and Capital Projects address the Soft Targets/Crowded Places; Cybersecurity; and
Equipment/Capital Projects Priorities.
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Priority projects include Top Transit Asset List (TTAL) risk remediation and protection of other high-
risk, high-consequence areas or systems that have been identified through system-wide risk assessments.
These costs include:
•Projects related to physical security enhancements at rail and bus stations in Urban Area Security
Initiative (UASI) jurisdictions including security cameras, security screening equipment for
people and baggage, and access control (e.g., fences, gates, barriers, etc.); and
•Projects related to cybersecurity of access control, sensors, security cameras, badge/ID readers,
Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems,
process monitors and controls, etc. or passenger/vehicle/cargo security screening equipment
support. Cybersecurity assessments are allowable.
Equipment Acquisition
TSGP funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under
FEMA Awards. TSGP funds may be used for the following categories of equipment. A comprehensive
listing of allowable equipment categories and types is found in the Authorized Equipment List (AEL).
These costs include:
•Personal protection equipment;
•Explosive device mitigation and remediation equipment;
•Chemical, biological, radiological, nuclear, and explosive (CBRNE) operational search and
rescue equipment, logistical support equipment, reference materials, or incident response vehicles
•Interoperable communications equipment, including alert and warning capabilities;
•Components or systems needed to address flaws in the computerized systems that control
generators, switching stations, and electrical substations as well as other threats to infrastructure
critical to the U.S. economy;
•Detection Equipment;
•Power equipment;
•Terrorism incident prevention equipment; and
•Physical security enhancement equipment.
Recipients and subrecipients may purchase equipment not listed on the AEL, but only if they first seek
and obtain prior approval from FEMA.
Unless otherwise noted, equipment must be certified as meeting required regulatory and FEMA-adopted
standards to be eligible for purchase using TSGP funds. Equipment must comply with the Occupational
Safety and Health Act requirement for certification of electrical equipment by a nationally recognized
testing laboratory and demonstrate compliance with relevant FEMA-adopted standards through a
supplier’s declaration of conformity with appropriate supporting data and documentation per International
Organization for Standardization/International Electro-technical Commission (ISO/IEC) 17050, Parts One
and Two. Agencies must have all necessary certifications and licenses for the requested equipment, as
appropriate, prior its purchase. DHS adopted standards are found at DHS Implementation Statement
Regarding Standard Terms and Conditions for Research Grants | Homeland Security. In addition,
recipients that are using TSGP funds to support emergency communications equipment activities must
comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on
technical standards that ensure and enhance interoperable communications. This SAFECOM Guidance
can be found at https://www.cisa.gov/safecom/funding.
TSGP Appendix | 2023 Page D-8
Equipment: Requirements for Small Unmanned Aircraft Systems
All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply
with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, and also
include a description of the policies and procedures in place to safeguard individuals’ privacy, civil rights,
and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.
SUAS policies are not required at the time of application but must be received and approved by FEMA prior
to obligating TSGP funds. All grant-funded procurements must be executed in a manner compliant with
federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. For recipients that use TSGP funds for
sUAS, FEMA advises that there is a general privacy concern related to the use of this equipment if the
data the devices collect is transmitted to servers not under the control of the operator. It has been reported
that some manufacturers of sUAS encrypt data and send that data to servers outside the United States. The
U.S. Department of Homeland Security’s Privacy Office suggests the recipient fully explore data
transmission and storage issues with vendors to reduce the possibility of data breaches.
Additionally, the Joint Explanatory Statement (JES) accompanying the FY 2023 DHS Appropriations Act
further requires recipients to certify they have reviewed the Industry Alert on Chinese Manufactured
Unmanned Aircraft Systems, and completed a risk assessment that considers the proposed use of foreign-
made sUAS to ascertain potential risks (e.g., privacy, data breaches, cybersecurity, etc.) related to foreign-
made versus domestic sUAS.
Acquisition and Use of Technology to Mitigate UAS (Counter-UAS)
In August 2020, FEMA alerted of an advisory guidance document issued by DHS, the Department of
Justice, the Federal Aviation Administration, and the Federal Communications Commission:
https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-technologies.
The purpose of the advisory guidance document is to help non-federal public and private entities better
understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate
threats posed by UAS operations (i.e., Counter-UAS or C-UAS).
The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the
authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do
they conduct legal reviews of commercially available product compliance with those laws. The advisory
does not address state and local laws nor potential civil liability, which UAS detection and mitigation
capabilities may also implicate.
It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection
and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state
criminal, surveillance, and communications laws. Entities should conduct their own legal and technical
analysis of each UAS detection and/or mitigation system and should not rely solely on vendors’
representations of the systems’ legality or functionality. Please also see the DHS press release on this
topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use-
technology-detect-and-mitigate-unmanned-aircraft.
Cybersecurity Projects
TSGP funds may be used for projects that enhance the cybersecurity of:
•Access controls, sensors, security cameras, badge/ID readers, ICS/SCADA systems, process
monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.);
and
•Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable).
TSGP Appendix | 2023 Page D-9
When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in
implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (the
“Framework”) developed by the National Institute of Standards and Technology (NIST). The Framework
gathers existing international standards and practices to help organizations understand, communicate, and
manage their cyber risks. For organizations that do not know where to start with developing a
cybersecurity program, the Framework provides initial guidance. For organizations with more advanced
practices, the Framework offers a way to improve their programs, such as better communication with
their leadership and suppliers about management of cyber risks.
The Cybersecurity and Infrastructure Security Agency’s (CISA) Critical Infrastructure Cyber Community
C³ Voluntary Program also provides resources to critical infrastructure owners and operators to assist in
adoption of the Framework and managing cyber risks. Additional information on the Critical
Infrastructure Cyber Community C³ Voluntary Program can be found at http://www.cisa.gov/ccubedvp.
DHS’s Enhanced Cybersecurity Services (ECS) program is an example of a resource that assists in
protecting U.S.-based public and private entities and combines key elements of capabilities under the
“Detect” and “Protect” functions to deliver an impactful soluti on relative to the outcomes of the
Cybersecurity Framework. Specifically, ECS offers intrusion prevention and analysis services that help
U.S.-based companies and SLTT governments defend their computer systems against unauthorized
access, exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat
indicators from sensitive and classified Government Furnished Information (GFI). DHS then shares those
indicators with accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to
block certain types of malicious traffic from entering a company’s networks . Groups interested in
subscribing to ECS must contract directly with a CSP in order to receive services. Please visit
http://www.cisa.gov/enhanced-cybersecurity-services-ecs for a current list of ECS CSP points of contact.
Capital (Construction) Projects Guidance
Capital expenditures are defined in 2 CFR 200.1 Definitions as expenditures to acquire capital assets or
expenditures to make additions, improvements, modifications, replacements, rearrangements,
reinstallations, renovations, or alterations to capital assets that materially increase their value or useful
life. Use of capital expenditures must comply with 2 CFR 200.439.
Recipients must obtain written approval from FEMA prior to the use of any TSGP funds for construction
or renovation projects. When applying for construction funds, including communications towers, at the
time of application, recipients must submit evidence of approved zoning ordinances, architectural plans,
and any other locally required planning permits. Additionally, recipients are required to submit a SF-424C
and budget detail citing the project costs and an SF-424D Form for standard assurances for the
construction project.
All construction and renovation projects require Environmental Planning and Historic Preservation (EHP)
review. Recipients are also encouraged to have completed as many steps as possible for a successful EHP
review in support of their proposal for funding (e.g., coordination with their State Historic Preservation
Office to identify potential historic preservation issues and to discuss the potential for project effects;
compliance with all state and local EHP laws and requirements).
Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in
DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1 and FEMA Instruction
108-1-1, instances must also be identified to the FEMA HQ Preparedness Officer within the first six
months of the award, regardless of the period of performance. Completed EHP review materials for
construction and communication tower projects must be submitted no later than 12 months before the end
TSGP Appendix | 2023 Page D-10
of the period of performance. EHP policy guidance and the EHP Screening Form can both be found on
FEMA.gov. EHP review materials should be sent to gpdehpinfo@fema.dhs.gov.
Training and Awareness Campaigns
Training and Awareness Campaigns address the Soft Targets/Crowded Places; Cybersecurity; and
Training and Awareness Campaign Priorities.
Training
TSGP funds may be used for the following training activities:
•Training Topics. Priority topics include active shooter training, security training for employees,
and public awareness/preparedness campaigns.
•Training Workshops. Grant funds may be used to plan and conduct training workshops to
include costs related to planning, meeting space and other meeting costs, facilitation costs,
materials and supplies, travel, and training plan development. Recipients are strongly encouraged
to use free public space/locations/facilities, whenever available, prior to the rental of
space/locations/facilities. Training should provide the opportunity to demonstrate and validate
skills learned, as well as to identify any gaps in these skills. Any training or training gaps,
including those for children and individuals with disabilities or other access and functional needs,
should be identified in an After-Action Report/Improvement Plan (AAR/IP) and addressed in the
training cycle.
•Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff or
contractors/consultants may be hired to support training-related activities. Hiring of
contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R.
§§ 200.317-200.327. Reimbursement of these costs should conform with the policies of the state
or local unit§ of government or the awarding agency, whichever is applicable. Such costs must be
included within the funding allowed for program management personnel expenses, which must
not exceed 10% of the total allocation. Dual compensation is unallowable. That is, an employee
of a unit of government may not receive compensation from their unit or agency of government
and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such
work may benefit both activities. Personnel hiring, overtime, and backfill expenses are permitted
under this grant only to the extent that such expenses are for the allowable activities within the
scope of the grant.
•Overtime and Backfill Costs. The entire amount of overtime costs, including payments related
to backfilling personnel, that are the direct result of attendance at FEMA and approved training
courses and programs are allowable. Reimbursement of these costs should follow the policies of
the state or local u§(s) of government or the awarding agency, whichever is applicable. In no case
is dual compensation allowable.
•Travel. Domestic travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as
expenses by employees who are on travel status for official business related, approved training,
subject to the restrictions at 2 C.F.R. Part 200. International travel is not an allowable expense.
•Supplies. Supplies, items that are expended or consumed during the course of the planning and
conduct of the training p§ect(s) (e.g., gloves and non-sterile masks), are allowable expenses.
•Funds Used to Develop, Deliver, and Evaluate Training, including costs related to
administering the training, planning, scheduling, facilities, materials and supplies, reproduction of
materials, and equipment are allowable expenses. Training should provide the opportunity to
demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any
training or training gaps, including those for children and individuals with disabilities or other
access and functional needs, should be identified in the AAR/IP and addressed in the training
cycle.
TSGP Appendix | 2023 Page D-11
Recipients are encouraged to use existing training rather than developing new courses. When developing
new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation, and
Evaluation (ADDIE) model of instruction design. Information on FEMA-approved training can found at
http://www.firstrespondertraining.gov/.
Awareness Campaigns
TSGP funds may be used for the development and implementation of awareness campaigns to raise
public awareness of indicators of terrorism and terrorism-related crime, and for associated efforts to
increase the sharing of information with public and private sector partners, including nonprofit
organizations. DHS currently sponsors or supports a number of awareness campaigns. Please review
materials, strategies, and resources at https://www.dhs.gov/dhs-campaigns before embarking on the
development of an awareness campaign for local constituencies and stakeholders.
Note: DHS requires that all public and private sector partners wanting to implement and/or expand the
DHS “If You See Something, Say Something®” campaign using grant funds work directly with the DHS
Office of Partnership and Engagement (OPE). This will help ensure that the awareness materials (e.g.,
videos, posters, trifolds, etc.) remain consistent with DHS’s messaging and strategy for the campaign and
compliant with the initiative’s trademark, which is licensed to DHS by the New York Metropolitan
Transportation Authority. Coordination with OPE, through the Campaign’s Office (seesay@hq.dhs.gov),
must be facilitated by the FEMA HQ Preparedness Officer.
Exercises
Exercise activities address the Soft Targets/Crowded Places; Cybersecurity; and Exercises Priorities.
TSGP funds may be used for the following exercise activities:
•Funds Used to Design, Develop, Conduct and Evaluate an Exercise. This includes costs
related to planning, meeting space, and other meeting costs, facilitation costs, materials and
supplies, travel, and documentation. Exercises afford organizations the opportunity to validate
plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets
in a controlled, low risk setting. Any shortcoming or gap identified, including those for children
and individuals with disabilities or other access and functional needs, should be identified in an
effective corrective action program that includes development of improvement plans that are
dynamic documents, with corrective actions continually monitored and implemented as part of
improving preparedness through the exercise cycle.
•Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff may be
hired to support exercise-related activities. In order to be eligible for reimbursement, the costs for
hiring staff must conform to the policies of the non-federal entity and federal statutes, where
applicable. See, e.g., 2 C.F.R. § 200.430(a). The costs for hiring contractors or consultants must
comply with the applicable federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. The
costs for hiring staff, consultants, or contractors to support exercise -related activities costs must
be included within the funding allowed for program management personnel expenses, which must
not exceed 10% of the total allocation. Dual compensation is never allowable, meaning, in other
words, that an employee of a unit of government may not receive compensation from their unit or
agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00
p.m.), even though their work may benefit both entities. Personnel hiring, overtime, and backfill
expenses are permitted under this grant only to the extent that such expenses are for the allowable
activities within the scope of the grant.
TSGP Appendix | 2023 Page D-12
•Overtime and Backfill Costs. The entire amount of overtime costs, including payments related
to backfilling personnel, which are the direct result of time spent on the design, development and
conduct of exercises are allowable expenses. These costs are allowed only to the extent the
payment for such services is in accordance with the policies of the state or unit§ of local
government and has the approval of the state or the awarding agency, whichever is applicable.
Dual compensation is never allowable.
•Travel. Domestic travel costs are allowable as expenses by employees who are on travel status
for official business related to the planning and conduct of exercise proj§(s), subject to the
restrictions at 2 C.F.R. Part 200. International travel is not an allowable expense.
•Supplies. Supplies are items that are expended or consumed during the course of the planning
and conduct of the exercise p§ect(s) (e.g., gloves, non-sterile masks, and disposable protective
equipment).
•Other Items. These costs include the rental of space/locations for exercise planning and
executing, rental of equipment, etc. Recipients are encouraged to use free public
space/locations/facilities, whenever available, prior to the rental of space/locations/facilities .
These also include costs that may be associated with inclusive practices and the provision of
reasonable accommodations and modifications to provide full access for children and adults with
disabilities.
Management and Administration (M&A)
Management and administration costs are allowed under this program. M&A costs are activities directly
related to managing and administering the award. Recipients may use up to 5% of the amount of the
award for their M&A.
FY 2023 TSGP funds may be used for the following M&A costs:
•Hiring of full-time or part-time staff, including contractors and consultants, to execute the
following:
o Management of the current fiscal year TSGP Award;
o Design and implementation of the current fiscal year TSGP submission meeting
compliance with reporting/data collection requirements, including data calls;
o Information collection and processing necessary to respond to FEMA data calls;
o Domestic-only travel expenses related to TSGP grant administration, in compliance with
2 C.F.R. Part 200; and
o Acquisition of authorized office equipment, including personal computers or laptops for
TSGP M&A purposes.
Allowable Indirect Costs
Indirect costs are allowable under this. See the “Procedures for Establishing Indirect Cost Rates” Section
in “Pre-Submission Information” for more information.
Unallowable Costs
Specific unallowable costs include:
•Grant funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment
Under FEMA Awards, and may not be used for the purchase of the following equipment:
firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles
of any kind with weapons installed. Additional prohibited equipment expenditures include items
TSGP Appendix | 2023 Page D-13
unrelated to grant allowable activities, such as general-use software, general-use computers, and
related equipment (other than for allowable M&A activities or otherwise associated preparedness or
response functions), general-use vehicles, and licensing fees;
•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 not previously listed as allowable costs.
Maintenance and Sustainment Costs
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement
costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise
noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty
coverage, licenses, and user fees. These contracts may exceed the period of performance if they are
purchased incidental to the original purchase of the system or equipment as long as the original purchase
of the system or equipment is consistent with that which is typically provided for, or available through,
these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending
an existing maintenance contract on an already-owned piece of equipment system, coverage purchased
may not exceed the period of performance of the award used to purchase the maintenance agreement or
warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well.
Grant funds are intended to support the National Preparedness Goal and fund projects that build and
sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and
recover from those threats that pose the greatest risk to the security of the Nation. In order to provide
recipients the ability to meet this objective, the policy set forth in IB 379: Guidance to State
Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for
the expansion of eligible maintenance and sustainment costs that must be in (1) direct support of existing
capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program, and (3)
be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible
costs may also be in support of equipment, training, and critical resources that have previously been
purchased with either federal grant or any other source of funding other than FEMA preparedness grant
program dollars.
Encouraged Use of Certain Products Produced in the United States
Pursuant to Executive Order 13858, “Strengthening Buy-American Preferences for Infrastructure
Projects,” FEMA encourages non-federal entities under this grant program to use, to the greatest extent
practicable and consistent with the law, iron and aluminum as well as steel, cement, and other
manufactured products produced in the United States, in projects funded by an award under this grant
program affecting surface transportation, including roadways, bridges, railroads, and transit; aviation;
ports, including navigational channels; water resources projects; energy production, generation, and
storage, including from fossil-fuels, renewable, nuclear, and hydroelectric sources; electricity
transmission; gas, oil, and propane storage and transmission; electric, oil, natural gas, and propane
distribution systems; broadband internet; pipelines; stormwater and sewer infrastructure; drinking water
infrastructure; and cybersecurity. Notwithstanding this encouragement, non-federal entities must take care
that all procurements and contract actions are consistent with law, the Preparedness Grants Manual and
applicable appendices, the grant program’s NOFO, and the federal pr ocurement standards at 2 C.F.R. §§
200.317-200.326.
IBSGP Appendix | 2023 Page E-1
Program Appendix E:
Intercity Bus Security Grant Program (IBSGP)
As a reminder, while this appendix contains IBSGP-specific information and requirements, the main
content of this Manual (non-appendix information) contains important information relevant to all
preparedness grant programs, including the IBSGP. Please be sure to read the main content of this Manual
in addition to the program-specific appendices.
IBSGP grant recipients may only use IBSGP grant funds for the purpose set forth in the Notice of
Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority for the
award. Grant funds may not be used for matching funds for other federal awards, lobbying, or
intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used
to sue the Federal Government or any other government entity.
IBSGP Funding Guidelines
Costs charged to an IBSGP award must be consistent with the Uniform Administrative Requirements,
Cost Principles, and Audit Requirements for Federal Awards, located at 2 C.F.R. Part 200. For more
information on 2 C.F.R. Part 200, please see IB 400 regarding FEMA’s implementation of these
provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations,
see 2 CFR Grants Management Policy Updates.
IBSGP Priorities
See the annual IBSGP NOFO.
Pre-Award Costs
Pre-award costs are not allowable and will not be approved, with the exception of costs resulting from
pre-award grant writing services provided by an independent contractor that shall not exceed $1,500. See
the IBSGP NOFO for more information.
Allowable Direct Costs
Specific investments made in support of the funding priorities discussed in the annual IBSGP NOFO
generally fall into one of the following six allowable expense categories:
1.Planning;
2.Operational Activities;
3.Equipment and Capital Projects;
4.Training and Awareness Campaigns;
5.Exercises; and
6.Management and Administration.
The following provides guidance on allowable costs within each of these areas.
IBSGP Appendix | 2023 Page E-2
Planning
Planning activities should address the Soft Targets/Crowded Places; Cybersecurity; and Planning
Priorities.
IBSGP funds may be used for the following types of planning activities:
•Development and enhancement of system-wide security risk management plans, to include cyber;
•Development or further strengthening of continuity of operations plans, response plans, station
action plans, risk assessments, and asset-specific remediation plans;
•Development or further strengthening of security assessments, including multi-agency and multi-
jurisdictional partnerships and conferences to facilitate planning activities;
•Hiring of full- or part-time staff and contractors or consultants to assist with planning activities
only to the extent that such expenses are for the allowable activities within the scope of the grant
(not for the purpose of hiring public safety personnel); hiring of contractors/consultants must
follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327;
•Materials required to conduct planning activities;
•Conducting risk and resilience assessments on increasingly connected cyber and physical
systems, on which security depends, using the Infrastructure Resilience Planning Framework and
related CISA resources;
•Planning activities related to alert and warning capabilities; and
•Other project planning activities with prior approval from FEMA.
Operational Activities
Operational Activities should address the Soft Targets/Crowded Places Priority.
FEMA encourages applicants to develop innovative operational approaches to enhance the security of
transportation systems. Examples include:
•Establishing or improving emergency communication systems linking drivers and over-the-road
buses to company operation centers, law enforcement agencies or emergency response personnel;
•Acquiring and installing equipment or systems that collect, store or exchange passenger and/or
driver information with established government databases for security purposes; and
•Implementing and operating established methodologies for screening passengers, their carry-on
baggage, and/or their checked baggage, for weapons and/or explosives.
Equipment and Capital Projects
Equipment and Capital Projects should address the Soft Targets/Crowded Places; Cybersecurity; and
Equipment/Capital Projects Priorities.
Equipment – Vehicle/Driver Security Enhancements
Vehicle Security Enhancements focus on vehicle disabling and anti-theft devices, real-time bus inventory
and inventory control, tracking, monitoring, alert and warning capabilities, and locating technologies.
Driver security enhancements focus on protection for the bus driver to prevent would-be terrorists from
immobilizing the driver and/or hijacking the bus. Applicants are discouraged from submitting projects
that propose the use of closed-circuit television (CCTV) alone as an on-board deterrent to terrorism.
Rather, any cameras should have the capability and protocols in place for incident-based real-time
monitoring. CCTV Systems that are primarily archival, and do not clearly specify the ability for live
monitoring in the Investment Justification (IJ) will not be funded.
IBSGP Appendix | 2023 Page E-3
Capital Projects – Facility Security Enhancements
•Projects related to physical security enhancements at bus stations, or operator-owned facilities
including but not limited to lighting, security cameras, security screening equipment for people
and baggage, and access control (e.g., fences, gates, barriers);
•Projects related to cybersecurity of access control, sensors, security cameras, badge/ID readers,
Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems,
process monitors and controls, etc. or passenger/vehicle/cargo security screening equipment
support. Cybersecurity assessments are allowable; and
•Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff or
contractors/consultants may be hired to support security enhancement-related activities. Personnel
hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such
expenses are for the allowable activities within the scope of the grant. Hiring of
contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R.
§§ 200.317-200.327.
Note: All Capital and Vehicle/Driver security enhancement projects that include cameras, video
surveillance, or alarm systems MUST either be live monitored 24/7 or have the capability for real-time
incident-based monitoring. CCTV Systems that are primarily archival and do not clearly specify the
ability for live monitoring in the IJ will not be funded.
Equipment Acquisition
IBSGP funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under
FEMA Awards, and may be used for the following categories of equipment. A comprehensive listing of
allowable equipment categories and types is found in the Authorized Equipment List (AEL). These costs
include:
•Personal protection equipment;
•Explosive device mitigation and remediation equipment;
•Chemical, biological, radiological, nuclear, and explosive (CBRNE) operational search and
rescue equipment, or logistical support equipment;
•Interoperable emergency communications equipment;
•Detection equipment;
•Terrorism incident prevention equipment; and
•Physical security enhancement equipment.
Recipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior
approval from FEMA.
Unless otherwise noted, equipment must be certified as meeting required regulatory and DHS- adopted
standards to be eligible for purchase using these funds. Equipment must comply with the Occupational
Safety and Health Act requirement for certification of electrical equipment by a nationally recognized
testing laboratory and demonstrate compliance with relevant DHS-adopted standards through a supplier’s
declaration of conformity with appropriate supporting data and documentation per International
Organization for Standardization/International Electro-technical Commission (ISO/IEC) 17050, Parts One
and Two. Agencies must have all necessary certifications and licenses for the requested equipment, as
appropriate, prior to the request. In addition, recipients that are using IBSGP funds to support emergency
communications equipment activities must comply with the SAFECOM Guidance on Emergency
Communications Grants, including provisions on technical standards that ensure and enhance
interoperable communications. SAFECOM Guidance can be found at:
https://www.cisa.gov/safecom/funding.
IBSGP Appendix | 2023 Page E-4
Cybersecurity Projects
IBSGP funds may be used for projects that enhance the cybersecurity of:
•Access controls; sensors; security cameras; badge/ID readers; ICS/SCADA systems; process
monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.).
CCTV Systems that are primarily archival, and do not clearly specify the ability for live
monitoring in the IJ will not be funded; and
•Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable).
When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in
implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (“The
Framework”) developed by the National Institute of Standards and Technology (NIST). The Framework
gathers existing international standards and practices to help organizations understand, communicate, and
manage their cyber risks. For organizations that do not know where to start with developing a
cybersecurity program, the Framework provides initial guidance. For organizations with more advanced
practices, the Framework offers a way to improve their programs, such as better communication with
their leadership and suppliers about management of cyber risks.
The Cybersecurity and Infrastructure Security Agency’s (CISA) Critical Infrastructure Cyber Community
C³ Voluntary Program also provides resources to critical infrastructure owners and operators to assist in
adoption of the Framework and managing cyber risks. Additional information on the Critical
Infrastructure Cyber Community C³ Voluntary Program can be found at http://www.cisa.gov/ccubedvp.
DHS’s Enhanced Cybersecurity Services (ECS) program is an example of a resource that assists in
protecting U.S.-based public and private entities and combines key elements of capabilities under the
“Detect” and “Protect” functions to deliver an impactful solution relative to the outcomes of the
Cybersecurity Framework. Specifically, ECS offers intrusion prevention and analysis services that help
U.S.-based companies and state, local, tribal, and territorial (SLTT) governments defend their computer
systems against unauthorized access, exploitation, and data exfiltration. ECS works by sourcing timely,
actionable cyber threat indicators from sensitive and classified Government Furnished Information (GFI).
DHS then shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in
turn use the indicators to block certain types of malicious traffic from entering a company’s networks .
Groups interested in subscribing to ECS must contract directly with a CSP in order to receive services.
Please visit Enhanced Cybersecurity Services (ECS) | CISA for a current list of ECS CSP points of
contact.
Capital (Construction) Projects Guidance
Recipients must obtain written approval from FEMA prior to the use of any IBSGP funds for construction
or renovation projects. When applying for construction funds, including communications towers, at the
time of application, recipients must submit evidence of approved zoning ordinances, architectural plans,
any other locally required planning permits. Additionally, recipients are required to submit a SF-424C and
budget detail citing the project costs and an SF-424D Form for standard assurances for the construction
project.
All Capital (Construction) projects require Environmental Planning and Historic Preservation (EHP)
review. Recipients are also encouraged to have completed as many steps as possible for a successful EHP
review in support of their proposal for funding (e.g., coordination with their State Historic Preservation
Office to identify potential historic preservation issues and to discuss the potential for project effects;
compliance with all state and EHP laws and requirements).
IBSGP Appendix | 2023 Page E-5
Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in
DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1 and FEMA Instruction
108-1-1, instances must also be identified to the FEMA HQ Preparedness Officer within the first six
months of the award. Completed EHP review materials for construction and communication tower
projects must be submitted no later than 12 months before the end of the period of performance. EHP
policy guidance and the EHP Screening Form can both be found on FEMA.gov. EHP review materials
should be sent to gpdehpinfo@fema.gov.
Training and Awareness Campaigns
Training and Awareness Campaigns address the Soft Targets/Crowded Places; Cybersecurity; and
Training and Awareness Campaign Priorities.
Training
IBSGP funds may be used for the following training activities:
•Training Topics. Priority topics include active shooter training, security training for employees,
and public awareness/preparedness campaigns. The IJ narrative for Training should include:
o A course syllabus, curriculum, or topic plan identifying the proposed course material and
contents; and
o Provide the total cost of the training course, the number of participants, and the cost per
participant breakdown.
•Training Workshops. Grant funds may be used to plan and conduct training workshops or
conferences including costs related to planning, meeting space and other meeting costs,
facilitation costs, materials and supplies, travel, and training plan development.
•Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff may be
hired to support training-related activities. Hiring of contractors/consultants must follow the
applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. The services of
contractors/consultants may also be procured in the design, development, conduct, and evaluation
of CBRNE training. Personnel hiring, overtime, and backfill expenses are permitted under this
grant only to the extent that such expenses are for the allowable activities within the scope of the
grant.
•Overtime and Backfill Costs. Overtime and backfill costs associated with the design,
development, and conduct of training are allowable expenses. Payment of overtime expenses will
be for work performed by recipient or subrecipient employees in excess of the established work
week related to the planning and conduct of the trainin§roject(s). Furthermore, overtime
payments and backfill costs associated with sending personnel to training are allowable. Grant
funds cannot be used for personnel or direct salary costs for employees to attend training sessions.
Recipients seeking to claim overtime or backfill costs will be required to submit verification.
Straight time costs are not eligible expenses.
•Travel. Domestic travel costs (e.g., 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 trai§g project(s) or for attending courses. These costs must be in accordance with
applicable state law and regulations as well as the principles at 2 C.F.R. Part 200. International
travel is not an allowable cost under IBSGP.
•Supplies. Supplies are items that are expended or consumed during the course of the planning
and conduct of the t§ning project(s) (e.g., copying paper, gloves, tape, and non-sterile masks).
•Funds Used to Develop, Deliver, and Evaluate Training, including costs related to
administering the training, planning, scheduling, facilities, materials and supplies, reproduction of
materials, and equipment are allowable expenses. Training should provide the opportunity to
IBSGP Appendix | 2023 Page E-6
demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any
training or training gaps, including those for individuals with disabilities or other access and
functional needs, should be identified in the AAR/IP and addressed in the training cycle.
•Developing New Courses. Recipients are encouraged to use existing training rather than
developing new courses. When developing new courses, recipients are encouraged to apply the
Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model of instructional
design. Information on FEMA-approved training can found at First Responder Training System.
•Other Items. These costs include the rental of space/locations for planning and conducting
training, badges, etc. Recipients are encouraged to use free public space/locations, whenever
available, prior to the rental of space/locations.
Awareness Campaigns
IBSGP funds may be used for the development and implementation of awareness campaigns to raise
public awareness of indicators of terrorism and terrorism-related crime, and associated efforts to increase
the sharing of information with public and private sector partners, including nonprofit organizations. DHS
currently sponsors or supports a number of awareness campaigns. Please review materials, strategies, and
resources at https://www.dhs.gov/dhs-campaigns before embarking on the development of an awareness
campaign for your local constituencies and stakeholders.
Note: DHS requires that all public and private sector partners wanting to implement and/or expand the
DHS “If You See Something, Say Something®” campaign using grant funds work directly with the DHS
Office of Partnership and Engagement (OPE). This will help ensure that the awareness materials (e.g.,
videos, posters, trifolds, etc.) remain consistent with the Department’s messaging and strategy for the
campaign and compliant with the initiative’s trademark, which is licensed to DHS by the New York
Metropolitan Transportation Authority. Coordination with OPE, through the Campaign’s Office
(seesay@hq.dhs.gov), must be facilitated by the FEMA HQ Preparedness Officer.
Exercises
Exercise activities should address the Soft Targets/Crowded Places; Cybersecurity; and Exercises
Priorities.
IBSGP funds may be used for the following exercise activities:
•Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. This includes costs
related to planning, meeting space, and other meeting costs, facilitation costs, materials and
supplies, travel, and documentation. Exercises afford organizations the opportunity to validate
plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets
in a controlled, low risk setting. Any shortcoming or gap identified, including those for children
and individuals with disabilities or other access and functional needs, should be identified in an
effective corrective action program that includes development of improvement plans that are
dynamic documents, with corrective actions continually monitored and implemented as part of
improving preparedness through the exercise cycle.
•Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff may be
hired to support exercise-related activities. The services of contractor/consultant staff may be
procured to support exercise-related activities. The services of contractors/consultants may also
be procured to support the design, development, conduct, and evaluation of terrorism exercises.
Hiring of contractors/consultants must follow the applicable federal procurement requirements at
2 C.F.R. §§ 200.317-200.327.
•Overtime and Backfill Costs. Overtime and backfill costs associated with the design,
development, and conduct of terrorism exercises are allowable expenses. Payment of overtime
IBSGP Appendix | 2023 Page E-7
expenses will be for work performed in excess of the established work week 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 DHS sponsored exercise. For positions not funded by the grant award, grant funds
cannot be used for personnel or straight salary costs for employees to attend exercises, meaning
straight time costs for non-grant funded employees to attend exercise are not allowable. Instead,
for positions not funded by the grant award, only overtime and backfill costs will be allowable for
those employees to attend exercises. Recipients seeking to claim overtime or backfill costs will be
required to submit verification.
•Travel. Domestic travel costs (e.g., airfare, mileage, per diem, hotel, etc.) are allowable as
expenses by employees who are on travel status for official business related to the planning and
conduct of the exercise project(s). International travel is not allowable under this program.
•Supplies. Supplies are items that are expended or consumed during the course of the planning
and conduct of the exercise project(s) (e.g., gloves, non-sterile masks, and disposable protective
equipment).
•Other Items. These costs include the rental of space/locations for exercise planning and
executing, rental of equipment, etc. Recipients are encouraged to use free public
space/locations/facilities, whenever available, prior to the rental of space/locations/facilities .
These also include costs that may be associated with inclusive practices and the provision of
reasonable accommodations and modifications to provide full access for children and adults with
disabilities.
Management and Administration (M&A)
Management and administration costs are allowed under this program. M&A costs are activities directly
related to managing and administering the award. Recipients may use up to 5% of the amount of the
award for their M&A.
FY 2023 IBSGP funds may be used for the following M&A costs:
•Hiring of full-time or part-time staff including contractors and consultants, to execute the
following:
o Management of the current fiscal year IBSGP award; and
o Design and implementation of the current fiscal year IBSGP submission meeting
compliance with reporting/data collection requirements, including data calls.
•Information collection and processing necessary to respond to FEMA data calls; and
•Domestic travel expenses related to IBSGP grant administration.
Indirect Costs
Indirect costs are allowable under this program. See the “Procedures for Establishing Indirect Cost
Rates” Section in “Pre-Submission Information” for more information.
Unallowable Costs
Specific unallowable costs include:
•Grant funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled
Equipment Under FEMA Awards, and may not be used for the purchase of the following
equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft,
vessels, or vehicles of any kind with weapons installed;
IBSGP Appendix | 2023 Page E-8
•General-use facility expenditures, to include, but not limited to ordinary facility maintenance,
contracts for maintenance, and specifically backup or emergency generators;
•General vehicle maintenance, service contracts, or warranties. This is different from maintenance
and sustainment costs that are allowable, but only for projects funded under a grant award. For
projects or equipment not funded by the grant award, general maintenance, service contracts, and
warranties are not allowable;
•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,
recurring operating costs (e.g., cell phone services, maintenance contracts);
•Organizational operating expenses;
•Personnel costs, to include, but not limited to, overtime and backfill (except as detailed above);
•Activities unrelated to the completion and implementation of the IBSGP;
•Other indirect costs (meaning property purchase, depreciation, or amortization expenses);
•Initiatives in which federal agencies are the beneficiary or that enhance federal property;
•Initiatives which study technology development;
•Proof-of-concept initiatives;
•Initiatives that duplicate capabilities being provided by the Federal Government;
•Other items not in accordance with the AEL, in accordance with FEMA Policy 207-22-0002,
Prohibited or Controlled Equipment Under FEMA Awards, or not previously listed as allowable
costs; and
•Pre-award costs are not allowable and will not be approved, with the exception of costs resulting
from pre-award grant writing services provided by an independent contractor that shall not
exceed $1,500, as detailed in “Pre-Award Costs” above and in the IBSGP NOFO.
Other Allowable Costs
Maintenance and Sustainment Costs
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement
costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise
noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty
coverage, licenses, and user fees. These contracts may exceed the period of performance if they are
purchased incidental to the original purchase of the system or equipment as long as the original purchase
of the system or equipment is consistent with that which is typically provided for, or available through,
these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending
an existing maintenance contract on an already-owned piece of equipment system, coverage purchased
may not exceed the period of performance of the award used to purchase the maintenance agreement or
warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well.
Grant funds are intended to support the National Preparedness Goal (the Goal) and fund projects that
build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of,
respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order
to provide recipients the ability to meet this objective, the policy set forth in IB 379: Guidance to State
Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for
the expansion of eligible maintenance and sustainment costs which must be in (1) direct support of
existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program,
and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally,
eligible costs may also be in support of equipment, training, and critical resources that have previously
been purchased with either federal grant or any other source of funding other than FEMA preparedness
grant program dollars.
IBSGP Appendix | 2023 Page E-9
Bonds
Financial markets are not always predictable, and commercial suppliers are not always reliable; but there
are options to provide resource contingencies to support an IBSGP award.
•Prepayment Bond: Prepayment Bonds provide a measure of economic security for an
organization that is going to advance funds to a vendor(s). The prepayment bond generally may
be obtained through the vendor or bank. The prepayment bond protects funds in the event a
vendor fails to perform (e.g., not finishing/delivering contracted service/equipment, or going out
of business). Prepayment bonds are chargeable to an award.
o Encouraged Prepayment Bond: Recipients are strongly recommended, but not
required, to obtain a prepayment bond for awarded acquisition activities that exceed the
Simplified Acquisition Threshold (SAT) (currently $250,000, but the applicable dollar
threshold will be the SAT amount in place at the time of procurement) when recipients
are contractually required to advance a down payment and when such advances contain
no federal funds (only local funds).
o Required Prepayment Bond: Per 2 C.F.R. § 200.304(b), recipients are required to
obtain a prepayment bond for awarded acquisition activities that exceed the SAT; a
prepayment bond is required when recipients are contractually required to advance a
down payment and when such advances contain only federal funds or a combination of
federal and local funds.
•Fidelity Bond: Reasonable costs of fidelity bonds (or like insurance as provided for by applicable
state or tribal laws) covering the maximum amount of IBSGP funds the officer, official, or
employee handles at any given time for all personnel who disburse or approve disbursement of
IBSGP funds may be allowable if required by the terms and conditions of the award or if
generally required by the tribe in its generally operations. If a fidelity bond is required by a
recipient in its general operations, those costs must be charged as indirect costs. See 2 C.F.R. §
200.427.
Encouraged Use of Certain Products Produced in the United States
Pursuant to Executive Order 13858 “Strengthening Buy-American Preferences for Infrastructure
Projects,” FEMA encourages non-federal entities under this grant program to use, to the greatest extent
practicable and consistent with the law, iron and aluminum as well as steel, cement, and other
manufactured products produced in the United States, in projects funded by an award under this grant
program affecting surface transportation, including roadways, bridges, railroads, and transit; aviation;
ports, including navigational channels; water resources projects; energy production, generation, and
storage, including from fossil-fuels, renewable, nuclear, and hydroelectric sources; electricity
transmission; gas, oil, and propane storage and transmission; electric, oil, natural gas, and propane
distribution systems; broadband internet; pipelines; stormwater and sewer infrastructure; drinking water
infrastructure; and cybersecurity. Notwithstanding this encouragement, non-federal entities must take care
that all procurements and contract actions are consistent with law, this Manual and applicable appendices,
the grant program’s NOFO, and the federal procurement standards at 2 C.F.R. §§ 200.317-200.326.
IPR Appendix | 2023 Page F-1
Program Appendix F:
Intercity Passenger Rail (IPR) Program
As a reminder, while this appendix contains IPR-specific information and requirements, the main content
of this Manual (non-appendix information) contains important information relevant to all preparedness
grant programs, including the IPR. Please be sure to read the main content of this Manual in addition to
the program-specific appendices.
The IPR grant recipient may only use IPR grant funds for the purposes set forth in the Notice of Funding
Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award.
Grant funds may not be used for matching funds for other federal awards, lobbying, or intervention in
federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the
Federal Government or any other government entity.
IPR Funding Guidelines
Costs charged to a an IPR award must be consistent with the uniform administrative requirements and
audit requirements for federal awards, located at 2 C.F.R. Part 200, Subparts A-D and F. For more
information on 2 C.F.R. Part 200, please see Information Bulletin (IB) 400 regarding FEMA’s
implementation of these provisions prior to the recent 2020 revisions. For information on the recent
revisions to these regulations, see 2 CFR Grants Management Policy Updates | FEMA.gov. Costs charged
to an IPR award must also be consistent with the cost principles in the Federal Acquisition Regulation
(FAR) Part 31.2 in lieu of 2 C.F.R. Part 200, Subpart E. Any conflicts between FAR 31.2 and 2 C.F.R.
Part 200, Subpart E shall be resolved in favor of the applicable provision in FAR 31.2.
IPR Priorities
See the annual IPR NOFO.
Security Plan Requirements
The following information regarding security plan requirements is provided in 6 U.S.C. § 1134(c)(2):
Security plans should include the following, as appropriate:
•A prioritized list of all items included in the public transportation agency’s security assessment
that have not yet been addressed;
•A detailed list of any additional capital and operational improvements identified by DHS or the
public transportation agency and a certification of the public transportation agency’s technical
capacity for operating and maintaining any security equipment that may be identified in such list;
•Specific procedures to be implemented or used by the public transportation agency in response to
a terrorist attack, including evacuation and passenger communication plans and appropriate
evacuation and communication measures for the elderly and individuals with disabilities;
•A coordinated response plan that establishes procedures for appropriate interaction with state and
local law enforcement agencies, emergency responders, and federal officials in order to
coordinate security measures and plans for response in the event of a terrorist attack or other
major incident;
IPR Appendix | 2023 Page F-2
•A strategy and timeline for conducting training under 49 C.F.R. § 1570.109(b) and 49 C.F.R. Part
1580;
•Plans for providing redundant and other appropriate backup systems necessary to ensure the
continued operation of critical elements of the public transportation system in the event of a
terrorist attack or other major incident;
•Plans for providing service capabilities throughout the system in the event of a terrorist attack or
other major incident in the city or region which the public transportation system serves;
•Methods to mitigate damage within a public transportation system in case of an attack on the
system, including a plan for communication and coordination with emergency responders; and
•Other actions or procedures as the Secretary of Homeland Security determines are appropriate to
address the security of the system.
Allowable Costs
Specific investments made in support of the funding priorities discussed in the annual IPR NOFO
generally fall into one of the following six allowable expense categories:
1)Planning;
2)Operational Activities;
3)Equipment and Capital Projects;
4)Training and Awareness Campaigns;
5)Exercises; and
6)Management and Administration.
The following provides guidance on allowable costs within each of these areas.
Planning
Planning activities that address the Soft Targets/Crowded Places Priority.
IPR funds may be used for the following types of planning activities:
•Development and enhancement of system-wide security risk management plans that ensure the
continuity of essential functions, to include cyber;
•Development or further strengthening of continuity plans, response plans, station action plans,
risk assessments, and asset-specific remediation plans;
•Development or further strengthening of security assessments, including multi-agency and multi-
jurisdictional partnerships and conferences to facilitate planning activities;
•Hiring of full or part-time staff and contractors or consultants to assist with planning activities
only to the extent that such expenses are for the allowable activities within the scope of this grant
(not for the purpose of hiring public safety personnel); hiring of contractors/consultants must
follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327
•Materials required to conduct planning activities;
•Conducting risk and resilience assessments on increasingly connected cyber and physical
systems, on which security depends, using the Infrastructure Resilience Planning Framework and
related CISA resources;
•Planning activities related to alert and warning capabilities; and
•Other project planning activities, with prior approval from FEMA.
