BZPP Supporting Statement, 6-28-2010

June 28, 2010

Supporting Statement for

Paperwork Reduction Act Submissions

OMB Control Number: 1660 – NEW

Title: FEMA Preparedness Grants: Buffer Zone Protection Program (BZPP)

Form Number(s): FEMA Form 089-23, FEMA Form 089-23A

General Instructions

A Supporting Statement, including the text of the notice to the public required by 5 CFR 1320.5(a)(i)(iv) and its actual or estimated date of publication in the Federal Register, must accompany each request for approval of a collection of information. The Supporting Statement must be prepared in the format described below, and must contain the information specified in Section A below. If an item is not applicable, provide a brief explanation. When Item 17 or the OMB Form 83-I is checked “Yes”, Section B of the Supporting Statement must be completed. OMB reserves the right to require the submission of additional information with respect to any request for approval.

Specific Instructions

A. Justification

1. Explain the circumstances that make the collection of information necessary.

Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information. Provide a detailed description of the nature and source of the information to be collected.

The Buffer Zone Protection Program (BZPP) is an important part of the Administration’s larger, coordinated effort— known as the Federal Investment Strategy— to strengthen homeland security preparedness, including the security of America’s Critical Infrastructure and Key Resources (CIKR), including chemical facilities, financial institutions, nuclear and electric power plants, dams, stadiums, arenas, and other high-risk/high-consequence facilities. The Consolidated Security, Disaster Assistance, and Continuing Appropriations Act, 2009 (P.L. 110-329) established the BZPP to help strengthen the Nation’s critical infrastructure against risks associated with potential terrorist attacks.

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection. Provide a detailed description of: how the information will be shared, if applicable, and for what programmatic purpose.

FEMA Form 089-23, Buffer Zone Plan (BZP) - This is a narrative plan that includes an assessment of possible infrastructure security risks and documents the degree to which security processes and procedures are in place, including planning to enhance and/or improve site security and the actions jurisdictions undertake in their BZP to protect against or prevent terrorist attacks at Critical Infrastructure and Key Resources (CIKR). The BZPs must be coordinated between the State Administrative Agency (SAA) and Homeland Security Advisor (HSA), as well as any applicable State strategy planning teams, Urban Area Working Groups, Regional Transit Security Working Groups, and/or Area Maritime Security Committees, as applicable. The applicant’s BZP is shared with the SAA in order to coordinate grant implementation with existing, related strategies and programs and implementation of the National Infrastructure Protection Plan (NIPP). As part of the application review process, the BZP is shared with a panel of officials from FEMA and DHS. These federal reviewers determine if proposed activities help achieve core missions of the BZPP. This coordination enables DHS/FEMA to better prioritize preventive and protective programs as they relate to emerging and specific threats.

FEMA Form 089-23A, Vulnerability Reduction Purchasing Plan (VRPP) – The Vulnerability Reduction Purchasing Plan is a purchase plan applicants prepare that corresponds to the BZP and lists procurement items including equipment, information technology, and other resources such as training, that are needed to improve or enhance a jurisdiction’s preventive or protective posture around Critical Infrastructure and Key Resources (CIKR) sites identified in the BZP. The applicant’s VRPP is shared with the SAA in order to coordinate grant implementation with existing, related strategies and programs and implementation of the National Infrastructure Protection Plan (NIPP). As part of the application review process, the VRPP is shared with a panel of officials from FEMA and DHS. These federal reviewers determine if proposed activities help achieve core missions of the BZPP. This coordination enables DHS/FEMA to better prioritize preventive and protective programs as they relate to emerging and specific threats.

Initial Strategy Implementation Plan (ISIP) – Through the ISIP, the State Administrative Agency (SAA) will report planned expenditures within 45 days of the newly awarded grants. The SAA is responsible for the submission of the ISIP report to FEMA. Submission of the ISIP satisfies the programmatic reporting requirements identified in the FEMA preparedness grant program guidance to ensure legal and prudent use of federal funds. All funds provided to the SAA through these grant programs must be accounted for and linked to one or more projects. This, in turn, must support specific goals and objectives in the State Homeland Security Strategy (SHSS) and where appropriate, the Urban Area Security Strategies (UASS) and Regional Transit Security Strategies. The ISIP data is submitted electronically in a FEMA-sponsored system, the Grants Reporting Tool (GRT). This collection activity is currently in the OMB process for approval under ICR Reference No. 201003-1660-005.

Biannual Strategy Implementation Report (BSIR) – The BSIR serves as the reporting format for the Semiannual Progress Report, formerly known as the Categorical Assistance Progress Report (CAPR). The