IPR Appendix | 2023 Page F-3
Operational Activities
Operational Activities that address the Soft Targets/Crowded Places Priority.
FEMA encourages applicants to develop innovative operational approaches to enhance the security of
transit systems. Projects that use visible, unpredictable deterrence, including operational packages dealing
with explosive detection canine teams, mobile screening teams, and anti-terrorism teams, directly support
enhancing the protection of soft targets and crowded places. Implementation of one of the three
Operational Package (OPack) models discussed below complements existing security systems and
provides an appropriate, practical, and cost-effective means of protecting assets.
Agencies may submit IJs to fund transit security police forces/law enforcement providers for patrols and
activities on overtime, such as directed patrols, additional canine teams, mobile screening teams, or anti-
terrorism team patrols. These activities must be dedicated to the transit environment and must be anti-
terrorism in nature. Agencies must identify the type of activity, length of operation (hours), number of
personnel, and cost based on length of operation and personnel. Agencies should also provide a risk-based
justification for the request, including linkage to a known event, such as hosting a significant regional
sporting or political event; or a period of heightened awareness, such as a national holiday. Three OPack
types have been developed to support operational activities and are available for funding under the IPR:
•Explosives Detection Canine Teams (EDCTs). When combined with the existing capability of a
transit security/police force, the added value provided through the addition of an EDCT is
significant. EDCTs are a proven, reliable resource to detect explosives and are a key component
in a balanced counter-sabotage program. The TSGP will provide funds to establish dedicated
security/police force canine teams. Each canine team will be composed of one dog and one
handler.
•Anti-Terrorism Teams (ATTs). The ATT capability provided through TSGP funding is for
uniformed, dedicated transit patrols on a normal operational basis, rather than using teams only
for a surge capacity as provided by FEMA in the past. ATTs do not supersede other local transit
security forces; rather, they augment current capabilities. Each ATT will consist of four
individuals, including two overt elements (e.g., uniformed transit sector law enforcement officer,
canine team, mobile explosive screeners), and two discreet observer elements.
•Mobile Explosive Screening Teams (MESTs). The MEST OPack will allow recipients the
flexibility to deploy combinations of certified explosive ordinance technicians with mobile
explosive screening technologies, including during local National Special Security Events. This
screening technology will be coupled with mobile explosive screening technologies. Each MEST
should have a minimum of two members and one mobile explosive screening apparatus.
Note: Funds for canine teams may not be used to fund drug detection and apprehension technique
training. Only explosives detection training for the canine teams will be funded.
Five-Year Security Capital Plan and Operational Sustainment
Applicant requests for OPack funding must include the submission of a Five-Year Security Capital
and Operational Sustainment Plan in ND Grants. This plan must include how the agency proposes to
implement capital projects and demonstrate how the agency will sustain the operational investments
(including officers hired with federal funding) and capabilities after grant funding has been expended.
Requests for OPacks will not be funded if the applicant does not have and submit a Security Capital
and Operational Sustainment Plan.
IPR Appendix | 2023 Page F-4
Funding Availability for OPacks
OPacks have the potential to be funded for up to a 36-month period from the award date. The monetary
figures presented below are stated in terms of cost per period of performance (which indicates
actual/complete funding for a 36-month period). Additionally, any OPack costs after the period of
performance (including expenses related to the maintenance, personnel, equipment, etc.) are the
responsibility of the applicable transit system. Additional funding may be applied for in future grant
cycles to maintain this operational capability, but future funding is not guaranteed and requires approval.
If these positions are not sustained, the public transportation agency may not be eligible for this personnel
support in the future. The table below identifies the maximum funding available for the different OPack
types.
Available Funding for OPacks
Operational Package Maximum Funding per Year
(12 months)
Maximum Funding per Period of
Performance (36 months)
EDCT $150,000 per team $450,000 per team
ATT $500,000 per team $1,500,000 per team
MEST $600,000 per team $1,800,000 per team
OPack Requirements
IPR OPack funds may be used for new positions or to sustain existing capabilities/programs (e.g., canine
teams) already supported by the recipient. Applicants pursuing both new OPacks and sustainment funding
for existing OPacks must indicate in their IJs which funding the higher priority for their agency is.
Additionally, applicants must provide the number of existing teams (EDCT, ATT, and MEST) already in
place, regardless of how they are funded. The below table identifies specific OPack requirements.
OPack Requirements
Operational
Package
Requirements
EDCT Please refer to the pages below for detailed information regarding EDCTs
under the IPR
ATT
Specific for the Canine Team within the ATT:
•Each canine team, composed of one dog and one handler, must be certified
by an appropriate, qualified organization
•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 team, with weekly training and
daily exercising (comparable training and certification standards, such as
those promulgated by the Transportation Security Administration (TSA)
Explosive Detection Canine Program), the National Police Canine
Association (NPCA), the United States Police Canine Association
(USPCA), or the International Explosive Detection Dog Association
(IEDDA) may be used to meet this requirement
•The individuals hired for the covert and overt elements must be properly
trained law enforcement officers
•Certifications should be on file with the recipient and must be made
available to FEMA upon request
MEST Certifications should be on file with the recipient and must be made available
to FEMA upon request
IPR Appendix | 2023 Page F-5
Allowable Expenses for OPacks
The table below identifies allowable expenses for the various OPacks. Please see the accompanying notes
for clarification of certain allowable costs.
Allowable Expenses for OPacks
Operational Package Salary and Fringe Benefits Training and CertificationEquipment Costs Purchase and Train a Canine Canine Costsb1) EDCTa ✓✓✓✓c ✓
2) ATT ✓✓✓✓✓
3) MEST ✓✓d
a Travel costs associated with training for personnel, handlers, and canines are allowable
b Canine costs include but are not limited to a canine’s veterinary, housing, and feeding costs
c One type of allowable training is training specific to the detection of common explosives odors
d Equipment and other costs can include but are not limited to explosives detection; stainless steel search tables;
consumables such as gloves, swabs, and alcohol; and land mobile radios
Specific Guidance on EDCT
EDCT Certification
Each EDCT, composed of one dog and one handler, must be certified by an appropriate, qualified
organization. TSA-certified EDCTs will meet or exceed certification standards set by the TSA National
Explosives Detection Canine Team Program (NEDCTP). Recipient EDCTs that do not participate in the
NEDCTP will be required to certify annually under their respective agency, local, and state regulations.
The recipient will maintain certification, utilization, and training data to show compliance in meeting or
exceeding those guidelines set forth by the Scientific Working Group on Dog and Orthogonal Detection
Guidelines (SWGDOG), as of September 14, 2007, in addition to the requirements set forth in the NOFO.
EDCT Submission Requirements
1)The recipient will ensure that a written security procedure plan exists for the safekeeping of all
explosive training aids, including safe transportation. The recipient will document the removal,
use, and return of explosive training aids used during training exercises or for any other reason.
The plan and all documentation must be made available to FEMA upon request;
2)The recipient will comply with requirements for the proper storage, handling, and transportation
of all explosive training aids in accordance with the Bureau of Alcohol, Tobacco, Firearms and
Explosives’ Publication 5400.7 (ATF P 5400.7) (09/00), Federal Explosive Law and Regulation;
3)The recipient will ensure that certified EDCTs are available to respond to situations 24 hours a
day, 7 days per week on an on-duty or off-duty on-call basis. If IPR-funded EDCTs are not
available, other, non-IPR funded EDCTs may be utilized for this response. The intent is to
provide maximum coverage during peak operating hours and to maintain the ability to promptly
respond to threats that affect public safety or mass transit operations;
IPR Appendix | 2023 Page F-6
4)EDCTs under this grant are single purpose and will be trained to detect “live” explosives only,
not “simulated” explosives. EDCTs must not have received previous training to detect any other
substances;
5)The recipient will ensure that each EDCT receives on-site proficiency training at a minimum of 4
hours per week per duty cycle. This training shall include, but not be limited to, mass transit
passenger cars, terminals/platforms, luggage, freight/warehouses, and vehicles. Complete,
detailed, and accurate training records must be maintained for all proficiency training conducted
by each EDCT. These records must be made available to FEMA upon request;
6)The recipient will conduct appropriate training or other canine activities, within view of the
public, to increase public awareness of EDCTs and provide a noticeable deterrent to acts which
affect public safety or mass transit operations. The recipient will also ensure that such activities
include, over a period of time, a presence in operational areas of the mass transit system during
peak and off-peak hours. The recipient agrees that EDCTs will be utilized in the field at least 80%
of their duty time, annually;
7)The recipient will provide safe and sanitary kennel facilities for program canines, and these costs
may be allowable with prior approval by FEMA. This applies to kenneling canines at a mass
transit system, handlers’ residences, or commercial boarding facilities . Canines must not be left in
makeshift accommodations or without proper supervision, protection, and care. The recipient will
ensure that canines are transported on-duty and off-duty in vehicles configured with adequate
temperature control, padding, and screening to ensure proper health, safety, and security; and
8)The recipient will ensure that adequate routine and emergency veterinary care are provided for all
canines.
Note: FEMA reserves the right to conduct an on-site operational and record review upon 48-hour notice
to ensure compliance with applicable federal regulations.
Equipment and Capital Projects
Equipment and Capital Projects that address the Soft Targets/Crowded Places and Cybersecurity
Priorities.
Priority projects include Top Transit Asset List (TTAL) risk remediation and protection of other high-
risk, high-consequence areas or systems that have been identified through system-wide risk assessments:
•Projects related to physical security enhancements at rail and bus stations in Urban Area Security
Initiative (UASI) jurisdictions, including security cameras, security screening equipment for
people and baggage, and access control (e.g., fences, gates, barriers, etc.); and
•Projects related to cybersecurity of access control, sensors, security cameras, badge/ID readers,
Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems,
process monitors and controls, etc. or passenger/vehicle/cargo security screening equipment
support. Cybersecurity assessments are allowable.
Equipment Acquisition
IPR funds may be used for the following categories of equipment. A comprehensive listing of allowable
equipment categories and types is found in the Authorized Equipment List (AEL). These costs include:
•Personal protection equipment;
•Explosive device mitigation and remediation equipment;
IPR Appendix | 2023 Page F-7
•Chemical, biological, radiological, nuclear, and high explosive (CBRNE) operational search and
rescue equipment, logistical support equipment, reference materials, or incident response
vehicles;
•Interoperable communications equipment, including for alert and warning capabilities;
•Components or systems needed to address flaws in the computerized systems that control
generators, switching stations, and electrical substations as well as other threats to infrastructure
critical to the U.S. economy;
•Detection Equipment;
•Power equipment;
•Terrorism incident prevention equipment; and
•Physical security enhancement equipment.
Recipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior
approval from FEMA.
Unless otherwise noted, equipment must be certified as meeting required regulatory and FEMA-adopted
standards to be eligible for purchase using IPR funds. Equipment must comply with the Occupational
Safety and Health Act requirement for certification of electrical equipment by a nationally recognized
testing laboratory and demonstrate compliance with relevant FEMA-adopted standards through a
supplier’s declaration of conformity with appropriate supporting data and documentation per International
Organization for Standardization/International Electro-technical Commission (ISO/IEC) 17050, Parts One
and Two. The recipient must have all necessary certifications and licenses for the requested equipment, as
appropriate, prior its purchase. In addition, recipients that are using IPR funds to support emergency
communications equipment activities must comply with the SAFECOM Guidance on Emergency
Communications Grants, including provisions on technical standards that ensure and enhance
interoperable communications. This SAFECOM Guidance can be found at:
https://www.cisa.gov/safecom/funding.
Requirements for Small Unmanned Aircraft Systems
All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply
with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, and also
include a description of the policies and procedures in place to safeguard individuals’ privacy, civil rights,
and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.
SUAS policies are not required at the time of application but must be received and approved by FEMA prior
to obligating IPR funds. All grant-funded procurements must be executed in a manner compliant with
federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. For recipients that use IPR funds for
sUAS, FEMA advises that there is a general privacy concern related to the use of this equipment if the
data the devices collect is transmitted to servers not under the control of the operator. It has been reported
that some manufacturers of sUAS encrypt data and send that data to servers outside the United States. The
U.S. Department of Homeland Security’s Privacy Office suggests the recipient fully explore data
transmission and storage issues with vendors to reduce the possibility of data breaches.
Additionally, the Joint Explanatory Statement (JES) accompanying the FY 2023 DHS Appropriations
further requires recipients to certify they have reviewed the Industry Alert on Chinese Manufactured
Unmanned Aircraft Systems, and completed a risk assessment that considers the proposed use of foreign-
made sUAS to ascertain potential risks (e.g., privacy, data breaches, cybersecurity, etc.) related to foreign-
made versus domestic sUAS.
IPR Appendix | 2023 Page F-8
Acquisition and Use of Technology to Mitigate UAS (Counter-UAS)
In August 2020, FEMA was alerted you of an advisory guidance document issued by DHS, the
Department of Justice, the Federal Aviation Administration, and the Federal Communications
Commission: https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-
technologies. The purpose of the advisory guidance document is to help non-federal public and private
entities better understand the federal laws and regulations that may apply to the use of capabilities to
detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS).
The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the
authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do
they conduct legal reviews of commercially available product compliance with those laws. The advisory
does not address state and local laws nor potential civil liability, which UAS detection and mitigation
capabilities may also implicate.
It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection
and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state
criminal, surveillance, and communications laws. Entities should conduct their own legal and technical
analysis of each UAS detection and/or mitigation system and should not rely solely on vendors’
representations of the systems’ legality or functionality. Please also see the DHS press release on this
topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use-
technology-detect-and-mitigate-unmanned-aircraft.
Cybersecurity Projects
IPR funds may be used for projects that enhance the cybersecurity of:
•Access controls, sensors; security cameras, badge/ID readers, ICS/SCADA systems, process
monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.);
and
•Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable).
When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in
implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (the
“Framework”), developed by the National Institute of Standards and Technology (NIST). The Framework
gathers existing international standards and practices to help organizations understand, communicate, and
manage their cyber risks. For organizations that do not know where to start with developing a
cybersecurity program, the Framework provides initial guidance. For organizations with more advanced
practices, the Framework offers ways to improve their programs, such as through better communication
with their leadership and suppliers about management of cyber risks.
The Cybersecurity and Infrastructure Security Agency’s (CISA) Critical Infrastructure Cyber Community
C³ Voluntary Program also provides resources to critical infrastructure owners and operators to assist in
adoption of the Framework and managing cyber risks. Additional information on the Critical
Infrastructure Cyber Community C³ Voluntary Program can be found at www.cisa.gov/ccubedvp.
DHS’s Enhanced Cybersecurity Services (ECS) program is an example of a resource that assists in
protecting U.S.-based public and private entities and combines key elements of capabilities under the
“Detect” and “Protect” functions to deliver an impactful solution relative to the outcomes of the
Framework. Specifically, ECS offers intrusion prevention and analysis services that help U.S.-based
companies and SLTT governments defend their computer systems against unauthorized access,
exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat indicators from
IPR Appendix | 2023 Page F-9
sensitive and classified Government Furnished Information. DHS then shares those indicators with
accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to block certain
types of malicious traffic from entering a company’s networks . Groups interested in subscribing to ECS
must contract directly with a CSP in order to receive services. Please visit http://www.cisa.gov/enhanced-
cybersecurity-services-ecs for a current list of ECS CSP points of contact.
Capital (Construction) Projects Guidance
The recipient must obtain written approval from FEMA prior to the use of any IPR funds for construction
or renovation projects. When applying for construction funds, including communications towers, the
recipient must submit evidence of approved zoning ordinances, architectural plans, any other locally
required planning permits. Additionally, the recipient is required to submit a SF-424C and budget detail
citing the project costs and an SF-424D Form for standard assurances for the construction project.
All construction or renovation projects require Environmental Planning and Historic Preservation (EHP)
review. The recipient is also encouraged to have completed as many steps as possible for a successful
EHP review in support of their proposal for funding (e.g., coordination with the relevant Historic
Preservation Office to identify potential historic preservation issues and to discuss the potential for project
effects; compliance with all state and local EHP laws and requirements).
Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in
DHS Instruction Manual 023-01-001-01, Revision 01, EHP Directive and Instruction, FEMA Directive
108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer
within the first six months of the award, regardless of the length of the period of performance. Completed
EHP review materials for construction and communication tower projects must be submitted no later than
12 months before the end of the period of performance. EHP policy guidance and the EHP Screening
Form can both be found on FEMA.gov. EHP review materials should be sent to
gpdehpinfo@fema.dhs.gov.
If the recipient uses funds for construction projects, it must comply with the Davis-Bacon Act (codified as
amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 1163(h) (cross-referencing 49 U.S.C. § 24312,
which cross-references Davis-Bacon). It must ensure that its contractors or subcontractors for
construction projects pay workers no less than the prevailing wages for laborers and mechanics employed
on projects of a character similar to the contract work in the civil subdivision of the state in which the
work is to be performed. Additional information regarding compliance with the Davis-Bacon Act,
including the Department of Labor (DOL) wage determinations, is available at
https://www.dol.gov/whd/govcontracts/dbra.htm.
Training and Awareness Campaigns
Training and Awareness Campaigns that address the Soft Targets/Crowded Places and Cybersecurity
Priorities.
Training
IPR funds may be used for the following training activities:
•Training Topics. Priority topics include active shooter training, security training for employees,
and public awareness/preparedness campaigns.
•Training Workshops. Grant funds may be used to plan and conduct training workshops,
including costs related to planning, meeting space and other meeting costs, facilitation costs,
materials and supplies, travel, and training plan development. The recipient is strongly
IPR Appendix | 2023 Page F-10
encouraged to use free public space, locations, or facilities, whenever available, prior to the rental
of space, locations, or facilities. Training should provide the opportunity to demonstrate and
validate skills learned as well as to identify any gaps in these skills. Any training or training gaps,
including those for children and individuals with disabilities or other access and functional needs,
should be identified in an After-Action Report/Improvement Plan (AAR/IP) and addressed in the
training cycle.
•Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff or
contractors/consultants may be hired to support training-related activities. Reimbursement of
these costs should conform with the policies of recipient, as well as any applicable federal and
FEMA policies, rules, and regulations. Hiring of contractors/consultants must follow the
applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Dual compensation
is unallowable, in other words, an employee of a unit of government may not receive
compensation from their unit or agency of government and from an award for a single period of
time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. Personnel
hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such
expenses are for allowable activities within the scope of the grant.
•Overtime and Backfill Costs. The entire amount of overtime costs, including payments related
to backfilling personnel, that are the direct result of attendance at FEMA and approved training
courses and programs are allowable. Reimbursement of these costs should follow the policies of
the recipient, as well as any applicable federal and FEMA policies, rules, and regulations. state.
Dual compensation is never allowable.
•Travel. Domestic travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as
expenses by employees who are on travel status for official business related, approved training,
subject to the restrictions at 2 C.F.R. Part 200. International travel is not an allowable expense.
•Supplies. Supplies, items that are expended or consumed during the course of the planning and
conduct of the training project(s) (e.g., gloves and non-sterile masks), are allowable expenses.
•Funds Used to Develop, Deliver, and Evaluate Training. Funds used to develop, deliver, and
evaluate training, including costs related to administering the training, planning, scheduling,
facilities, materials and supplies, reproduction of materials, and equipment are allowable
expenses. Training should provide the opportunity to demonstrate and validate skills learned as
well as to identify any gaps in these skills. Any training or training gaps, including those for
children and individuals with disabilities or other access and functional needs, should be
identified in the AAR/IP and addressed in the training cycle.
Recipients are encouraged to use existing training rather than developing new courses. When developing
new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation, and
Evaluation (ADDIE) model of instructional design. Information on FEMA-approved training can found at
http://www.firstrespondertraining.gov/.
Awareness Campaigns
IPR funds may be used for the development and implementation of awareness campaigns to raise public
awareness of indicators of terrorism and terrorism-related crime and for associated efforts to increase the
sharing of information with public and private sector partners, including nonprofit organizations. DHS
currently sponsors or supports a number of awareness campaigns. Please review materials, strategies, and
resources at https://www.dhs.gov/dhs-campaigns before embarking on the development of an awareness
campaign for local constituencies and stakeholders.
Note: DHS requires that all public and private sector partners wanting to implement and/or expand the
DHS “If You See Something, Say Something®” campaign (“campaign”) using grant fund s work directly
with the DHS Office of Partnership and Engagement (OPE). This will help ensure that the awareness
IPR Appendix | 2023 Page F-11
materials (e.g., videos, posters, trifolds, etc.) remain consistent with DHS’s messaging and strategy for the
campaign and compliant with the initiative’s trademark, which is licensed to DHS by the New York
Metropolitan Transportation Authority. Coordination with OPE, through the campaign’s office
(seesay@hq.dhs.gov), must be facilitated by the FEMA Preparedness Officer.
Exercises
Exercise activities that address the Soft Targets/Crowded Places and Cybersecurity Priorities.
IPR funds may be used for the following exercise activities:
•Funds Used to Design, Develop, Conduct and Evaluate an Exercise. This includes costs
related to planning, meeting space and other meeting costs, facilitation costs, materials and
supplies, travel, and documentation. Exercises afford organizations the opportunity to validate
plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets
in a controlled, low risk setting. Any shortcomings or gaps identified, including those for children
and individuals with disabilities or other access and functional needs, should be identified in an
effective corrective action program that includes development of improvement plans that are
dynamic documents, with corrective actions continually monitored and implemented as part of
improving preparedness through the exercise cycle.
•Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff may be
hired to support exercise-related activities. Reimbursement of these costs should conform with
the policies of the recipient, as well as any applicable federal and FEMA policies, rules, and
regulations. Dual compensation is not allowable, meaning, in other words, that an employee of a
unit of government may not receive compensation from their unit or agency of government and
from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though their work
may benefit both entities. Personnel hiring, overtime, and backfill expenses are permitted under
this grant only to the extent that such expenses are for the allowable activities within the scope of
the grant. The recipient must follow all applicable procurement regulations at 2 C.F.R. Part 200
when procuring contractor services.
•Overtime and Backfill Costs. The entire amount of overtime costs, including payments related
to backfilling personnel, which are the direct result of time spent on designing, developing, and
conducting exercises are allowable expenses. These costs are allowed only to the extent the
payment for such services is in accordance with the policies of the recipient and has the approval
of the awarding agency, if applicable. Dual compensation is never allowable.
•Travel. Domestic travel costs are allowable as expenses by employees who are on travel status
for official business related to the planning and conduct of exercise project(s), subject to the
restrictions at 2 C.F.R. Part 200. International travel costs are not allowable expenses.
•Supplies. Supplies are items that are expended or consumed during the course of the planning
and conduct of the exercise project(s) (e.g., gloves, non-sterile masks, and disposable protective
equipment).
•Other Items. These costs include the rental of space or locations for exercise planning and
executing, rental of equipment, etc. The recipient is encouraged to use free public space,
locations, or facilities, whenever available, prior to the rental of space, locations, or facilities.
These also include costs that may be associated with inclusive practices and the provision of
reasonable accommodations and modifications to provide full access for children and adults with
disabilities.
IPR Appendix | 2023 Page F-12
Management and Administration (M&A)
Management and administration costs are allowed under this program. M&A costs are activities directly
related to managing and administering the award. The recipient may use up to 5% of the amount of the
award for its M&A costs.
Fiscal Year 2023 IPR funds may be used for the following M&A costs:
•Hiring of full-time or part-time staff, including contractors and consultants, to execute the
following:
o Management of the current fiscal year IPR Award; and
o Design and implementation of the current fiscal year IPR submission meeting compliance
with reporting/data collection requirements, including data calls.
•Information collection and processing necessary to respond to FEMA data calls;
•Domestic travel expenses related to IPR grant administration, in compliance with the Super
Circular, 2 C.F.R. Part 200; and
•Acquisition of authorized office equipment, including personal computers or laptops for IPR
M&A purposes.
Indirect Costs
Indirect costs are allowable under this program as described in the Federal Acquisition Regulation (FAR).
See the “Procedures for Establishing Indirect Cost Rates” Section in “Pre -Submission Information” for
more information.
Unallowable Costs
Specific unallowable costs include:
•Grant funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled
Equipment Under FEMA Awards, and may not be used for the purchase of the following
prohibited equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized
aircraft, vessels, or vehicles of any kind with weapons installed. Expenditures for items
unrelated to grant allowable activities, such as general-use software, general-use computers, and
related equipment (other than for allowable M&A activities or for other associated preparedness
or response functions), general-use vehicles, licensing fees, weapons systems, and ammunition
are also prohibited;
•Personnel costs (except as detailed above or otherwise allowed by statute);
•Activities unrelated to the completion and implementation of the IPR program;
•Other items not in accordance with the AEL or not previously listed as allowable costs;
•Costs related to any matching or cost share requirement for any other federal award;
•Costs related to lobbying or intervention in federal regulatory proceedings;
•Costs related to suing the Federal Government or any other government entity;
•Pre-award costs, unless approved in writing by FEMA and included in the grant award; and
•Costs that are not consistent with the Cost Principles located in FAR 31.2, as applicable.
Maintenance and Sustainment Costs
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement
costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise
noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty
coverage, licenses, and user fees. These contracts may exceed the period of performance if they are
purchased incidental to the original purchase of the system or equipment as long as the original purchase
IPR Appendix | 2023 Page F-13
of the system or equipment is consistent with that which is typically provided for, or available through,
these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending
an existing maintenance contract on an already-owned piece of equipment system, coverage purchased
may not exceed the period of performance of the award used to purchase the maintenance agreement or
warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well.
Grant funds are intended to support the National Preparedness Goal and to fund projects that build and
sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and
recover from those threats that pose the greatest risk to the security of the Nation. In order to provide
recipients with the ability to meet this objective, the policy set forth originally in IB 379: Guidance to
State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows
for the expansion of eligible maintenance and sustainment costs that must be (1) in direct support of
existing capabilities, (2) an otherwise allowable expenditure under the applicable grant program, and (3)
tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible
costs may also be in support of equipment, training, and critical resources that have previously been
purchased with either federal grant or any other source of funding other than FEMA preparedness grant
program dollars.
Encouraged Use of Certain Products Produced in the United States
Pursuant to Executive Order 13858 “Strengthening Buy-American Preferences for Infrastructure
Projects,” FEMA encourages non-federal entities under this grant program to use, to the greatest extent
practicable and consistent with the law, iron and aluminum as well as steel, cement, and other
manufactured products produced in the United States, in projects funded by an award under this grant
program affecting surface transportation, including roadways, bridges, railroads, and transit; aviation;
ports, including navigational channels; water resources projects; energy production, generation, and
storage, including from fossil-fuels, renewable, nuclear, and hydroelectric sources; electricity
transmission; gas, oil, and propane storage and transmission; electric, oil, natural gas, and propane
distribution systems; broadband internet; pipelines; stormwater and sewer infrastructure; drinking water
infrastructure; and cybersecurity. Notwithstanding this encouragement, non-federal entities must take care
that all procurements and contract actions are consistent with law, this Manual and applicable appendices,
the grant program’s NOFO, and the federal procurement standards at 2 C.F.R. §§ 200.317 -200.326.
PSGP Program Appendix | 2023 Page G-1
Program Appendix G:
Port Security Grant Program (PSGP)
As a reminder, while this appendix contains PSGP-specific information and requirements, the main content
of this Manual (non-appendix information) contains important information relevant to all preparedness
grant programs, including the PSGP. Please be sure to read the main content of this Manual in addition to
the program-specific appendices.
PSGP grant recipients and subrecipients may only use PSGP grant funds for the purposes set forth in the
Notice of Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority
for the award. These grant funds may not be used for matching funds for other federal awards, lobbying, or
intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to
sue the Federal Government or any other government entity.
PSGP Funding Guidelines
Costs charged to a PSGP award must be consistent with the Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards, located at 2 C.F.R. Part 200. For more information
on 2 C.F.R. Part 200, please visit Information Bulletin (IB) 400 regarding FEMA’s implementation of these
provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations,
see 2 CFR Grants Management Policy Updates | FEMA.gov.
PSGP Priorities
See the annual PSGP NOFO.
Limitations on Funding
As part of the PSGP application process, applicants must complete the approved Investment Justification
(IJ) template and included detailed budget sheets (incorporated into the IJ) provided addressing each
initiative being proposed for funding. A single IJ should be submitted with each application. Each IJ should
include all proposed projects in separate tabs within the IJ. Altered IJs or IJs that have been separated into
multiple attachments will not be considered for funding. A corresponding detailed budget tab is included
within the IJ and must be completed for each project, including the budget summary at the bottom of the
form. Each project should represent the complete scope of work and materials required to achieve a single
overall capability. For example, a project could be to procure a boat specifically designed and equipped as
chemical, biological, radiological, nuclear and explosives (CBRNE) detection, prevention, response, and/or
recovery platform. The IJ for this example project should include the CBRNE equipment in the same IJ as
the vessel. The corresponding detailed budget should include a description of the equipment (i.e., 24’
Response Vessel) and computation (i.e., 1 x $375,000, total $375,000; Vessel mounted Rad/Nuke detection
device, 1 x $25,000, total $25,000). Additionally, the total computation for the Total Project Cost, Federal
Share, and non-Federal Share must be included in the detailed budget (i.e., Total $400,000; Federal Share
$300,000; non-Federal Share $100,000). This demonstrates that the applicant and FEMA understand the
level of Federal funding requested, as well as a commitment to the Cost Share required by the applicant to
complete the project. (see “Cost -Share or Match” in the PSGP NOFO).
PSGP Program Appendix | 2023 Page G-2
In accordance with 46 U.S.C. § 70107(b)(2), PSGP funding for projects for the cost of acquisition,
operation, and maintenance of security equipment or facilities to be used for security monitoring and
recording, security gates and fencing, marine barriers for designated security zones, security-related lighting
systems, remote surveillance, concealed video systems, security vessels, and other security-related
infrastructure or equipment that contributes to the overall security of passengers, cargo, or crewmembers
cannot exceed $1 million federal share per project.
The $1 million per project limitation applies only to those projects funded under 46 U.S.C. § 70107(b)(2)
and does not apply to projects funded under other provisions of Section 70107.
Allowable Direct Costs
Specific investments made in support of the funding priorities discussed in the annual PSGP NOFO
generally fall into one of the following six allowable expense categories:
•Planning;
•Operational Activities;
•Equipment and Capital Projects;
•Training and Awareness Campaigns;
•Exercises; and
•Management and Administration.
The following provides guidance on allowable costs within each of these areas.
Planning
Planning activities address the Soft Targets/Crowded Places; Cybersecurity; and Planning Priorities.
PSGP funds may be used for the following types of planning activities:
•Development or updating of port wide risk mitigation plan (PRMP), including the conduct of port
security vulnerability assessments as necessary to support plan update/development;
•Development and enhancement of security plans and protocols within the Area Maritime Security
Plan (AMSP), PRMP, and the Business Continuity and Resumption of Trade Plans (BCRTP) in
support of maritime security and risk mitigation planning;
•Materials required to conduct planning activities noted in this section;
•Travel and per diem related to the professional planning activities noted in this section;
•Coordination and information sharing with fusion centers;
•Planning activities related to alert and warning capabilities;
•Conducting risk and resilience assessments on increasingly connected cyber and physical systems,
on which security depends, using the Infrastructure Resilience Planning Framework and related
CISA resources;
•Other port wide maritime security project planning activities, which emphasize the ability to adapt
to changing conditions and be prepared to withstand, and recover from, disruptions due to
emergencies with prior approval from FEMA; and
•Backfill, overtime, hiring of part-time temporary personnel, and contractors or consultants to assist
with planning activities. Copies of PSGP-funded plans must be made available to FEMA and the U.
S. Coast Guard (USCG) upon request.
PSGP Program Appendix | 2023 Page G-3
Operational Activities
Operational Activities address the Soft Targets/Crowded Places Priority.
Explosive Detection Canine Teams (EDCTs)
Use of canines (K-9) for explosive detection is one of the most effective solutions for the detection of
vehicle-borne IEDs. When combined with the existing capability of a port or ferry security/police force, the
added value provided through the addition of a canine team is significant. EDCTs are a proven, reliable
resource to detect explosives and are a key component in a balanced counter-sabotage program.
Eligibility for funding of EDCTs is restricted to:
•U.S. Ferry Systems regulated under 33 C.F.R. Parts 101, 103, 104, and the passenger terminals
these specific ferries service under 33 C.F.R. Part 105;
•Maritime Transportation Security Act (MTSA) regulated facilities; and
•Port authorities, port police, and local law enforcement agencies that provide direct layered security
for these U. S. Ferry Systems and MTSA-regulated facilities, and are defined in an AMSP, Facility
Security Plan (FSP), or Vessel Security Plan (VSP).
Applicants may apply for up to $450,000 ($150,000/year for three years) per award to support this
endeavor. At the end of the grant period (36 months), recipients will still be responsible for continuing the
heightened level of capability provided by the EDCT. A sustainment plan must be submitted with the
applicant’s IJ to address the 12-month period beyond the period of performance of the award.
Eligible EDCT Costs
Funds for these EDCTs may not be used to fund drug detection and apprehension technique training. Only
explosives detection training for EDCTs will be funded. The PSGP EDCT funds may only be used for new
or expanded capabilities/programs and cannot be used to pay for existing K-9 teams, personnel, or K-9
training costs already supported by the port area. Repair and replacement of existing EDCT equipment is
allowed. Eligible costs include:
•Contracted K-9 and handler providing services in accordance with PSGP guidance;
•Salary and fringe benefits of new full- or part-time K-9 handler positions;
•Training and certifications (travel costs associated with training for new or expanded full or part
time agency handlers, and canines are allowable);
•K-9 and handler equipment costs;
•Purchase and train a new K-9 and handler for CBRNE detection; and
•K-9 maintenance costs including but not limited to veterinary, housing, and feeding costs.
Ineligible EDCT costs include, but are not limited to:
•Hiring costs, including costs associated with initial police academy training of new officers;
•Meals and incidentals associated with travel for initial certification;
•Vehicles modified to be used solely to transport canines; and
•Repair or replacement of unallowable equipment.
EDCT Certification
Each EDCT, composed of one dog and one handler, must be certified by an appropriate, qualified
organization. K-9 and handler should receive an initial basic training course and weekly maintenance
training sessions thereafter to maintain the certification. The basic training averages ten weeks for the
canine team (K-9 and handler together) with weekly training and daily exercising. Comparable training and
PSGP Program Appendix | 2023 Page G-4
certification standards, such as those promulgated by the Transportation Security Administration (TSA)
Explosive detection canine program, the National Police Canine Association (NPCA), the U.S. Police
Canine Association (USPCA), or the International Explosive Detection Dog Association (IEDDA) may be
used to meet this requirement. Certifications and training records will be kept on file with the recipient and
made available to FEMA upon request.
EDCT Submission Requirements
Successful applicants will be required to submit an amendment to their approved VSP or FSP per 33 C.F.R.
Parts 104 and/or 105 detailing the inclusion of a K-9 explosive detection program into their security
measures. The recipient will ensure that a written plan or standard operating procedures (SOPs) exist that
describe EDCT deployment policy to include visible and unpredictable deterrent efforts and on-call EDCTs
rapid response times as dictated by the agency’s FSP or VSP. The plan or SOPs must be made available to
FEMA and USCG upon request.
The recipient will comply with requirements for the proper storage, handling, and transportation of all
explosive training aids in accordance with the Bureau of Alcohol, Tobacco, Firearms and Explosives’
Publication 5400.7 (ATF P 5400.7) (09/00), Federal Explosive Law and Regulations.
Additional EDCT Resources Available for K-9 Costs
The PSGP, while providing the ability to defray some start-up costs, does not cover any recurring costs
associated with EDCT programs. FEMA strongly encourages applicants to investigate their eligibility under
other programs, and potential exclusions, when developing their K-9 programs.
Organization Costs
Allowable organization-related costs are limited to those activities associated with new and ongoing
maritime security operations essential to the national priorities. All such activities must be focused
exclusively on maritime security and coordinated with the local Captain of the Port (COTP). PSGP funding
used for organizational costs will only fund immediate needs for personnel that will be directly engaged in
maritime security activities. Allowable organization personnel costs include:
•Backfill, Overtime, Hiring of Full or Part-Time Personnel or Contractors/Consultants. Full or
part-time staff or contractors/consultants may be hired to support maritime-security-related
activities and/or training conducted under this grant only to the extent that such expenses are for the
allowable activities within the scope of the grant. Hiring of contractors/consultants must follow the
applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Salary and fringe
benefit payments must be in accordance with the policies of the state or unit(s) of local government
and have the approval of the state or awarding agency. Dual compensation is not allowable. That is,
an employee of a unit of government may not receive compensation from their unit or agency of
government AND from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even
though such work may benefit both activities. Limitations may apply for grant related activities.
See specific guidance provided within this Manual for additional details on allowable organization
costs (i.e., Training – Personnel costs are limited to backfill and overtime).
•Hiring new, full-time personnel to:
o Operate maritime security patrol vessels (first response agencies only);
o Staff a new or expanded interagency maritime security operation center;
o Support maritime security/counterterrorism efforts in the local Joint Terrorism Task Force
(JTTF) and/or fusion center; and
o Support credentialing access to a MTSA facility.
•Backfill and Overtime costs for existing personnel to:
PSGP Program Appendix | 2023 Page G-5
o Operate patrol vessels in support of pre-planned, mission critical activities, as identified by
the local COTP (not including routine patrol); and
o Attend approved maritime security training courses.
•Personnel or contracted costs to:
o Install, repair, and replace port security equipment acquired with FEMA preparedness grant
funds. Note this does not include routine maintenance, such as oil changes and
daily/weekly systems tests; and
o Management and administration (M&A) of projects funded under this program.
•Contracted costs to:
o Provide approved training courses; and
o Provide warranty, maintenance, and service agreements for equipment purchased under this
grant.
Organization costs will only be funded to address port (or facility) security needs as outlined in the NOFO
and this appendix. PSGP funding for new permanent or part-time personnel will not exceed the 36-month
period of performance. Applicants must provide reasonable assurance that personnel costs can be sustained
beyond the 36-month award period. A sustainment plan must be submitted with the applicant’s IJ to
address the 12-month period beyond the period of performance of the award.
Equipment and Capital Projects
Equipment and Capital Projects address the Soft Targets/Crowded Places; Cybersecurity; and
Equipment/Capital Projects Priorities.
Equipment Acquisition
PSGP funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under
FEMA Awards. PSGP funds may be used for the following categories of equipment. A comprehensive
listing of allowable equipment categories and types is found in the Authorized Equipment List (AEL).
Requests for vehicles of any type are subject to secondary review and approval by the National Review
Panel. These costs include:
•Personal Protective Equipment (PPE) for maritime security providers, such as ballistic protective
body armor (not including uniforms);
•CBRNE response and remediation equipment for maritime security providers;
•CBRNE decontamination equipment for direct maritime security providers and MTSA-regulated
industry;
•CBRNE detection-equipped patrol vehicles (not including armored personnel carriers or tow
trucks), provided they will be used exclusively for port/facility CBRNE detection security
operations. A CBRNE detection equipped patrol vehicle must include specifically identified,
permanently mounted detection equipment;
•Trailers (not vehicles) designed to carry maritime security equipment essential to maritime security,
mitigation, and response (such as boat trailers, dive trailers, or mobile command trailers);
•Mobile Command Centers only when validated by the COTP as essential to address a
specifically required capability outlined in the approved AMSP. This does not include prime
movers (tow-trucks), personnel carriers, or equipment transport vehicles;
•CBRNE detection-equipped and patrol watercraft vessel/small boat used to directly support
maritime security for a facility or within a Port Area on a routine basis (CBRNE detection
equipment requested with the watercraft/small boat in the IJ must be listed and also detailed in the
budget). However, a vessel is not required to be CBRNE equipped;
PSGP Program Appendix | 2023 Page G-6
•Marine firefighting vessels, provided they are outfitted with CBRNE detection equipment and are
designed and equipped to meet NFPA 1925: Standard on Marine Fire-Fighting Vessels;
•Firefighting foam and Purple-K Powder (PKP) may be purchased by public fire departments that
have jurisdictions in a port area and would respond to an incident at an MTSA regulated facility;
MTSA facilities may also receive funding for this purpose. Funding will be limited to a one-time
purchase based on a worst-case incident at the facility or facilities;
•Information-sharing technology; components or equipment designed to share maritime security risk
information and maritime all-hazards risk information with other agencies (equipment must be
compatible with generally used equipment);
•Maritime security risk mitigation interoperable communications equipment, including alert and
warning capabilities;
•Terrorism incident prevention and response equipment for maritime security risk mitigation;
•Physical security enhancements, to include TWIC projects (e.g., card readers, fences, blast resistant
glass, turnstiles, hardened doors, and vehicle gates) at maritime facilities;
•Portable fencing, closed-circuit televisions (CCTVs), passenger vans, minibuses, etc. to support
secure passage of vessel crewmembers through a MTSA regulated facility;
•Equipment that enhances continuity capabilities, such as interoperable communications, intrusion
prevention/detection, physical security enhancements, software and other equipment needed to
support essential functions during a disruption to normal operations;
•Generators with appropriate capability (size) to provide back-up power to security systems and
equipment that support Maritime Domain Awareness (not including routine operational
capabilities):
o Access control equipment and systems;
o Detection and security surveillance equipment; and
o Enhancement of Command-and-Control facilities.
•Equipment for new personnel, such as personal protective equipment, is an allowable expense.
Weapons and equipment associated with weapons maintenance/security (e.g., firearms,
ammunition, and gun lockers) are not allowable.
Recipients may purchase maritime security equipment not listed on the AEL, but only if they first seek and
obtain prior approval from FEMA. In addition, recipients that are using PSGP funds to support emergency
communications equipment activities must comply with the SAFECOM Guidance on Emergency
Communications Grants, including provisions on technical standards that ensure and enhance interoperable
communications. This SAFECOM Guidance can be found at https://www.cisa.gov/safecom/funding.
Requirements for Small Unmanned Aircraft Systems
All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply
with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, and also
include a description of the policies and procedures in place to safeguard individuals’ privacy, civil rights, and
civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment. SUAS
policies are not required at the time of application but must be received and approved by FEMA prior to
obligating PSGP funds. All grant-funded procurements must be executed in a manner compliant with
federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. For recipients that use PSGP funds for
sUAS, FEMA advises that there is a general privacy concern related to the use of this equipment if the data
the devices collect is transmitted to servers not under the control of the operator. It has been reported that
some manufacturers of sUAS encrypt data and send that data to servers outside the United States. The U.S.
Department of Homeland Security’s Privacy Office suggests the recipient fully explore data transmission
and storage issues with vendors to reduce the possibility of data breaches.
PSGP Program Appendix | 2023 Page G-7
Additionally, the Joint Explanatory Statement (JES) accompanying the FY 2023 DHS Appropriations further
requires recipients to certify they have reviewed the Industry Alert on Chinese Manufactured Unmanned
Aircraft Systems, and completed a risk assessment that considers the proposed use of foreign-made sUAS to
ascertain potential risks (e.g., privacy, data breaches, cybersecurity, etc.) related to foreign-made versus
domestic sUAS.
Acquisition and Use of Technology to Mitigate UAS (Counter-UAS)
In August 2020, FEMA was alerted of an advisory guidance document issued by DHS, the Department of
Justice, the Federal Aviation Administration, and the Federal Communications Commission:
https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-technologies.
The purpose of the advisory guidance document is to help non-federal public and private entities better
understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate
threats posed by UAS operations (i.e., Counter-UAS or C-UAS).
The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the
authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do
they conduct legal reviews of commercially available product compliance with those laws. The advisory
does not address state and local laws nor potential civil liability, which UAS detection and mitigation
capabilities may also implicate.
It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection
and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state
criminal, surveillance, and communications laws. Entities should conduct their own legal and technical
analysis of each UAS detection and/or mitigation system and should not rely solely on vendors’
representations of the systems’ legality or functionality. Please also see the DHS press release on this topic
for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use-technology-
detect-and-mitigate-unmanned-aircraft.
Sonar Devices
The four types of allowable sonar devices are: imaging sonar, scanning sonar, side scan sonar, and three-
dimensional sonar. These types of sonar devices are intended to support the detection of underwater
improvised explosive devices and enhance maritime domain awareness. The eligible types of sonar, and
short descriptions of their capabilities, are provided below:
1)Imaging Sonar: A high-frequency sonar that produces “video-like” imagery using a narrow field
of view. The sonar system can be pole-mounted over the side of a craft or hand-carried by a diver.
2)Scanning Sonar: Consists of smaller sonar systems that can be mounted on tripods and lowered to
the bottom of the waterway. Scanning sonar produces a panoramic view of the surrounding area
and can cover up to 360 degrees.
3)Side Scan Sonar: Placed inside a shell and towed behind a vessel. Side scan sonar produces strip-
like images from both sides of the device.
4)Three-Dimensional Sonar: Produces 3-dimensional imagery of objects using an array receiver.
Maritime Domain Awareness
Maritime domain is defined as “all areas and things of, on, under, relating to, adjacent to, or bordering on a
sea, ocean, or other navigable waterway, including all maritime-related activities, infrastructure, people,
cargo, and vessels and other conveyances.” Homeland Security Presidential Directive-13 (NSPD-41/HSPD-
13) (Maritime Security Policy, December 21, 2004). According to the National Plan to Achieve Maritime
Domain Awareness for the National Strategy for Maritime Security (Oct. 2005), “Maritime Domain
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Awareness (MDA) is the effective understanding of anything associated with the global maritime domain
that could impact the security, safety, economy, or environment of the United States. MDA is a key
component of an active, layered maritime defense in depth. It will be achieved by improving our ability to
collect, fuse, analyze, display, and disseminate actionable information and intelligence to operational
commanders.” Id. at ii. Applicants are encouraged to familiarize themselves with this National Strategy.
Improvised Explosive Device (IED) and CBRNE Prevention, Protection, Response, Recovery
Capabilities
Port areas should continue to enhance their capabilities to prevent, detect, respond to, and recover from
terrorist attacks employing IEDs, CBRNE devices, and other non-conventional weapons. Please refer to
DHS Small Vessel Security Strategy (Apr. 2008).
Physical Security
Physical security is security measures that are designed to deny unauthorized access to facilities, equipment,
and resources and to protect personnel and property from damage or harm (such as espionage, theft, or
terrorist attacks). Physical security involves the use of multiple layers of interdependent systems and
techniques. Physical security has been a focus of PSGP since the program’s inception in 2002. Primarily,
physical security is intended to harden MTSA-regulated facilities against attacks. Law enforcement may
contribute to physical security through patrols; however, patrol vessels generally enhance multiple core
capabilities with a focus on CBRNE detection, deterrence, and response. Funding through PSGP for
physical security projects should be only directed toward those projects that address identified MTSA
required activities and identified in the entity FSP and/or the port area AMSP. Some examples of funded
projects include TWIC-related equipment, fencing, lighting, gates, and CCTV. Physical security projects
typically require EHP review prior to obligating PSGP funds.
Cybersecurity Projects
PSGP funds may be used for projects that enhance the cybersecurity of:
•Access controls;
•Sensors;
•Security cameras;
•Badge/ID readers;
•Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems;
•Process monitors and controls (such as firewalls, network segmentation, predictive security cloud,
etc.); and
•Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable).
When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in
implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (the
“Framework”) developed by the National Institute of Standards and Technology (NIST ), or other similar
sources. The Framework gathers existing international standards and practices to help organizations
understand, communicate, and manage their cyber risks. For organizations that do not know where to start
with developing a cybersecurity program, the Framework provides initial guidance. For organizations with
more advanced practices, the Framework offers a way to improve their programs, such as better
communication with their leadership and suppliers about management of cyber risks.
The Cybersecurity and Infrastructure Security Agency’s (CISA) Critical Infrastructure Cyber Community
C³ Voluntary Program also provides resources to critical infrastructure owners and operators to assist in
adoption of the Framework and managing cyber risks. Additional information on the Critical Infrastructure
Cyber Community C³ Voluntary Program can be found at http://www.cisa.gov/ccubedvp. DHS’s Enhanced
Cybersecurity Services (ECS) program is an example of a resource that assists in protecting U.S.-based
PSGP Program Appendix | 2023 Page G-9
public and private entities and combines key elements of capabilities under the “Detect” and “Protect”
functions to deliver an impactful solution relative to the outcomes of the Cybersecurity Framework.
Specifically, ECS offers intrusion prevention and analysis services that help U.S.-based companies and
SLTT governments defend their computer systems against unauthorized access, exploitation, and data
exfiltration. ECS works by sourcing timely, actionable cyber threat indicators from sensitive and classified
Government Furnished Information (GFI). DHS then shares those indicators with accredited Commercial
Service Providers (CSPs). Those CSPs in turn use the indicators to block certain types of malicious traffic
from entering a company’s networks. Groups interested in subscribing to ECS must contract directly with a
CSP in order to receive services. Please visit http://www.cisa.gov/enhanced-cybersecurity-services-ecs for a
current list of ECS CSP points of contact.
“Hub and spoke” cybersecurity projects are allowable under PSGP for cybersecurity projects that span
multiple port area facilities. Hub and spoke cybersecurity projects may affect a parent organization’s
multiple eligible entities, and maritime security partners, in multiple port areas to provide a port-wide
benefit. Such projects may be submitted within a primary Port Area for the project implementation. For
example, an applicant in the Port of Houston may submit a hub and spoke project within the
Houston/Galveston port area which includes system hardening throughout the organization’s facilities in
Houston, Port Lavaca, and Corpus Christi. Proportionally, costs associated with entities or subcomponents
that are not covered under an AMSP and are not instrumental to enhancing maritime security must not be
included in the detailed budget worksheet or investment justification and thereby prorating the cost of the
project only to those facilities that are covered by the AMSP. Following the example noted above, the
applicant may not include costs associated with cybersecurity of their non-maritime facilities, such as a
non-MTSA regulated facility located in San Antonio. Hub and spoke projects are limited only to the
enhancement of maritime security as outlined in this section and may not include non-maritime systems or
facilities. Please clearly identify hub and spoke projects as such within your IJ and consult your COTP to
verify project applicability to enhancing maritime security.
Cybersecurity projects should address risks to the marine transportation system and/or Transportation
Security Incidents (TSIs) outlined in the applicable AMSP, or priorities prescribed under applicable FSP
or VSP, as mandated under the MTSA or the PRMPs. At the port level, examples of cybersecurity
projects include but are not limited to projects that enhance the cybersecurity of access control , sensors,
security cameras, badge/ID readers, ICS/SCADA systems, process monitors and controls (such as those
that monitor flow rates, valve positions, tank levels, etc.), security/safety of the ship-to-port-to-facility-to-
intermodal interface, and systems that control vital cargo machinery at the ship/shore interface (such as
cranes, manifolds, loading arms, etc.), and passenger/vehicle/cargo security screening equipment.
Vulnerability assessments are generally not funded under PSGP. However, considering the evolving
malicious cyber activity, the relative novelty of cybersecurity as a priority within the program, and the need
to adopt best practices included in the voluntary Cybersecurity Framework, vulnerability assessments may
be funded as contracted costs. Port-wide assessments are eligible and must demonstrate that the assessment
includes port area partners and are necessary to be completed as a single project to ensure a comprehensive
evaluation of port area cyber security vulnerabilities. Personnel costs (other than M&A) are not an
allowable expense for conducting these assessments.
CISA offers free resources to assist with initial assessments, please see https://www.cisa.gov/cyber-
resource-hub for additional information. Applicants are encouraged to utilize free resources prior to
requesting funds under this program.
Copies of completed cybersecurity assessments funded under PSGP that impact the maritime
transportation system, lead to a “transportation security incident” (as that term is defined under 46
U.S.C. § 70101(6)), or are otherwise related to systems, personnel, and procedures addressed by the
PSGP Program Appendix | 2023 Page G-10
facility and vessel plan shall be made available to FEMA and/or the local COTP upon request. The
results of these cybersecurity assessments may be designated as Sensitive Security Information (SSI) and
may be used to inform national maritime cybersecurity assessments.
Where a vulnerability assessment has been completed either through contracts or qualified personnel to
identify existing gaps and required mitigation efforts, mitigating projects may be funded that include
purchase of equipment, software, and infrastructure designed to harden cybersecurity. Specific questions on
conducting vulnerability assessments should be referred to the respective FEMA Preparedness Officer.
Capital (Construction) Projects Guidance
Recipients must obtain written approval from FEMA prior to the use of any PSGP funds for construction or
renovation projects. Additionally, PSGP funding may not be used to construct buildings or other physical
facilities that are not constructed under terms and conditions consistent with the requirements of section
611(j)(9) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. § 5196(j)(9))
(the Stafford Act),3 which requires compliance with the Davis-Bacon Act (codified as amended at 40 U.S.C.
§§ 3141 et seq.) for PSGP funded projects. Grant recipients must ensure that their contractors or
subcontractors for construction projects pay workers no less than the prevailing wages for laborers and
mechanics employed on projects of a character similar to the contract work in the civil subdivision of the
state in which the work is to be performed. Additional information regarding compliance with the Davis-
Bacon Act, including Department of Labor wage determinations, is available at
http://www.dol.gov/whd/govcontracts/dbra.htm.
The following types of construction and renovation projects are allowable under PSGP, provided they
address a specific vulnerability or need identified in AMSP or otherwise support the
maintenance/sustainment of capabilities and equipment acquired through PSGP funding:
•Maritime Command and Control Centers;
•Interagency Operations Centers (IOCs) for maritime security;
•Port Security Emergency Communications Centers;
•Buildings to house generators that support maritime security risk mitigation;
•Maritime security risk mitigation facilities (e.g., dock house, ramps, and docks for existing port
security assets);
•Hardened security fences/barriers at access points;
•Any other building or physical facility that enhances access control to the port/MTSA facility area;
and
•PSGP funding may be used to purchase and/or upgrade a barge to support a staging area for
maritime/port security patrols or maritime security risk mitigation responses. (Certain areas
throughout the Nation may require a barge that can be permanently anchored or moored in certain
areas to support maritime security risk mitigation activities.).
To be considered eligible for funding, the construction of fusion centers, operations centers, or
communications centers must offer a port wide benefit and support information sharing and operational
coordination among regional interagency and other port security partners. Applicants are reminded that the
period of performance is 36 months. Eligible costs for construction or renovation projects may not exceed
$1 million (federal share) per project, which may not exceed 10% of the total amount of the award, as stated
3 While the Maritime Transportation Security Act of 2002, as amended at 46 U.S.C. § 70107(b)(2), requires that such
activities are carried out consistent with Section 611(j)(8) of the Stafford Act, a subsequent amendment to the Stafford
Act by section 3 of Pub. L. No. 109-308 in 2006 redesignated the text of Section 611(j)(8) to 611(j)(9). The cross-
reference in the Maritime Transportation Security Act of 2002 has not been updated.
PSGP Program Appendix | 2023 Page G-11
in 46 U.S.C. § 70107(b)(2)(A) and (B) (Section 102 of the Maritime Transportation Security Act of 2002,
Pub. L. 107-295, as amended). Grant recipients are not permitted to use PSGP funds for construction
projects that are eligible for funding under other federal grant programs. PSGP funds may only be used for
construction activities directly related to maritime security risk mitigation enhancements.
All construction or renovation projects require Environmental Planning and Historic Preservation (EHP)
review. The recipient is also encouraged to have completed as many steps as possible for a successful EHP
review in support of their proposal for funding (e.g., coordination with the relevant Historic Preservation
Office to identify potential historic preservation issues and to discuss the potential for project effects;
compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an
Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01,
Revision 01, EHP Directive and Instruction, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must
also be identified to the FEMA HQ Preparedness Officer within the first six months of the award, regardless
of the length of the period of performance. Completed EHP review materials for construction and
renovation projects must be submitted no later than 12 months before the end of the period of performance.
EHP policy guidance and the EHP Screening Form can both be found on FEMA.gov. EHP review materials
should be sent to gpdehpinfo@fema.dhs.gov.
Training and Awareness Campaigns
Training and Awareness Campaigns address the Soft Targets/Crowded Places; Cybersecurity; and
Training and Awareness Campaign Priorities.
Training
Port areas should assess their training and qualification requirements and coordinate training needs and
qualification requirements of incident response personnel. Funding for personnel training is limited to those
courses that are essential to enhance maritime security. A listing of courses that are currently approved for
PSGP funding is included in the table below.
Some training activities require EHP Review, including exercises, drills or trainings that require any type of
land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities
designed to conduct training and exercises. Additional information on training requirements and EHP review
can be found online at Environmental & Historic Preservation Grant Preparation Resources | FEMA.gov.
Funding for training courses not listed in Table 3 may be permitted on a case-by-case basis depending on
the specific maritime security risk mitigation training needs of the eligible PSGP applicant. In such cases,
an applicant will be required to explain in the IJ why none of the approved courses referenced in Table 3
satisfy the identified training need and must submit detailed course information for review and
consideration by the local COTP field review team and the Nation Review Panel.
Further, in accordance with 46 U.S.C. § 70107(c)(2)(C), no cost share is required to train public safety
personnel in the enforcement of security zones under section 46 U.S.C. § 70132 or assisting the
enforcement of such security zones. Per 46 U.S.C. § 70132(d), the term “public safety personnel” includes
any federal, state (or political subdivision thereof), territorial, or tribal law enforcement officer, firefighter,
or emergency response provider
Training denoted with an asterisk (*) in the table below is exempt from cost share only to train public safety
personnel who enforce security zones. Additional training of public safety personnel may be exempt if
specifically identified by the COTP as exempt and necessary for enforcement or the assistance of
enforcement of security zones as specified by 46 U.S.C. § 70132. Requests that fail to include a cost
share for training that is not exempt from cost share requirements as outlined in 46 U.S.C. § 70132
PSGP Program Appendix | 2023 Page G-12
will not be considered for funding. Training for public safety personnel who do not provide enforcement
of security zones are not exempt from cost share. Training rosters and certificates must be provided to
FEMA upon request. Please consult your COTP prior to requesting cost share exempt training for
enforcement of security zones. Refer to Section C.4 of the NOFO for more specific cost share information
for that specific year’s requirements.
Seminars and workshops are not considered “Training”, however applicants wishing to host seminars or
workshops with PSGP funding may be eligible for funding following the criteria set forth in the “Exercise”
section of this guidance.
Table 3: Approved PSGP Training Courses
National Training and Education Division
Course Number Course Name
AWR-144 Port and Vessel Security for Public Safety and Maritime Personnel
AWR-213 Critical Infrastructure Security and Resilience Awareness
AWR-366-W Developing a Cyber Security Annex for Incident Response
MGT-335 Event Security Planning for Public Professionals
MGT-335-W Event Security Planning for Public Professionals, Web Based
MGT-400 Master of Arts Degree in Homeland Security
MGT-425 Homeland Security Executive Leaders Program (ELP)
MGT-452 Physical and Cybersecurity for Critical Infrastructure
MGT-456 Integration of Cybersecurity Personnel into the Emergency Management
Operations Center for Cyber Incidents
PER-330 The Surface Transportation Emergency Preparedness and Security for Mass
Transit and Passenger Rail (STEPS-PT)
PER-331 Surface Transportation Emergency Preparedness and Security for Senior
Officials or Administrators (STEPS Sr)
Federal-Sponsored
Course Number Course Name
DHS-006-PREV Seaport Security Anti-Terrorism Training Program (SSATP)
DHS-011-PREV Maritime PRND Operations Course
DHS-016-PREV Protective Measures Training for Security Officers, Mid-Level
Safety/Security Supervisors, and Property Managers
*DHS-011-PROT NASBLA BOAT Tactical Operators Course
*DHS-009-PROT Boat Operator's Anti-Terrorism Training
DHS-126-RESP NASBLA BOAT Crew Member Course
*DHS-128-RESP NASBLA - Pursuit and Stop Course
State-Sponsored
Course Number Course Name
CA-006-PREV Maritime Company, Vessel, and Facility Security Officer
CA-007-PREV Basic Maritime Security Awareness
CA-008-PREV Basic First Responder Operational Maritime Security (FROMS)
CA-015-RESP Maritime Facility Security Officer
CA-020-RESP WMD & Terrorism Awareness for Security Professionals
ME-001-PROT Maritime Security Awareness for Military, First Responder and Law
Enforcement Personnel
ME-002-PROT Command Strategies and Tactics for Marine Emergencies
*ME-003-PROT Tactical Boat Operations for Maritime Security and LE Personnel
ME-002-RESP Emergency Medical Operations in the Maritime Domain
NJ-003-PREV Government Agency Maritime Security Awareness Program (GAMSAP)
PSGP Program Appendix | 2023 Page G-13
NJ-015-PREV Security Awareness & Vigilance for Everyone
NY-001-PREV Maritime Infrastructure Protection
NY-001-PROT Safe Boat Operators
*NY-002-PREV Tactical Escorts and Security Zones
NY-002-PROT Pattern Line Search/Recovery Course
NY-004-RESP Vehicle Borne Improvised Explosive Device Security Checkpoint
Federal Law Enforcement Training Center (FLETC)
Course Number Course Name
*MTOTP Marine Law Enforcement Training Program
IBOT Inland Boat Operator’s Training
ENTP Electronic Navigation Training Program
*BOAT Boat Operator’s Anti-Terrorism Training Program
*MLETP Marine Law Enforcement Training Program
*CVBTP Commercial Vessel Boarding Training Program
*SSATP Seaport Security Anti-Terrorism Training Program
Exercises
Exercise activities address the Soft Targets/Crowded Places; Cybersecurity; and Exercises Priorities.
Exercises funded under the PSGP typically include Seminars, Workshops, Tabletop, Functional, Drills, and
Full-Scale exercises. PSGP-funded exercises must have a maritime security focus and include applicable
documentation, after action reports, and improvement plans. See below for additional information.
Maritime entity training needs and qualification requirements of incident response personnel should be
regularly tested through emergency exercises and drills. Exercises must test operational protocols that
would be implemented in the event of a terrorist attack in the maritime environment in accordance with the
Area Maritime Security Training Exercise Program (AMSTEP) or the TSA Intermodal Security Training
Exercise Program (I-STEP) guidelines. AMSTEP or I-STEP exercises will follow the latest change in
requirements contained in the Navigation and Inspection Circular (NVIC) 09-02. Exercises must be
designed, developed and conducted consistent with the Homeland Security Exercise and Evaluation
Program (HSEEP). Funding used for exercises will only be permitted for those exercises that are in direct
support of a MTSA-regulated facility or a port area’s MTSA-required exercises (see 33 C.F.R. § 105.220
for a facility and 33 C.F.R. § 103.515 for the AMSP). These exercises must be coordinated with the COTP
and AMSC and be consistent with HSEEP. More information on HSEEP may be found at
https://www.fema.gov/emergency-managers/national-preparedness/exercises/hseep.
Some exercise activities require EHP Review, including exercises, drills or trainings that require any type of
land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities
designed to conduct training and exercises. Additional information on training requirements and EHP review
can be found online at Environmental & Historic Preservation Grant Preparation Resources | FEMA.gov.
Recipients are required to submit an After-Action Report/Improvement Plan (AAR/IP) for each PSGP-
funded exercise to hseep@fema.dhs.gov, and the appropriate local COTP no later than 90 days after
completion of the exercise conducted within the PSGP period of performance (POP). Recipients are
reminded of the importance of implementing corrective actions iteratively throughout the progressive
exercise cycle. Recipients are required to use the HSEEP AAR/IP template located at
https://preptoolkit.fema.gov/web/hseep-resources/improvement-planning.
PSGP Program Appendix | 2023 Page G-14
Recipients of PSGP funding for exercises should verify in progress reports the completion of the
exercise(s), after-action report(s), improvement plan(s), and notifications made to hseep@fema.dhs.gov and
the COTP.
PSGP funds may be used for the following exercise activities:
Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. This includes costs related to
planning, meeting space, and other meeting costs, facilitation costs, materials and supplies, travel, and
documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate
capabilities, and assess progress toward meeting capability targets in a controlled, low risk setting. Any
shortcoming or gap identified, including those for children and individuals with disabilities or other access
and functional needs, should be identified in an effective corrective action program that includes
development of improvement plans that are dynamic documents, with corrective actions continually
monitored and implemented as part of improving preparedness through the exercise cycle.
Hiring of Full- or Part-Time Staff or Contractors/Consultants. Full- or part-time staff may be hired to
support exercise-related activities. Hiring of contractors/consultants must follow the applicable federal
procurement requirements at 2 C.F.R. §§ 200.317-200.327. Such costs must be included within the funding
allowed for program management personnel expenses, which must not exceed 10% of the total allocation.
Dual compensation is never allowable, meaning, in other words, that an employee of a unit of government
may not receive compensation from his or her unit or agency of government and from an award for a single
period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both entities. Personnel
hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses
are for the allowable activities within the scope of the grant.
Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to
backfilling personnel that are the direct result of time spent on the design, development and conduct of
exercises are allowable expenses. These costs are allowed only to the extent the payment for such services
is in accordance with the policies of the state or unit(s) of local government and has the approval of the state
or the awarding agency, whichever is more restrictive. Dual compensation is never allowable.
Travel. Domestic travel costs are allowable as expenses by employees who are on travel status for official
business related to the planning and conduct of exercise project(s). International travel costs are not
permitted.
Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct
of the exercise project(s) (e.g., gloves, non-sterile masks, and disposable protective equipment).
Other Items. These costs include the rental of space/locations for exercise planning and executing, rental of
equipment, etc. Recipients are encouraged to use free public space, locations, or facilities, whenever
available, prior to the rental of space, locations, or facilities. These also include costs that may be associated
with inclusive practices and the provision of reasonable accommodations and modifications to provide full
access for children and adults with disabilities.
The National Exercise Program (NEP) serves as the principal exercise mechanism for examining national
preparedness and measuring readiness. Recipients are strongly encouraged to nominate exercises into the
NEP. For additional information on the NEP, please refer to http://www.fema.gov/national-exercise-
program.
PSGP Program Appendix | 2023 Page G-15
Management and Administration (M&A)
M&A costs are allowed under this program. M&A costs are activities directly related to managing and
administering the award. Recipients may use up to 5% of the amount of the award for their M&A. PSGP
funds may be used for the following M&A costs:
•Hiring full-time or part-time staff, including contractors and consultants, to execute the following:
o Management of the awarded fiscal years’ PSGP award;
o Design and implementation of the awarded fiscal years’ PSGP submission meeting
compliance with reporting/data collection requirements, including data calls;
o Information collection and processing necessary to respond to FEMA data calls;
o Travel expenses related to PSGP grant administration; and
o Acquisition of authorized office equipment, including personal computers or laptops for
PSGP M&A purposes.
Allowable Indirect Costs
Indirect costs are allowable under this program. See the “Procedures for Establishing Indirect Cost Rates”
Section in “Pre-Submission Information” for more information.
Unallowable Costs
Projects that do not provide a compelling maritime security benefit or have a direct nexus toward maritime
security risk mitigation are not permitted. For example, projects that are primarily for economic or safety
benefit (as opposed to having a direct maritime security risk mitigation benefit) are ineligible for PSGP
funding. In addition, projects that provide a broad homeland security benefit (e.g., a communication system
or fusion center for an entire city, county, state, etc.) as opposed to providing primary benefit to the port are
ineligible for PSGP funding since these projects should be eligible for funding through other preparedness
grant programs. The following projects and costs are considered ineligible for award consideration:
•Grant funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment
Under FEMA Awards, and may not be used for the purchase of the following equipment:
firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles
of any kind with weapons installed;
•Projects in which federal agencies are the primary beneficiary or that enhance federal property,
including sub-components of a federal agency;
•Projects that study technology development for security of national or international cargo supply
chains (e.g., e-seals, smart containers, container tracking or container intrusion detection devices);
•Proof-of-concept projects;
•Development of training;
•Projects that duplicate capabilities being provided by the Federal Government (e.g., vessel traffic
systems);
•Business operating expenses (certain security-related operational and maintenance costs are
allowable—see “Maintenance and Sustainment” and “Operational Costs” for further guidance);
•Transportation Worker Identification Credential (TWIC) card fees;
•Reimbursement of pre-award security expenses;
•Outfitting facilities, vessels, or other structures with equipment or items providing convenience
rather than a direct security benefit. Examples of such equipment or items include but are not
limited to office furniture, CD players, DVD players, AM/FM radios, TVs, stereos, entertainment
satellite systems, entertainment cable systems and other such entertainment media, unless sufficient
justification is provided. This includes weapons and associated equipment (i.e., holsters, optical
PSGP Program Appendix | 2023 Page G-16
sights, and scopes), including but not limited to, non-lethal or less-than-lethal weaponry including
firearms, ammunition, and weapons affixed to facilities, vessels, or other structures;
•Standard issue uniforms (other than maritime security personal protective equipment [PPE]);
•Expenditures for items such as general-use software, general-use computers, and related equipment
(other than for allowable M&A activities, or otherwise associated) preparedness or response
functions), general-use vehicles and licensing fees;
•Land acquisitions and right of way purchases;
•Funding for standard operations vehicles utilized for routine duties, such as patrol cars and fire
trucks;
•Fuel costs (except as permitted for training and exercises);
•Exercise(s) that do not support maritime security preparedness efforts;
•Patrol vehicles and firefighting apparatus, other than those CBRNE detection equipped vehicles for
port area and/or facility patrol or response purposes;
•Specialty vehicles such as trucks for towing boat trailers/equipment and armored personnel carriers;
•Providing protection training to public police agencies or private security services to support
protecting VIPs or dignitaries;
•Aircraft pilot training, including aircraft operations such as aircraft ditch training;
•Post incident investigation training;
•Basic or advanced dive training (except marine unit CBRNE detection/response dive training);
•Training for personnel not primarily assigned to maritime security activities or MTSA require d
security personnel (e.g., vessel patrol officers, facility security officers); and
•Reimbursement for the maintenance and wear and tear costs of general use vehicles (e.g.,
construction vehicles) and emergency response apparatus (e.g., fire trucks, ambulances, repair, or
cleaning of PPE, etc.).
Maintenance and Sustainment Costs
The use of FEMA preparedness grant funds for maintenance contracts or agreements, warranty coverage,
repair or replacement costs, licenses, upgrades, and user fees are allowable under all active and future grant
awards, unless otherwise noted. These contracts may exceed the period of performance if they are
purchased incidental to the original purchase of the system or equipment as long as the original purchase of
the system or equipment is consistent with that which is typically provided for, or available through, these
types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an
existing maintenance contract on an already-owned piece of equipment system, coverage purchased may
not exceed the period of performance of the award used to purchase the maintenance agreement or
warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well.
Under PSGP, maintenance and sustainment is focused specifically on the repair and replacement of existing
equipment and does not include routine activities such as oil changes or washing/cleaning existing
equipment. For example, an IJ for a camera system maintenance contract should detail the number of
cameras the applicant anticipates repairing/replacing during the period of performance (i.e., the port
operates 100 cameras and typically replaces 10% of the system each year, funding is for the replacement of
30 cameras over the 3-year period of performance.
Grant funds are intended to support the National Preparedness Goal and fund projects that build and sustain
the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover
from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the
ability to meet this objective, the policy set forth in IB 379: Guidance to State Administrative Agencies to
Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for the expansion of eligible
maintenance and sustainment costs that must be in (1) direct support of existing capabilities; (2) must be an
otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core
PSGP Program Appendix | 2023 Page G-17
capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also be in support
of equipment, training, and critical resources that have previously been purchased with either federal grant
or any other source of funding other than FEMA preparedness grant program dollars.
Port-Wide Risk Management Plans
Port areas with existing PRMPs are encouraged to maintain their PRMPs and use them to identify projects
that will serve to address remaining maritime security vulnerabilities. These ports are also encouraged to
develop or maintain a BCRTP. For purposes of regional strategic and tactical planning, these plans must
take into consideration all port areas covered by their AMSP, align with the port area’s AMSP, consider the
entire port system strategically as a whole, and identify actions designed to effectively mitigate security
risks associated with the system’s maritime critical infrastructure and key resources.
Additional Port Security Resources
•U.S. Department of Transportation “BUILD” g rants for National Infrastructure Investments may
include funding to support roads, bridges, transit, rail, ports, or intermodal transportation, see
https://www.transportation.gov/BUILDgrants
•Cybersecurity assessments may be available via CISA, see https://www.cisa.gov/cyber-resource-
hub
Sample Memorandum of Understanding/Agreement (MOU/MOA)
The sample MOU/MOA below demonstrates all of the elements required in the PSGP NOFO for
acceptance for review as part of a grant application from a state or local agency providing security services
to MTSA-regulated entities.
PSGP Program Appendix | 2023 Page G-18
PSGP Investment Modifications
The purpose of the grant award is to implement projects pursuant to the authorities at 46 U.S.C. § 70107.
Under extreme circumstances, a recipient may reallocate award funds from one project to another with prior
written approval from FEMA, and in a manner consistent with 2 C.F.R. § 200.308 as long as it does not
change the overall scope or objective of the award. Circumstances include, but are not limited to, an
inability to complete the original project, disaster events perpetuating an immediate need to reprioritize
funds, and changes in regulatory requirements. A recipient must explain the deviation from the original
project, including why it is deviating from or scaling down the original project, and what specific
circumstances that occurred after the time of its award that necessitate the reallocation request, in its
reallocation request. The recipient must also identify how the reallocation request aligns with PSGP
priorities and the recipient’s original application and the award’s scope of work. Due to legal limitations,
reallocation requests that would change the scope of the overall project(s) are not permitted. FEMA will
also coordinate such reallocation requests with the USCG COTP, and these requests must be verified and
supported by the COTP as essential in addressing Port Area priorities. Please also see Section C.4 of this
NOFO regarding cost share requirements, including the implications if the project costs are less than what
was applied for.
Memorandum of [Understanding / Agreement]
Between [provider of layered security] and [recipient of layered security]
Regarding [provider of layered security’s] Use of Port Security Grant Program Funds
1.PARTIES. The parties to this Agreement are the [Provider of Layered Security] and the [Recipient of security
service].
2.AUTHORITY. This Agreement is authorized under the provisions of [applicable Area Maritime Security
Committee (AMSC) authorities and/or other authorities].
3.PURPOSE. The purpose of this Agreement is to set forth terms by which [Provider of security service] shall
expend Port Security Grant Program project funding in providing security service to [Recipient of security
service]. Under requested PSGP grant, the [Provider of security service] must provide layered security to
[Recipient of security service] consistent with the approach described in an approved grant application.
4.RESPONSIBILITIES: The security roles and responsibilities of each party are understood as follows:
(1) [Recipient of security service]
Roles and responsibilities in providing its own security at each MARSEC level
(2) [Provider of security service]
[-An acknowledgement by the facility that the applicant is part of their facility security plan.]
[-The nature of the security that the applicant agrees to supply to the regulated facility (waterside
surveillance, increased screening, etc.).]
[-Roles and responsibilities in providing security to [Recipient of security service] at each MARSEC level.]
5.POINTS OF CONTACT. [Identify the POCs for all applicable organizations under the Agreement; including
addresses and phone numbers (fax number, e-mail, or internet addresses can also be included).]
6.OTHER PROVISIONS. Nothing in this Agreement is intended to conflict with current laws or regulations of
[applicable State] or [applicable local Government]. If a term of this agreement is inconsistent with such
authority, then that term shall be invalid, but the remaining terms and conditions of this agreement shall remain
in full force and effect.
7.EFFECTIVE DATE. The terms of this agreement will become effective on [EFFECTIVE DATE].
8.MODIFICATION. This agreement may be modified upon the mutual written consent of the parties.
9.TERMINATION. The terms of this agreement, as modified with the consent of both parties, will remain in
effect until the grant end dates for an approved grant. Either party upon [NUMBER] day’s wr itten notice to the
other party may terminate this agreement.
APPROVED BY: Organization and Title
EMPG Program Appendix | 2023 Page H-1
Program Appendix H:
Emergency Management Performance Grant Program
As a reminder, while this appendix contains Emergency Management Performance Grant (EMPG)
Program-specific information and requirements, the main content of this Manual (non-appendix
information) contains important information relevant to all preparedness grant programs, including the
EMPG Program.
NOTE: An “EMPG Requirements Matrix” is provided at the end of this Appendix. It is intended to serve as
a useful reference for grant recipients and subrecipients by capturing all of the various programmatic and
financial requirements associated with the FY 2023 EMPG Program.
EMPG Program Priorities
The national priorities for the FY 2023 EMPG Program are:
•Equity
•Climate Resilience
•Readiness
These priorities correspond directly to goals outlined in the 2022-2026 FEMA Strategic Plan. All EMPG
Program recipients are encouraged to review the strategic plan and consider how FY 2023 EMPG Program
funding can be used to support the Plan’s goals and objectives as they apply to the state/territory’s specific
needs and the needs of the whole community. The national priorities are explained in further detail in the
FY 2023 EMPG Program Notice of Funding Opportunity (NOFO).
Alignment of the EMPG Program to the National Preparedness System
The EMPG Program contributes to the implementation of the National Preparedness System by supporting
the building, sustainment, and delivery of core capabilities. Core capabilities are essential for the execution
of critical tasks for each of the five mission areas outlined in the National Preparedness Goal (the Goal).
The EMPG Program’s allowable costs support efforts to build and sustain core capabilities across the
Prevention, Protection, Mitigation, Response, and Recovery mission areas described in the Goal.
FEMA requires recipients to prioritize grant funding to demonstrate how EMPG Program-funded
investments support 1) building or sustaining those capabilities that are identified as high priority through
the Threat and Hazard Identification and Risk Assessment (THIRA)/Stakeholder Preparedness Review
(SPR) process and other relevant information sources, such as: i) after-action reports (AARs) following
exercises or real-world events; ii) audit and monitoring findings; iii) Hazard Mitigation Plans; and/or iv)
other deliberate planning products; and 2) closing capability gaps that are identified in the state or
territory’s most recent SPR. To better understand the relationship between building capabilities and closing
capability gaps, refer to Comprehensive Preparedness Guide (CPG) 201: Threat and Hazard Identification
and Risk Assessment (THIRA) and Stakeholder Preparedness Review (SPR) Guide.. In advance of issuing
the FY 2023 EMPG Program awards, FEMA Regional Administrators will identify individual regional
priorities based on their unique knowledge of each region’s preparedness and emergency ma nagement
needs and will share those priorities with the states and territories within their region. The final priorities
will be identified and mutually agreed to by the state/territory and Regional Administrator through a
collaborative negotiation process. Ideally, all EMPG Program-funded projects, as outlined in the approved
FY 2023 EMPG Program Work Plan, will support the priorities identified through this collaborative
approach. See the EMPG Program Work Plan section for additional guidance.
EMPG Program Appendix | 2023 Page H-2
FEMA continues to place emphasis on capabilities that address the greatest risks to the security and
resilience of the United States. When applicable, funding should support deployable assets that can be used
anywhere in the Nation through automatic assistance and mutual aid agreements, including, but not limited
to, the Emergency Management Assistance Compact. The EMPG Program supports investments that
improve the ability of jurisdictions nationwide to:
•Prevent a threatened or an actual act of terrorism;
•Protect our citizens, residents, visitors, and assets against the greatest threats and hazards;
•Mitigate the loss of life and property by lessening the impact of future disasters;
•Respond quickly to save lives, protect property and the environment, and meet basic human needs
in the aftermath of a catastrophic incident; or
•Recover through a focus on the timely restoration, strengthening, and revitalization of
infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic,
and environmental fabric of communities affected by a catastrophic incident.
The core capabilities contained in the Goal are highly interdependent and require the use of existing
preparedness networks and activities to improve training and exercise programs, innovation, and
appropriate administrative, finance, and logistics systems.
Implementation of the National Preparedness System
Identifying and Assessing Risk and Estimating Capability Requirements
By December 31, 2022, recipients were required to complete a THIRA/SPR that addresses all 32 core
capabilities and is compliant with Comprehensive Preparedness Guide (CPG) 201, Third Edition.
Recipients are required to submit a THIRA every three (3) years to establish a consistent baseline for
assessment. 2022 is the start of the new 3-year THIRA/SPR cycle and baseline assessment year for existing
recipients. Any new grant recipients during calendar year 2023, for which the THIRA/SPR requirement
applies, will start their new 3-year THIRA/SPR cycle and baseline assessment year in 2023. Specific
guidance on the requirements for each core capability is provided through program implementation support
and supplemental guidance, as some core capabilities have fewer reporting requirements than others.
Recipients must continue to respond to a series of planning-related questions as part of the THIRA/SPR
process.
While the THIRA is only required every three years, jurisdictions are required to submit an SPR annually.
The submission deadline is December 31st each year (as applicable). For additional guidance on the
THIRA/SPR, please refer to Comprehensive Preparedness Guide (CPG) 201, Third Edition. Recipients are
also encouraged to refer to the Preparedness Toolkit, which is an online portal that provides the whole
community with tools to aid in implementing all six areas of the National Preparedness System.
Reporting:
•All EMPG Program recipients are required to submit a Biannual Strategy Implementation Report
(BSIR) no later than 30 days after the end of each semi-annual reporting period. The BSIR is
submitted via the Grants Reporting Tool (GRT).
o For the reporting period January 1-June 30, the BSIR is due no later than July 30
o For the reporting period July 1-December 31, the BSIR is due no later than January 30
•In each EMPG Program recipient’s Performance Progress Report (PPR), submitted via ND Grants
on a quarterly basis, the recipient must describe how expenditures support building capability,
closing capability gaps, or sustaining capabilities identified in the THIRA/SPR process. EMPG
Program recipients will, on a project-by-project basis, check one of the following:
EMPG Program Appendix | 2023 Page H-3
o Building a capability with EMPG Program funding; or
o Sustaining a capability with EMPG Program funding.
Building and Sustaining Core Capabilities
Recipients must describe how proposed EMPG Program-funded projects will close capability gaps or
sustain capabilities identified through the THIRA/SPR process, particularly SPR Step 2 (see
Comprehensive Preparedness Guide (CPG) 201, Third Edition), or other relevant information sources that
identify capability needs. See EMPG Program Work Plan section for additional guidance and
requirements.
National Incident Management System (NIMS) Implementation
EMPG Program recipients and subrecipients are required to implement NIMS. NIMS guides all levels of
government, nongovernmental organizations (NGO), and the private sector to work together to prevent,
protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the
whole community with the shared vocabulary, systems, and processes to successfully deliver the
capabilities described in the National Preparedness System. EMPG Program recipients must use
standardized resource management concepts for resource typing, credentialing, and an inventory to
facilitate the effective identification, dispatch, deployment, tracking, and recovery of resources.
EMPG Program funds may be used for NIMS implementation; specifically, to meet the requirements
described in the NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions.
This document should be used as a guide for both identifying NIMS implementation objectives and needs
and as a tool for evaluating NIMS compliance. Additional information about NIMS implementation is
available at NIMS Implementation and Training.
Reporting:
•Recipients will answer questions in the applicable secondary NIMS assessment portion of the
Unified Reporting Tool (URT) as part of a jurisdiction’s THIRA/SPR submission. This involves
reporting on the status of the qualification system used within the jurisdiction and sub-jurisdictions,
as outlined in the EMPG Program NOFO.
•Reporting will also be through a review by the FEMA Regional NIMS Coordinators during annual
technical assistance visits with the states, tribes, and territories within their regions.
National Qualifications System (NQS) Implementation
For FY 2023, as a post-award requirement, all recipients in the 50 states and District of Columbia must
work towards achieving the Phase 1 NQS Implementation Objectives outlined in the table below and must,
at a minimum, execute the Implementation Plan they developed last year as part of the Phase 0 NQS
Implementation Objectives. Jurisdictions that began implementation in FY 2023 shall have designed and
adopted organizational qualification system procedures, a certification program and credentialing standards
for incident workforce personnel in alignment with the NIMS Guideline for the National Qualification
System. All other jurisdictions (including territories and FY 2023 EMPG Program subrecipients) are
required to work toward implementation of NQS by developing an Implementation Plan, using the FEMA-
provided two-page template referenced in the table below.
For all states and territories, the following requirements shall apply:
•At a minimum, only EMPG Program-funded deployable personnel, as determined by each
recipient organization, will be required to meet NQS certification requirements.
EMPG Program Appendix | 2023 Page H-4
•Recipients and subrecipients will be considered in compliance with the NQS requirements as long
they are working towards implementing the NQS Implementation Objectives as outlined in the
table below.
•The expected completion date for each phase of the NQS Implementation Objectives is December
31 of the applicable calendar year (CY).
Additional NQS Implementation Guidance can be found at: National Qualification System Supplemental
Documents | FEMA.gov.
NQS Implementation Phase Objectives
Phase 0: NQS Implementation Objectives for
CY 2022
Example Indicators
▪Only the 50 States, the District of Columbia and
Puerto Rico shall work toward implementation
of NQS by developing an Implementation Plan,
using the FEMA-provided two-page template.
▪The Implementation Plan will identify a
jurisdiction’s timeline for implementing NQS
by CY 2025.
▪All other jurisdictions are encouraged to begin
working toward identifying, at a minimum,
frequently deployed positions and
implementation but will not be required until
CY 2023.
▪Completion of a jurisdiction implementation
plan.
▪Identification of implementation challenges.
Phase 1: NQS Implementation Objectives for
CY 2023 Example Indicators
▪All jurisdictions shall work toward
implementation of NQS by developing an
Implementation Plan, using the FEMA-
provided two-page template.
▪Jurisdictions that began implementation in CY
2022 shall have designed and adopted
organizational qualification system procedures,
a certification program and credentialing
standards for incident workforce personnel in
alignment with the NIMS Guideline for the
National Qualification System.
▪Completion of a jurisdiction implementation
plan.
▪Identification of implementation challenges.
▪Qualification policies and procedures approved
by the jurisdiction. Procedures may include:
−Establishment of a Qualification Review
Board, or equivalent review processes for
incident workforce personnel qualifications.
−Individual and team coach and evaluation
processes for incident workforce personnel
qualifications.
EMPG Program Appendix | 2023 Page H-5
Phase 2: NQS Implementation Objectives for
CY 2024 Example Indicators
▪All jurisdictions shall have designed and
approved organizational qualification system
procedures, certification program and
credentialing standards for incident workforce
personnel in alignment with the NIMS
Guideline for the National Qualification
System.
▪Jurisdictions that began implementation in CY
2022 shall have issued position task books
(PTBs) to incident workforce personnel, as
designated by the jurisdiction, and ensure
incident workforce personnel show progress in
working towards task endorsements and
minimum training requirements.
▪In CY 2024, all jurisdictions partially satisfy the
requirement by ensuring incident workforce
personnel, which they designate, meet the
minimum training requirements from the Job
Title/Position Qualification.
▪Jurisdictions shall use a resource management
or qualification tool system to track the
qualification, certification and credentialing of
incident workforce personnel.
▪Qualification policies and procedures approved
by the jurisdiction.
▪Minimum criteria that trainees must meet to be
qualified in a specific position is outlined in the
NQS Job Title/Position Qualification.
▪PTB issuance and completion data.
▪Adoption of a resource management system
such as OneResponder, which is a web-based
application hosted in a cloud environment. It
allows AHJs to manage qualifications of
personnel.
Phase 3: NQS Implementation Objectives for
CY 2025 Example Indicators
▪All jurisdictions shall have issued PTBs to
incident workforce personnel, which they
designate, and ensure incident workforce
personnel show progress in working towards
task endorsements and minimum training
requirements.
▪PTB issuance and completion data.
Reporting:
Data collection and reporting on NQS implementation will be addressed via the following:
•NIMS secondary assessment questions on the URT. This involves reporting on the status of the
qualification system used within the jurisdiction and sub-jurisdictions.
•NIMS Regional Coordinator Program Guide that allows Regional NIMS Coordinators to review
state NIMS programs by the end of CY 2023.
•Review by the Regional NIMS Coordinators during annual technical assistance visits with the
states, tribes, and territories within their regions.
EMPG Program Appendix | 2023 Page H-6
Logistics Planning
Distribution Management Plans
EMPG Program recipients are required to develop and maintain a Distribution Management (DM) plan as
an annex to their existing Emergency Operations Plan (EOP). Comprehensive Preparedness Guide (CPG)
101 provides guidance on the fundamentals of planning and development of Emergency Operations Plans.
The Distribution Management Plan Guide 2.0 (fema.gov) released in January 2022 provides information on
how to develop the DM plan annex, key DM plan components, how to review and update a DM plan, and
how FEMA reviews and evaluates the plans.
A state/territory should submit its DM Plan as both a Word document and PDF to its FEMA Regional
Grants Division. The maturity level of the plan may vary by state/territory, but the recipient is required to
submit a DM Plan that accurately reflects the state or territory’s current capabilities and capacity to
distribute resources to survivors after a disaster and addresses the following components: Requirements
Defining; Resource Ordering; Distribution Methods; Inventory Management; Transportation; Staging; and
Demobilization.
The DM plan must be reviewed by recipients on an annual basis and updated as necessary by September
30th of each calendar year. In the applicable secondary CPG 101 assessment portion of the online URT,
jurisdictions capture whether they have developed and incorporated a DM plan in their EOP.
•The DM plan should focus on the distribution of commodities and supplies such as food, water,
generators and tarps to survivors following a disaster.
•The DM plan should address strategies/plans for the following:
o Requirements Defining
o Resource Ordering
o Distribution Methods
o Inventory Management
o Staging Areas
o Transportation
o Demobilization
FEMA Regional Logistics Branch staff will work with EMPG Program recipients to provide technical
assistance during the development and maintenance of their DM plans, and to ensure all recipients have
effective DM plans capable of integrating with federal, NGOs, private sector, and state, local, tribal, and
territorial stakeholders during major disasters. Recipients should refer to the following for additional
guidance:
•Information Bulletin (IB) 442, Guidance on Distribution Management Plans for the Fiscal Year
2019 Emergency Management Performance Grants Program; and
•Distribution Management Plan Guidance found at: Planning Guides | FEMA.gov
Additional Logistics Planning Resources
FEMA recommends that EMPG Program recipients use the following resources in developing their DM
plan. To learn more about these programs and documents, or for any questions, please contact the Logistics
Section Chief from your FEMA Region.
•The Logistics Capability Assessment Tool 2 (LCAT2) Flyer: The LCAT2 Flyer provides an
overview of the LCAT2, how it is beneficial, how the LCAT process works, and how to obtain an
LCAT2.
EMPG Program Appendix | 2023 Page H-7
•Points of Distribution (PODs) Training: FEMA Logistics developed a comprehensive POD
training to assist states in developing actionable emergency distribution plans and understanding
associated challenges. Additional information, including an explanatory DVD, POD guide, and
online exam, are available on the Emergency Management Institute’s (EMI) website at FEMA -
Emergency Management Institute (EMI) Course | IS-26: Guide to Points of Distribution.
•Interagency Logistics (IL) Training: This basic IL training course (Interagency Logistics
Training, E8540) familiarizes participants with the IL concepts of planning and response. The
course also provides an overview of IL Partner disaster response organizations, discusses
parameters for logistics support coordination, and creates a whole community forum to exchange
the best logistics practices. Recipients may find more information on this and other courses by
visiting the EMI website Emergency Management Institute | EMI Courses & Schedules (fema.gov).
•Other Logistics Planning Resources: Recipients will find additional planning guidance at:
Planning Guides | FEMA.gov. Specific to logistics planning, Comprehensive Preparedness Guide
(CPG) 101, Version 2.0 provides guidance on how to incorporate logistics into EOPs. Additionally,
the Supply Chain Resilience Guide provides emergency managers with recommendations and best
practices on how to analyze local supply chains and work with the private sector to enhance supply
chain resilience using a five-phased approach.
Funding for Critical Emergency Supplies
Critical emergency supplies—such as shelf stable products, water, and basic medical supplies—are an
allowable expense under the EMPG Program. Each state must have FEMA’s approval of a five-year viable
inventory management plan prior to allocating grant funds for stockpiling purposes. The inventory
management five-year plan should include a distribution strategy and related sustainment costs if the grant
expenditure is over $100,000.
Reporting
Annual DM plan reviews will be reported in the Performance Progress Report (PPR) for the quarter ending
September 30 of the most recently awarded EMPG Program. Reviews that result in an update must be
submitted to the Regional Grants Division Director or Regional EMPG Program Manager for review by
regional logistics staff. The Regional Logistics Staff will review and rate the plans using the latest FEMA
Distribution Management Plan Guide 2.0.
Evacuation Planning
EMPG Program recipients should review and update their EOP in accordance with Comprehensive
Preparedness Guide (CPG) 101 v3, Developing and Maintaining Emergency Operations Plans. Recipients
are highly encouraged to include an evacuation plan or annex as part of their EOP as well as plans to
exercise and validate the evacuation plan and capabilities. At a minimum, recipients should incorporate the
National Response Framework’s Mass Evacuation Incident Annex’s planning cons iderations, and other
FEMA documents related to evacuation planning, when developing their own Evacuation Plan or Annex.
See National Response Framework (NRF), Third Edition (June 2016) and NRF Mass Evacuation Incident
Annex (June 2008). Additional National Preparedness resources are available at: National Preparedness
and Planning Guides. Specific to evacuation planning, the Evacuation and Shelter in Place Guidance
identifies relevant concepts, considerations, and principles that can inform jurisdictions in planning for
evacuation and/or shelter-in-place protective actions.
EMPG Program Appendix | 2023 Page H-8
Disaster Housing Planning
State-Led Disaster Housing Task Force
Based on lessons learned from recent disasters, FEMA strongly encourages EMPG Program recipients to
establish a State-Led Disaster Housing Task Force (SLDHTF) plan as part of their EOP or as a standalone
document and update their plan at least once every two years.
SLDHTFs lead and coordinate state, local, private sector, and community-based actions to assess housing
impacts, identify appropriate post-disaster housing options, and establish processes for expediting post-
disaster housing delivery. SLDHTF plans should clearly identify the roles, responsibilities, composition,
and mobilization procedures for the SLDHTF, and how the SLDHTF integrates into the incident command
structure. To have a successful SLDHTF plan, FEMA encourages recipients to:
•Complete the State Housing Strategy Template; and
•Establish a State Disaster Recovery Coordinator.
State Housing Strategy Template
EMPG Program recipients are strongly encouraged to update their State Housing Strategy using the State
Housing Strategy Template as part of their EOP or as a standalone document. In addition to the State
Housing Strategy Template, recipients are encouraged to define and emphasize sheltering, short term, and
permanent housing planning.
The State Housing Strategy Template helps states identify priorities and document critical, jurisdiction-
specific processes and procedures to promote an efficient disaster housing mission. The template walks
recipients through the following planning considerations as seen in the table below. See the State-
Administered Direct Housing Grant Guide, July 2020 for the template and other supporting information.
State Housing Template Sections and Planning Considerations
Template Section Planning Considerations
SLDHTF Plan
Organization
Participant inclusion, approaches for various types of housing disasters, available
materials, available assistance programs, and sources for surge staffing
Housing
Background
Identifying a jurisdiction’s current housing situation, priorities, capabilities,
challenges, and known risks
Sheltering Phase
Strategy
Identifying planning leads, current resources, timeline, key partners, cross-
jurisdictional agreements, and other risks
Interim Housing
Strategy
Identifying planning leads, current resources and capabilities, known areas of
difficulty, key partners, relocation strategies, and risks
Permanent
Housing Strategy
Identifying planning leads, long-term housing needs and prioritizations, current
resources and capabilities, known areas of implementation challenges, relocation
strategies, and risks
Pre-Disaster
Activities
Creating communication plans, survivor transition plans, mitigation plans, and
program closeout goals
Post-Disaster
Activities
Prioritizing disaster housing recovery activities, creating timelines for project
completion, documenting planned actions for assessing the availability of
affordable housing resources and expediting the delivery of housing by expediting
permitting and waiver processes, establishing an information sharing method,
creating an Environmental Planning and Historic Preservation (EHP) strategy,
EMPG Program Appendix | 2023 Page H-9
Template Section Planning Considerations
identifying potential locations for Manufactured Housing Units and Recreational
Vehicles, and identifying available federal disaster housing assistance
State-Administered Direct Housing Implementation
FEMA encourages states to develop the capacity to administer FEMA Direct Housing Assistance through a
reimbursable Inter-Governmental Service Agreement (IGSA). Under this arrangement, FEMA determines
disaster survivors’ eligibility for specific direct hous ing options and makes all determinations regarding
continuing eligibility, appeals, and eligibility terminations. FEMA also monitors the state’s administration
of approved Direct Housing Options to ensure compliance with federal environmental, historic
preservation, and floodplain management requirements as well as program conditions specified within the
IGSA. States that choose to administer Direct Housing Assistance through an IGSA are required to develop
a Direct Housing Administrative Plan and are encouraged to establish pre-placed contract to support the
delivery of direct housing. Any contracts for this work would need to comply with the federal procurement
requirements at 2 C.F.R. §§ 200.317-200.327. For more information, regarding Direct Housing Assistance,
please visit Chapter 5 of the Individuals and Households Program Unified Guidance and Chapter 3 of the
Individual Assistance Program and Policy Guide (IAPPG).
Disaster Housing Exercises
Recipients are encouraged to exercise and validate their long-term sheltering and housing stabilization plans
as part of an existing exercise program. This includes:
• Validating the organizational structure of the Housing Task Force and internal readiness
capabilities to address post-disaster housing recovery issues or administer FEMA Direct Housing
Assistance under an IGSA
• Validating disaster housing communication plans and procedures that coordinate and integrate the
activities and information generated by internal/external partners
• Validating data systems, security, and exchange protocols
• Validating planned actions and milestones transitioning from emergency sheltering to temporary
housing to permanent housing and long-term recovery
Additional Disaster Housing Planning Resources
Recipients are encouraged to review the planning guidance available at Planning Guides. The Planning
Guides page includes: Planning Considerations: Disaster Housing Guidance for State, Local, Tribal and
Territorial Partners (May 2020), which supplements Comprehensive Preparedness Guide (CPG) 101:
Developing and Maintaining Emergency Operations Plans. It provides guidance on national housing
priorities, types of housing, key considerations and housing-specific planning recommendations for state,
local, tribal and territorial (SLTT) jurisdictions to use, in conjunction with the Six-Step Planning Process
described in CPG 101, to develop or improve disaster housing plans.
State Disaster Recovery Coordinator
The Pre-Disaster Recovery Planning Guide helps states prepare for recovery by developing pre-disaster
recovery plans that follow a process to engage members of the whole community, develop recovery
capabilities, and create an organizational framework for recovery efforts.
FEMA strongly recommends that EMPG Program recipients include pre-disaster recovery planning as part
of their State Readiness and Preparedness efforts by establishing a State Disaster Recovery Coordinator
(SDRC). An effective pre-disaster recovery plan and process is crucial to help recipients prepare for major
disaster incidents and recover effectively. Recipients are encouraged to use the Pre-Disaster Recovery
EMPG Program Appendix | 2023 Page H-10
Planning Guide to help inform their identification and establishment of a SDRC. The SDRC position should
be included in the State Administrative Plan with the following responsibilities:
• Development of the pre-disaster recovery plan, including state-level leadership and structure,
formation of communication channels, multi-agency coordination, and building whole-community
partnerships to support recovery efforts.
• Set the stage for necessary strategic, operational, and tactical post-disaster planning, actions, and
processes.
• Maximize impact of federal, private sector, and nongovernmental dollars to enable recovery and
resilience.
• Accelerate the delivery of resources, including funding and technical assistance, to disaster-
impacted communities.
• Enable state leadership to better organize and identify gaps in the state’s recovery capabilities.
Disaster Financial Management Policies and Procedures
Lessons learned from recent hurricane seasons and wildfires demonstrate the need for impacted
jurisdictions to improve their ability to immediately track and account for disaster costs. Disaster financial
management includes policies and procedures that work to recover expenses pertaining to damage,
emergency protective measures, and debris management during and after a disaster. These policies and
procedures include, but are not limited to, those supporting eligible contract costs and force account labor,
materials, and equipment.
State Administrative Plan
FEMA strongly recommends that EMPG Program recipients include disaster financial management
planning as part of their State Administrative Plan. An effective disaster financial management plan and
process is crucial to help recipients prepare for declarations of emergencies or major disasters and plan for
reimbursement. The table below details the processes that should be included in the State Administrative
Plan and recommendations on where they should be placed.
State Administrative Plan Guidance
State Administrative Plan
Section Recommendations Processes
• Section V Part D: Project
Funding and Reimbursement
• Section V Part G: Records
and Reports
• A process to ensure subrecipients are tracking and
documenting disaster costs necessary for federal
reimbursement, such as receipts, invoices, procurement
documents, contracts, and insurance coverage/claims
• Section V Part D: Project
Funding and Reimbursement
• Section V Part G: Records
and Reports
• A process to document disaster cost operations such as labor,
equipment, and materials that are allowable under federal
requirements
• Section V Part D: Project
Funding and Reimbursement
• A process to ensure that subrecipients are not receiving a
duplication in benefits
• Section IV Part B:
Organization and Staffing
• A process to ensure pre-disaster contracts and procurement
strategies are in place, if necessary
Additionally, recipients are encouraged to use EMPG Program funds for training that develops, delivers,
and exercises disaster financial management procedures.
EMPG Program Appendix | 2023 Page H-11
Disaster Financial Management Resources
Recipients are encouraged to use the following resources to inform their disaster financial management
planning efforts:
• State Administrative Plan Template: Recipients are recommended to use the State
Administrative Plan template found on FEMA’s Public Assistance webpage to inform their
planning efforts. The template includes example structure and content as a model for states to create
own Administrative Plan.
• Public Assistance Program and Policy Guide: The Public Assistance Program and Policy Guide
(PAPPG) combines all Public Assistance policy into a single volume and provides an overview of
the PA program implementation process.
• Public Assistance Frequently Asked Questions and Guidance: Recipients are encouraged to
view the Public Assistance Frequently Asked Questions and guidance found on the Public
Assistance webpage to assist with disaster financial management planning efforts. The webpage
provides information pertaining to documentation, Public Assistance grant funding eligibility, and
hazard mitigation and can be found at Public Assistance Fact Sheets, Job Aids, and FAQs.
• Office of Inspector General (OIG) Audit Tips: Recipients are recommended to consult the DHS
OIG report, Audit Tips for Managing Disaster-Related Project Costs (OIG-17-120-D) for further
assistance in documenting and accounting for disaster-related costs. This report is informed by OIG
audit findings and can assist recipients in addressing issues that are frequent findings in disaster-
related audits.
• Disaster Financial Management Guide: The Disaster Financial Management Guide provides
guidance for state, local, tribal, and territorial partners on establishing and implementing sound
disaster financial management practices.
• Procurement Disaster Assistance Team (PDAT): The PDAT provides training and other resources
to assist grant recipients in their efforts to comply with federal procurement standards. See
Contracting with Federal Funds for Goods and Services Before, During and After Disasters |
FEMA.gov for additional information.
Training and Exercises
Integrated Preparedness Plan (IPP)
Recipients are expected to engage senior leaders and other whole community stakeholders to identify
preparedness priorities specific to training and exercise needs, which will guide development of a
state/territory multi-year IPP. Similar to the EMPG Program Work Plan development process, these
priorities should be informed by various factors, including jurisdiction-specific threats and hazards (i.e., the
THIRA); areas for improvement identified by real-world events and exercises (i.e., AARs); external
requirements such as stakeholder preparedness reviews (i.e., SPRs), homeland security policy, and industry
reports; and accreditation standards, regulations, or legislative requirements. Recipients must document
these priorities, in conjunction with the Work Plan development process, and use them to deploy a schedule
of preparedness events and activities in the IPP. Information related to IPPs and Integrated Preparedness
Planning Workshops (IPPWs) can be found on the HSEEP website at Homeland Security Exercise and
Evaluation Program and FEMA Preparedness Toolkit.
Recipients should ensure that their EMPG Program Work Plans and IPPs align with and are complementary
to one another and are used in tandem to support shared priorities for building and sustaining the
state/territory’s preparedness capabilities. Recipien ts should include planning, training, and exercise
projects in their EMPG Program Work Plan that support priorities included in their IPP. The current multi -
year IPP must be submitted to hseep@fema.dhs.gov and the Regional EMPG Program Manager before
January 31 of each year.
EMPG Program Appendix | 2023 Page H-12
This will help ensure that priorities for both the IPP and EMPG Program Work Plan are based on building
capability and/or closing capability gaps documented in their THIRA/SPR and other relevant sources of
information. For example, if a recipient included Logistics and Distribution Management, Resilient
Communications, and Housing as priorities for its IPP, those should also be priorities in its EMPG Program
Work Plan. Additionally, IPPs should include all planning, training, and exercise activities funded by the
EMPG Program as well as activities funded by other sources. This inclusion will ensure that recipients’
preparedness projects, investments, and activities are concentrated, focused, and oriented towards closing
gaps related to their top priorities, regardless of funding source.
Validating Capabilities through Exercises
All recipients are required to develop and maintain a progressive exercise program consistent with HSEEP
guidance in support of the National Exercise Program (NEP). The NEP serves as the principal exercise
mechanism for examining national preparedness and measuring readiness. The NEP is a two-year cycle of
exercises across the nation that validates capabilities in all preparedness mission areas. The two-year NEP
cycle is guided by Principals’ Strategic Priorities, established by the National Security Council and
informed by preparedness data from jurisdictions across the Nation.
The NEP provides exercise sponsors the opportunity to receive exercise design and delivery assistance,
tools and resources, enhanced coordination, and the ability to directly influence and inform policy and
preparedness programs. If you have any questions or would like to request assistance through the NEP,
please visit the NEP website or reach out to the NEP directly at NEP@fema.dhs.gov.
The exercises and priorities outlined in the IPP and all EMPG Program-funded exercises must be included
in the FY 2023 EMPG Program Work Plan. To avoid duplicate reporting, applicants/recipients are not
required to report EMPG Program-funded personnel costs associated with exercises in the FY 2023 EMPG
Work Plan. See the EMPG Program Work Plan section for additional guidance.
Reporting
• All EMPG Program-funded exercise activities must be captured in the approved EMPG Program
Work Plan.
• EMPG Program-funded exercise costs in the Work Plan can include costs to plan, conduct and
evaluate the exercise (e.g., planning, materials, props, contractual services for conducting the
exercise, AAR and Improvement Plan [IP], etc.).
• All EMPG Program-funded exercise activities must be reported quarterly. To simplify reporting, it
is recommended that recipients submit an updated Exercise Data Table from the FY 2023 EMPG
Program Work Plan Template as an attachment to the quarterly PPR. For those recipients who
choose not to use the FY 2023 EMPG Program Work Plan Template, the data and information
found in the Exercise Data Table must still be submitted (in any chosen format) as an attachment to
the PPR.
• EMPG Program-funded personnel costs associated with exercises are not required in the FY 2023
EMPG Program Work Plan Template for application or reporting purposes.
• Recipients must have a current multi-year IPP that identifies preparedness priorities and activities.
The current multi-year IPP must be submitted to hseep@fema.dhs.gov and the Regional EMPG
Program Manager before January 31st of each year.
• Recipients are encouraged to enter their exercise information into the Preparedness Toolkit at
FEMA Preparedness Toolkit.
• Recipients must submit AAR/IPs to hseep@fema.dhs.gov and copy their Regional EMPG Program
Manager and indicate which fiscal year’s funds were used (if applicable).
• Submission of AAR/IPs must take place within 90 days following completion of the single exercise
or progressive series.
EMPG Program Appendix | 2023 Page H-13
o Recipients are encouraged to submit AAR/IPs reflecting tabletop exercises that validate
critical plans or those reflecting large-scale functional or full-scale exercises that took place
at the state, territorial, tribal, or regional level. Recipients are discouraged from submitting
AAR/IPs specific to local jurisdictions that reflect drills.
o If a state, territory, or local jurisdiction has experienced a major disaster and they would
like to request exemptions for a scheduled exercise, the recipient should send this request to
its assigned Regional EMPG Program Manager through the quarterly PPR. Exemptions
will be reviewed by the Region on a case-by-case basis.
o Recipients can access a sample AAR/IP template at Preparedness Toolkit Improvement
Planning Templates.
Training
Similar to the exercise guidance above, training activities should align to a current, multi-year IPP
developed through an annual IPPW and build from training gaps identified in the THIRA/SPR and work
plan development process. Further guidance concerning the IPP and the IPPW can be found at HSEEP
Resources - Preparedness Toolkit.
Through the National Preparedness Directorate’s training and education enterprise, consisting of the Center
for Domestic Preparedness (CDP), the Emergency Management Institute (EMI), and the National Training
and Education Division’s partnerships with the National Domestic Preparedness Consortium, Rural
Domestic Preparedness Consortium, Continuing Training Grants partners, and the Center for Homeland
Defense and Security, FEMA develops and delivers training and education programs to increase
capabilities, reduce risk, and build resilient communities. Over 700 tuition-free courses are offered to
members of state, local, tribal, and territorial communities. By accessing the National Preparedness Course
catalog, users will find all courses to include EMI training and includes links to the basic, advanced, and
executive emergency management academies.
FEMA’s National Preparedness Course Catalog
This online searchable catalog features a compilation of courses managed by the three primary FEMA
training organizations: the Center for Domestic Preparedness, EMI, and NTED. The catalog features a wide
range of course topics in multiple delivery modes for federal, state, local, territorial, and tribal audiences.
The catalog is located at First Responder Training and Education Division.
Training should foster the development of a community-oriented approach to emergency management that
emphasizes engagement at the community level, strengthens best practices, and provides a path toward
building sustainable resilience, all of which is included in the curriculum of the EMI Basic Academy. The
EMI Basic Academy provides a foundational education in emergency management as a way for emergency
managers to begin or advance their career. The goal of the Basic Academy is to support the early careers of
emergency managers through a training experience combining knowledge of all fundamental systems,
concepts, and practices of cutting-edge emergency management.
EMPG Program funds used for training should support the nationwide implementation of NIMS. The NIMS
Training Program establishes a national curriculum for NIMS and provides information on NIMS courses.
Recipients are encouraged to place emphasis on the core competencies as defined in the NIMS Training
Program. NIMS is also included in the curriculum of the EMI Basic Academy. The NIMS Training
Program can be found at NIMS Implementation and Training.
All EMPG Program-funded personnel are expected to be trained emergency managers (see NQS
Implementation section). All EMPG Program-funded personnel must complete either the Independent
Study courses identified in the Professional Development Series or the National Emergency Management
Basic Academy delivered either by EMI or at a sponsored state, local, tribal, territorial, regional, or other
EMPG Program Appendix | 2023 Page H-14
designated location. Further information on the National Emergency Management Basic Academy and the
Emergency Management Professional Program can be found at: EMI EMPP. A complete list of
Independent Study Program Courses may be found at EMI Independent Study.
In addition to training activities aligned to and addressed in the IPP, all EMPG Program-funded personnel
(including full- and part-time SLTT recipients and subrecipients) must complete the following training
requirements and record proof of completion:
1) NIMS Training, Independent Study (IS)-100 (any version), IS-200 (any version), IS-700 (any
version), and IS-800 (any version)4, and;
2) Professional Development Series (PDS) or the Emergency Management Professionals Program
(EMPP) Basic Academy courses listed in the chart below.
PDS
Professional Development Series OR Basic Academy
Basic Academy Pre-requisites and Courses
IS-120.a: An Introduction to Exercises IS-100 (any version): Introduction to the
Incident Command System
IS-230.d: Fundamentals of Emergency
Management IS-700 (any version): National Incident
Management System (NIMS)-An Introduction
IS-235.b: Emergency Planning IS-800 (any version): National Response
Framework, An Introduction
IS-240.b: Leadership and Influence IS-230.d: Fundamentals of Emergency
Management
IS-241.b: Decision Making and
Problem Solving E/L101: Foundations of Emergency
Management
IS-242.b: Effective Communication E/L102: Science of Disasters
IS-244.b: Developing and Managing
Volunteers E/L103: Planning Emergency Operations
IS-244.b: Developing and Managing
Volunteers E/L104: Exercise Design
IS-244.b: Developing and Managing
Volunteers E/L105: Public Information & Warning
The EMI Basic Academy provides this foundational Emergency Management education. To ensure the
professional development of the emergency management workforce, the recipients must ensure a routine
capabilities assessment is accomplished and an IPP is developed and implemented.
Additional Training Information
Per FEMA Grant Programs Directorate Information Bulletin 432, Review and Approval Requirements for
Training Courses Funded Through Preparedness Grants, issued on July 19, 2018, states, territories, tribal
entities, and high-risk urban areas are no longer required to request approval from FEMA for personnel to
attend non-DHS FEMA training as long as the training is coordinated with and approved by the state,
territory, tribal, or high-risk urban area Training Point of Contact (TPOC) and falls within the FEMA
mission scope and the jurisdiction’s EOP.
4 NIMS training courses IS-100, IS-200, IS-700, and IS-800 only need to be taken once to fulfill requirements. Also,
previous versions of the IS courses are still considered as meeting the NIMS training requirement.
EMPG Program Appendix | 2023 Page H-15
FEMA will conduct periodic reviews of all state, territory, and urban area training funded by FEMA. These
reviews may include requests for all course materials and physical observation of, or participation in, the
funded training. If these reviews determine that courses are outside the scope of this guidance, recipients
will be asked to repay grant funds expended in support of those efforts.
For further information on developing courses using the instructional design methodology and tools that can
facilitate the process, State Administrative Agencies (SAAs), and TPOCs are encouraged to review the
National Training and Education Division Training Resource and Development Center website at FRTS-
TRDC Home.
Reporting
• All EMPG Program-funded training activities must be captured in the approved EMPG Program
Work Plan and should be included in the IPP. This includes training for which the only expenses
are for overtime and/or backfill costs associated with emergency management personnel attending
the training.
• All EMPG Program-funded training activities must be reported quarterly. To simplify reporting, it
is recommended the recipient submit an updated Training Data Table from the FY 2023 EMPG
Program Work Plan Template as an attachment to the quarterly PPR. For those recipients who
choose not to use the FY 2023 EMPG Program Work Plan Template, the data and information
found in the Training Data Table must still be submitted (in any chosen format) as an attachment to
the PPR.
• Recipients must report their NIMS implementation status of their jurisdiction and sub-jurisdictions,
including the training of personnel, in the applicable secondary NIMS assessment portion of the
URT as part of their THIRA/SPR submission.
• Recipients must maintain proof of completion of training requirements. Recipients are encouraged
to use the OneResponder system to enter, track, and report training.
• Training Information Reporting System (“Web Forms”): Web Forms is an electronic data
management system built to assist SAA TPOCs and federal agencies to submit non-NTED
training courses for inclusion in the State/Federal-Sponsored Course Catalog. The information
collected is used in a two-step review process to ensure that the training programs adhere to the
EMPG Program’s intent, and the course content is sound and curr ent. While reporting training
activities through Web Forms is not required under the EMPG Program, the system remains
available and can be accessed through the Web-Forms section of the FEMA National Preparedness
Course Catalog to support recipients in their own tracking of training deliveries.
Reviewing and Updating Planning Products
Based on the applicant’s current THIRA/SPR, capability levels, and resources, plans should be reviewed on
an annual basis to determine if they remain relevant or need to be updated. This review should be based on
a current THIRA/SPR and utilize information gathered during the capability validation process. These
reviews will provide a means to determine priorities, direct preparedness actions, and calibrate goals and
objectives.
Additional Considerations
Strengthening Governance Integration
FEMA preparedness grant programs are intended to support the core capabilities across the five mission
areas of Prevention, Protection, Mitigation, Response, and Recovery that are necessary to prepare for
incidents that pose the greatest risk to the Nation’s security. Each program reflects the Department’s intent
to build and sustain an integrated network of national capabilities across all levels of government and the
EMPG Program Appendix | 2023 Page H-16
whole community. Disparate governance structures must be integrated and refined to ensure resources are
targeted to support the most critical needs of a community based on risk-driven, capabilities-based
planning. Strong and inclusive governance systems better ensure that disparate funding streams are
coordinated and applied for maximum impact.
FEMA requires that all governance processes that guide the allocation of preparedness grant funds adhere to
the following guiding principles:
• Coordination of Investments: Resources must be allocated to address the most critical capability
needs as identified in the SPR and coordinated among affected preparedness stakeholders, including
appropriate representatives of at-risk, underserved communities.
• Transparency: Stakeholders must be provided visibility on how preparedness grant funds are
allocated and distributed, and for what purpose.
• Substantive Local Involvement: The tools and processes that are used to inform the critical
priorities, which FEMA grants support, must include local government representatives. At the state
and regional levels, local risk assessments must be included in the overarching analysis to ensure
that all threats and hazards are accounted for. Primary focus should be on the needs of socially
vulnerable, underserved populations and ensuring equity for those most at risk relative to disaster
preparedness, response, and recovery.
• Accountability: FEMA recognizes that unique preparedness gaps exist at the local level. Grant
recipients are responsible for ensuring the effective use of funds to address those gaps and for
maintaining and sustaining existing capabilities, particularly when it comes to serving the needs of
at-risk, underserved communities.
• Support of Regional Coordination: Inter/intra-state partnerships and dependencies at the state and
regional levels, including those within metropolitan areas, must be recognized.
Program Performance Reporting Requirements
Performance Progress Reports (PPR)
Recipients are responsible for providing performance reports to FEMA on a quarterly basis. As explained in
the Standardized Programmatic Reporting section below, the quarterly PPRs must be based on the
approved EMPG Program Work Plan and are due no later than 30 days after the end of the quarter.
Although not mandatory, recipients are encouraged to use the updated FY 2023 EMPG Program Work Plan
Template – specifically the Implementation Schedule, Training Data Table, and Exercise Data Table – to
report on the status of planned project activities, any risks that may affect project progress or success, and
updates to project schedules. The PPR (in the form of an updated Work Plan) shall be submitted in ND
Grants. See EMPG Program Work Plan section for additional guidance.
Programmatic Reporting Periods and Due Dates
The following reporting periods and due dates apply for the PPR:
Reporting Period Report Due Date
October 1 – December 31 January 30
January 1 – March 31 April 30
April 1 – June 30 July 30
July 1 – September 30 October 30
EMPG Program Appendix | 2023 Page H-17
Standardized Programmatic Reporting for the EMPG Program
The FY 2023 EMPG Program Work Plan Template has been modified to standardize data collection, which
enables improved analysis and reporting. The EMPG Program Work Plan includes ten components:
1) Grant Investment Strategy
2) Grant Activities Outline
3) Detailed Budget – Excluding Management and Administrative (M&A)
4) Budget Narrative – Excluding M&A
5) Detailed Budget – M&A Only
6) Budget Narrative – M&A Only
7) EMPG Program Summary
8) Implementation Schedule
9) Training Data Table
10) Exercise Data Table
Although use of the FY 2023 EMPG Program Work Plan Template is not mandatory (see EMPG Program
Work Plan section), baseline data on personnel, training, and exercises, as well as the information included
on the Grant Activities Outline and Implementation Schedule, must be provided in the EMPG Program
Work Plan at the time of application regardless of the chosen work plan format.
The status of all EMPG Program-funded plans, training, and exercise activities must be reported quarterly
as part of the PPR. To facilitate reporting, recipients are encouraged to submit an updated Implementation
Schedule, Training Data Table, and Exercise Data Table from the FY 2023 EMPG Program Work Plan
Template as an attachment to the quarterly PPR. Recipients who choose not to use the FY 2023 EMPG
Program Work Plan Template must still provide the updated data and information included in the
Implementation Schedule, Training Data Table, and Exercise Data Table, but may use a different format for
reporting that information in their PPR submission.
EMPG Program Appendix | 2023 Page H-18
EMPG Program Funding Guidelines
Allowable Costs
Management and Administration (M&A)
M&A activities are those defined as directly relating to the management and administration of EMPG
Program funds, such as financial management, reporting, and program and financial monitoring. Some
examples of M&A costs include grants management training for M&A staff, equipment and supplies for
M&A staff to administer the EMPG Program grant, travel costs for M&A staff to attend conferences or
training related to the EMPG Program, travel costs for the M&A staff to conduct subrecipient monitoring,
contractual services to support the M&A staff with M&A activities, and auditing costs related to the grant
award to the extent required or permitted by statute or 2 C.F.R. Part 200. Characteristics of M&A expenses
can include the following: 1) direct costs that are incurred to administer a particular Federal award; 2)
identifiable and unique to each Federal award; 3) charged based on the activity performed for that particular
Federal award; and 4) not duplicative of the same costs that are included in the approved Indirect Cost Rate
Agreement, if applicable. It should be noted that salaries of state and local emergency managers are not
typically categorized as M&A, unless the state or local Emergency Management Agency (EMA) chooses to
assign personnel to specific M&A activities. In this case, personnel and fringe benefits for M&A is
allowable.
If the SAA is not the EMA, the SAA is not eligible to retain funds for M&A. M&A costs are allowable for
both state and local-level EMAs. The state EMA may use up to 5% of the EMPG Program award for M&A
purposes. In addition, local EMAs may retain and use up to 5% of the amount received from the state for
local M&A purposes.
Indirect Costs
Indirect costs are allowable under this program. See the “Procedures for Establishing Indirect Cost Rates”
Section in “Pre-Submission Information” for more information .
Unrecovered Indirect Costs
In accordance with 2 C.F.R. § 200.306(c) “[u]nrecovered indirect costs, including indirect costs on cost
sharing or matching may be included as part of cost sharing or matching only with the prior approval of the
Federal awarding agency. Unrecovered indirect cost means the difference between the amount charged to
the Federal award and the amount which could have been charged to the Federal award under the non-
Federal entity’s approved negotiated indirect cost rate.” Therefore, unrecovered indirect costs may be
applied to meet cost share requirements of the EMPG Program grant with the approval of the Regional
Grants Division. To meet the cost sharing requirements, the recipient’s indirect costs contributions must be
verifiable, reasonable, allocable, necessary, and otherwise allowable under the grant program, and in
compliance with all applicable Federal requirements and regulations.
Whole Community Preparedness
EMPG Program recipients should engage with the whole community to advance community and individual
preparedness and to work as a nation to build and sustain resilience. Recipients should consider the three
goals of the 2022-2026 FEMA Strategic Plan in their program design and delivery. Recipients should
integrate program design and delivery practices that ensure representation and services for under-
represented diverse populations that may be more impacted by disasters including children, seniors,
EMPG Program Appendix | 2023 Page H-19
individuals with disabilities or other access and functional needs, individuals with diverse culture and
language use, individuals with lower economic capacity, and other underserved populations.
Individual preparedness should be coordinated by an integrated body of government and nongovernmental
representatives as well, including but not limited to, elected officials, the private sector (especially privately
owned critical infrastructure), private nonprofits, nongovernmental organizations (including faith-based,
community-based, and voluntary organizations), advocacy groups for under-represented diverse populations
that may be more impacted by disasters including children, seniors, individuals with disabilities or other
access and functional needs, individuals with diverse culture and language use, individuals with lower
economic capacity, and other underserved populations. By engaging these stakeholders, EMPG Program
recipients can help FEMA develop and promote a suite of well-targeted solutions for individuals and
communities to adopt. Recipients should coordinate preparedness initiatives with FEMA and whole
community partners to efficiently apply federal funding to reach the goal of individual and communit y
resilience.
The following preparedness programs are allowable expenses and resources:
• Community Emergency Response Team (CERT) programs, which educate volunteers about
disaster preparedness for the hazards that may impact their area and train them in basic disaster
response skills, such as fire safety, light search and rescue, team organization, and disaster medical
operations. CERT offers a consistent, nationwide approach to volunteer training and organization
that professional responders can rely on during disaster situations, allowing them to focus on more
complex tasks.
• Financial Preparedness Activities that encourage and assist Americans in preparing for the true
cost of disasters. Allowable activities include encouraging emergency savings, promoting home and
renter’s insurance, and promoting flood insurance for individuals and families. Partnerships with
local financial wellness organizations such as credit unions, financial counselors, community banks,
and others that reach a variety of audiences are encouraged.
• Preparedness of Community-Based Organizations that serve as a critical safety net for
Americans disproportionately impacted by disasters. Examples of community-based organizations
include but are not limited to food banks, food pantries, homeless shelters, school readiness and
after school centers, adult day care centers, job training centers, legal assistance centers, and
cultural centers. Allowable activities include Whole Community exercises, trainings, and activities
focused on staff preparedness, information sharing with clients and government, and continuity of
essential functions in the event of an emergency.
• Youth Preparedness Resources are available on Ready Kids. Bolstering youth preparedness
across the nation is a priority for FEMA as the Agency works with state, local, tribal, and territorial
partners to create a culture of preparedness in the United States. Information on youth-centric
educational curricula, games, planning materials, and other relevant resources can be found at
Ready Kids. Furthermore, FEMA’s Individual and Community Preparedness Division and regional -
based Community Preparedness Officers are available to provide grant recipients with guidance and
assistance. Please email FEMA-Prepare@fema.dhs.gov to contact one of the Agency’s subject
matter experts.
The following are examples of youth preparedness activities that recipients are encouraged to
undertake as allowable costs:
o Reach out to a local school board or elementary school to encourage the adoption of the
Student Tools for Emergency Planning (STEP) curriculum. STEP is a classroom-based
emergency preparedness curriculum for 4th- and 5th-graders in an easy, ready-to-teach
format. Students will learn about disasters, emergencies, and hazards, and how to create a
EMPG Program Appendix | 2023 Page H-20
disaster supply kit and family emergency communication plan. An overview of the STEP
program along with the instructor guide and student activity book is available at Ready
STEP.
o Sponsor the creation of a Teen for Community Emergency Response Team (CERT) in your
jurisdiction. The CERT Program is a national program of volunteers trained in disaster
preparedness and emergency response. Volunteers come from all ages and all walks of life,
including teenagers. Additional information, including a step-by-step guide on how to start
a Teen CERT, is available at Ready Teen CERT.
The following tools are available to order from FEMA’s warehouse free of charge:
o “Prepare with Pedro” is a joint product of FEMA and the American Red Cross. The
“Prepare with Pedro: Disaster Preparedness Activity Book” is designed to teach young
children and their families about how to stay safe during disasters and emergencies. The
book follows Pedro around the United States and offers safety advice through crosswords,
coloring pages, matching games, and more. Additional information, including an ordering
form, is available at Ready - Prepare with Pedro.
o The Ready 2 Help card game is a fun way for kids to learn how to respond to emergencies
by working with friends and using skills that will help in a real emergency. Ready 2 Help
teaches five simple steps to stay safe and make a difference until help arrives:
• Stay Safe
• Stay Calm
• Get Help
• Give Info
• Give Care
Ready 2 Help is designed for children ages 8 and up. Additional information, including an
ordering form, is available at Ready 2 Help.
Planning
Planning spans all five mission areas of the Goal and provides a methodical way to engage the whole
community in the development of a strategic, operational, and/or community-based approach to
preparedness. EMPG Program funds may be used to develop or enhance emergency management planning
activities. Some examples include:
Emergency Operations Plan
• Maintaining a current EOP that is aligned with guidelines set out in Comprehensive Preparedness
Guide (CPG) 101: Developing and Maintaining Emergency Operations Plans
• Modifying existing incident management and emergency operations plans
• Developing/enhancing large-scale and catastrophic event incident plans
Communications Plans
• Developing and updating Statewide Communication Interoperability Plans
• Developing and updating Tactical Interoperability Communications Plans
Administrative Plans
• Developing/enhancing financial and administrative procedures for use before, during, and after
disaster events in support of a comprehensive emergency management program
Whole Community Engagement/Planning
• Developing or enhancing mutual aid agreements/compacts, including required membership in
EMAC
EMPG Program Appendix | 2023 Page H-21
• Developing/enhancing emergency operations plans to integrate citizen/volunteer and other Non-
Governmental Organization (NGO) resources and participation
• Integrating program design and delivery practices that ensure representation and services for under-
represented, diverse populations that may be more impacted by disasters, including children,
seniors, individuals with disabilities or other access and functional needs, individuals with diverse
culture and language use, individuals with lower economic capacity, and other underserved
populations.
Resource Management Planning
• Developing/enhancing logistics and resource management plans
• Developing/enhancing volunteer and/or donations management plans
Shelter and Evacuation Planning
• Developing/enhancing sheltering and evacuation plans, including plans for alerts/warning, crisis
communications, pre-positioning of equipment for areas potentially impacted by mass evacuations,
and re-entry
Recovery Planning
• Disaster housing planning, such as creating/supporting a state disaster housing task force and
developing/enhancing state disaster housing plans
• Pre-event response, recovery, and mitigation plans in coordination with state, local, and tribal
governments
• Developing/enhancing other response and recovery plans
Developing recovery plans and preparedness programs consistent with the principles and guidance
in the National Disaster Recovery Framework (NDRF) that will provide the foundation for recovery
programs and whole community partnerships. Preparedness and pre-disaster planning were given
special attention within the NDRF with specific guidance: Planning for a Successful Disaster
Recovery (pages 63-70). For more information on the NDRF see National Disaster Recovery
Framework.
Continuity Planning
Continuity planning and operations are an inherent element of each core capability. Continuity operations
increase resilience and the probability that organizations can perform essential functions. FEMA develops
and promulgates Federal Continuity Directives (FCDs) to establish continuity program and planning
requirements for executive departments and agencies and Continuity Guidance Circulars (CGCs) for SLTT
governments, non-governmental organizations, and private sector critical infrastructure owners and
operators. This direction and guidance assist in developing capabilities for continuing the essential functions
of federal, state, local, tribal, territorial governmental entities as well as the public/private critical
infrastructure owners, operators, and regulators enabling them.
Presidential Policy 40, FCD 1, FCD 2, CGC 1, and CGC 2 outline the overarching continuity requirements
and guidance for organizations and provide guidance, methodology, and checklists. For additional
information on continuity programs, guidance, directives, and available technical assistance, visit
Continuity Resources and Technical Assistance and the Office of National Continuity Programs.
Allowable continuity planning activities include the development of the following:
• Continuity of operations and Continuity of Government planning products for the continuance of
essential functions and associated leadership;
• Risk-based needs assessments based on the THIRA to inform risk mitigation efforts to ensure the
continuity of essential functions and associated leadership; and
EMPG Program Appendix | 2023 Page H-22
• Public and private sector outreach and messaging regarding continuity resilience benefits and
strategies.
Organization
Per the Robert T. Stafford Disaster Relief and Emergency Assistance Act, Pub. L. No. 93-288, as amended,
(42 U.S.C. §§ 5121-5207), EMPG Program funds may be used for all-hazards emergency management
operations, staffing, and other day-to-day activities in support of emergency management, including hazard
mitigation staffing of the State Hazard Mitigation Officer position; staffing CERT and Citizen Corps
positions at the state and local levels to promote whole community engagement in all phases of emergency
management; performing closeout activities on FEMA disaster assistance grants; staffing permanent
technical advisors on children’s needs at the state, local, tribal , and territorial levels; and supporting fusion
center analysts who are directly involved in all-hazards preparedness activities as defined by the Stafford
Act. Proposed staffing activities should be linked to accomplishing the activities outlined in the EMPG
Program Work Plan. Recipients are encouraged to fund at least one dedicated Planner, Training Officer, and
Exercise Officer. Personnel costs, including salary, overtime, compensatory time off, and associated fringe
benefits, are allowable EMPG Program costs and must comply with 2 C.F.R. Part 200, Subpart E – Cost
Principles.
Federal (and Mutual Aid) Emergency Response Official (F/ERO) Credentialing and Validation
The following costs related to F/ERO credentialing and validation are allowable under the EMPG Program:
• Working group meetings and conferences relating to emergency responder credentialing and
validation;
• Compiling data to enter into an emergency responder repository;
• Coordinating with other state, local, territorial, and tribal partners to ensure interoperability among
existing and planned credentialing and validation systems and equipment; and
• Planning to incorporate emergency responder identity and credential validation into training and
exercises.
Organizational Clothing Costs for Emergency Management Personnel
There may be a need for emergency management personnel to wear clothing that clearly identifies their
agency, organizational function, and responsibilities when carrying out their official emergency-related
duties. EMPG funding may be used to purchase organizational clothing for full-time emergency
management personnel who may be deployed for emergency operations, including when:
• The Emergency Operations Center (EOC) is activated;
• Emergency management personnel are deployed in the field to conduct damage assessments and
response and recovery operations;
• Assisting in and delivering official emergency management training and exercises, and;
• Providing public information briefs and interviews on behalf of their emergency management
agency.
The state or territory emergency management agency should maintain an inventory of such clothing and
uniforms to allow for issuance to other personnel who may be deployed for emergency operations.
In addition:
• EMPG funding may not be used to purchase clothing that would be used for everyday wear by
emergency management employees or other personnel.
• Clothing, uniforms, undergarments, jackets, vests, etc. are also allowable for CERT members as
listed on the Authorized Equipment List (AEL): 21GN-00-CCEQ | FEMA.gov.
EMPG Program Appendix | 2023 Page H-23
For a complete list of other eligible clothing and protective gear allowable for purchase with EMPG
funding, applicants, recipients and FEMA staff are encouraged to refer to the AEL website for the most up-
to-date information: Authorized Equipment List | FEMA.gov.
Equipment
Allowable equipment categories for the EMPG Program are listed in the Authorized Equipment List (AEL).
Unless otherwise stated, equipment must meet all mandatory regulatory and/or FEMA-adopted standards to
be eligible for purchase using these funds. In addition, agencies will be responsible for obtaining and
maintaining all necessary certifications and licenses for the requested equipment. Allowable equipment
includes equipment from the following AEL categories:
• Personal Protective Equipment (Category 1)
• Information Technology (Category 4)
• Cybersecurity Enhancement Equipment (Category 5)
• Interoperable Communications Equipment (Category 6)
• Detection Equipment (Category 7)
• Power Equipment (Category 10)
• Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Reference Materials
(Category 11)
• CBRNE Incident Response Vehicles (Category 12)
• Physical Security Enhancement Equipment (Category 14)
• CBRNE Logistical Support Equipment (Category 19)
• Other Authorized Equipment (Category 21)
In addition to the above, general-purpose vehicles may be procured in order to carry out the responsibilities
of the EMPG Program.
If recipients have questions concerning the eligibility of equipment not specifically addressed in the AEL,
they should contact their Regional EMPG Program Manager for clarification. Applicants should analyze the
cost benefits of purchasing versus leasing equipment, especially high-cost items and those subject to rapid
technical advances. Large equipment purchases must be identified and explained. For more information
regarding property management standards for equipment, please reference 2 C.F.R. Part 200, including 2
C.F.R. §§ 200.310, 200.313, and 200.316. Also see 2 C.F.R. §§ 200.216, 200.471, and FEMA Policy #405-
143-1, Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or
Services, or successor policy, regarding prohibitions on covered telecommunications equipment or services.
Recipients using EMPG Program funds to support emergency communications equipment activities must
comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on
technical standards that ensure and enhance interoperable communications. This SAFECOM Guidance can
be found at SAFECOM Funding Resources.
In general, with exception of critical emergency supplies and the associated inventory management plan,
equipment included in the AEL may be purchased without separate approval from FEMA. However, as
with all grant-funded activities, the equipment purchase must be well justified and reasonable. Furthermore,
the purchase must be supported by the approved Work Plan. If the equipment is not clearly supported by the
approved Work Plan, the recipient must seek advance approval from the applicable FEMA Regional Grant
Program Office prior to purchasing the equipment, and an updated Work Plan may be required.
FEMA will consider requests to purchase equipment that is not listed in the AEL on a case-by-case basis.
Such requests should be submitted in writing to the applicable FEMA Regional Grant Program Office.
FEMA’s review and approval of such requests will involve both the FEMA regional office and headquarters
EMPG Program Appendix | 2023 Page H-24
program staff to ensure nationwide consistency in the decision-making process and to support any
necessary updates to the AEL.
Requirements for Small Unmanned Aircraft Systems
All requests to purchase Small Unmanned Aircraft System (sUAS) must comply with FEMA Policy 207-
22-0002, Prohibited or Controlled Equipment Under FEMA Awards, and must include the policies and
procedures in place to safeguard individuals’ privacy, civil rights, and civil liberties in the jurisdiction that
will purchase, take title to, or otherwise use the sUAS equipment. Additional information and requirements
applicable to sUAS purchases can be found in the AEL at 03OE-07-SUAS.
Acquisition and Use of Technology to Mitigate UAS (Counter-UAS)
In August 2020, FEMA alerted of an advisory guidance document issued by DHS, the Department of
Justice, the Federal Aviation Administration, and the Federal Communications Commission: Advisory on
the Application of Federal Laws to the Acquisition and Use of Technology to Detect and Mitigate UAS.
The purpose of the advisory guidance document is to help non-federal public and private entities better
understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate
threats posed by UAS operations (i.e., Counter-UAS or C-UAS). The Departments and Agencies issuing the
advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private
use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially
available product compliance with those laws. The advisory does not address state and local laws nor
potential civil liability, which UAS detection and mitigation capabilities may also implicate. It is strongly
recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation
systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance,
and communications laws. Entities should conduct their own legal and technical analysis of each UAS
detection and/or mitigation system and should not rely solely on vendors’ representations of the systems’
legality or functionality. Please also see the DHS press release on this topic for further information:
Interagency Issues Advisory on Use of Technology to Detect and Mitigate UAS. For training on the
application of UAS technology in emergency management programs, please refer to the National
Preparedness Course Catalog and search 'UAS' on the website.
Funding for Critical Emergency Supplies
Critical emergency supplies—such as shelf stable products, water, and basic medical supplies—are an
allowable expense under the EMPG Program. FEMA must approve a state’s five-year viable inventory
management plan prior to allocating grant funds for stockpiling purposes. The five-year plan should include
a distribution strategy and related sustainment costs if the grant expenditure is over $100,000.
Training
EMPG Program funds may be used for a range of emergency management-related training activities to
enhance the capabilities of state and local emergency management personnel through the establishment,
support, conduct, and attendance of training. Training activities should align to a current, multi-year IPP
developed through an annual IPPW and build from training gaps identified in the THIRA/SPR process.
Further guidance concerning the IPP and the IPPW can be found at Preparedness Toolkit Program
Management Templates. Training should:
• Foster the development of a community-oriented approach to emergency management that
emphasizes engagement at the community level;
• Strengthen best practices; and
• Provide a path toward building sustainable resilience.
EMPG Program Appendix | 2023 Page H-25
Allowable training-related costs include the following:
• Funds Used to Develop, Deliver, and Evaluate Training: Includes costs related to administering
training, such as planning, scheduling, facilities, materials and supplies, reproduction of materials,
and equipment. Training should provide the opportunity to demonstrate and validate skills learned,
as well as to identify any gaps in these skills. Any training or training gaps, including those for
children and individuals with disabilities or other access and functional needs, should be identified
in the multi-year IPP and addressed in the training cycle. States are encouraged to use existing
training rather than developing new courses. When developing new courses, states are encouraged
to apply the Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model for
instructional design. More information is available at NTED | Training Resource Development
Center.
• Overtime and Backfill: Overtime costs, including payments related to backfilling personnel, that
are the direct result of attendance at FEMA and/or approved training courses and programs are
allowable. These costs are allowed only to the extent the payment for such services is in accordance
with the policies of the state or unit(s) of local government and has the approval of the state or
FEMA, whichever is applicable. In no case is dual compensation allowable. That is, an employee of
a unit of government may not receive compensation from their unit or agency of government and
from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may
benefit both activities.
• Travel: Travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as expenses by
employees who are on travel status for official business related to approved training. International
travel is not an allowable cost under this program unless approved in advance by FEMA.
• Hiring of Full- or Part-Time Staff or Contractors/Consultants: Full- or part-time staff or
contractors/consultants may be hired to support direct training-related activities. Hiring of
contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§
200.317-200.327. 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 FEMA, whichever is
applicable.
• Certification/Recertification of Instructors: Costs associated with the certification and re-
certification of instructors are allowed. States are encouraged to follow the FEMA Instructor
Quality Assurance Program to ensure a minimum level of competency and corresponding levels of
evaluation of student learning. This is particularly important for those courses that involve training
of trainers.
Additional types of allowable training or training-related activities include, but are not limited to:
• Developing/enhancing systems to monitor training programs
• Conducting all-hazards emergency management training
• Attending EMI training or delivering EMI train-the-trainer courses
• Attending other FEMA-approved emergency management training
• State-approved, locally sponsored CERT training
• Mass evacuation training at local, state, territorial and tribal levels
Exercises
Allowable exercise-related costs include:
• Funds Used to Design, Develop, Conduct and Evaluate Preparedness Exercises: This includes
costs related to planning, meeting space and other meeting costs, facilitation costs, materials and
supplies, travel, and documentation. Recipients are encouraged to use free public
EMPG Program Appendix | 2023 Page H-26
space/locations/facilities whenever available prior to the rental of space/locations/facilities.
Exercises should provide the opportunity to demonstrate and validate skills learned, as well as to
identify any gaps in these skills. Gaps identified during an exercise, including those for children and
individuals with disabilities or other access and functional needs, should be included in the AAR/IP
and addressed in the exercise cycle.
• Hiring of Full- or Part-Time Staff or Contractors/Consultants: Full- or part-time staff may be
hired to support direct exercise 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 FEMA, whichever is applicable. The services of contractors/consultants may also be
procured to support the design, development, conduct, and evaluation of exercises. Hiring of
contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§
200.317-200.327.
• Overtime and Backfill: The entire amount of overtime costs, including payments related to
backfilling personnel, that are the direct result of time spent on the design, development and
conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment
for such services is in accordance with the policies of the state or unit(s) of local government and
has the approval of the state or FEMA, whichever is applicable. Dual compensation is never
allowable, meaning, in other words, that an employee of a unit of government may not receive
compensation from their unit or agency of government and from an award for a single period of
time (e.g., 1:00 p.m. to 5:00 p.m.), even though their work may benefit both entities.
• Travel: Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by
employees who are on travel status for official business related to the planning and conduct of the
exercise activities.
• Supplies: Supplies are items that are expended or consumed while planning and conducting the
exercise activities (e.g., gloves, non-sterile masks, and disposable protective equipment).
• HSEEP Implementation: This refers to costs related to developing and maintaining an exercise
program consistent with HSEEP.
• Other Items: These costs are limited to items consumed in direct support of exercise activities,
such as space/locations rentals for planning and conducting an exercise, equipment rentals (e.g.,
portable toilets, tents), food/refreshments, and the procurement of other essential nondurable goods.
Costs associated with inclusive practices and the provision of reasonable accommodations and
modifications that facilitate full access for children and adults with disabilities are allowable.
Unauthorized exercise-related costs include:
• Reimbursement for maintenance and/or wear and tear costs of general use vehicles (e.g.,
construction vehicles) and emergency response apparatus (e.g., fire trucks, ambulances). The only
vehicle costs that are reimbursable are fuel/gasoline or mileage.
• Equipment that is purchased for permanent installation and/or use beyond the scope of exercise
conduct (e.g., electronic messaging signs)
• Durable and nondurable goods purchased for installation and/or use beyond the scope of exercise
conduct
Construction and Renovation
Construction and renovation projects for a state, local, tribal, or territorial government’s principal
Emergency Operations Center (EOC), as defined by the SAA are allowable under the EMPG Program.
FEMA must provide written approval prior to the use of any EMPG Program funds for construction or
renovation. Requests for EMPG Program funds for construction of an EOC must be accompanied by an
EOC Investment Justification (located in the Related Documents tab of the EMPG Program Grants.gov
EMPG Program Appendix | 2023 Page H-27
posting) to their Regional EMPG Program Manager for review. Additionally, recipients are required to
submit a SF-424C Form, SF-424D Form, and Budget detail citing the project costs.
The above examples are not intended to exclude other construction projects as potentially allowable costs.
For example, construction of a facility for the storage and distribution of critical emergency supplies and/or
to serve as a staging area for deployment of emergency response resources is potentially an allowable
expense. Other construction or renovation projects, such as a secondary or local EOC, will be considered on
a case-by-case basis, as described below in the guidance regarding advance written approval.
Advance Approval Requirement
Recipients must receive advance written approval from FEMA prior to the use of any annual EMPG
Program funds for construction or renovation, including such activities at the subrecipient level. Such costs
would need to fall within the scope of the recipient’s final approved Work Plan, otherwise an updated Work
Plan may be required. Such requests should be submitted in writing to the applicable FEMA Regional Grant
Program Office. FEMA’s review and approval will involve both the regional office and the FEMA Grant
Programs Directorate.
Real Property Use and Disposition Requirements
Real property improved under a federal award falls under the 2 C.F.R. Part 200 guidance for real property.
In accordance with 2 C.F.R. § 200.311, a recipient or subrecipient may only use real property acquired or
improved under a federal award for the originally authorized purpose, as long as it is needed for that
purpose, during which time the recipient or subrecipient must not dispose of or encumber its title or other
interests. However, upon the end of that period where it needs the property for the originally authorized
purpose (i.e., the functional use of the property for which FEMA awarded the grant), the recipient or
subrecipient will then dispose of the property in keeping with the requirements set forth in 2 C.F.R. §
200.311.
When a grant-funded property is no longer needed for the originally authorized purpose, the recipient or
subrecipient (through the pass-through entity) must obtain disposition instructions from the cognizant
FEMA Regional Administrator or the pass-through entity. For additional information on this, see
Information Bulletin 458a, Clarifying Guidance for the Annual Emergency Management Performance
Grant (EMPG) and the FY 2020 COVID-19 EMPG Supplemental (EMPG-S) Programs.
Construction of Communication Towers
When applying for funds to construct communication towers, recipients and subrecipients must submit
evidence that the Federal Communication Commission’s Section 106 review process has been completed
and submit all documentation resulting from that review to FEMA prior to submitting materials for EHP
review. Recipients and subrecipients are also encouraged to have completed as many steps as possible for a
successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic
Preservation Office to identify potential historic preservation issues and to discuss the potential for project
effects, compliance with all state and EHP laws and requirements). Projects for which the recipient believes
an Environmental Assessment may be needed, as defined in Implementation of the National Environmental
Policy Act, , and EHP Directive and Instructions: FEMA Directive 108-1 and FEMA Instruction 108-1-1,
must also be identified to the Regional EMPG Program Manager within six months of the award, and
completed EHP review materials must be submitted no later than 12 months before the end of the period of
performance. EHP review packets should be sent to gpdehpinfo@fema.gov.
Davis-Bacon Act Compliance
EMPG Program recipients using funds for construction projects must comply with the Davis-Bacon Act and
subsequent legislation (40 U.S.C. §§ 3141 et seq.). Grant recipients must ensure that their contractors or
subcontractors for construction projects pay workers no less than the prevailing wages for laborers and
mechanics employed on projects of a character similar to the contract work in the civil subdivision of the
EMPG Program Appendix | 2023 Page H-28
state in which the work is to be performed. Additional information regarding compliance with the Davis-
Bacon Act, including Department of Labor wage determinations, is available at Davis-Bacon and Related
Acts.
Accessibility Compliance
EMPG Program recipients using funds to build or alter buildings must comply with accessibility
requirements under the Rehabilitation Act of 1973 and Architectural Barriers Act of 1968 (ABA), as well as
the Americans with Disabilities Act (ADA), if applicable, to ensure individuals with disabilities have access
to such buildings. Accessibility standards under the ABA and ADA are highly similar. Additional
information regarding compliance with the Architectural Barriers Act is available at Guide to the ABA.
Acquisition of Real Property
Acquisition of real property is permissible if such property is needed to support other allowable program
costs or activities. For additional information on this, see Information Bulletin 458a, Clarifying Guidance
for the Annual Emergency Management Performance Grant (EMPG) and the FY 2020 COVID-19 EMPG
Supplemental (EMPG-S) Programs.
Advance Approval Requirement
Consistent with the requirements outlined above regarding construction activities, recipients and
subrecipients (through the pass-through entity) must obtain advance written approval from the cognizant
FEMA Regional Administrator prior to obligating annual EMPG Program funds for acquisition of real
property. Additionally, in cases of acquisition or improving real property, recipients are required to submit a
SF-429-B, Real Property Status Report, Attachment B providing details of the relevant property to be
acquired.
Property Use, Reporting, and Disposition Requirements
The acquisition, use, and disposition of real property shall be subject to the provisions of 2 C.F.R. Part 200.
In accordance with 2 C.F.R. Part 200, recipients and subrecipients are required to report on the status of the
acquired property on an annual basis using SF-429-A Real Property Status Report, Attachment A (General
Reporting). Such reporting shall continue as long as the property is being used for the originally authorized
purpose.
The same use and disposition guidance as outlined in Sections III.D.3 above applies to real property
acquired with annual EMPG Program funds. For additional information on this, see Information Bulletin
458a, Clarifying Guidance for the Annual Emergency Management Performance Grant (EMPG) and the FY
2020 COVID-19 EMPG Supplemental (EMPG-S) Programs.
Leasing of Real Property
Leasing of real property is permissible if the property is needed to support other allowable annual EMPG
Program activities.
Advance Approval Requirement
Recipients and subrecipients (through the pass-through entity) must obtain advance written approval from
the cognizant FEMA Regional Administrator prior to obligating annual EMPG Program funds for the
leasing of real property.
Allowable Period of Lease Expenses
In cases where a property will be leased and the lease will be paid in full or in part using annual EMPG
Program, any costs associated with the lease that are charged to an annual EMPG Program award must
occur within the period of performance of the associated award(s). Real property lease costs must also
comply with 2 C.F.R. Part 200.
EMPG Program Appendix | 2023 Page H-29
Maintenance and Sustainment
Use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs,
upgrades, and user fees are allowable under all active grant awards, unless otherwise noted.
EMPG Program funds are intended to support the Goal and fund activities and projects that build and
sustain the capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover
from those threats and hazards that pose the greatest risk to the security of the Nation. To assist recipients in
meeting this objective, the policy set forth in IB 379: Guidance to State Administrative Agencies to
Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for the expansion of eligible
maintenance and sustainment costs, which must be:
1) In direct support of existing capabilities;
2) An otherwise allowable expenditure under the applicable grant program;
3) Tied to one of the core capabilities in the five mission areas contained within the Goal; and
4) Shareable through the EMAC.
Additionally, eligible costs may also be in support of equipment, training, and critical resources that have
previously been purchased with either federal grant funding or any other source of funding other than
FEMA preparedness grant program dollars.
Unallowable Costs
Grant funds may not be used for the following:
• Unallowable Equipment: Grant funds must comply with FEMA Policy 207-22-0002, Prohibited or
Controlled Equipment Under FEMA Awards, and may not be used for the purchase of firearms,
ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind
with weapons installed;
• Expenditures for weapons systems and ammunition;
• Costs associated with hiring, equipping, training, etc. sworn public safety officers whose primary
job responsibilities include fulfilling traditional public safety duties such as law enforcement,
firefighting, emergency medical services, or other first responder duties;
• Costs that supplant traditional public safety positions and responsibilities; or
• Activities and projects unrelated to the completion and implementation of the EMPG Program
• Clothing used for everyday wear by emergency management employees or other personnel.
Recipients should consult with their Regional EMPG Program Manager prior to making any investment that
does not clearly meet the allowable expense criteria established in this Manual and the EMPG Program
NOFO.
Amendments for EMPG Costs
In 2 CFR 200.308(f) it states that the Federal awarding agency may, at its option, restrict transfer of funds
among direct cost categories where the Federal share exceeds the simplified acquisition threshold, and the
cumulative amount of the transfer exceeds 10% of the total budget last approved by the awarding agency.
For purposes of 2 CFR 200.308(f), the term “budget” includes both the federal and non -federal cost share.
For EMPG awards (which include a 50% cost share), if the recipient wants to revise their budget and there
are transfers between the direct cost categories exceeding the Simplified Acquisition Threshold and the
cumulative amount of the transfers exceeds 10% of the total project costs (federal and non-federal), then
EMPG recipients must request prior written approval from their Regional EMPG Program Manager for
EMPG Program Appendix | 2023 Page H-30
those transfers and amendments. Recipients should consult with their Regional EMPG Program Manager
prior to making any changes to their EMPG Work Plan.
EMPG Program Appendix | 2023 Page H-31
EMPG Program Work Plan
Submission of an EMPG Program Work Plan is mandatory. It is a required component of the EMPG
Program application. The Work Plan outlines the state’s emergency management sustainment and
enhancement efforts, including new and ongoing activities and projects, that are driven by identified
preparedness priorities and proposed for the EMPG Program period of performance. An FY 2023 EMPG
Program Work Plan Template (available on the Grants.gov EMPG Program application page and on the
FEMA.gov website at EMPG) is provided to facilitate the work plan development process. The submitted
Work Plan must address all the data and information requirements included in the FY 2023 EMPG Program
Work Plan Template and in the supplemental guidance included in this section. Therefore, EMPG Program
applicants are strongly encouraged to use the provided FY 2023 EMPG Program Work Plan Template.
Prior to submission of the EMPG Program Work Plan, the applicant must work with the Regional
Administrator or designated Regional EMPG Program Manager to identify three to five priority areas which
will serve as the focus for EMPG Program-funded investments. The priorities must be mutually agreed to
by the applicant and Regional Administrator and should be driven by the THIRA/SPR process –
specifically, the outputs from the THIRA/SPR process – and other relevant information sources such as
AARs, audit and monitoring findings, Hazard Mitigation Plans and other deliberate planning products.
Priorities should also reflect those included in each recipient's IPP so that recipients are focusing all
investments, projects, and other resources on a common set of priorities. As they select priorities, applicants
should consider which capability gaps would be most operationally consequential, must be closed most
urgently, and could be meaningfully addressed within the period of performance. Applicants should refer to
the EMPG Program NOFO for further guidance on the priority identification process.
Applicants must set at least one performance goal for each RA agreed-upon priority area that achieves a
specific outcome. Each goal must be specific, measurable, and achievable within the period of performance,
relevant to the priority area, and have a target date for completion. Applicants must describe how achieving
each goal or objective will impact the priority area it supports by the end of the period of performance. Each
goal must include an estimate quantifying the extent to which the supporting investments will close
capability gaps (e.g., “Increase the percentage of people who can find and secure long -term housing by 10%
within 1 year of an incident”). The FY 2023 EMPG Program Work Plan Template includes instructions and
examples to help guide this process so that recipients can develop goals that focus on achieving specific
outcomes.
The Regional Administrator or designated Regional EMPG Program Manager will ensure that the mutually
agreed priorities are fully addressed in the EMPG Program Work Plan. In addition, the Regional
Administrator must approve final Work Plans before states may draw down EMPG Program funds. Grant
funds will be released upon approval of the state’s final Wor k Plan.
Following Work Plan approval, regional EMPG Program Managers will work closely with recipients to
monitor progress toward goals and activities in the Work Plans during the performance period and may
request further documentation from the recipients to clarify the projected Work Plan. Further, in accordance
with 2 C.F.R. §200.308 – Revision of budget and program plans, any changes to the approved Work Plan –
including changes in project scope and budget changes within any direct cost category exceeding 10% of
the total award amount – will require advance approval from the Regional Administrator or designated
Regional EMPG Program Manager.
EMPG Program Work Plan Instructions
The FY 2023 EMPG Program Work Plan Template has been updated to support the collection of objective
information and quantitative data that will allow FEMA to measure program effectiveness and investment
EMPG Program Appendix | 2023 Page H-32
impacts more effectively. This also enables compliance with 2 C.F.R. § 200.301, which requires federal
awarding agencies to measure recipient performance to show achievement of program goals and objectives,
share lessons learned, improve program outcomes, and foster adoption of promising practices. To this end,
the FY 2023 EMPG Program guidance in the NOFO and Work Plan requires recipients to link EMPG
Program-funded investments to THIRA/SPR results and other relevant materials that inform capability
priorities and needs and to include specific performance measures that will allow FEMA to measure the
impact of those investments based on the core capabilities that are addressed.
The FY 2023 EMPG Program Work Plan Template largely complements the THIRA/SPR process outlined
in the Comprehensive Preparedness Guide (CPG) 201, Third Edition (CPG 201, v3). As noted in CPG 201,
v3, a coordinated approach to track investments, and understand the return on investments, can help
improve the effectiveness of those investments. Tracking how EMPG Program-funded investments result in
specific, quantitative changes in capabilities can help guide communities’ strategic planning considerations
and inform resource allocation decisions that will maximize effectiveness in building or sustaining
capabilities. Therefore, applicants are encouraged to refer to CPG 201, v3, along with their most recent
THIRA and SPR, when developing their EMPG Program Work Plan.
The FY 2023 EMPG Program Work Plan Template consists of the following tabs: Definitions and
Guidance, Quick Links, Grant Investment Strategy, Grant Activities Outline, Detailed Budget – Excluding
M&A, Budget Narrative – Excluding M&A, Detailed Budget – M&A Only, Budget Narrative – M&A
Only, EMPG Program Summary, Implementation Schedule, Training Data Table, and Exercise Data Table.
As explained above, the focus of the FY 2023 EMPG Program Work Plan Template is on improving data
collection to better enable measurement of grant outcomes. Therefore, the narrative content is minimized
and many of the cells include dropdowns for selecting applicable data. This approach also helps to simplify
the Work Plan development process.
Instructions for each Work Plan section are provided below. Additional guidance and instructions are
provided in the FY 2023 EMPG Program Work Plan Template.
Definitions and Guidance
The Definitions and Guidance tab collects applicant information and provides instructions for completing
each subsequent tab.
Quick Links
The Quick Links Tab uses the link functionality in Excel to allow users to navigate throughout the template
quickly and minimize the need to scroll through projects and implementation schedules.
Grant Investment Strategy
The intent of the Grant Investment Strategy tab of the FY 2023 EMPG Program Work Plan Template is to
provide an overview of the state/territory's preparedness investment strategy. It should serve as the
foundation for completing the remainder of the Work Plan. It includes separate sections to explain the
following:
• The performance goals associated with each priority area;
• The most recent THIRA/SPR results;
• Significant risks and capability gaps that currently exist;
• Resulting preparedness priorities; and
• The anticipated impact of the proposed EMPG Program-funded investments.
EMPG Program Appendix | 2023 Page H-33
For the Performance Goals section, the applicant should identify the three to five priorities that were
mutually agreed to and approved between the Regional Administrator and the state/territory. These goals
serve as the focus for the EMPG Program-funded investments. The reference materials used to identify the
priorities should be cited and their relevance explained in this section.
At least one performance goal should be identified for each priority area. Each goal must be specific,
measurable, achievable within the period of performance, relevant to the priority area, and have a target
date for completion (i.e., SMART goal). It should describe how achieving each goal will impact the priority
area it supports by the end of the period of performance.
Grant Activities Outline
The Grant Activities Outline is used to capture the proposed EMPG Program-funded projects and link them
to the identified priorities, performance goals, and gaps or needs. Coupled with the Implementation
Schedule, the Grant Activities Outline supports identification and tracking of EMPG Program-funded
project outcomes, which will enable better understanding of the impacts of those investments relative to the
performance goals and the associated core capabilities. Identifying and tracking project outcomes also
supports compliance with the Foundations for Evidence-Based Policy Making Act of 2018 and changes to
2.C.F.R related to performance, evaluation, and risk for federal grants. Applicants can also designate
whether a project addresses equity considerations and/or climate change impacts. Examples of allowable
activities and associated core capabilities for projects that address the FY 2023 EMPG Program national
priorities of equity, climate resilience, and readiness can be found in the FY 2023 EMPG Program NOFO.
The Grant Activities Outline includes sections that allow the applicant to identify the performance goals
that are supported by each project and the milestones that are critical to accomplishing each goal.
Additional guidance on performance goals and milestones, including specific examples of each, are
provided below.
The Grant Activities Outline also requires the applicant to explain the objective and anticipated impact of
each project relative to the associated priorities, performance goals, and related core capabilities:
• The “Project Objective” should explain what the project will accomplish; specifically, how the
project will address the identified gap or need and how it supports one or more of the identified
performance goals.
• The “Anticipated Project Impact” should explain the expected project outcome relative to the
associated priorities and performance goals.
o The impact statement should include a quantitative estimate of the degree to which the
project will contribute to achieving the identified performance goal (see hierarchy example
below).
Effective completion of the Grant Activities Outline requires an understanding of the established planning
hierarchy. Priorities are at the top of the hierarchy, followed by performance goals that define a clear
outcome or end-state and provide the basis for addressing each priority. Project proposals should be
identified based on the performance goals. High priority capability gaps or needs identified through the
THIRA/SPR process, particularly SPR Step 2, and other assessments are also used to inform project
selection and to identify specific project objectives. Project objectives, and accompanying impact
statements, should complement the performance goals by including similar outcome-focused metrics, as
explained above. Lastly, identifying the specific project activities are the last step in the process of
completing the GAO. Project activities are key components and/or milestones that are critical to successful
completion of the project.
An example of this planning hierarchy for completing the GAO is provided below:
EMPG Program Appendix | 2023 Page H-34
❖ Priority: Logistics and Supply Chain Management
➢ Performance Goal: Within 24 hours of an incident, identify and mobilize life-sustaining
commodities, resources, and services to 10,000 people requiring shelter and 100,000 people
requiring food and water. Maintain distribution system for at least 30 days.
• Project: Update State Logistics and Distribution Management Plan and qualify 40
additional personnel for logistics operations in NQS.
o Project Objective/Impact: Increase capacity to identify and mobilize life-sustaining
commodities, resources, and services to people requiring shelter, food, and water by
50%, allowing the state to do so for 7,500 people requiring shelter and 75,000 requiring
food and water within 24 hours of an incident and maintain that distribution system for
at least 30 days.
• Activity: Convene cross-discipline working group meeting on May 30, 2023, to
review current State Logistics and Distribution Management Plan
All EMPG Program-funded investments must be accounted for in the Grant Activities Outline. However,
recognizing that some sustainment activities, such as funding of emergency manager salaries, may not align
to a specific priority or performance goal, applicants are not required to identify priorities and performance
goals for such investments. However, all other portions of the Grant Activities Outline must be completed
as a means to justify the applicable sustainment costs.
In cases where emergency management personnel are not assigned to support specific projects included in
the Work Plan, the applicant may choose to create a single project (e.g., Emergency Management Personnel
Project) to encompass the majority of the EMPG Program-funded salaries and fringe benefits costs. This
single project would be populated on the Grant Activities Outline and include the associated activities,
priorities, goals, anticipated outcomes, milestones, etc. for the applicable EMPG Program-funded
emergency management staff, including staff supporting the M&A activities.
The various elements of the Grant Activities Outline tab are outlined below, along with basic instructions
for completing the required entries. Supplemental guidance and instructions are included in the FY 2023
EMPG Program Work Plan Template.
• Project Name: Provide a descriptive name for each planned project. Examples include
“Development of Emergency Function Annexes ,” “Development of Earthquake Scenario Loss
Estimations,” “Implementation of Statewide Interoperability Plan,” “NIMS Training for
Emergency Management Personnel,” “Development of Emergency Preparedness Plan for
Individuals with Disabilities,” etc.
• Brief Project Description: Provide further details on the project, particularly where the project
name does not sufficiently describe the project.
• Gap or Need Addressed: Briefly describe the specific gap or need addressed by the project.
• Reference for Identified Gap or Need: Select the documentation used to identify the cited gap
or need from the drop-down menu.
• Project Objective: Explain how the project addresses the identified gap or need, and how it
supports the identified priorities and performance goals.
• Anticipated Project Impact: Explain the expected project outcome relative to the associated
priorities and performance goals.
• Build or Sustain: Select whether the project will build or maintain/sustain the identified core
capability(ies).
• Equity: Select whether the project will address equity considerations. For FY 2023, at least one
project must specifically address equity considerations.
• Climate Change: Select whether the project will address the impacts of climate change.
EMPG Program Appendix | 2023 Page H-35
• EMPG Program National Priority Area: Select the applicable National Priority Area from the
drop-down menu.
• Regional Administrator (RA) Agreed Upon Priority Area: Select from a drop-down list of the
32 core capabilities and other priorities identified in the latest version of the National Preparedness
Report. If the priority is not included in the drop-down list, enter “other” for Primary, Secondary
and/or Tertiary, and then enter the priority in the adjacent cell.
• POETE Category: Select whether the project relates to Planning, Organization, Equipment,
Training, or Exercises. Multiple POETE categories can be selected to accommodate projects that
span multiple categories. For example, building capability often involves a combination of
planning, training, and exercise activities. Space is provided to populate the Primary, Secondary
and Tertiary POETE category.
• Emergency Management Accreditation Program (EMAP) Standard Element: This field is
optional. It is made available to those states/territories that are EMAP certified and want to
continue tracking their investments by EMAP Standard Elements. Select the appropriate EMAP
Standard Elements from the drop-down menu, if applicable.
• Mission Area: Select the appropriate preparedness mission area supported by the project:
Prevention, Protection, Mitigation, Response, or Recovery. Multiple mission areas can be selected
to accommodate projects such as plans and exercises that involve multiple mission areas, and space
is provided to populate the Primary, Secondary and Tertiary Mission Areas.
• Core Capabilities: Select up to five core capabilities supported by the project. Indicate whether
the Core Capability has a target with a gap rated as high priority.
• Performance Goals: Select the performance goal(s) from the drop-down menu. The drop-down
menu will consist of the performance goals as entered in the Grant Investment Strategy.
• Current Capability Metrics: Identify capability metrics prior to the project implementation.
• Milestones: Identify key project activities and other deliverables or outputs that are critical to
accomplishing the identified performance goal and can be tracked to demonstrate progress toward
achieving the performance goal.
Detailed Budget – Excluding M&A
The Detailed Budget – Excluding M&A tab enables a full accounting of all project activity costs, excluding
M&A costs. This tab contains an itemization of non-M&A costs related to personnel, fringe benefits, travel,
equipment, supplies, contractual services, construction, other, and indirect costs. For personnel and fringe
benefits, the position title and percentage of time or fringe allocated to the EMPG Program grant is
required. Each line item is assigned to its relevant project, allowing the information in mission areas, core
capabilities, priorities, EMAP, and POETE categories to populate accordingly. This enables a breakdown of
the full EMPG Program budget into various categories: Mission Area, Core Capabilities, National Priority
Area, RA Agreed Upon Priority, EMAP Standard Elements, and POETE Category. The cells for each of
these categories are automatically populated based on the project number as identified in the Grant
Activities Outline.
Budget Narrative – Excluding M&A
The purpose of the Budget Narrative – Excluding M&A tab is to 1) justify the need for each line item and
the cost estimates; 2) explain how costs relate to the programmatic goals of the project(s); and 3)
supplement other budget information provided on the Detailed Budget – Excluding M&A tab. This tab will
include a narrative for each cost category of the budget. For the Cost Share, applicants must include a
detailed description of the source of the match/cost share. If funds or services are to be provided by a
third party for in-kind match, a dated letter of commitment is required to document the donation. If the
M&A Detailed Budget tab includes Indirect Costs, an approved Indirect Cost Rate Agreement signed by the
recipient agency and the cognizant agency for the recipient, or a copy of the proposal to the cognizant
EMPG Program Appendix | 2023 Page H-36
federal or state agency for an indirect cost rate, must be included in the submission of the Work Plan for
application purposes. Applicants who do not have a current negotiated indirect cost rate agreement
(including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants
Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of
an indirect cost rate must also reach out to the Grants Management Specialist for further instructi ons.
Detailed Budget – M&A Only
This Detailed Budget – M&A Only tab enables a full accounting of all project activity costs as they relate
specifically to M&A costs. This tab contains an itemization of only M&A costs related to personnel, fringe
benefits, travel, equipment, supplies, contractual services, construction, and other direct costs. For
personnel and fringe benefits, the position title and percentage of time or fringe allocated to the
EMPG Program grant is required. Each line item is assigned to its relevant project, allowing the
information in mission areas, core capabilities, priorities, EMAP, and POETE categories to populate
accordingly. This enables a breakdown of the full EMPG Program budget into various categories, including
the following: Mission Area, Core Capabilities, National Priority Area, RA Agreed Upon Priority, EMAP
Standard Elements, and POETE Category. The cells for each of these categories are automatically
populated based on the project number as identified in the Grant Activities Outline.
Budget Narrative – M&A Only
The purpose of the Budget Narrative – M&A Only tab is to: 1) justify the need for each line item and the
cost estimates; 2) explain how costs relate to the programmatic goals of the project(s); and 3) supplement
other budget information provided on the Detailed Budget– M&A Only tab. For the Cost Share, applicants
must include a detailed description of the source of the cost share/matching funds. If funds or services are to
be provided by a third party for in-kind match, a dated letter of commitment is required to document the
donation. This tab will include a narrative for each cost category of the budget.
Information for the Detailed Budget and Budget Narrative
This section of the Work Plan is a detailed description of the budget found in the SF -424A and must
include a detailed discussion of how EMPG Program funds will be used. Applicants must itemize costs
related to personnel, fringe benefits, travel, equipment, supplies, contractual costs, other direct costs,
indirect costs, and total costs.
Applicants should use the following instructions and budget cost category descriptions to complete the
Budget Detail section of the Work Plan.
Personnel: List each position with a brief description of the duties and responsibilities (no personnel
names), as well as the salary computation for staff. If a Cost-of-Living Adjustment increase and/or merit
pay increase in salary will be provided for the position, include those costs in calculations for personnel
and the associated fringe benefits on the applicable Detailed Budget and the Budget Narrative.
Fringe Benefits: List the computation for fringe benefits for each of the personnel listed in the budget
worksheet. Estimated rates for fringe are allowable but provide the basis for that estimation in the budget
narrative (e.g., average percent fringe paid for most employees within the agency). If not using an
estimate, list fringe benefit and the associated costs for each employee that will be paid by EMPG Program
funding (e.g., Social Security/FICA, Unemployment Compensation, Medicare, Retirement, Health
Insurance, Life Insurance, etc.). Also, in cases where fringe benefits costs are included in an indirect cost
rate agreement, the fringe benefits cannot also be charged as a direct cost for reimbursement.
Travel: Specify the mileage, per diem, estimated number of trips in -state and out-of-state, number of
travelers, and other costs for each type of travel for staff. Travel may be integral to the purpose of the
EMPG Program Appendix | 2023 Page H-37
proposed project (e.g., management, monitoring and/or oversight of grant award and/or subrecipients) or
related to propose project activities (e.g., attendance at training or meetings related to management of the
EMPG Program award). Travel costs identified in this section are for employees of the applicant/recipient
only. For travel costs related to staff training, include as many details as possible about each proposed
training cost, including the name of the training course(s), training provider, personnel who will attend the
training, proposed dates (estimates are accepted), etc. Travel category costs do not include 1) costs for
travel of consultants, contractors, consortia members, or other partner organizations, which are included in
the “Contractual” category; or 2) travel costs for employees of subrecipient agencies (those should be
included in the Contractual category, if applicable).
Equipment: List each equipment item for EMPG Program purposes only by Line-Item Name and in the
same order as listed on the Detailed Budget. Include a brief description of each equipment item (no brand
names); per unit cost, quantity and total cost; location of equipment (if other than the direct recipient
agency); and how the equipment will be utilized. Equipment is defined in 2 C.F.R. § 200.1.
Supplies: Include all tangible personal property other than those described in the definition of
“equipment” as defined by 2 C.F.R. § 200.1. Supplies are also defined in 2 C.F.R. § 200.1. The budget
detail should identify categories of supplies to be procured for EMPG Program purposes only (e.g.,
printing supplies, office supplies, etc.) and the calculation of those costs (e.g., based on monthly rates or
based on an average of previous years’ s imilar costs). Non-tangible goods and services associated with
supplies, such as printing service, photocopy services, and rental costs should be included in the “Other”
category. Provide the basis for calculation of supplies including the Line-Item Name and list supplies in
the Budget Narrative in the same order as listed on the Detailed Budget. Subrecipient M&A and non -
M&A costs should be included in the “Other” category.
Contractual: Identify each proposed contract related to EMPG Program purposes only and specify its
purpose and estimated cost. Contractual/consultant services are those services to be carried out by an
individual or organization (do not include company or individual names in budget narrative), other than
the applicant, in the form of a procurement relationship. Leased or rented goods (equipment or supplies)
for EMPG Program purposes should be included in the “Other” category. The applicant should list the
proposed contract activities along with a brief description of the scope of EMPG Program work or services
to be provided and proposed duration. Include the basis for the calculation of contractual services costs
(e.g., contractor training instructor speaking fee, contractor travel costs and contractor instructional
materials).
Other: This category should include only those types of direct costs that do not fit in any of the other
budget categories and are related to EMPG Program purposes only. Include a description of each cost by
Line-Item Name and in the same order as listed on the applicable Detailed Budget. Include the basis for
calculation of the costs. Examples of costs for EMPG Program purposes that may be in this category
include the following: insurance, rental/lease of equipment or supplies, equipment service or maintenance
contracts, printing or photocopying rental, etc. Subrecipient M&A and non -M&A costs from their
subawards (e.g., subgrants) are a distinct type of cost under this category. The term “subaward” means an
award of financial assistance (money or property) by any legal agreement made by the recipient to an
eligible subrecipient. This term does not include procurement purchases, technical assistance in the form
of services instead of money, or other assistance in the form of revenue sharing, loans, loan guarantees,
interest subsidies, insurance, or direct appropriations. Subcontracts are not subawards and belong in the
contractual category. Applicants must provide the aggregate amount they propose to issue as subaward
work and a description of the types of M&A and non-M&A activities to be supported.
Construction: Include construction costs, including renovation projects for a state or territorial
government’s principal EOC. Include a description of the types of constructio n or renovation services
proposed and the calculation of these costs (no company or individual names). Subrecipient construction
EMPG Program Appendix | 2023 Page H-38
costs should be included in the Other category. M&A funding cannot be used for construction or
renovation costs.
Indirect Costs: If indirect charges are budgeted, indicate the approved rate and base (the cost categories
for which this indirect cost percentage rate will be applied.) Indirect costs are those incurred by the
recipient for a common or joint purpose that benefit more than one cost objective or project and are not
readily assignable to specific cost objectives or projects as a direct cost. In order for indirect costs to be
allowable, the applicant must have a federal or state negotiated indirect cost rate (e.g., fixed,
predetermined, final or provisional), or must have submitted a proposal to the cognizant federal or state
agency. An approved Indirect Cost Rate Agreement signed by the recipient agency and the cognizant
agency for the recipient, or a copy of the proposal t o the cognizant federal or state agency for an indirect
cost rate, must be included in the submission of the Work Plan Template for application purposes.
Examples of Indirect Cost Rate calculations are shown below:
1. Personnel (Indirect Rate x Personnel = Indirect Costs)
2. Personnel and Fringe (Indirect Rate x Personnel & Fringe = Indirect Costs)
3. Total Direct Costs (Indirect Rate x Total Direct Costs = Indirect Costs)
Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must a lso reach out to the
FEMA Grants Management Specialist for further instructions. Per 2 C .F.R. Part 200, Appendix VII,
paragraph D.1.b, state and local governments are not permitted to use the de minimus rate without seeking
and receiving FEMA’s approval of a case-by-case exception. Applicants who wish to request the case-by-
case exception should reach out to their FEMA Grants Management Specialist for further instructions.
Post-award requests to charge indirect costs will be considered on a case -by-case basis and based upon the
submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost
allocation plan, as applicable.
EMPG Program Summary
This tab includes summary information for the award as entered in the budget tabs and the Grant Activity
Outline. The overall budget summary will include the total award amount, federal amount, non-federal
amount (cost share), and M&A amount, along with the calculated percentage of each. The additional budget
summary tables will calculate the amount allocated for federal funds, non-federal funds (cost share) and
total project costs for each cost category. There is also a budget summary table with similar information for
each primary mission area and core capability.
The EMPG Program Summary tab also provides users with an overview of their progress in the FY 2023
EMPG Program Performance Metrics. The metrics are automatically populated from the calculations of
information provided in the Grant Activities Outline. These metrics aim to provide the count, percentage,
and associated dollar amount affiliated with the following performance metrics: 1) Capability-building
Projects for Alignment to Capability Gaps in SPR; 2) Funding Spent on Capability-building Projects
Aligned to Capability Gaps in SPR; 3) Building Capabilities for High Priority Targets; 4) Regional and
National Priority Area Alignment; and 5) Plans-Training-Exercise Alignment. The EMPG Program
Summary Tab further provides a count of all projects that address equity considerations and climate change
impacts.
Implementation Schedule
The Implementation Schedule includes the basic elements of a project management plan. It is used to
capture key project activities to include both EMPG Program-funded activities that are critical to
accomplishing the project objectives as identified in the Grant Activities Outline, as well as tasks that are
essential to effective project management. Thus, this product can be used as a basic project management
EMPG Program Appendix | 2023 Page H-39
tool to plan and track the progress of key project activities and associated tasks. Key project activities
should generally correlate with the “Milestones” identified for each project included in the Grant
Activities Outline.
The Implementation Schedule enables the applicant to identify key project activities by year/quarter, the
associated tasks, timelines, status reports, and challenges or risks that may affect successful completion of
the activity as planned. It also allows for the tracking of project progress by including estimated and
actual completion dates for each activity and the ability to enter quarterly accomplishments relating to the
activity. This functionality allows for quarterly reporting of project progress, in accordance with the
programmatic requirements of the EMPG Program. Also, data from the Implementation Schedule should
be completed and submitted to FEMA as a component of quarterly reporting on grant activities.
The Implementation Schedule further allows the applicant to explain how their project addresses equity
considerations. Possible examples include: 1) conducting vulnerability assessments to identify and fully
understand the vulnerabilities and needs of underserved communities relating to emergency preparedness;
and 2) updating emergency operations plans to ensure the needs of underserved communities are
adequately addressed.
The Implementation Schedule also provides the applicant with the ability to explain how their project
addresses the impacts of climate change.
Training Data Table
To facilitate consistent data reporting and performance measures collection, the FY 2023 EMPG Program
Work Plan Template includes a Training Data Table. This table should reflect training activities outlined in
the multi-year IPP and completion of required EMPG Program training courses. The data requirements are
defined in the section below. Applicants/recipients are not required to report EMPG Program-funded
personnel costs associated with training. Training related to the NQS is not reported on the Training Data
Table. Also, data from the Training Data Table should be completed and submitted to FEMA as a
component of quarterly reporting on grant activities. Upon entering the project name or number in the
template, the cells located to the right of the main Training Data Table will auto-populate the associated
priority, mission area, capabilities, and functional areas based on the project data included in the Grant
Activities Outline.
Training Data Table Template
Project
Number
Project
Name
Name of
Training
Scheduled
Date
Date
Training
was
Conducted/
Completed
EMPG
Program
Required
Training?
(Y/N)
Number
of
Personnel
Trained
NIMS Training
Course Number
(if applicable)
Training
Identified
in IPP
(Y/N)
Training Data Table Definitions
• Column 1 – Project Number from the Grant Activities Outline
• Column 2 – Project Name from the Grant Activities Outline
• Column 3 – Name of training course
• Column 4 – Scheduled date of training course
• Column 5 – Date training was conducted or completed
• Column 6 – Is the training course required by the EMPG Program?
• Column 7 – Number of personnel trained
• Column 8 – NIMS Training Course Number (if applicable)
EMPG Program Appendix | 2023 Page H-40
• Column 9 – Is the training identified in the multi-year IPP?
Exercise Data Table
To facilitate consistent data reporting and performance measure collection, an Exercise Data Table should
be completed for any exercises that meet EMPG Program requirements and/or exercises conducted in whole
or part with EMPG Program funds. The Exercise Data should include EMPG Program-funded exercises and
costs to run the exercise (e.g., planning, materials, props, contractual services for conducting the exercise,
AAR and IP, etc.). Any exercise planned or conducted during the grant period of performance should be
reported on the Exercise Data Table. Applicants/recipients are not required to report EMPG Program-
funded personnel costs associated with exercises. Data from the Exercise Data Table should also be
completed and submitted to FEMA as a component of quarterly reporting on grant activities. The data
requirements are defined in the section below. Upon entering the project name or number in the template,
the cells located to the right of the main Exercise Data Table will auto-populate the associated priority,
mission area, capabilities, and functional areas based on the project data included in the Grant Activities
Outline.
Exercise Data Table Template
Project
Number
Project
Name
Name of
Exercise
Scheduled
Date
Date
Exercise
Conducted/
Completed
Type of
Exercise
Exercise
Fulfills
Progressive
Exercise
Requirement
(Y/N)
Exercise
Identified
in IPP
(Y/N)
Date AAR
submitted
to FEMA
Exercise Data Table Definitions:
• Column 1 – Project Number from the Grant Activities Outline
• Column 2 – Project Name from the Grant Activities Outline
• Column 3 – Exercise Name
• Column 4 – Scheduled date of exercise
• Column 5 – Date exercise conducted/completed
• Column 6 – Type of exercise (select from drop-down menu)
• Column 7 – Is the exercise part of a progressive exercise series?
• Column 8 – Is exercise identified in the multi-year IPP?
• Column 9– When was the AAR submitted to FEMA?
EMPG Program Appendix | 2023 Page H-41
EMPG Requirements Matrix
ID Category Requirement Location Due Date Cycle Due Date Submission Plan
1 Administrative
Pass through 100% of
award from SAA or
Territory to EMA.
NOFO
Within 15 days
of award date
(if applicable)
Varies Work Plan/Electronic Notification
2 Allowability
Critical Emergency
Supplies Purchases – 5-
year viable inventory
management plan with a
distribution strategy
App H Prior to award
(if applicable) Varies Work Plan/Amendment
3 Application Work Plan App H Per the NOFO Varies ND Grants
4 Application Project addressing
Equity Considerations
NOFO,
App H Per the NOFO Varies Work Plan: Grant Activities Outline and
Budget Narrative
5 Civil Rights Civil Rights Evaluation
Tool PGM
Within 30 days
of receipt of
award
Varies
Email to:
CivilRightsEvaluation@hq.dhs.gov
and
cc: Regional EMPG Program Manager
6 Closeout
Closeout Reporting
Requirements.
(Note: ND Grants does
not have a closeout
module. Regional
closeout processes vary.)
PGM Per the Closeout
notification letter Varies ND Grants/Electronic Notification
7 Cost Share Cost Share App H
Application,
Quarterly,
Closeout
Varies
Work Plan Budget, Federal Financial
Report (FFR)/SF-425 (Quarterly and at
Closeout)
8 Davis-Bacon Davis-Bacon
Compliance App H For all EMPG
projects Varies Monitoring
9 EHP EHP approval PGM
Prior to any
construction,
renovation, or
ground
disturbing
activity
Varies
Email to:
CivilRightsEvaluation@hq.dhs.gov, and cc:
Regional EMPG Program Manager
10 EHP Construction Towers App H
FCC Section 106
review must be
completed prior
to EHP review
Varies Monitoring
11 EMAC EMAC association NOFO Prior to award Varies Regional EMPG Program Manager to
verify on EMAC website
12 Exercise
Exercise program
negotiated (align with
IPP/priorities)
App H Prior to award Varies Work Plan
13 Exercise AAR (After Action
Report)/IPs App H
90 days after
completion of
exercises
conducted in
Calendar Year
(CY) Q4
Varies
Email to: hseep@fema.dhs.gov
and
cc: Regional EMPG Program Manager
EMPG Program Appendix | 2023 Page H-42
ID Category Requirement Location Due Date Cycle Due Date Submission Plan
14 Performance
Measures
87.5% of all PTE
projects align with
building capability
and/or closing capability
gaps identified
NOFO Prior to award Varies Work Plan
15 Pre-Award Pre-award cost NOFO Prior to award
(if applicable) Varies Work Plan Budget
16 Priorities
3-5 Applicant and RA
mutually agreed upon
Priorities (Note: These
need not be the national
priorities)
App H Prior to award Varies Work Plan
17 Reporting
Threat and Hazard
Identification and Risk
Assessment (THIRA)
submitted
App H Every 3 years
starting in 2022 31-Dec Prep toolkit
18 Reporting State Preparedness
Review (SPR) submitted App H Annually 31-Dec Prep toolkit
19 Reporting
National Incident
Management System
(NIMS)
App H Annually 31-Dec Unified Reporting Tool (URT)
20 Reporting
National Qualification
System (NQS)
implementation
App H
Phased-in
Objectives due
Annually
31-Dec URT
21 Reporting
Distribution
Management Plan
(DMP) Plan review
App H
After initial
submission,
DMP updates
submitted
annually, as
necessary
30-Sep Email to: Regional EMPG Program
Manager
22 Reporting
Multi-year Training and
Exercise Plan
(TEP)/Integrated
Preparedness Plan (IPP)
developed
App H Annually 31-Jan
Email to: hseep@fema.dhs.gov
and
cc: Regional EMPG Program Manager
23 Reporting
Periodic Performance
Reporting (PPR) Status
of all EMPG Program-
funded plans, training
and exercise activities
must be reported
quarterly.
App H
Within 30 days
after the end of
the CY Quarter
30-Jan
30-Apr
30-July
30-Sep
ND Grants
24 Reporting Financial Quarterly
Reporting PGM
Within 30 days
after the end of
the CY Quarter
30-Jan
30-Apr
30-July
30-Sep
PARS
25 Reporting
Biannual Strategy
Implementation Report
(BSIR)
PGM - Biannual
No later
than:
30-Jan
30-July
Grant Reporting Tool (GRT)
26 Reporting –
Exercise
All EMPG Program-
funded exercise activities
must be reported
quarterly.
App H Quarterly
30-Jan
30-Apr
30-July
30-Sep
Exercise Data Table
EMPG Program Appendix | 2023 Page H-43
ID Category Requirement Location Due Date Cycle Due Date Submission Plan
27 Reporting –
Training
All EMPG Program-
funded training activities
must be reported
quarterly.
App H Quarterly
30-Jan
30-Apr
30-July
30-Sep
Training Data Table
28 Telecomms FirstNet PGM Prior to award
(if applicable) Varies Verified by Regional EMPG Program
Manager
29 Telecomms SAFECOM PGM/
App H
Prior to award
(if applicable) Varies Verified by Regional EMPG Program
Manager
30 Training
Training activities
captured (align with
IPP/priorities)
PGM/
App H Prior to award Varies Work Plan Training Data Table or PPR
template
31 Training
EMPG funded personnel
who have completed:
• Basic Academy
OR
Professional
Development Series
AND
• NIMS
App H On-going Varies
Per Regional Guidance:
• ND Grants: with PPR
• Roster to Regional EMPG Program
Manager
• Reviewed During Monitoring
32 Training
Training attendance
information submitted
within 30 days of
attendance of training
supported with EMPG
funding (IB 432)
PGM/
App H On-going Varies Web-Forms
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Version Instructions
Excel 2003
1) From the menu bar, click on TOOLS > MACRO > SECURITY.
2) From SECURITY LEVEL tab, select the MEDIUM.
3) Save, Close, and Re-open the workbook.
NOTE: The MEDIUM setting will prompt you to enable or disable macros each time the file is opened. This will prevent potentially unsafe macros from running.
The LOW setting will enable macros without a prompt.
Excel 2007
1) Click the round "Office" button in upper left corner of the window.
2) Click "Excel Options" button near lower-right corner.
3) From "Excel Options" window, select "Trust Center" on left pane.
4) Click on the "Trust Center Settings" button on the right pane, which will open a new "Trust Center" window.
5) From the new "Trust Center" window, pick "Macro Settings" on left pane.
6) Choose "Disable all macros with notification" radio button on the right pane, then click OK.
NOTE: Each time a workbook with macros is opened, a security alert will appear. This alert may be a pop-up window or a banner across the top of the
window. You must choose to enable for macros to function.
Excel 2010/2013/2016/2019/365
1) Click on the File tab, then choose Options, which will then open a new "Excel Options" window.
2) From the new window, click "Trust Center" on the left pane.
3) Click "Trust Center Settings..." button on the right pane, which will then open a new "Trust Center" window.
4) From the "Trust Center" window, pick "Macro Settings" on left pane.
5) Choose "Disable all macros with notification" radio button on the right pane, then click OK.
6) Save, Close, and Re-open the workbook.
NOTE: Each time a workbook with macros is opened, a security alert will appear. This alert may be a pop-up window or a banner across the top of the
window. You must choose to enable for macros to function.
Button Function
Sort (A-Z)Sorts table by project letter, from A to Z.
Spellcheck Spellchecks the worksheet.
Clear Filters Clears all filters applied to any of the tables.
Calculate M&A Calculates maximum allowable M&A based on total cost of all non-M&A projects.
Black Font Selects the entire row(s) of the selected cell(s) and changes the font color to black. Any strikethroughs will be removed.
Red Strikethrough Selects the entire row(s) of the selected cell(s) and changes the font color to red. A red strikethrough will be added.
Blue Font Selects the entire row(s) of the selected cell(s) and changes the font color to blue. Any strikethroughs will be removed.
Add Row Adds row below the selected cell.
Delete Row Deletes entire row(s) of selected cell(s). Selection must be contiguous if multiple cells are selected.
Validate Worksheet Restores formulas and formatting to default values in the appropriate cells. This macro does not erase data.
New Request Duplicates the active worksheet for reimbursement and modification requests, placing it immediately after the original worksheet. An input box will appear to
name the new worksheet. Remember to use the most recent version of the worksheet when creating a new request.
New Mod Item Copies the selected line and inserts it immediately below. The font color of the selected row will change to red with a red strikethrough indicating that the line
item has been changed. The duplicated line will have blue font color, without a strikethrough, indicating the modified line item.
Initial Application Populates the Ledger Type field with "Initial Application" and the Date field with today's date.
Reimbursement Request Populates the Ledger Type field with "Reimbursement Request" and the Date field with today's date. A new "Request #" field will appear.
Modification Populates the Ledger Type field with "Modification" and the Date field with today's date. A new "Request #" field will appear.
Keyboard Shortcut Function
Below is a table that lists macros that can be activated by using a keyboard shortcut. A shortcut requires the user to press 2 keys simultaneously: the control button and a letter.
WORKBOOK INSTRUCTIONS
This worksheet provides instructions on how to complete the FY 2022 Financial Management Forms Workbook (FMFW), EMPG v.22. It is divided into sections that correspond to each of the worksheets within this
workbook. The first section describes the macros used in this workbook and can be ignored if you are using the non-macro version of this FMFW. For further guidance, contact your Program Representative.
Section 1: MACROS
Below is a table with instructions on how to enable macros in Microsoft Excel, depending on the version.
Note: Some computers may not run Macros correctly even when enabled in Excel. A Non-Macro version of the workbook is available under such circumstances.
Below is a table of the macro buttons available on many of the worksheets in this workbook.
FY 2022 EMPG FMFW (Macro) v.22 1 of 26 Instructions
ATTACHMENT B
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Ctrl + Shift + G Creates a new worksheet with a pivot table that aggregates Budgeted Costs by Solution Area. Only works on the Project Ledger tab.
Ctrl + Shift + I Resets information on top of each tab to reflect name, FIPS, subaward number, POP dates from Face Sheet
Ctrl + Shift + L Breaks all links to external sources.
Ctrl + Shift + Y Duplicates the active sheet, then deletes the red lines and changes blue font to black font.
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FY 2022 EMPG FMFW (Macro) v.22 2 of 26 Instructions
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Form Field Instructions
1. Subrecipient
The Subrecipient is the unit of government or community based organization (CBO) that will have legal responsibility for these grant funds (e.g. County of
Alameda, City of Fresno or Women’s Place of Merced). Enter the legal name of the Subrecipient that is registered with the Internal Revenue Service (IRS).
PLEASE NOTE: All CBOs must be registered, active, and current with the IRS, Department of Justice (DOJ), and Secretary of State (SOS) websites. Failure to be
current will result in funds being withheld by Cal OES.
1a. Unique Entity Identifier (UEI)
Effective April 4, 2022, the Federal Government transitioned from using the Data Universal Numbering System or DUNS number, to a new, non-proprietary
identifier known as a Unique Entity Identifier or UEI. For entities that have an active registration in the System for Award Management (SAM) prior to this date,
the UEI has automatically been assigned and no action is necessary. For all entities filing a new registration in SAM.gov on or after April 4, 2022, the UEI will be
assigned to that entity as part of the SAM.gov registration process. UEI registration information is available on GSA.gov at: Unique Entity Identifier Update |
GSA.
2. Implementing Agency Enter the complete name of the agency responsible for the day-to-day operation of the grant (e.g. Sheriff, Police Department, or Department of Public
Works). If the Implementing Agency is the same as the Subrecipient, enter the same title again.
2a. Unique Entity Identifier (UEI)
Effective April 4, 2022, the Federal Government transitioned from using the Data Universal Numbering System or DUNS number, to a new, non-proprietary
identifier known as a Unique Entity Identifier or UEI. For entities that have an active registration in the System for Award Management (SAM) prior to this date,
the UEI has automatically been assigned and no action is necessary. For all entities filing a new registration in SAM.gov on or after April 4, 2022, the UEI will be
assigned to that entity as part of the SAM.gov registration process. UEI registration information is available on GSA.gov at: Unique Entity Identifier Update |
GSA.
3. Implementing Agency Address Enter the address of the Implementing Agency. Provide the complete nine digit zip code (Zip+4).
4. Location of Project Enter the City and County/Operational Area where the project is located. Provide the complete nine digit zip code (Zip+4).
5. Disaster/Program Title Enter the name of the Disaster or Program providing the funds for this Grant Subaward. A disaster may be referred by the federal declaration number.
Program titles should be complete without the use of acronyms.
6. Performance Period Enter beginning and ending dates of the performance period for the Grant Subaward. (mm/dd/yyyy)
7. Indirect Cost Rate
Indicate whether you are using the 10% de Minimis rate based on Modified Total Direct Costs (MTDC) or your current cognizant agency approved indirect cost
rate agreement. A copy of the approved negotiated indirect cost rate agreement must be enclosed with your application. Indicate N/A if you will not be
claiming indirect costs under the award. Indirect costs may or may not be allowable under all Federal fund sources .
8-12. Fund Allocations and Total Project Cost
For each fund source used in the program, select the correct grant year and acronym from the drop down lists, the amount of state or federal funds
requested, the amount of cash and/or in-kind match contributed and the resulting totals. Please do not enter both state and federal on the same line. The
Total Project Cost row should correspond to the total project cost specified in the budget.
13. Certification Paragraph Please review the Certification Paragraph.
14. CA Public Records Act Please review, and if applicable, provide the necessary documentation.
15. Official Authorized to sign for the Subrecipient Enter the name and title of the official authorized to enter into the Grant Subaward for the Subrecipient as stated in Block 1 of the Grant Subaward Face Sheet
(Cal OES 2-101). Enter the Payment Mailing Address where grant funds should be sent. Provide the complete nine digit zip code (Zip+4).
16. Federal Employer ID Number Enter the nine digit Federal Employer Identification Number for the Implementing Agency.
Ledger Column Name Instructions
Request Type Using the Macro buttons, specify what type of ledger is being completed (Application, Advance, Reimbursement, or Modification). Enter the request number.
State Goals Select the State Goals from the drop-down list.
Direct/Subaward Use the drop-down list to identify if the Project is Direct or Subaward
Project Enter the project letter from the drop-down list.
Project Title Enter a short, but descriptive name for the project.
Project Description Enter the project description, citing specific and measurable objectives.
Solution Area Select a Solution Area from the drop-down list.
Solution Area Sub-Category Select a Solution Area Sub-Category from the drop-down list. This list is dependent on a selection from the Solution Area Category drop-down list. The Solution
Area Sub-Category will not display the drop-down list unless a Solution Area Category is selected.
Core Capabilities Select a Core Capabilities from the drop-down list.
Capability Building Select Capability Building from the drop-down list.
Section 2: GRANT SUBAWARD FACE SHEET
Use the Grant Subaward Face Sheet to apply for grant programs. Each grant program requires its own separate Grant Subaward Face Sheet. Please convert the Grant Subaward Face Sheet to PDF in portrait format
and provide a digital signature from the authorized official. The use of white out, tape, or digital redaction is prohibited and will invalidate the signature on the Grant Subaward Face Sheet.
Cal OES Section: The top portion of the form contains blocks for four (4) important numbers. Please do not fill in these blocks. These numbers will be entered by Cal OES.
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Section 3: AUTHORIZED AGENT CONTACT INFORMATION
Provide the contact information of any additional Authorized Agents (AA) or staff related to grant activities. It is recommended that more than one person be designated as an AA, so that if one AA is not available,
a second AA can sign the requests for reimbursements and modifications.
Section 4: PROJECT LEDGER
Use this ledger to submit funding information for projects, as well as submitting Cash Requests and Modifications.
FY 2022 EMPG FMFW (Macro) v.22 3 of 26 Instructions
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Deployable/Shareable Select from the drop down list.
Total Budgeted Cost Enter the total amount obligated for the project.
Previously Approved Amount This field auto-populates with the cumulative expenditures of all reimbursement requests prior to the current request. This value does not include any match
amounts.
Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item.
Total Approved This field auto-populates with the cumulative amount expended for the line item. This value does not include any match amounts.
Expenditures To Date This field auto-populates with the total expenditures to date for the line item. This value includes match amounts.
Remaining Balance This field auto-populates with the remaining balance allowed for the line item. This value does not include any match amounts.
Percent Expended This field auto-populates with the amount expended, to-date, as a percentage of the budgeted amount. This value does not include any match amounts.
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FY 2022 EMPG FMFW (Macro) v.22 4 of 26 Instructions
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Ledger Column Name Instructions
Project Select the project letter from the drop-down list that corresponds with the Project Ledger.
Direct/Subaward Use the drop down list to identify if the project is Direct or Subaward.
Planning Activity Enter the planning activity.
Solution Area Sub-Category Select a Solution Area Sub-Category from the drop-down list that corresponds with the Project Ledger.
Expenditure Category Select an Expenditure Category from the drop-down list. This list is dependent on a selection from the Solution Area Sub-Category drop-down list. The
Expenditure Category will not display the drop-down list unless a Solution Area Sub-Category is selected.
Final Product Enter a description of the final product for this Planning activity. This must be a tangible item such as a manual, procedure, etc. Please contact your Program
Representative for further examples of final products.
Noncompetitive Procurement over 250k Select YES or NO from the drop-down list.
Hold Trigger If project is subject to a Hold, select the Hold type from drop-down list.
Approval Date If applicable, enter date when hold was released/approved.
Budgeted Cost Enter the total amount of grant funding budgeted for the line item.
Previously Approved Amount This field auto-populates with the cumulative expenditures as of all reimbursement requests prior to the current request. This value does not include any match
amounts.
Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item.
Total Approved This field auto-populates with the total expenditures to-date for the line item. This value does not include any match amounts.
Remaining Balance This field auto-populates with the remaining balance allowed for the line item. This value does not include any match amounts.
Ledger Column Name Instructions
Project Select the project letter from the drop-down list that corresponds with the Project Ledger.
Direct/Subaward Use the drop down list to identify if the project is Direct or Subaward.
Organization Enter the name of the organization.
Solution Area Sub-Category Select a Solution Area Sub-Category from the drop-down list that corresponds with the Project Ledger.
Expenditure Category Select an Expenditure Category from the drop-down list. This list is dependent on a selection from the Solution Area Sub-Category drop-down list. The
Expenditure Category will not display the drop-down list unless a Solution Area Sub-Category is selected.
Detail Select a Detail option from the drop-down list.
Budgeted Cost Enter the total amount of grant funding budgeted for the line item.
Previously Approved Amount This field auto-populates with the cumulative expenditures as of all reimbursement requests prior to the current request. This value does not include any match
amounts.
Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item.
Total Approved This field auto-populates with the total expenditures to-date for the line item. This value does not include any match amounts.
Remaining Balance This field auto-populates with the remaining balance allowed for the line item. This value does not include any match amounts.
Ledger Column Name Instructions
Project Select the project letter from the drop-down list that corresponds with the Project Ledger.
Equipment Description Provide a description of equipment and quantity. If Item is Mobile or Portable identify as such.
AEL Number & Title Place the AEL Number and Title in these columns. The AEL Number and Title can be obtained from the following link:
Authorized Equipment List
SAFECOM Compliance Select YES, NO, or N/A from the drop-down list.
Solution Area Sub-Category Select a Solution Area Sub-Category from the drop-down list that corresponds with the Project Ledger.
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Section 7: EQUIPMENT
Section 5: PLANNING
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Section 6: ORGANIZATION
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FY 2022 EMPG FMFW (Macro) v.22 5 of 26 Instructions
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Invoice Number Enter the Invoice Number for the equipment.
Vendor Enter the name of vendor from whom the equipment was purchased.
ID Tag Number Enter the ID Tag Number used to identify this equipment with. Subrecipient may use a product's serial number, or their own internal numbering format to tag
equipment. ID Tag Number must be available during monitoring visits.
% of Federal Funds Used in the Purchase Select 50% or 100% from the drop-down list, or enter the appropriate percentage.
Condition and Disposition Enter the condition of equipment by selecting the appropriate drop-down item. If the equipment is not in use, please use the "Deployed Location" column to
explain current status.
Deployed Location Enter the equipment's current location.
Acquisition Date Enter the date that this equipment was acquired from vendor.
Noncompetitive Procurement over 250k Select YES or NO from the drop-down list.
Hold Trigger If project is subject to a Hold, select the Hold type from drop-down list.
Approval Date If applicable, enter date when hold was released/approved.
Budgeted Cost Enter the total amount of grant funding budgeted for the line item.
Previously Approved Amount This field auto-populates with the cumulative expenditures as of all reimbursement requests prior to the current request. This value does not include any match
amounts.
Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item.
Total Approved This field auto-populates with the total expenditures to-date for the line item. This value does not include any match amounts.
Remaining Balance This field auto-populates with the remaining balance allowed for the line item. This value does not include any match amounts.
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FY 2022 EMPG FMFW (Macro) v.22 6 of 26 Instructions
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Ledger Column Name Instructions
Project Select the project letter from the drop-down list that corresponds with the Project Ledger.
Direct/Subaward Use the drop down list to identify if the project is Direct or Subaward.
Course Name Enter course name.
Solution Area Sub-Category Select a Solution Area Sub-Category from the drop-down list that corresponds with the Project Ledger.
Expenditure Category Select an Expenditure Category from the drop-down list. This list is dependent on a selection from the Solution Area Sub-Category drop-down list. The
Expenditure Category will not display the drop-down list unless a Solution Area Sub-Category is selected.
Feedback Number Enter the Feedback Number for the Training activity. To request a training Feedback Number, contact CSTI and submit the form from the following link: CSTI
Tracking Number Request Form
Training Activity Please identify your training activity from the drop-down list.
Total # Trainee(s)Enter the total number of trainee(s).
Identified Host If you are not the host, please identify who is the host. For further guidance, please refer to your Program Representative.
Noncompetitive Procurement over $250k Select YES or NO from the drop-down list.
Hold Trigger If project is subject to a Hold, select the Hold type from drop-down list.
Approval Date If applicable, enter date when hold was released/approved.
Budgeted Cost Enter the total amount of grant funding budgeted for the line item.
Previously Approved Amount This field auto-populates with the cumulative expenditures as of all reimbursement requests prior to the current request. This value does not include any match
amounts.
Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item.
Total Approved This field auto-populates with the total expenditures to-date for the line item. This value does not include any match amounts.
Remaining Balance This field auto-populates with the remaining balance allowed for the line item. This value does not include any match amounts.
Ledger Column Name Instructions
Project Select the project letter from the drop-down list that corresponds with the Project Ledger.
Direct/Subaward Use the drop down list to identify if the project is Direct or Subaward.
Exercise Title Enter the title of the exercise activity.
Solution Area Sub-Category Select a Solution Area Sub-Category from the drop-down list that corresponds with the Project Ledger.
Expenditure Category Select an Expenditure Category from the drop-down list. This list is dependent on a selection from the Solution Area Sub-Category drop-down list. The
Expenditure Category will not display the drop-down list unless a Solution Area Sub-Category is selected.
Exercise Activity Please select your exercise activity from the drop-down list.
Identified Host If you are not the host, please identify who is the host. For further guidance, please refer to your Program Representative.
Date of Exercise Enter the date of when this exercise was conducted.
Date of AAR/IP E-mailed into HSEEP Enter the date that the After Action Report (AAR) / Improvement Plan (IP) was e-mailed to hseep@fema.dhs.gov.
Noncompetitive Procurement over $250k Select YES or NO from the drop-down list.
Hold Trigger If project is subject to a Hold, select the Hold type from drop-down list.
Approval Date If applicable, enter date when hold was released/approved.
Budgeted Cost Enter the total amount of grant funding budgeted for the line item.
Previously Approved Amount This field auto-populates with the cumulative expenditures as of all cash request requests prior to the current request. This value does not include any match
amounts.
Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item.
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Section 8: TRAINING
Section 9: EXERCISE
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FY 2022 EMPG FMFW (Macro) v.22 7 of 26 Instructions
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Total Approved This field auto-populates with the total expenditures to-date for the line item. This value does not include any match amounts.
Remaining Balance This field auto-populates with the remaining balance allowed for the line item. This value does not include any match amounts.
Ledger Column Name Instructions
Project Select the project letter from the drop-down list that corresponds with the Project Ledger.
Activity Provide detailed information on M&A activity.
Solution Area Sub-Category Select "Grant Administration" from the drop-down list.
Expenditure Category Select an Expenditure Category from the drop-down list. This list is dependent on a selection from the Solution Area Sub-Category drop-down list. The
Expenditure Category will not display the drop-down list unless a Solution Area Sub-Category is selected.
Detail Select a Detail option from the drop-down list.
Budgeted Cost Enter the total amount of grant funding budgeted for the line item.
Previously Approved Amount This field auto-populates with the cumulative expenditures as of all reimbursement requests prior to the current request. This value does not include any match
amounts.
Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item.
Total Approved This field auto-populates with the total expenditures to-date for the line item. This value does not include any match amounts.
Remaining Balance This field auto-populates with the remaining balance allowed for the line item. This value does not include any match amounts.
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Section 10: M&A
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FY 2022 EMPG FMFW (Macro) v.22 8 of 26 Instructions
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Ledger Column Name Instructions
Project Select the project letter from the drop-down list that corresponds with the Project Ledger.
Activity Provide detailed information on Indirect Cost activity.
Solution Area Sub-Category Select "Facilities & Administration " from the drop-down list.
ICR Base Select an ICR Base from the drop-down list.
Rate Enter the Percentage Rate.
Budgeted Cost Enter the total amount of grant funding budgeted for the line item.
Previously Approrved Amount This field auto-populates with the cumulative expenditures as of all reimbursement requests prior to the current request. This value does not include any match
amounts.
Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item.
Total Approved This field auto-populates with the total expenditures to-date for the line item. This value does not include any match amounts.
Remaining Balance This field auto-populates with the remaining balance allowed for the line item. This value does not include any match amounts.
Ledger Column Name Instructions
Project Select the project letter from the drop-down list that corresponds with the Project Ledger.
Consulting Firm / Consultant Name Provide the name of the Consulting Firm and Consultant Name.
Project & Description of Services Provide detailed information on the project and description of services. If your consultant/contractor invoiced you for their services using a fee for each
deliverable, then describe the product in the Deliverable column. (e.g.: $10,000 for a reverse 911/telephone emergency notification system)
Deliverable If your consultant/contractor invoiced you for their services using a fee for each deliverable, then describe the product in the Deliverable column.
(e.g.: $10,000 for a reverse 911/telephone emergency notification system)
Solution Area Select a Solution Area from the drop-down list.
Solution Area Sub-Category Select a Solution Area Sub-Category from the drop-down list that corresponds with the Project Ledger. This list is dependent on a selection from the Solution
Area Category drop-down list. The Solution Area Sub-Category will not display the drop-down list unless a Solution Area Category is selected.
Expenditure Category Select an Expenditure Category from the drop-down list. This list is dependent on a selection from the Solution Area Sub-Category drop-down list. The
Expenditure Category will not display the drop-down list unless a Solution Area Sub-Category is selected.
Noncompetitive Procurement over $250k Select YES or NO from the drop-down list.
Hold Trigger If project is subject to a Hold, select the Hold type from drop-down list.
Approval Date If applicable, enter date when hold was released/approved.
Period of Expenditure Enter the Period of Expenditure in this column.
Fee for Deliverable If your consultant/contractor invoiced you for their services using a fee for each deliverable, then fill in the cost for the product in the Fee for Deliverable
column. (e.g.: $10,000 for a reverse 911/telephone emergency notification system)
Total Cost Charged to this Grant Enter the Total Cost Charged to the Grant in this column.
Ledger Column Name Instructions
Project/Deliverable Select the project letter from the drop-down list that corresponds with the Project Ledger.
Employee Name Provide the name of the employee.
Project/Deliverable Provide detailed information on the project and description of services.
Funding Source Select the appropriate funding source used for this project. Funds from one funding source cannot be moved to another funding source.
Solution Area Select a Solution Area from the drop-down list.
Solution Area Sub-Category Select a Solution Area Sub-Category from the drop-down list. This list is dependent on a selection from the Solution Area Category drop-down list. The Solution
Area Sub-Category will not display the drop-down list unless a Solution Area Category is selected.
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Section 13: PERSONNEL
Section 12: CONSULTANT / CONTRACTOR
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Section 11: INDIRECT COST
If claiming indirect costs under the award, provide detailed information on the total estimated indirect costs and the indirect cost rate at which you will be claiming. If you have a federally-approved rate, provide
information on the direct cost base on which, the rate is calculated, e.g., Salary and Wages (S/W), Salary, Wages and Benefits (SW&B), Total Direct Costs (TDC), Modified Total Direct Costs (MTDC), the De Minimis Rate
of 10% of MTDC (10% MTDC), or another base (Other).
FY 2022 EMPG FMFW (Macro) v.22 9 of 26 Instructions
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Dates of Payroll Period Provide the Dates of the Payroll Period.
Total Salary and Benefits Charged for this
Reporting Period Provide the Total Salary and Benefits Charged for the Reporting Period.
Total Project Hours Enter the Total Project Hours in this column.
Total Cost Charged to this Grant Enter the Total Cost Charged to the Grant in this column.
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FY 2022 EMPG FMFW (Macro) v.22 10 of 26 Instructions
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Ledger Column Name Instructions
Project Select the project letter from the drop-down list that corresponds with the Project Ledger.
Direct/Subaward Use the drop-down list to identify if the Project is Direct or Subaward
Project Title Enter the name of the project.
Match Description Enter the description of the Match activity.
Solution Area Select a Solution Area from the drop-down list that aligns to the activities/costs used to meet the EMPG Match Requirement.
Solution Area Sub-Category
Select a Solution Area Sub-Category from the drop-down list that aligns to the activities/costs used to meet the EMPG Match Requirement. This list is
dependent on a selection from the Solution Area Category drop-down list. The Solution Area Sub-Category will not display the drop-down list unless a Solution
Area Category is selected.
Type of Match Select the Type of Match: Cash or In-Kind
Total Budgeted Match Enter the total budgeted match amount for this project in this column.
Previously Approved Amount This field auto-populates with the cumulative match expenditures as of the reimbursement request prior to the current request.
Current Match This field is for Cash Requests only: Enter the match amount for the line item.
Total Match Expended This field auto-populates with the total match expenditures to-date for the line item.
Remaining Balance This field auto-populates with the remaining match balance for the line item.
Percentage Expended This field auto-populates with the match amount expended, to-date, as a percentage of the budgeted match amount.
Form Field Instructions
Request Type Enter the type of request that is being made. Use one of the following types:
INITIAL APPLICATION, REIMBURSEMENT REQUEST, FINAL REIMBURSEMENT REQUEST and MODIFICATION
Performance Period This field is auto-populated with the grant Performance Period as described on the Face Sheet Tab
Request #Enter the "Cash Request" or "Modification" number associated with this request.
Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for this request.
Authorized Agent Enter the Name and Title of Authorized Agent. Sign and date.
Ledger Column Name Instructions
Period Enter the time period for which the indirect cost rate is valid. Use the format: Month/Year through Month/Year.
Indirect Cost Rate for Period Enter the indirect cost rate for period
ICR Base Select ICR Base from the drop-down
Total Costs Enter Total Costs.
Less Distorting Costs Enter Less Distorting Costs.
Costs Applicable to ICR This field auto-populates.
Total Direct Costs This field auto-populates.
Total Allowable Indirect Costs This field auto-populates.
Total Budgeted Indirect Costs Enter Total Indirect Costs Budgeted; this value should be not be greater than the Total Allowable Indirect Costs.
Section 16: ICR SUMMARY
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Section 14: MATCH
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Section 15: AUTHORIZED AGENT
The Authorized Agent sheet must accompany ALL Reimbursement Requests, Modifications, and the Initial Application.
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FY 2022 EMPG FMFW (Macro) v.22 11 of 26 Instructions
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
FIPS #VS#Subaward #2022-0005
1a. UEI:
2a. UEI:
92702-1981
(City)(Zip+4)
92702-1981
(Zip+4)
July 1, 2022 June 30, 2024
(Start Date)(End Date)
%
Item
Number
Grant
Year
Fund
Source A. State B. Federal C. Total D. Cash Match E. In-Kind Match
F. Total Match G. Total Cost
8.2022 EMPG $52,569 $52,569 $52,569 $52,569 $105,138
9.
10.
11.
12.
Total Project Cost $52,569 $52,569 $52,569 $52,569 $105,138
Title:
City:Zip Code+4:92702-1981
Date:
(Date)(Date)
The California Governor's Office of Emergency Services (Cal OES) hereby makes a Grant Subaward of funds to the following:
(Cal OES Use Only)
Cal OES #
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICESGRANT SUBAWARD FACE SHEET
1. Subrecipient:County of Orange
2. Implementing Agency:City of Santa Ana - Santa Ana Police Department KZE9G2M4GRX9
3. Implementing Agency Address:60 Civic Center Plaza Santa Ana
(Street)
4. Location of Project:Santa Ana Orange
14.CA Public Records Act - Grant applications are subject to the California Public Records Act, Government Code section 6250 et seq. Do not put any personally
identifiable information or private information on this application. If you believe that any of the information you are putting on this application is exempt from the
Public Records Act, please attach a statement that indicates what portions of the application and the basis for the exemption. Your statement that the
information is not subject to the Public Records Act will not guarantee that the information will not be disclosed.
(City)(County)
5. Disaster/Program Title:Emergency Management Performance Grant 6. Performance /
Budget Period:to
7. Indirect Cost Rate:(Select)Federally Approved ICR (if applicable):
13.Certification - This Grant Subaward consists of this title page, the application for the grant, which is attached and made a part hereof, and the
Assurances/Certifications. I hereby certify I am vested with the authority to enter into this Grant Subaward, and have the approval of the City/County Financial
Officer, City Manager, County Administrator, Governing Board Chair, or other Approving Body. The Subrecipient certifies that all funds received pursuant to this
agreement will be spent exclusively on the purposes specified in the Grant Subaward. The Subrecipient accepts this Grant Subaward and agrees to administer the
grant project in accordance with the Grant Subaward as well as all applicable state and federal laws, audit requirements, federal program guidelines, and Cal
OES policy and program guidance. The Subrecipient further agrees that the allocation of funds may be contingent on the enactment of the State Budget.
15. Official Authorized to Sign for Subrecipient:
Acting City ManagerName: Steven A. Mendoza
Payment Mailing Address:
Signature:
60 Civic Center Plaza PO Box 1981 Santa Ana
16. Federal Employer ID Number:
(FOR Cal OES USE ONLY)
I hereby certify upon my personal knowledge that budgeted funds are available for the period and purposes of this expenditure stated above.
(Cal OES Fiscal Officer)(Cal OES Director or Designee)
FY 2022 EMPG FMFW (Macro) v.22 12 of 26 Grant Subaward Face Sheet Cal OES 2-101 (Revised 01/2022)
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
County of Orange Request Type Initial Application
2022-0005 Cal OES Approval
Salutation Authorized Agent
Name Title Address City Zip Phone Email
Steven A. Mendoza Acting City Manager 20 Civic Center Plaza Santa Ana 92701 714-647-5200 SMendoza@santa-ana.org
Salutation Point of Contact (POC)
Name Title Address State Zip Phone Email
Steve Rhyner Emergency Operations
Coordinator 60 Civic Center Plaza PO Box 1981 CA 92701-1981 714-647-5315 srhyner@santa-ana.org
NOTE: Authorized Agents must be designated, by name or title, in the Governing Body Resolution. Modifications will require additional documentation.
AUTHORIZED AGENT AND CONTACT INFORMATION MODIFICATION CLEARAPPLICATION
FY 2022 EMPG FMFW (Macro) v.22 13 of 26 AA Info
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Award Total M&A
Expended
% Total M&A Exp
of Total Exp
$52,569
State
Goals
Direct /
Subaward Project Project
Title
Project
Description
Solution
Area
Solution Area
Sub-Category
Core
Capabilities
Capability
Building
Deployable /
Shareable
Total
Budgeted
Cost
Previously
Approved
Amount
Amount
This Request
Total
Approved
Expenditures
To Date
(w/Match)
Remaining
Balance
Percent
Expended
$52,569 $52,569
Goal #4 Subaward A EOC Laptops Purchase 50 Dell Laptops to Equip the City EOC Equipment 04 - Information
Technology
Operational
Communications Build Both 52000 52000
Goal #4 Subaward B Laptop Cabinet Purchase 1 Laptop Charging Cabinet for EOC Laptops Equipment 04 - Information
Technology
Operational
Communications Build Both 569 569
Goal #4 Subaward A EOC Laptops Purchase 46 Dell Laptops to Equip the City EOC Equipment 04 - Information
Technology
Operational
Communications Build Both 49,740 49,740
Goal #4 Subaward B Laptop Cabinet Purchase 1 Laptop Charging Cabinet for EOC Laptops Equipment 04 - Information
Technology
Operational
Communications Build Both 2,829 2,829
PROJECT LEDGER
Modification
1
Request Type
Request Number
July 1, 2022
June 30, 2024
POP Start Date
POP End Date
Cal OES Approval
County of Orange
2022-0005
FY 2022 EMPG FMFW (Macro) v.22 14 of 26 Project Ledger
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Project Direct /
Subaward
Planning
Activity
Solution Area
Sub-Category
Expenditure
Category
Final
Product
Noncompetitive
Procurement
over 250k
Hold
Trigger
Approval
Date
Budgeted
Cost
Previously
Approved
Amount
Amount
This Request
Total
Approved
Remaining
Balance
July 1, 2022
June 30, 2024
POP Start Date
POP End Date
Cal OES Approval
Request Type
PLANNING
2022-0005
County of Orange
FY 2022 EMPG FMFW (Macro) v.22 15 of 26 Planning
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Project Direct /
Subaward Organization Solution Area
Sub-Category
Expenditure
Category Detail Budgeted
Cost
Previously
Approved
Amount
Amount
This Request
Total
Approved
Remaining
Balance
-
Request Type
ORGANIZATION
County of Orange
2022-0005 July 1, 2022
June 30, 2024
Cal OES Approval
POP Start Date
POP End Date
FY 2022 EMPG FMFW (Macro) v.22 16 of 26 Organization
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Project Equipment Description
(include Qty.)AEL#AEL
Title
SAFECOM
Compliance
Solution Area
Sub-Category
Invoice
Number Vendor ID Tag
Number
% of Federal Funds
Used in the
Purchase
Condition &
Disposition
Deployed
Location
Acquisition
Date
Noncompetitive
Procurement
over $250k
Hold
Trigger
Approval
Date
Budgeted
Cost
Previously
Approved
Amount
Amount
This Request
Total
Approved
Remaining
Balance
$52,569 $52,569
A 50 Dell Inspiron Laptop Computers 04HW-01-
INHW
Hardware,
Computer Yes 04 - Information
Technology 52000 52000
B 1 Laptop Charging Cabinet 04HW-01-
INHW
Hardware,
Computer N/A 04 - Information
Technology 569 569
A 46 Dell Latitude Laptop Computers 04HW-01-
INHW
Hardware,
Computer Yes 04 - Information
Technology 49,740 49,740
B 1 Laptop Charging Cabinet 04HW-01-
INHW
Hardware,
Computer N/A 04 - Information
Technology 2,829 2,829
2022-0005 July 1, 2022
June 30, 2024
Cal OES Approval
POP Start Date
POP End Date
Ledger Type
Request Number
Modification
1
EQUIPMENT
County of Orange
FY 2022 EMPG FMFW (Macro) v.22 17 of 26 Equipment
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Project Direct /
Subaward
Course
Name
Solution Area
Sub-Category
Expenditure
Category
Feedback
Number
Training
Activity
Total # of
Trainee(s)
Identified
Host
Noncompetitive
Procurement
over 250k
Hold
Trigger
Approval
Date
Budgeted
Cost
Previously
Approved
Amount
Amount
This Request
Total
Approved
Remaining
Balance
TRAINING
County of Orange
2022-0005
Ledger Type
Cal OES Approval
POP Start Date
POP End Date
Initial Application
July 1, 2022
June 30, 2024
FY 2022 EMPG FMFW (Macro) v.22 18 of 26 Training
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Project Direct /
Subaward
Exercise
Title
Solution Area
Sub-Category
Expenditure
Category
Exercise
Type
Identified
Host
Date of
Exercise
Date AAR/IP
E-mailed to
HSEEP
Noncompetitive
Procurement
over $250k
Hold
Trigger
Approval
Date
Budgeted
Cost
Previously
Approved
Amount
Amount
This Request
Total
Approved
Remaining
Balance
EXERCISE
County of Orange
2022-0005
Ledger Type Initial Application
POP Start Date
POP End Date
Cal OES Approval
July 1, 2022
June 30, 2024
FY 2022 EMPG FMFW (Macro) v.22 19 of 26 Exercise
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Project Activity Solution Area
Sub-Category
Expenditure
Category Detail Budgeted
Cost
Previously
Approved
Amount
Amount
This Request
Total
Approved
Remaining
Balance
Request Type Initial Application
July 1, 2022
M&A
June 30, 2024
County of Orange
2022-0005 POP Start Date
POP End Date
Cal OES Approval
FY 2022 EMPG FMFW (Macro) v.22 20 of 26 M&A
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Project Direct /
Subaward Project Title Match Description Solution
Area
Solution Area
Sub-Category
Type of
Match
Total
Budgeted
Match
Previously
Expended
Match
Current
Match
Total Match
Expended
Remaining
Balance
Percentage
Expended
$52,569 $52,569
A Subaward EOC Laptops 100% Cash Match from local funds for EM salary costs Organization Staffing Cash Match 52000 52000
B Subaward EOC Laptop Charging Cabinet 100% Cash Match from local funds for EM salary costs Organization Staffing Cash Match 569 569
A Subaward EOC Laptops 100% Cash Match from local funds for EM salary costs Organization Staffing Cash Match 49,740 49,740
B Subaward EOC Laptop Charging Cabinet 100% Cash Match from local funds for EM salary costs Organization Staffing Cash Match 2,829 2,829
MATCH
County of Orange
2022-0005
Modification
1
July 1, 2022
June 30, 2024
Request Type
Request Number
POP Start Date
POP End Date
Cal OES Approval
FY 2022 EMPG FMFW (Macro) v.22 21 of 26 Match
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Project Consulting Firm /
Consultant Name
Project /
Description of Services Deliverable Solution
Area
Solution Area
Sub-Category
Expenditure
Category
Noncompetitive
Procurement
over $250k
Hold
Trigger
Approval
Date
Period of
Expenditure
Fee for
Deliverable
Total Cost Charged
to Grant
-
CONSULTANT / CONTRACTOR
Cal OES Approval
Ledger Type
POP Start Date
POP End Date
Initial Application
July 1, 2022
June 30, 2024
County of Orange
2022-0005
FY 2022 EMPG FMFW (Macro) v.22 22 of 26 Consultant-Contractor
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Project Employee Name Project /
Deliverable
Solution
Area
Solution Area
Sub-Category
Dates of Payroll
Period
Total Salary & Benefits
Charged for this
Reporting Period
Total Project
Hours
Total Cost Charged
to Grant
PERSONNEL
Initial Application
Cal OES Approval
July 1, 2022
June 30, 2024
Ledger Type
POP Start Date
POP End Date
County of Orange
2022-0005
FY 2022 EMPG FMFW (Macro) v.22 23 of 26 Personnel
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Project Activity Solution Area
Sub-Category ICR Base Rate Budgeted
Cost
Previously
Approved
Amount
Amount
This Request
Total
Approved
Remaining
Balance
INDIRECT COSTS
Initial Application
July 1, 2022
June 30, 2024
County of Orange
2022-0005
Ledger Type
POP Start Date
POP End Date
Cal OES Approval
FY 2022 EMPG FMFW (Macro) v.22 24 of 26 Indirect Costs
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Ledger Type Initial Application
Cal OES Approval
FUNDING SOURCE ICR PERIOD (Mo/Yr through Mo/Yr)INDIRECT COST RATE FOR PERIOD ICR BASE
EMPG (Select)
DIRECT COSTS TOTAL COSTS LESS DISTORTING COSTS COSTS APPLICABLE TO ICR
Planning
Organization
Training
Exercise
M&A
SUBTOTAL ELIGIBLE DIRECT COSTS
SUBAWARDS TOTAL COSTS LESS EXCLUDED SUBAWARD COSTS COSTS APPLICABLE TO ICR
SUBTOTAL ELIGIBLE SUBAWARD COSTS
TOTAL DIRECT COSTS
TOTAL ALLOWABLE INDIRECT COSTS
TOTAL BUDGETED INDIRECT COSTS
INDIRECT COSTS - SUMMARY RECAP OF COSTS CLAIMED
County of Orange
2022-0005
MODIFICATION CLEARAPPLICATION
FY 2022 EMPG FMFW (Macro) v.22 25 of 26 ICR
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
ALN
through
(Beginning Performance Period Date)(Ending Performance Period Date)
AUTHORIZED AGENT
NOTE: Unauthorized alterations will delay the approval of this request.
County of Orange EMPG 97.042
2022-0005
Supporting Information for Application, Modification, or Request for Federal Funds
This claim is for costs incurred within the grant performance period.
This request is for a/an:Modification July 1, 2022 June 30, 2024
Steven A. Mendoza Acting City Manager
(Request #)(Amount This Request)
Under Penalty of Perjury, I certify that:
I am the duly authorized officer of the claimant herein. This claim is true, correct, and all expenditures were made in accordance with applicable laws, rules, regulations, and
grant conditions and assurances.
Statement of Certification - Authorized Agent
By signing this report, I certify, to the best of my knowledge and belief, that the report is true, complete, and accurate, and that the expenditures, disbursements, and cash
receipts are for the purposes and objectives set forth in the terms and conditions of the Federal award. I am aware that any false, fictitious, or fraudulent information, or the
omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18, Section 1001
and Title 31, Sections 3729–3730 and 3801–3812).
Signature of Authorized Agent Date
Printed Name of Authorized Agent Title of Authorized Agent
September 20, 2023
FY 2022 EMPG FMFW (Macro) v.22 26 of 26 AA Approval
Fiscal Year 2022
Emergency Management
Performance Grant (EMPG)
California Supplement to the
Federal Notice of Funding Opportunity
September 2022
ATTACHMENT C
Table of Contents
SECTION 1—OVERVIEW… ……………………………………………………………………….1
Federal Program Announcement
Information Bulletins
Purpose of the California Supplement
Key Changes to the FY 2022 Emergency Management Performance Grant
Grant Management Memoranda
Eligible Subrecipients
Tribal Allocations
Subrecipient Allocations
Supplanting
Public/Private Organizations
Debarred/Suspended Parties
SECTION 2—FEDERAL CHANGES AND INITIATIVES ....................................................... 4
FY 2022 Program Priorities
National Campaigns and Programs
NIMS Implementation
Match Requirement
Management and Administration
Indirect Costs
Equipment Typing/Identification and Use
Equipment Maintenance and Sustainment
Small Unmanned Aircraft Systems
Telecommunications Equipment or Services Prohibitions
Emergency Operations Plans
Conflict of Interest
SECTION 3—STATE CHANGES AND INITIATIVES .......................................................... 10
California Homeland Security Strategy Goals
“On Behalf Of”
Public Alert and Warning
SECTION 4—REQUIRED STATE APPLICATION COMPONENTS ...................................... 11
Financial Management Forms Workbook
Subrecipient Grants Management Assessment
Application Attachments
Standard Assurances
Governing Body Resolution
Authorized Agent Information
SECTION 5—THE STATE APPLICATION PROCESS......................................................... 15
Application Submission
Late or Incomplete Application
EMPG Contact Information
Subaward Approval
Table of Contents
SECTION 6—POST AWARD REQUIREMENTS ................................................................ 16
Payment Request Process
Semi-Annual Drawdown Requirements
Modifications
Training Requirements
Exercises, Improvement Plans and After Action Reporting
Procurement Standards and Written Procedures
Procurement Documentation
Procurement Thresholds
Noncompetitive Procurements
Environmental Planning and Historic Preservation
Construction and Renovation
Inventory Control and Property Management
Equipment Disposition
Performance Reporting
Extension Requests
Progress Reports on Grant Extensions
Monitoring
Failure to Submit Required Reports
Suspension/Termination
Closeout
Records Retention
ATTACHMENTS
A – FY 2022 EMPG Allocations
B – FY 2022 EMPG Timeline
C – FY 2022 EMPG Program Checklist
1
Section 1 ‒ Overview | 2022
Federal Program
Announcement
In April 2022, the U.S. Department of Homeland
Security (DHS)/Federal Emergency Management
Agency (FEMA) issued the Fiscal Year (FY) 2022
Emergency Management Performance Grant (EMPG),
Notice of Funding Opportunity (NOFO) and FEMA
Preparedness Grants Manual.
Subrecipients must follow the programmatic
requirements in the NOFO, FEMA Preparedness Grants
Manual, and the applicable provisions of the Uniform
Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards located in
Title 2, Code of Federal Regulations (C.F.R.) Part 200.
Information Bulletins DHS issues Information Bulletins (IBs) to provide
updates, clarification, and new requirements
throughout the life of the grant.
Purpose of the
California Supplement
The FY 2022 EMPG California Supplement to the NOFO
(State Supplement) is intended to complement, rather
than replace, the NOFO and the FEMA Preparedness
Grants Manual. Applicants are highly encouraged to
thoroughly read the NOFO and the Preparedness
Grants Manual before referring to the State
Supplement. The State Supplement will emphasize
differences between the FY 2021 and FY 2022 EMPG
and highlight additional California policies and
requirements applicable to the FY 2022 EMPG.
Key Changes to the
FY 2022 EMPG
The National Priorities for the FY 2022 EMPG Program
are:
• Equity
• Climate Resilience
• Readiness
A detailed description of allowable investments for each
national priority is included in the FY 2022 EMPG NOFO.
2
Section 1 ‒ Overview | 2022
Key Changes to the
FY 2022 EMPG Cont.
Unique Entity Identifier – Effective April 4, 2022, the
Federal Government transitioned from using the Data
Universal Numbering System or DUNS number, to a
new, non-proprietary identifier known as a Unique
Entity Identifier or UEI. For entities that have an active
registration in the System for Award Management
(SAM) prior to this date, the UEI has automatically been
assigned and no action is necessary. For all entities
filing a new registration in SAM.gov on or after
April 4, 2022, the UEI will be assigned to that entity as
part of the SAM.gov registration process.
UEI registration information is available on GSA.gov
at Unique Entity Identifier Update.
Grants Management
Memoranda
Cal OES issues Grants Management Memoranda
(GMMs) which provide additional information and
requirements regarding EMPG funds.
Eligible Subrecipients Eligible Applicants, referred to as Subrecipients, include
Counties/Operational Areas (OAs), and federally-
recognized tribes located in California.
Tribal Allocations The NOFO strongly encourages Cal OES to provide
EMPG funds directly to tribes in California. To
implement this requirement, a special Request for
Proposal will be issued to California’s federally-
recognized tribes. All Subrecipients are encouraged to
coordinate with tribal governments to ensure that tribal
needs are considered in their grant applications.
Subrecipient
Allocations
FY 2022 EMPG Subrecipient final allocations are
included in Attachment A.
Supplanting
Grant funds must be used to supplement existing funds,
not replace (supplant) funds that have been
appropriated for the same purpose. Subrecipients may
be required to provide supporting documentation that
certifies a reduction in non-federal resources occurred
for reasons other than the receipt or expected receipt
of federal funds. Supplanting will result in the
disallowance of any activity associated with this
improper use of federal grant funds.
3
Section 1 ‒ Overview | 2022
Public/Private
Organizations
Subrecipients may contract with any other public or
private organizations to perform eligible activities on
approved EMPG projects.
Debarred/
Suspended Parties
Subrecipients must not make or permit any award
(subaward or contract) at any tier, to any party, that is
debarred, suspended, or otherwise excluded from, or
ineligible for, participation in federal assistance
programs.
Subrecipients must obtain documentation of eligibility
prior to making any subaward or contract funded by
EMPG funds, and must be prepared to present
supporting documentation to monitors/auditors.
Before entering into a Grant Subaward, the
Subrecipient must notify Cal OES if it knows if any of the
principals under the subaward fall under one or more
of the four criteria listed at 2 C.F.R. § 180.335. The rule
also applies to Subrecipients who pass-through funding
to other local entities.
If at any time after accepting a subaward,
Subrecipients learn that any of its principals fall under
one or more of the criteria listed at 2 C.F.R. § 180.335,
immediate written notice must be provided to Cal OES
and all grant activities halted until further instructions
are received from Cal OES. The rule also applies to
subawards passed through by Subrecipients to local
entities.
4
Section 2 ‒ Federal Changes and Initiatives | 2022
FY 2022 Program
Priorities
DHS/FEMA annually publishes the National Preparedness
Report (NPR) to report national progress in building,
sustaining, and delivering the core capabilities outlined in
the goal of a secure and resilient nation. This analysis
provides a national perspective on critical preparedness
trends for whole community partners to use to inform
program priorities, allocate resources, and communicate
with stakeholders about issues of concern.
In developing applications for the FY 2022 EMPG Program,
Subrecipients should fund projects that address areas for
improvement as they relate to emergency management
capabilities, and projects that fall into the state, regional,
and national priority areas, including:
• Mass Care
• Economic Recovery
• Planning
• Operational Coordination
• Equity
• Climate Resilience
• Readiness
DHS/FEMA does not prescribe a minimum funding amount
for these priorities. However, Subrecipients are required to
support local, regional, state, and national efforts in
achieving the desired outcomes of these priorities.
National
Campaigns and
Programs
Whole Community Preparedness – Subrecipients should
engage with the whole community to advance individual
and community preparedness and to work as a nation to
build and sustain resilience. In doing so, Subrecipients are
encouraged to consider the needs of individuals with access
and functional needs and limited English proficiency in the
activities and projects funded by the grant.
Subrecipients should utilize established best practices for
whole community inclusion and engage with stakeholders to
advance individual and jurisdictional preparedness and
resilience. Subrecipients are encouraged to consider the
necessities of all Californians in the activities and projects
funded by the grant including children, seniors, individuals
with disabilities or access and functional needs, individuals
5
Section 2 ‒ Federal Changes and Initiatives | 2022
National
Campaigns and
Programs Cont.
with diverse culture and language use, individuals with lower
economic capacity, and other underserved populations.
Active Shooter Preparedness – DHS has developed a
comprehensive Active Shooter Preparedness website, which
strives to enhance national preparedness through a whole-
community approach by providing the necessary products,
tools, and resources to help all stakeholders prepare for and
respond to an active shooter incident. Subrecipients are
encouraged to review the referenced active shooter
resources and evaluate their preparedness needs.
Soft Targets and Crowded Places – States, territories, Urban
Areas, and public and private sector partners are
encouraged to identify security gaps and build capabilities
that address security needs and challenges related to
protecting locations or environments that are easily
accessible to large numbers of people on a predictable or
semi-predictable basis that have limited security or
protective measures in place, including town centers,
shopping malls, open-air venues, outside hard
targets/venues perimeters, and other places of meeting and
gathering. For more information, please see DHS’s
Hometown Security Program.
Community Lifelines – FEMA created Community Lifelines to
reframe incident information and impacts using plain
language and unity of effort to enable the integration of
preparedness efforts, existing plans, and identifies unmet
needs to better anticipate response requirements. Additional
information may be found at the Community Lifelines
Implementation Toolkit website.
Strategic Framework for Countering Terrorism and Targeted
Violence – DHS adopted the DHS Strategic Framework for
Countering Terrorism and Targeted Violence, which explains
how the department will use the tools and expertise that
have protected and strengthened the country from foreign
terrorist organizations to address the evolving challenges of
today.
6
Section 2 ‒ Federal Changes and Initiatives | 2022
NIMS
Implementation
Prior to allocation of any federal preparedness awards,
Subrecipients must ensure and maintain adoption and
implementation of the National Incident Management
System (NIMS).
Match
Requirement
The FY 2022 EMPG requires a dollar-for-dollar match. This can
be cash or third-party in-kind contributions. Refer to
2 C.F.R. § 200.306 for specific details. Utilizing the FMFW
Match Tab, Subrecipients will indicate the appropriate
Solution Area and Solution Area Subcategory that
accurately represents the specific activity(ies) and cost(s)
used to meet the match requirement under the FY 2022
EMPG subaward. Contributions from the Subrecipient should
be specifically identified in the match description located on
the FMFW Match Tab. The non-federal match contributions
have the same eligibility requirements as the federal share.
For additional match guidance, see
EMPG Clarifying Guidance IB 458.
Management
and
Administration
The Management and Administration (M&A) allowance for
Subrecipients is set at a maximum of five percent for the
FY 2022 EMPG.
Indirect Costs
Indirect costs are allowable under the FY 2022 EMPG
Program Award. Subrecipients who claim indirect costs may
do so provided they use one of the following two methods:
1. Subrecipients with an indirect cost rate approved by their
cognizant federal agency may claim indirect costs based
on the established rate. Indirect costs claimed must be
calculated using the base approved in the indirect cost
Negotiation Agreement. A copy of the approved
Negotiation Agreement is required at the time of
application.
2. Subrecipients who have never received a negotiated
indirect cost rate and receive less than $35 million in
direct federal funding per year may claim the 10 percent
de minimis indirect cost rate based on Modified Total
Direct Costs (MTDC) as defined in 2 C.F.R. § 200.1 and
Subpart E.
7
Section 2 ‒ Federal Changes and Initiatives | 2022
Indirect Costs
Cont.
Indirect costs are in addition to the M&A allowance and
must be included in the Grant Award application as a
“Project” and reflected in the FMFW on the Indirect Cost Tab
if being claimed under the award.
Indirect costs must be based on the claimed direct project
costs, excluding equipment expenditures and other
distorting items. Up to $25,000 of each subaward may be
included as a direct project cost when calculating indirect
costs based on Modified Total Direct Costs.
Indirect costs must be claimed no more than once annually,
and only at the end of the Subrecipient’s fiscal year. An
exception to this rule applies if there is a mid-year change to
the approved indirect cost rate; in this case, costs incurred
to date must be claimed. At that time, a Grant Subaward
Modification reflecting the rate change must also be
submitted to Cal OES, along with a copy of the new Indirect
Cost Rate Agreement.
Equipment
Typing/
Identification
and Use
Allowable EMPG equipment is listed on the FEMA Authorized
Equipment List (AEL) website, and includes equipment from
the following AEL Sections:
• PPE (Category 1)
• Information Technology (Category 4)
• Cybersecurity Enhancement Equipment (Category 5)
• Interoperable Communication Equipment (Category 6)
• Detection Equipment (Category 7)
• Power Equipment (Category 10)
• Chemical, Biological, Radiological, Nuclear, and
Explosive (CBRNE) Reference Materials (Category 11)
• CBRNE Incident Response Vehicles (Category 12)
• Physical Security Enhancement Equipment (Category 14)
• CBRNE Logistical Support Equipment (Category 19)
• Other Authorized Equipment (Section 21)
Subrecipients should analyze the cost benefits of purchasing
versus leasing equipment, especially high cost items and
those subject to rapid technical advances.
8
Section 2 ‒ Federal Changes and Initiatives | 2022
Equipment
Typing/
Identification
and Use Cont.
Large equipment purchases must be identified and
explained. For more information regarding property
management standards for equipment, refer to 2 C.F.R.
including § 200.310, § 200.313, and § 200.316.
Subrecipients that allocate FY 2022 EMPG funds for
equipment are required to type and identify the capability
associated with that equipment. Also, per FEMA policy, the
purchase of weapons and weapon accessories are not
allowed with EMPG funds. Special rules apply to critical
emergency supplies; refer to Appendix H of the FEMA
Preparedness Grants Manual for additional information.
Equipment
Maintenance
and Sustainment
Use of EMPG funds for maintenance contracts, warranties,
repair or replacement costs, upgrades, and user fees are
allowable as described in FEMA IBs 336 and 379, as well as
Grant Programs Directorate Policy FP 205-402-125-1.
Small
Unmanned
Aircraft Systems
All requests to purchase Small Unmanned Aircraft Systems
(SUAS) with FEMA grant funding must comply with IB 426 and
include copies of the policies and procedures in place to
safeguard individuals’ privacy, civil rights, and civil liberties of
the jurisdiction that will purchase, take title to, or otherwise
use the SUAS equipment. Reference the Presidential
Memorandum: Promoting Economic Competitiveness While
Safeguarding Privacy, Civil Rights, and Civil Liberties in
Domestic Use of Unmanned Aircraft Systems for additional
information.
Telecommuni-
cations Equipment
or Services
Prohibitions
Effective August 13, 2020, section 889(f)(2)-(3) of the
John S. McCain National Defense Authorization Act
for FY 2019 (NDAA), Pub. L. No. 115-232 (2018) and
2 C.F.R. § 200.216, 200.471, and Appendix II to 2 C.F.R. Part
200 prohibits DHS/FEMA Recipients and Subrecipients
(including their contractors and subcontractors) from using
any FEMA funds under open or new awards for the following
covered telecommunications equipment or services:
1) Telecommunications equipment produced by Huawei
Technologies Company or ZTE Corporation, (or any subsidiary
or affiliate of such entities);
2) For the purpose of public safety, security of government
facilities, physical security surveillance of critical infrastructure,
9
Section 2 ‒ Federal Changes and Initiatives | 2022
Telecommuni-
cations Equipment
or Services
Prohibitions Cont.
and other national security purposes, video surveillance and
telecommunications equipment produced by Hytera
Communications Corporation, Hangzhou Hikvision Digital
Technology Company, or Dahua Technology Company (or
any subsidiary or affiliate of such entities);
3) Telecommunications or video surveillance services provided
by such entities or using such equipment; or
4) Telecommunications or video surveillance equipment or
services produced or provided by an entity that the Secretary
of Defense, in consultation with the Director of National
Intelligence or the Director of the Federal Bureau of
Investigation, reasonably believes to be an entity owned or
controlled by, or otherwise connected to, the People’s
Republic of China.
Additional guidance is available in FEMA Policy #405-143-1,
Prohibitions on Expending FEMA Award Funds for Covered
Telecommunications Equipment or Services.
Emergency
Operations Plans
Subrecipients should update their Emergency Operations
Plan (EOP) at least once every two years to remain
compliant with the Comprehensive Preparedness Guide 101
version 2.0. Subrecipients are highly encouraged to include
an evacuation plan or annex as part of their EOP as well as
plans to exercise and validate the evacuation plan and
capabilities.
Conflict of
Interest
To eliminate and reduce the impact of conflicts of interest in
the subaward process, Subrecipients and pass-through
entities must follow their own policies and procedures
regarding the elimination or reduction of conflicts of interest
when making subawards. Subrecipients and pass-through
entities are also required to follow any applicable federal,
state, local, and tribal statutes or regulations governing
conflicts of interest in the making of subawards.
Subrecipients must disclose to their Program Representative,
in writing, any real or potential conflict of interest as defined
by the federal, state, local, or tribal statutes or regulations,
which may arise during the administration of the EMPG
subaward within five days of learning of the conflict of
interest.
10
Section 3 ‒ State Changes and Initiatives | 2022
California
Homeland
Security Strategy
Goals
The State has prioritized the following California Homeland
Security Strategy Goals for the FY 2022 subawards:
1. Enhance Information Collection, Analysis, and Sharing,
in Support of Public Safety Operations Across California;
2. Protect Critical Infrastructure and Key Resources from All
Threats and Hazards;
3. Strengthen Security and Preparedness Across
Cyberspace;
4. Strengthen Communications Capabilities Through
Planning, Governance, Technology, and Equipment;
5. Enhance Community Preparedness;
6. Enhance Multi-Jurisdictional/Inter-Jurisdictional All-
Hazards Incident Catastrophic Planning, Response, and
Recovery Capabilities;
7. Improve Medical and Health Capabilities;
8. Enhance Incident Recovery Capabilities;
9. Strengthen Food and Agriculture Preparedness;
10. Enhance Homeland Security Exercise, Evaluation, and
Training Programs; and
11. Protect Against Effects of Climate Change
“On Behalf Of” Cal OES may, in conjunction with local approval
authorities, designate funds “on behalf of” local entities
who choose to decline or fail to utilize their subaward in a
timely manner.
Public Alert and
Warning
Cal OES encourages Subrecipients to consider use of this
funding to assist their jurisdiction’s alignment with the
State of California Alert and Warning Guidelines developed
pursuant to Senate Bill 833 of the 2018 Legislative Session.
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Section 4 ‒ Required State Application Components | 2022
Financial
Management
Forms
Workbook
The FY 2022 Cal OES FMFW includes:
Grant Subaward Face Sheet – Use the Grant Subaward
Face Sheet to apply for grant programs. The Grant
Subaward Face Sheet must be signed and submitted in
portrait format.
Authorized Agent Contact Information – Provides the
contact information of Authorized Agents (AA), delegated
via the Governing Body Resolution (GBR) or Signature
Authorization Form, including staff related to grant activities.
More than one person is recommended for designation as
the AA; in the absence of an AA, an alternate AA can sign
documents.
Project Ledger – The Project Ledger is used in the
application process to submit funding information and is
used for submitting cash requests and Grant Subaward
Modifications, and assists with completion of the Biannual
Strategy Implementation Report (BSIR).
Planning Tab – Provides detailed information on grant-
funded planning activities with a final product identified.
Organization Tab – Provides detailed information on grant-
funded organizational activities.
Equipment Tab – Detailed information must be provided
under the equipment description for all grant-funded
equipment. AEL numbers must be included for all items of
equipment. Always refer to the AEL for a list of allowable
equipment and conditions, if any.
Training Tab – Provides detailed information on grant-
funded training activities. All training activities must receive
Cal OES approval prior to starting the event, including a
Training Feedback number. The Training Request Form must
be submitted and approved to obtain a Training Feedback
number and should be submitted at least 30 days in
advance.
Exercise Tab – Provides detailed information on grant-
funded exercises.
12
Section 4 ‒ Required State Application Components | 2022
Financial
Management
Forms Workbook
Cont.
M&A Tab – Provides information on grant-funded M&A
activities.
Indirect Costs Tab – Provides information on indirect costs.
Consultant-Contractor Tab – Provides detailed information
on grant-funded consultants, and documents
maintenance and sustainment contracts and activities on
grant eligible items/equipment.
Personnel Tab – Provides detailed information on grant-
funded personnel activities.
Match Tab – Provides detailed information on match
activities.
Authorized Agent Page – The Authorized Agent (AA) Page
must be submitted with the application, all cash requests,
and Grant Subaward Modifications. The AA page must
include a valid signature on file with Cal OES and the date.
Subrecipient
Grants
Management
Assessment
Per 2 C.F.R. § 200.332, Cal OES is required to evaluate the
risk of non-compliance with federal statutes, regulations,
and grant terms and conditions posed by each
Subrecipient of pass-through funding. The Subrecipient
Grants Management Assessment contains questions
related to a Subrecipient organization’s experience in the
management of federal grant awards. It is used to
determine, and provide, an appropriate level of technical
assistance, training, and grant oversight to Subrecipients
during the subaward. The questionnaire must be
completed and returned with the Subrecipient’s grant
application.
Application
Attachments
Indirect Cost Rate Agreement – If claiming indirect costs at
a federally-approved rate, please provide a copy of the
approved Indirect Cost Rate Agreement.
Federal Funding Accountability and Transparency Act
(FFATA) Financial Disclosure – Use the FFATA Financial
Disclosure to provide information required by the Federal
Funding Accountability and Transparency Act of 2006.
13
Section 4 ‒ Required State Application Components | 2022
Application
Attachments
Cont.
Certification Regarding Lobbying – Use the Certification
Regarding Lobbying form to certify lobbying activities, as
stipulated by the Byrd Anti-Lobbying Amendment,
31 U.S.C. § 1352.
Standard
Assurances
The Standard Assurances list the requirements to which the
Subrecipients will be held accountable. All Applicants will
be required to submit a signed original of the FY 2022
Standard Assurances as part of their FY 2022 EMPG
application. The required Standard Assurances can be
found only in PDF format on the Cal OES website.
NOTE: Self-created Standard Assurances will not be accepted.
Governing Body
Resolution
The GBR appoints AAs (identified by the individual’s name
or by a position title) to act on behalf of the governing
body and the Applicant by executing any actions
necessary for each application and subaward. All
Applicants are required to submit a copy of an approved
GBR with their application. Resolutions may be valid for up
to three grant years given the following:
• The resolution identifies the applicable grant program
(e.g., EMPG and/or HSGP);
• The resolution identifies the applicable grant years, (e.g.,
FY 2022, FY 2023, FY 2024); and
• Adheres to any necessary elements required by local
protocols, rules, etc., if applicable.
Resolutions that only identify a single grant program will only be
valid for that single program. Resolutions that do not identify
applicable grant years will only be valid for the grant year in
which the resolution was submitted.
Authorized
Agent
Information
For each person or position appointed by the Governing
Body, identify the individual in the AA and Contact
Information page of the FMFW.
All changes in AA and contact information must be
provided to Cal OES in writing. If the GBR identifies the AA
by name, a new Resolution is needed when changes are
made. If the GBR identifies the AA by position and/or title,
changes may be made by submitting a request on the
entity’s letterhead, signed by an existing AA.
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Section 4 ‒ Required State Application Components | 2022
Authorized
Agent
Information
Cont.
Cal OES will not accept signatures of an AA’s designee,
unless authorized by the Governing Body’s resolution. A
change to an AA's designee must be submitted on agency
letterhead and signed by the AA, announcing the change
to their designee.
15
Section 5 ‒ The State Application Process | 2022
Application
Submission
Subrecipients must submit an electronic copy of their
completed FMFW to their Program Representative for
review no later than fourteen calendar days before the
final Application due date. After the application is
approved, all electronic copies of the FMFW, along with
the required documents must be emailed, with original or
electronic signatures, by the application due date. During
the application process, if it is determined all allocated
funds cannot be expended by the end of the period of
performance, inform your Program Representative as soon
as possible. The completed application documents should
be received by Cal OES no later than the date provided in
the FY 2022 EMPG Timeline, referenced as Attachment B.
Late or
Incomplete
Application
Late or incomplete applications may be denied. If an
application is incomplete, the Program Representative
may request additional information. Requests for late
submission of applications must be made in writing to the
Program Representative prior to the application due date.
Cal OES has sole discretion to accept or reject a late or
incomplete grant application.
EMPG Contact
Information
Subrecipient questions, comments, and correspondence
should be directed to:
California Governor’s Office of Emergency Services
ATTN: Grants Management (Building E)
Emergency Management Performance Grants Unit
3650 Schriever Avenue
Mather, CA 95655
Ronak Patel – Region III (916) 845-8124
Cynthia Duncan – Regions I & VI (916) 845-8955
Lauren Swearengin – Regions IV & V (916) 845-8950
Yer Yang – Region II (916) 845-8468
Subaward
Approval
Subrecipients will receive a formal notification of award.
Subrecipient Subaward letters must be signed and the
original be returned to Cal OES within 20 calendar days.
Once the completed application along with the signed
subaward letter is received and approved, reimbursement
of eligible subaward expenditures may be requested using
the Cal OES FMFW.
16
Section 6 ‒ Post Award Requirements | 2022
Payment Request
Process
To request a cash reimbursement of EMPG funds,
Subrecipients must first complete a payment request using
the Cal OES FMFW, returning it to the appropriate Program
Representative. Subrecipients who fail to follow the
workbook instructions may experience delays in processing
the payment request.
Payments can only be made if the Subrecipient has an
approved application.
Semi-Annual
Drawdown
Requirements
All Subrecipients must report expenditures and request funds
at least semi-annually throughout the period of
performance. Semi-annual drawdowns should occur in
March and October of each calendar year following final
approval of the subaward application, with the exception of
the final reimbursement request, which must be submitted
within 20 calendar days after the end of the period of
performance.
Modifications Post award budget and scope modifications must be
requested using the Cal OES EMPG FMFW, signed by the
Subrecipient’s AA, and submitted to the Program
Representative.
The Subrecipient may implement grant modification
activities, and incur associated expenses, only after
receiving written final approval of the modification from
Cal OES.
Subrecipients must provide a written justification with all
modification requests. The justification may be included in
the body of the e-mail transmitting the request, or a
document attached to the transmittal e-mail. Refer to
GMM 2018-17 for additional information regarding
modification requests.
17
Section 6 ‒ Post Award Requirements | 2022
Training
Requirements
Training activities supported with EMPG Program funds
should align to NPG core capabilities identified in each
Subrecipient’s Training and Exercise Plan. Subrecipients must
obtain a Training Feedback Number from Cal OES before
beginning any training activities. This includes project
components like travel to, materials for, or attendance in
training courses. Training Feedback Numbers should be
obtained no later than 30 days before the first day of the
training or related activities. Subrecipients must complete a
Training Request Form and submit it electronically to
Cal OES.
For more information on this or other training-related
inquiries, contact the Cal OES Training Branch at
(916) 845-8745 or Training@CalOES.ca.gov.
All EMPG-funded personnel, including M&A staff, and any
staff being used for match, must complete either the
Independent Study courses identified in the Professional
Development Series (PDS) or the National Emergency
Management Basic Academy. Final reimbursement of
personnel salaries will not be approved until all training
requirements have been met. Proof of completion of the
training requirements must be kept on file by the
Subrecipient and be made available for review upon
request. When seeking approval of non-DHS/FEMA
developed courses, course materials must be submitted with
the approval requests. Conditional approvals are not
offered.
EMPG TRAINING- PDS
IS 100 (any version), Introduction to Incident Command
System (ICS)
IS 200 (any version), ICS for Single Resources and Initial Action
Incident
IS 700 (any version), National Incident Management System,
An Introduction
IS 800 (any version), National Response Framework, An
Introduction
18
Section 6 ‒ Post Award Requirements | 2022
Training
Requirements
Cont.
IS 120.c An Introduction to Exercises
IS 230.e Fundamentals of Emergency Management
IS 235.c Emergency Planning
IS 240.c Leadership and Influence
IS 241.c Decision Making and Problem Solving
IS 242.c Effective Communication
IS 244.b Developing and Managing Volunteers
EMPG TRAINING-Basic Academy
IS 100 (any version), Introduction to the Incident Command
System (ICS)
IS 700 (any version), National Incident Management System
(NIMS), An Introduction
IS 800 (any version), National Response Framework, An
Introduction
IS 230.e Fundamentals of Emergency Management
E/L0101, Foundations of Emergency Management
E/L0102, Science of Disaster
E/L0103, Planning: Emergency Operations
E/L/K0146, Homeland Security Exercise and Evaluation
Program (HSEEP)
E/L0105, Public Information Basics
In the event that any of the listed courses have been
updated and the required version is no longer available, it is
acceptable to take the updated course in place of the
listed course (i.e., since IS-120.a has been replaced with
IS-120.c, the latter may be used in the place of the original
course). The courses listed above are the minimum
accepted versions for FY 2022 EMPG.
19
Section 6 ‒ Post Award Requirements | 2022
Training
Requirements
Cont.
Training activities should align to a current Integrated
Preparedness Plan (IPP), developed through an annual IPP
Workshop. The training should help build core capabilities
and fill gaps identified in real-world incidents and exercises.
Further guidance can be found in the HSEEP.
EMPG and non-EMPG -funded personnel may claim EMPG
funds for tuition/travel costs for EMPG eligible trainings,
provided that the purpose of the travel and training is to
accomplish the objectives of the grant.
Exercises,
Improvement
Plans and After
Action Reporting
Subrecipients should engage stakeholders to identify long-
term training and exercise priorities. These priorities should
address capability targets and gaps identified through a
Threat and Hazard Identification and Risk Assessment, real-
world events, previous exercises, and national areas for
improvement identified in the NPR.
Subrecipients must report on all exercises conducted with
EMPG grant funds. An After Action Report
(AAR)/Improvement Plan (IP) or Summary Report (for
Seminars, Drills & Workshops) must be completed and
submitted to Cal OES within 90 days after the
exercise/seminar/drill/workshop is conducted.
It is acceptable to submit an Exercise Summary Report for
Seminars, drills, and Workshops in lieu of a full AAR/IP.
AAR/IPs and Summary Reports should be e-mailed to:
•hseep@fema.dhs.gov
•exercise@caloes.ca.gov
•Your Program Representative
All EMPG-funded personnel, including M&A staff and any
staff being used for match, must participate in no less than
two exercises between July 1, 2022, and June 30, 2024. These
exercises must align to one of the priority areas via the
Performance Reports. The Great Shakeout drop, cover, and
hold drill is ineligible for the purpose of the two exercise
requirement.
Section 6 ‒Post Award Requirements | 2022
Exercises,
Improvement
Plans and After
Action Reporting
Cont.
Procurement
Standards and
Written
Procedures
Procurement
Documentation
Final reimbursement of personnel salaries will not be
approved until all exercise requirements have been met.
Exercises used to meet this requirement during one period of
performance cannot be used to meet the requirement in
another. Extensions to the grant do not apply to this
requirement or its due date. There is no specific requirement
for level of participation in the exercises and the exercises
can be of any type, provided they are related to the
subrecipient’s identified long-term training and exercises
priorities. Proof of completion of the exercise requirements
must be kept on file by the Subrecipient and be made
available for review upon request.
For exercise-related issues and/or questions, email the
Cal OES Exercise Team at exercise@caloes.ca.gov.
Exercise costs will not be considered for reimbursement until
an AAR/IP is received by Cal OES.
Subrecipients must conduct procurement utilizing either their
own documented procurement standards and procedures,
or the federal procurement standards found in
2 C.F.R. Part 200, whichever is stricter. Procurement standards
must also contain a written conflict of interest policy which
reflect applicable federal, state, local, and tribal laws.
Per 2 C.F.R. § 200.318(i), non-federal entities other than states
and territories are required to maintain and retain records
sufficient to detail the history of procurement covering at
least the rationale for the procurement method, contract
type, contractor selection or rejection, and the basis for the
contract price. For any cost to be allowable, it must be
adequately documented per 2 C.F.R. § 200.403(g).
Documents that would cover this information include, but
are not limited to:
•Solicitation documentation, such as requests for quotes,
invitations for bids, or requests for proposals;
•Responses to solicitations, such as quotes, bids, or
proposals;
•Pre-solicitation independent cost estimates and
Post-solicitation cost/price analyses on file for review by
federal personnel, if applicable;
20
21
Section 6 ‒ Post Award Requirements | 2022
Procurement
Documentation
Cont.
•Contract documents and amendments, including
required contract provisions; and other documents
required by federal regulations applicable at the time a
grant is awarded to a Subrecipient.
Procurement
Thresholds
Effective June 20, 2018, the micro-purchase threshold was
increased from $3,500 to $10,000 and the simplified
acquisition threshold was increased from $150,000 to
$250,000. These increases apply to all Subrecipient
procurements executed on or after June 20, 2018. Refer to
IB 434 for additional information.
Noncompetitive
Procurements
All noncompetitive procurements exceeding the simplified
acquisition threshold requires Cal OES prior written approval.
This method of procurement must be approved by the
Subrecipient’s local Purchasing Agent prior to submitting a
request for Cal OES approval. A copy of the Purchasing
Agent’s approval must be included with submission. Cal OES
may request additional documentation that supports the
procurement effort.
Environmental
Planning and
Historic
Preservation
DHS/FEMA is required to ensure all activities and programs
that are funded by the agency comply with federal
Environmental Planning and Historic Preservation (EHP)
regulations. Subrecipients proposing projects or activities
(including, but not limited to, training, exercises, the
installation of equipment, and construction or renovation
projects) that have the potential to impact the environment
or a historic structure must participate in the EHP review
process. EHP Screening Memos must include detailed
project information, explain the goals and objectives of the
proposed project, and include supporting documentation.
DHS/FEMA may also require that the Subrecipient provide a
confidential California Historical Resources Information
System (CHRIS) report in addition to the EHP Screening Form.
Determination on the necessity of a CHRIS report is based
upon information disclosed on the EHP Screening Form.
Program Representatives will provide additional instructions
should this report be required.
22
Section 6 ‒ Post Award Requirements | 2022
Environmental
Planning and
Historic
Preservation
Cont.
EHP requests should be submitted to Cal OES as early as
possible. All projects/activities triggering EHP must receive
DHS/FEMA written approval prior to commencement of the
funded activity.
Updated information may be referenced in the FEMA GPD
EHP Policy Guidance.
Construction and
Renovation
When applying for construction activity at the time of
application, including communications towers,
Subrecipients must submit evidence of approved zoning
ordinances, architectural plans, any other locally required
planning permits, and a notice of federal interest.
Additionally, Subrecipients are required to submit a SF-424C
Budget and Budget Detail that cites the project costs.
Communication tower construction requests also require
evidence that the Federal Communications Commission’s
Section 106 review process has been completed.
Subrecipients using funds for construction projects must
comply with the Davis-Bacon Act. Subrecipients must ensure
that their contractors or subcontractors for construction
projects pay workers no less than the prevailing wages for
laborers and mechanics employed on projects of a
character like the contract work in the civil subdivision of the
state in which the work is to be performed.
Written approval for construction must be provided by
DHS/FEMA prior to the use of any EMPG funds for construction
or renovation. No construction activities (including site
preparation, utility installations, and any groundbreaking
activities) or equipment installations on existing structures,
may begin until the EHP review process is complete.
Inventory Control
and Property
Management
Subrecipients must use standardized resource management
concepts for resource typing and credentialing, in addition
to maintaining an inventory by which to facilitate the
effective identification, dispatch, deployment, tracking and
recovery of resources.
Subrecipients must have an effective inventory
management system, to include:
23
Section 6 ‒ Post Award Requirements | 2022
Inventory Control
and Property
Management
Cont.
•Property records that document description, serial/ID
number, fund source, title information, acquisition date,
cost, federal cost share, location, use, condition, and
ultimate disposition;
•A physical inventory conducted at least every two years;
•A control system to prevent loss, damage, and theft of
grant purchased equipment and supplies; and
•Adequate maintenance procedures must be developed
to keep the property in good condition.
Equipment
Disposition
When original or replacement equipment acquired under
the EMPG is no longer needed for program activities, the
Subrecipient must contact their Program Representative to
request disposition instructions. See 2 C.F.R. § 200.313(e).
Performance
Reporting
BSIR – Subrecipients must complete a BSIR each Winter and
Summer using the DHS/FEMA Grants Reporting Tool (GRT) for
the duration of the subaward period of performance or until
all grant activities are completed and the subaward is
formally closed by Cal OES. Failure to submit a BSIR could
result in subaward reduction, suspension, or termination.
Access to the BSIR may be obtained through the GRT. To
create a new account, click the link that reads, “Register for
an account” and follow the instructions provided. The
Subrecipient will be required to ensure up-to-date project
information is entered. The Project Ledger in the FMFW may
assist with the BSIR data entry process. For additional
assistance with the GRT, contact the appropriate Program
Representative.
Quarterly Performance Reports – Subrecipients must prepare
and submit Performance Reports to the State for the
duration of the subaward period of performance, or until all
grant activities are completed and the subaward is formally
closed by Cal OES. The quarterly reports must include the
progress made on identified activities, as well as other
required information. Failure to submit a quarterly
Performance Report could result in subaward reduction,
suspension, or termination.
24
Section 6 ‒ Post Award Requirements | 2022
Performance
Reporting Cont.
In order to ensure that mandated performance metrics and
other data required under the subaward is reported
accurately, all EMPG Performance Reports must be
submitted electronically, via email, to their Cal OES Program
Representative for review and vetting. Electronic documents
submitted for Cal OES review and vetting should be
submitted as soon as possible, but no later than, seven
calendar days before the identified due date(s) associated
with the Performance Report. Submission of the electronic
copy is only to occur after their Cal OES Program
Representative’s review has concluded and the
Subrecipient is directed by their Cal OES Program
Representative to submit the signed electronic copy.
Extension
Requests
Extensions to the initial period of performance identified in
the subaward will only be considered through formal, written
requests to the Subrecipient’s Program Representative. Upon
receipt of the extension request, Cal OES will:
1.Verify compliance with performance reporting
requirements by confirming the Subrecipient has
submitted all necessary performance reports;
2.Confirm the Subrecipient has provided sufficient
justification for the request; and
3.If applicable, confirm the Subrecipient has demonstrated
sufficient progress in past situations where an extension
was authorized by Cal OES.
Extension requests will be granted only due to compelling
legal, policy, or operational challenges, must be project
specific, and will only be considered for the following
reasons:
1.Contractual commitments with vendors that prevent
completion of the project within the period of
performance;
2.The project must undergo a complex environmental
review which cannot be completed within this timeframe;
3.Projects are long-term by design and therefore;
acceleration would compromise core programmatic
goals; and
4.Where other special circumstances exist.
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Section 6 ‒ Post Award Requirements | 2022
Extension
Requests Cont.
To be considered, extension requests must be received no
later than 60 days prior to the end of the Subrecipient’s
period of performance and must contain specific and
compelling justifications as to why an extension is required.
All extension requests must address the following:
1.Grant program, fiscal year, and award number;
2.Reason for delay;
3.Current status of the activity/activities;
4.Approved period of performance termination date and
new project completion date;
5.Amount of funds drawn down to date;
6.Remaining available funds, both federal and non-federal;
7.Budget outlining how remaining federal and non-federal
funds will be expended;
8.Plan for completion, including milestones and timeframes
for each milestone and the position/person responsible
for implementing the plan for completion; and
9.Certification that the activity/activities will be completed
within the extended period of performance without any
modification to the original Statement of Work.
General questions regarding extension requirements and the
Extension Request form should be directed to your Program
Representative. For additional information, please see IB 379.
Extension requests for personnel and salaries do not meet
the requirements of IB 379 and will not be granted.
Subrecipients are expected to complete all grant-funded
personnel activity by the end of the subaward period of
performance.
Progress Reports
on Grant
Extensions
All Subrecipients that receive Cal OES approval to extend
their FY 2022 grant subaward period of performance may be
required to submit progress reports indicating completed
and future project milestones on all extended projects.
Progress reports must be submitted electronically to their
Program Representative. Deadlines for the submission of
progress reports will be established at the time of extension
approval.
26
Section 6 ‒ Post Award Requirements | 2022
Monitoring Cal OES Grants Monitoring actively monitors Subrecipients,
through day-to-day communications, programmatic site
visits, and desk and on-site compliance assessments. The
purpose of the compliance assessment is to ensure
Subrecipients are in compliance with applicable state and
federal regulations, grant guidelines, and programmatic
requirements. Monitoring activities may include, but are not
limited to:
•Verifying that entries recorded on the FMFW categories
are properly supported with source documentation;
•Eligibility of and support for expenditures, typically
covering two to three years of data;
•Comparing actual Subrecipient activities to those
approved in the grant application and subsequent
modifications, including the review of timesheets and
invoices as applicable;
•Procurements and contracts;
•Ensuring equipment lists are properly maintained and
physical inventories are conducted;
•Ensuring advances have been disbursed in accordance
with applicable guidelines; and
•Confirming compliance with:
o Standard Assurances, and
o Information provided on performance reports and
payment requests
NOTE: It is the responsibility of all Subrecipients that pass
down grant funds to other entities, to maintain and utilize a
formal process to monitor the grant activities of their
subawards. This requirement includes, but is not limited to,
on-site verification of grant activities, as required. It is
common for Subrecipients to receive findings in a
programmatic site visit or compliance assessment, which
require a Corrective Action Plan (CAP) to be submitted by
Subrecipients. Those Subrecipients who fail to submit a CAP,
as required, shall have a “hold” placed on any future
reimbursements until the “finding” is resolved.
27
Section 6 ‒ Post Award Requirements | 2022
Failure to Submit
Required Reports
Periodic reporting is required by the grant. Subrecipients who
miss a single reporting due date may receive a letter
addressed to their Board of Supervisors informing them of the
failure to report. County OAs and tribes who fail to report
twice in a row may have subsequent awards reduced by
ten percent until timely reporting is reestablished.
Suspension/
Termination
Cal OES may suspend or terminate grant funding, in whole or
in part, or other measures may be imposed for any of the
following reasons:
•Failure to submit required reports.
•Failure to expend funds in a timely manner consistent with
the grant milestones, guidance, and assurances.
•Failure to comply with the requirements or statutory
progress toward the goals or objectives of federal or state
law.
•Failure to make satisfactory progress toward the goals or
objectives set forth in the Subrecipient application.
•Failure to follow Grant Subaward requirements or Special
Conditions.
•Proposing or implementing substantial plan changes to
the extent that, if originally submitted, the application
would not have been selected for funding.
•False certification in the application or other document.
•Failure to adequately manage, monitor, or direct the
grant funding activities of their Subrecipients.
Before taking action, Cal OES will provide the Subrecipient
reasonable notice of intent to impose corrective measures
and will make every effort to informally resolve the problem.
Closeout Cal OES will close-out Subrecipient awards when it
determines all applicable administrative actions and all
required work of the federal award have been completed.
Subawards will be closed after:
•Receiving any applicable Subrecipient Performance
Report indicating all approved work has been
completed, and all funds have been distributed;
•All funds have been requested and reimbursed, or
disencumbered;
28
Section 6 ‒ Post Award Requirements | 2022
Closeout Cont. •Completing a review to confirm the accuracy of
reported information;
•Reconciling actual costs to subawards, modifications and
payments; and
•Verifying the Subrecipient has submitted a final BSIR
showing all grant funds have been expended.
Records
Retention
The records retention period is three years from the date of
the Cal OES Grant Closeout letter, or until any pending
litigation, claim, or audit started before the expiration of the
three-year retention period has been resolved and final
action is taken. The Cal OES Grant Closeout Letter will notify
the Subrecipient of the start of the records retention period
for all programmatic and financial grant-related records.
For indirect cost rate proposals, cost allocation plans, or
other rate computation records, the start of the record
retention period is dependent on whether the proposal,
plan, or other computation is required to be submitted to the
federal government (or to the pass-through entity) for
negotiation purposes. See 2 C.F.R. § 200.334(f).
In order for any cost to be allowable, it must be adequately
documented per 2 C.F.R. § 200.403(g).
If the State Administrative Agency award remains open after
the Subrecipient’s submission of the final BSIR, Cal OES will
complete any additional BSIR reporting required under the
award on behalf of the Subrecipient.
Closed grants may still be monitored and audited. Failure to
maintain all grant records for the required retention period could
result in a reduction of grant funds, and an invoice to return costs
associated with the unsupported activities.
If documents are retained longer than the required retention
period, FEMA, the DHS Office of Inspector General, Government
Accountability Office, and pass-through entity have the right to
access these records as well. See Title 2 C.F.R § 200.334 and
200.337.
Attachment A ‒ FY 2022 EMPG Allocations | 2022
Operational Area Population Base
Amount
Per Capita
Total
Total
Award
ALAMEDA 1,656,591 125,000 426,584 551,584
ALPINE 1,135 125,000 293 125,293
AMADOR 37,377 125,000 9,625 134,625
BUTTE 202,669 125,000 52,188 177,188
CALAVERAS 45,036 125,000 11,597 136,597
COLUSA 22,248 125,000 5,729 130,729
CONTRA COSTA 1,153,854 125,000 297,126 422,126
DEL NORTE 26,949 125,000 6,940 131,940
EL DORADO 195,362 125,000 50,307 175,307
FRESNO 1,026,681 125,000 264,378 389,378
GLENN 29,679 125,000 7,643 132,643
HUMBOLDT 130,851 125,000 33,695 158,695
IMPERIAL 186,034 125,000 47,905 172,905
INYO 18,563 125,000 4,780 129,780
KERN 914,193 125,000 235,411 360,411
KINGS 152,543 125,000 39,281 164,281
LAKE 63,940 125,000 16,465 141,465
LASSEN 27,572 125,000 7,100 132,100
LOS ANGELES 10,044,458 125,000 2,586,522 2,711,522
MADERA 158,474 125,000 40,808 165,808
MARIN 257,774 125,000 66,379 191,379
MARIPOSA 18,037 125,000 4,645 129,645
MENDOCINO 86,669 125,000 22,318 147,318
MERCED 284,836 125,000 73,347 198,347
MODOC 9,491 125,000 2,444 127,444
MONO 13,295 125,000 3,424 128,424
MONTEREY 437,318 125,000 112,612 237,612
NAPA 137,637 125,000 35,443 160,443
NEVADA 97,466 125,000 25,098 150,098
ORANGE 3,153,764 125,000 812,117 937,117
PLACER 404,994 125,000 104,289 229,289
PLUMAS 18,116 125,000 4,665 129,665
RIVERSIDE 2,454,453 125,000 632,040 757,040
SACRAMENTO 1,561,014 125,000 401,973 526,973
SAN BENITO 63,526 125,000 16,358 141,358
SAN BERNARDINO 2,175,909 125,000 560,313 685,313
SAN DIEGO 3,315,404 125,000 853,741 978,741
SAN FRANCISCO 875,010 125,000 225,321 350,321
SAN JOAQUIN 783,534 125,000 201,766 326,766
Operational Area Population Base
Amount
Per Capita
Total Total Award
SAN LUIS OBISPO 271,172 125,000 69,829 194,829
SAN MATEO 765,245 125,000 197,056 322,056
SANTA BARBARA 441,172 125,000 113,605 238,605
SANTA CLARA 1,934,171 125,000 498,063 623,063
SANTA CRUZ 261,115 125,000 67,239 192,239
SHASTA 177,797 125,000 45,784 170,784
SIERRA 3,189 125,000 822 125,822
SISKIYOU 44,330 125,000 11,415 136,415
SOLANO 438,527 125,000 112,924 237,924
SONOMA 484,207 125,000 124,687 249,687
STANISLAUS 555,968 125,000 143,166 268,166
SUTTER 101,289 125,000 26,082 151,082
TEHAMA 65,354 125,000 16,829 141,829
TRINITY 13,535 125,000 3,486 128,486
TULARE 481,733 125,000 124,050 249,050
TUOLUMNE 53,465 125,000 13,767 138,767
VENTURA 835,223 125,000 215,076 340,076
YOLO 217,500 125,000 56,008 181,008
YUBA 79,407 125,000 20,448 145,448
TRIBAL NATIONS 362,801 125,000 93,424 218,424
TOTAL 39,829,656 7,375,000 10,256,430 17,631,430
Attachment B ‒ FY 2022 EMPG Timeline | 2022
DHS Announcement of FY 2022 EMPG NOFO April 13, 2022
Cal OES Application due to DHS June 13, 2022
DHS/FEMA Award to California September, 2022
Subrecipient period of performance begins July 1, 2022
Notification of Subrecipient Award September, 2022
Subrecipient Workshops September/October 2022
FY 2022 California Supplement release September, 2022
Integrated Preparedness Plan (IPP) due September 30, 2022
Submission of the FY 2022 EMPG Performance
Report for the period of 7/1/2022 – 9/30/2022
October 14, 2022
Subrecipient Final Applications due to Cal OES December 30, 2022
Submission of the FY 2022 EMPG Performance
Report for the period of 7/1/2022 – 12/31/2022
January 13, 2023
Submission of the FY 2022 EMPG Performance
Report for the period of 7/1/2022 – 3/31/2023
April 14, 2023
Submission of the FY 2022 EMPG Performance
Report for the period of 7/1/2022 – 6/30/2023
July 14, 2023
Submission of the FY 2022 EMPG Performance
Report for the period of 7/1/2022 – 9/30/2023
October 13, 2023
All FY 2022 EMPG EHP-related documents must
be received by Program Representative
December 29, 2023
Submission of the FY 2022 EMPG Performance
Report for the period of 7/1/2022 – 12/31/2023
January 15, 2024
Submission of the FY 2022 EMPG Performance
Report for the period of 7/1/2022 – 3/31/2024
April 15, 2024
Subrecipient period of performance ends June 30, 2024
Submission of the FY 2022 EMPG Performance
Report for the period of 7/1/2022 – 6/30/2024
July 19, 2024
Final Request for Reimbursement due Within 20 calendar days of
the subaward expiration
date
Cal OES’s period of performance ends September 30, 2024
Attachment C ‒ FY 2022 EMPG Program Checklist | 2022
Subrecipient: FIPS#:
Program Representative:
Financial Management Forms Workbook:
Grant Subaward Face Sheet
Authorized Agent and Contact Tab
Project Ledger Tab
Planning Tab
Organization Tab
Equipment Tab
Training Tab
Exercise Tab
Management and Administration Tab
Indirect Cost Tab
Consultant-Contractor Tab
Personnel Tab
Match Tab
Indirect Cost Rate Summary (If Applicable)
Authorized Agent Sheet
Required Documents:
Counter-signed Award Letter
EHP Screening Form (If Applicable)
FFATA Financial Disclosure
Certification Regarding Lobbying
Governing Body Resolution
Subrecipient Grants Management Assessment form
2022 EMPG Standard Assurances
Indirect Cost Rate Agreement (If Applicable)
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 1 of 15 Initials
As the duly authorized representative of the Applicant, I hereby certify that the
Applicant has the legal authority to apply for federal assistance and the institutional,
managerial, and financial capability (including funds sufficient to pay any non-federal
share of project cost) to ensure proper planning, management, and completion of the
project described in this application, within prescribed timelines.
The requirements outlined in these assurances apply to Applicant and any of its
subrecipients.
I further acknowledge that the Applicant is responsible for reviewing and adhering to all
requirements within the:
(a)Applicable Federal Regulations (see below);
(b)Federal Program Notice of Funding Opportunity (NOFO);
(c)Federal Preparedness Grants Manual;
(d)California Supplement to the NOFO; and
(e)Federal and State Grant Program Guidelines.
Federal Regulations
Government cost principles, uniform administrative requirements, and audit
requirements for federal grant programs are set forth in Title 2, Part 200 of the Code of
Federal Regulations (C.F.R.). Updates are issued by the Office of Management and
Budget (OMB) and can be found at http://www.whitehouse.gov/omb/.
State and federal grant award requirements are set forth below. The Applicant hereby
agrees to comply with the following:
1.Proof of Authority
The Applicant will obtain proof of authority from the city council, governing board, or
authorized body in support of this project. This written authorization must specify that
the Applicant and the city council, governing board, or authorized body agree:
(a)To provide all matching funds required for the grant project and that any cash
match will be appropriated as required;
(b)Any liability arising out of the performance of this agreement shall be the
responsibility of the Applicant and the city council, governing board, or
authorized body;
(c)Grant funds shall not be used to supplant expenditures controlled by the city
council, governing board, or authorized body;
ATTACHMENT D
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 2 of 15 Initials
(d)The Applicant is authorized by the city council, governing board, or authorized
body to apply for federal assistance, and the institutional, managerial and
financial capability (including funds sufficient to pay the non-federal share of
project cost, if any) to ensure proper planning, management and completion
of the project described in this application; and
(e)Official executing this agreement is authorized by the Applicant.
This Proof of Authority must be maintained on file and readily available upon request.
2.Period of Performance
The period of performance is specified in the Award. The Applicant is only authorized
to perform allowable activities approved under the award, within the period of
performance.
3.Lobbying and Political Activities
As required by Section 1352, Title 31 of the United States Code (U.S.C.), for persons
entering into a contract, grant, loan, or cooperative agreement from an agency or
requests or receives from an agency a commitment providing for the United States to
insure or guarantee a loan, the Applicant certifies that:
(a)No federal appropriated funds have been paid or will be paid, by or on behalf
of the undersigned, to any person for influencing or attempting to influence an
officer or employee of an agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in
connection with the awarding of any Federal contract, the making of any
federal grant, the making of any federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any federal contract, grant, loan, or
cooperative agreement.
(b)If any funds other than federal appropriated funds have been paid or will be
paid to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with this
federal contract, grant, loan, or cooperative agreement, the undersigned shall
complete and submit Standard Form-LLL, “Disclosure Form to Report
Lobbying”, in accordance with its instructions.
(c)The Applicant shall require that the language of this certification be included in
the award documents for all subawards at all tiers (including subcontracts,
subgrants, and contracts under grants, loans, and cooperative agreements)
and that all subrecipients shall certify and disclose accordingly.
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 3 of 15 Initials
The Applicant will also comply with provisions of the Hatch Act (5 U.S.C. §§ 1501- 1508
and §§ 7324-7328) which limit the political activities of employees whose principal
employment activities are funded in whole or in part with federal funds.
Finally, the Applicant agrees that federal funds will not be used, directly or indirectly,
to support the enactment, repeal, modification or adoption of any law, regulation or
policy without the express written approval from the California Governor’s Office of
Emergency Services (Cal OES) or the federal awarding agency.
4.Debarment and Suspension
As required by Executive Orders 12549 and 12689, and 2 C.F.R. § 200.214 and codified
in 2 C.F.R. Part 180, Debarment and Suspension, the Applicant will provide protection
against waste, fraud, and abuse by debarring or suspending those persons deemed
irresponsible in their dealings with the federal government. The Applicant certifies that
it and its subrecipients:
(a)Are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from covered transactions by any federal
department or agency;
(b)Have not within a three-year period preceding this application been convicted
of or had a civil judgment rendered against them for commission of fraud or
a criminal offense in connection with obtaining, attempting to obtain, or
performing a public (federal, state, or local) transaction or contract under a
public transaction; violation of federal or state antitrust statutes or commission
of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c)Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (federal, state, or local) with commission of any of the
offenses enumerated in paragraph (2)(b) of this certification; and
(d)Have not within a three-year period preceding this application had one or
more public transaction (federal, state, or local) terminated for cause or
default.
Where the Applicant is unable to certify to any of the statements in this certification,
he or she shall attach an explanation to this application.
5.Non-Discrimination and Equal Employment Opportunity
The Applicant will comply with all state and federal statutes relating to non-
discrimination, including:
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 4 of 15 Initials
(a)Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42 U.S.C. §
2000d et. seq.) which prohibits discrimination on the basis of race, color, or
national origin and requires that recipients of federal financial assistance take
reasonable steps to provide meaningful access to persons with limited English
proficiency (LEP) to their programs and services;
(b)Title IX of the Education Amendments of 1972, (20 U.S.C. §§ 1681-1683, and
1685-1686), which prohibits discrimination on the basis of sex in any federally
funded educational program or activity;
(c)Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794), which prohibits
discrimination against those with disabilities or access and functional needs;
(d)Americans with Disabilities Act (ADA) of 1990 (42 U.S.C. §§ 12101- 12213), which
prohibits discrimination on the basis of disability and requires buildings and
structures be accessible to those with disabilities and access and functional
needs;
(e)Age Discrimination Act of 1975, (42 U.S.C. §§ 6101-6107), which prohibits
discrimination on the basis of age;
(f)Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd—2), relating to
confidentiality of patient records regarding substance abuse treatment;
(g)Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), relating to
nondiscrimination in the sale, rental or financing of housing as implemented by
the Department of Housing and Urban Development at 24 C.F.R. Part100. The
prohibition on disability discrimination includes the requirement that new
multifamily housing with four or more dwelling units—i.e., the public and
common use areas and individual apartment units (all units in buildings with
elevators and ground-floor units in buildings without elevators)— be designed
and constructed with certain accessible features (See 24 C.F.R. § 100.201);
(h)Executive Order 11246, which prohibits federal contractors and federally
assisted construction contractors and subcontractors, who do over $10,000 in
Government business in one year from discriminating in employment decisions
on the basis of race, color, religion, sex, sexual orientation, gender
identification or national origin;
(i)Executive Order 11375, which bans discrimination on the basis of race, color,
religion, sex, sexual orientation, gender identification, or national origin in hiring
and employment in both the United States federal workforce and on the part
of government contractors;
(j)California Public Contract Code § 10295.3, which prohibits discrimination based
on domestic partnerships and those in same sex marriages;
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 5 of 15 Initials
(k)DHS policy to ensure the equal treatment of faith-based organizations, under
which the Applicant must comply with equal treatment policies and
requirements contained in 6 C.F.R. Part 19;
(l)The Applicant will comply with California’s Fair Employment and Housing Act
(FEHA) (California Government Code §§12940, 12945, 12945.2), as applicable.
FEHA prohibits harassment and discrimination in employment because of
ancestry, familial status, race, color, religious creed (including religious dress
and grooming practices), sex (which includes pregnancy, childbirth,
breastfeeding and medical conditions related to pregnancy, childbirth or
breastfeeding), gender, gender identity, gender expression, sexual orientation,
marital status, national origin, ancestry, mental and physical disability, genetic
information, medical condition, age, pregnancy, denial of medical and family
care leave, or pregnancy disability leave, military and veteran status, and/or
retaliation for protesting illegal discrimination related to one of these
categories, or for reporting patient abuse in tax supported institutions;
(m) Any other nondiscrimination provisions in the specific statute(s) under which
application for federal assistance is being made; and
(n)The requirements of any other nondiscrimination statute(s) that may apply to this
application.
6.Drug-Free Workplace
As required by the Drug-Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.),the
Applicant certifies that it will maintain a drug-free workplace and a drug-free
awareness program as outlined in the Act.
7.Environmental Standards
The Applicant will comply with state and federal environmental standards, including:
(a)California Environmental Quality Act (CEQA) (California Public Resources Code
§§ 21000-21177), to include coordination with the city or county planning
agency;
(b)CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3,
§§ 15000-15387);
(c)Federal Clean Water Act (CWA) (33 U.S.C. § 1251 et seq.), which establishes the
basic structure for regulating discharges of pollutants into the waters of the
United States and regulating quality standards for surface waters;
(d)Federal Clean Air Act of 1955 (42 U.S.C. § 7401) which regulates air emissions
from stationary and mobile sources;
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 6 of 15 Initials
(e)Institution of environmental quality control measures under the National
Environmental Policy Act (NEPA) of 1969 (P.L. 91-190); the Council on
Environmental Quality Regulations for Implementing the Procedural Provisions
of NEPA; and Executive Order 12898 which focuses on the environmental and
human health effects of federal actions on minority and low-income
populations with the goal of achieving environmental protection for all
communities;
(f)Evaluation of flood hazards in floodplains in accordance with Executive Order
11988;
(g)Executive Order 11514 which sets forth national environmental standards;
(h)Executive Order 11738 instituted to assure that each federal agency
empowered to enter into contracts for the procurement of goods, materials, or
services and each federal agency empowered to extend federal assistance by
way of grant, loan, or contract shall undertake such procurement and
assistance activities in a manner that will result in effective enforcement of the
Clean Air Act and the Federal Water Pollution Control Act Executive Order
11990 which requires preservation of wetlands;
(i)The Safe Drinking Water Act of 1974, (P.L. 93-523);
(j)The Endangered Species Act of 1973, (P.L. 93-205);
(k)Assurance of project consistency with the approved state management
program developed under the Coastal Zone Management Act of 1972
(16 U.S.C. §§1451 et seq.);
(l)Conformity of Federal Actions to State (Clear Air) Implementation Plans under
Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et
seq.);
(m) Wild and Scenic Rivers Act of 1968 (16 U.S.C. § 1271 et seq.) related to
protecting components or potential components of the national wild and
scenic rivers system.
The Applicant shall not be: 1) in violation of any order or resolution promulgated by
the State Air Resources Board or an air pollution district; 2) subject to a cease and
desist order pursuant to § 13301 of the California Water Code for violation of waste
discharge requirements or discharge prohibitions; or 3) determined to be in violation
of federal law relating to air or water pollution.
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 7 of 15 Initials
8.Audits
For subrecipients expending $750,000 or more in federal grant funds annually, the
Applicant will perform the required financial and compliance audits in accordance
with the Single Audit Act Amendments of 1996 and Title 2 of the Code of Federal
Regulations, Part 200, Subpart F Audit Requirements.
9.Cooperation and Access to Records
The Applicant must cooperate with any compliance reviews or investigations
conducted by DHS. In accordance with 2 C.F.R. § 200.337, the Applicant will give the
awarding agency, the Comptroller General of the United States and, if appropriate,
the state, through any authorized representative, access to and the right to examine
all records, books, papers, or documents related to the award. The Applicant will
require any subrecipients, contractors, successors, transferees and assignees to
acknowledge and agree to comply with this provision.
10.Conflict of Interest
The Applicant will establish safeguards to prohibit the Applicant’s employees from
using their positions for a purpose that constitutes or presents the appearance of
personal or organizational conflict of interest, or personal gain.
11.Financial Management
False Claims for Payment - The Applicant will comply with 31 U.S.C §§ 3729-3733
which provides that Applicant shall not submit a false claim for payment,
reimbursement, or advance.
12.Reporting - Accountability
The Applicant agrees to comply with applicable provisions of the Federal Funding
Accountability and Transparency Act (FFATA) (P.L. 109-282), including but not limited
to (a) the reporting of subawards obligating $30,000 or more in federal funds, and (b)
executive compensation data for first-tier subawards as set forth in 2 C.F.R. Part 170,
Appendix A. The Applicant also agrees to comply with the requirements set forth in
the government-wide financial assistance award term regarding the System for
Award Management and Universal Identifier Requirements located at 2 C.F.R. Part
25, Appendix A.
13.Whistleblower Protections
The Applicant must comply with statutory requirements for whistleblower protections
at 10 U.S.C. § 2409, 41 U.S.C. § 4712, and 10 U.S.C. § 2324, 41 U.S.C. § 4304 and § 4310.
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
Page 8 of 15 Initials
14. Human Trafficking
The Applicant will comply with the requirements of Section 106(g) of the Trafficking
Victims Protection Act of 2000, as amended (22 U.S.C. § 7104) which prohibits the
Applicant or its subrecipients from: (1) engaging in trafficking in persons during the
period of time that the award is in effect; (2) procuring a commercial sex act during
the period of time that the award is in effect; or (3) using forced labor in the
performance of the award or subawards under the award.
15. Labor Standards
The Applicant will comply with the following federal labor standards:
(a) The Davis-Bacon Act (40 U.S.C. §§ 276a to 276a-7), as applicable, and the
Copeland Act (40 U.S.C. § 3145 and 18 U.S.C. § 874) and the Contract Work
Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor
standards for federally-assisted construction contracts or subcontracts, and
(b) The Federal Fair Labor Standards Act (29 U.S.C. § 201 et al.) as they apply to
employees of institutes of higher learning (IHE), hospitals and other non-profit
organizations.
16. Worker’s Compensation
The Applicant must comply with provisions which require every employer to be
insured to protect workers who may be injured on the job at all times during the
performance of the work of this Agreement, as per the workers compensation laws
set forth in California Labor Code §§ 3700 et seq.
17. Property-Related
If applicable to the type of project funded by this federal award, the Applicant will:
(a) Comply with the requirements of Titles II and III of the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or whose
property is acquired as a result of federal or federally-assisted programs. These
requirements apply to all interests in real property acquired for project purposes
regardless of federal participation in purchase;
(b) Comply with flood insurance purchase requirements of Section 102(a) of the
Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires federal award
subrecipients in a special flood hazard area to participate in the program and
to purchase flood insurance if the total cost of insurable construction and
acquisition is $10,000 or more;
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(c)Assist the awarding agency in assuring compliance with Section 106 of the
National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470),
Executive Order 11593 (identification and protection of historic properties), and
the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. § 469a-1 et
seq.); and
(d)Comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. § 4831
and 24 CFR Part 35) which prohibits the use of lead-based paint in construction
or rehabilitation of residence structures.
18.Certifications Applicable Only to Federally-Funded Construction Projects
For all construction projects, the Applicant will:
(a)Not dispose of, modify the use of, or change the terms of the real property title
or other interest in the site and facilities without permission and instructions from
the awarding agency. Will record the federal awarding agency directives and
will include a covenant in the title of real property acquired in whole or in part
with federal assistance funds to assure nondiscrimination during the useful life of
the project;
(b)Comply with the requirements of the awarding agency with regard to the
drafting, review and approval of construction plans and specifications; and
(c)Provide and maintain competent and adequate engineering supervision at
the construction site to ensure that the complete work conforms with the
approved plans and specifications and will furnish progressive reports and such
other information as may be required by the assistance awarding agency or
State.
19.Use of Cellular Device While Driving is Prohibited
The Applicant is required to comply with California Vehicle Code sections 23123 and
23123.5. These laws prohibit driving motor vehicle while using an electronic wireless
communications device to write, send, or read a text-based communication. Drivers
are also prohibited from the use of a wireless telephone without hands-free listening
and talking, unless to make an emergency call to 911, law enforcement, or similar
services.
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20.California Public Records Act and Freedom of Information Act
The Applicant acknowledges that all information submitted in the course of applying
for funding under this program, or provided in the course of an entity’s grant
management activities that are under Federal control, is subject to the Freedom of
Information Act (FOIA), 5 U.S.C. § 552, and the California Public Records Act,
California Government Code section 6250 et seq. The Applicant should consider
these laws and consult its own State and local laws and regulations regarding the
release of information when reporting sensitive matters in the grant application,
needs assessment, and strategic planning process.
EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM (EMPG) –
PROGRAM SPECIFIC ASSURANCES / CERTIFICATIONS
21.Acknowledgment of Federal Funding from DHS
The Applicant must acknowledge its use of federal funding when issuing statements,
press releases, requests for proposals, bid invitations, and other documents describing
projects or programs funded in whole or in part with federal funds.
22.Activities Conducted Abroad
The Applicant must ensure that project activities carried on outside the United States
are coordinated as necessary with appropriate government authorities and that
appropriate licenses, permits, or approvals are obtained.
23.Best Practices for Collection and Use of Personally Identifiable Information (PII)
DHS defines personally identifiable information (PII) as any information that permits the
identity of an individual to be directly or indirectly inferred, including any information
that is linked or linkable to that individual. If the Applicant collects PII, the Applicant is
required to have a publicly-available privacy policy that describes standards on the
usage and maintenance of PII they collect. The Applicant may refer to the DHS
Privacy Impact Assessments: Privacy Guidance and Privacy template as a useful
resource.
24.Copyright
The Applicant must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402 and
an acknowledgement of U.S. Government sponsorship (including the award number)
to any work first produced under federal financial assistance awards.
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25.Duplication of Benefits
Any cost allocable to a particular federal financial assistance award provided for in
2 C.F.R. Part 200, Subpart E may not be charged to other federal financial assistance
awards to overcome fund deficiencies, to avoid restrictions imposed by federal
statutes, regulations, or federal financial assistance award terms and conditions, or for
other reasons. However, these prohibitions would not preclude the Applicant from
shifting costs that are allowable under two or more awards in accordance with
existing federal statutes, regulations, or the federal financial assistance award terms
and conditions.
26.Energy Policy and Conservation Act
The Applicant must comply with the requirements of 42 U.S.C. § 6201 which contain
policies relating to energy efficiency that are defined in the state energy
conservation plan issued in compliance with this Act.
27.Federal Debt Status
The Applicant is required to be non-delinquent in its repayment of any federal debt.
Examples of relevant debt include delinquent payroll and other taxes, audit
disallowances, and benefit overpayments. See OMB Circular A-129.
28.Fly America Act of 1974
The Applicant must comply with Preference for U.S. Flag Air Carriers: (air carriers
holding certificates under 49 U.S.C. § 41102) for international air transportation of
people and property to the extent that such service is available, in accordance with
the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. §
40118) and the interpretative guidelines issued by the Comptroller General of the
United States in the March 31, 1981, amendment to Comptroller General Decision B-
138942.
29.Hotel and Motel Fire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, the
Applicant must ensure that all conference, meeting, convention, or training space
funded in whole or in part with federal funds complies with the fire prevention and
control guidelines of the Federal Fire Prevention and Control Act of 1974, as
amended, 15 U.S.C. § 2225a.
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30. Non-supplanting Requirement
If the Applicant receives federal financial assistance awards made under programs
that prohibit supplanting by law, the Applicant must ensure that federal funds do not
replace (supplant) funds that have been budgeted for the same purpose through
non- federal sources.
31. Patents and Intellectual Property Rights
Unless otherwise provided by law, the Applicant is subject to the Bayh-Dole Act, Pub.
L. No. 96-517, as amended, and codified in 35 U.S.C. § 200 et seq. The Applicant is
subject to the specific requirements governing the development, reporting, and
disposition of rights to inventions and patents resulting from financial assistance
awards located at 37 C.F.R. Part 401 and the standard patent rights clause located
at 37 C.F.R. § 401.14.
32. SAFECOM
If the Applicant receives federal financial assistance awards made under programs
that provide emergency communication equipment and its related activities, the
Applicant must comply with the SAFECOM Guidance for Emergency Communication
Grants, including provisions on technical standards that ensure and enhance
interoperable communications.
33. Terrorist Financing
The Applicant must comply with Executive Order 13224 and U.S. law that prohibit
transactions with, and the provisions of resources and support to, individuals and
organizations associated with terrorism. The Applicant is legally responsible for
ensuring compliance with the Order and laws.
34. Reporting of Matters Related to Recipient Integrity and Performance
If the total value of the Applicant’s currently active grants, cooperative agreements,
and procurement contracts from all federal assistance offices exceeds $10,000,000 for
any period of time during the period of performance of this federal financial
assistance award, the Applicant must comply with the requirements set forth in the
government-wide Award Term and Condition for Recipient Integrity and
Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of which is
incorporated here by reference in the award terms and conditions.
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35.USA Patriot Act of 2001
The Applicant must comply with requirements of the Uniting and Strengthening
America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism
Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175–175c.
36.Use of DHS Seal, Logo, and Flags
The Applicant must obtain permission from their DHS Financial Assistance Office, prior
to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS
agency officials, including use of the United States Coast Guard seal, logo, crests or
reproductions of flags or likenesses of Coast Guard officials.
37.Applicability of DHS Standard Terms and Conditions to Tribes
The DHS Standard Terms and Conditions are a restatement of general requirements
imposed upon the Applicant and flow down to any of its subrecipients as a matter of
law, regulation, or executive order. If the requirement does not apply to Indian tribes
or there is a federal law or regulation exempting its application to Indian tribes, then
the acceptance by Tribes of, or acquiescence to, DHS Standard Terms and
Conditions does not change or alter its inapplicability to an Indian tribe. The
execution of grant documents is not intended to change, alter, amend, or impose
additional liability or responsibility upon the Tribe where it does not already exist.
38.Required Use of American Iron, Steel, Manufactured Products, and Construction
Materials
The Applicant must comply with the “Build America, Buy America” Act (BABAA),
enacted as part of the Infrastructure Investment and Jobs Act and Executive Order
14005. Applicants receiving a federal award subject to BABAA requirements may not
use federal financial assistance funds for infrastructure projects unless:
(a)All iron and steel used in the project are produced in the United States – this
means all manufacturing processes, from the initial melting stage through the
application of coatings, occurred in the United States;
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(b)All manufactured products used in the project are produced in the United
States – this means the manufactured product was manufactured in the
United States; and the cost of the components of the manufactured product
that are mined, produced, or manufactured in the United States is greater
than 55 percent of the total cost of all components of the manufactured
product, unless another standard for determining the minimum amount of
domestic content of the manufactured product has been established under
applicable law or regulation; and
(c)All construction materials are manufactured in the United States – this means
that all manufacturing processes for the construction material occurred in the
United States.
The “Buy America” preference only applies to articles, materials, and supplies that
are consumed in, incorporated into, or affixed to an infrastructure project. It does not
apply to tools, equipment, and supplies, such as temporary scaffolding, brought to
the construction site and removed at or before the completion of the infrastructure
project. Nor does a Buy America preference apply to equipment and furnishings,
such as movable chairs, desks, and portable computer equipment, that are used at
or within the finished infrastructure project but are not an integral part of the structure
or permanently affixed to the infrastructure project.
Per section 70914(c) of BABAA, FEMA may waive the application of a Buy America
preference under an infrastructure program in certain cases.
On July 1, 2022, OMB approved FEMA’s General Applicability Public Interest Waiver of
the BABAA requirements to be effective for a period of six months, through January 1,
2023. Applicants will not be required to follow the BABAA requirements for FEMA
awards made, and any other funding FEMA obligates, during this waiver period. For
any new awards FEMA makes after January 1, 2023, as well as new funding FEMA
obligates to existing awards or through renewal awards where the new funding is
obligated after January 1, 2023, Applicants will be required to follow the BABAA
requirements unless another waiver is requested and approved.
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IMPORTANT
The purpose of these assurances is to obtain federal and state financial assistance,
including any and all federal and state grants, loans, reimbursement, contracts, etc.
Applicant recognizes and agrees that state financial assistance will be extended based
on the representations made in these assurances. These assurances are binding on
Applicant, its successors, transferees, assignees, etc. as well as any of its subrecipients.
Failure to comply with any of the above assurances may result in suspension, termination,
or reduction of grant funds.
All appropriate documentation, as outlined above, must be maintained on file by the
Applicant and available for Cal OES or public scrutiny upon request. Failure to comply
with these requirements may result in suspension of payments under the grant or
termination of the grant or both and the Applicant may be ineligible for award of any
future grants if Cal OES determines that the Applicant: (1) has made false certification,
or (2) violates the certification by failing to carry out the requirements as noted above.
All of the language contained within this document must be included in the award
documents for all subawards at all tiers. Applicants are bound by the Department of
Homeland Security Standard Terms and Conditions 2022, Version 3, hereby incorporated
by reference, which can be found at: https://www.dhs.gov/publication/fy15-dhs-
standard-terms-and-conditions.
The undersigned represents that he/she is authorized to enter into this agreement for and
on behalf of the Applicant.
Applicant:
Signature of Authorized Agent:
Printed Name of Authorized Agent:
Title: Date: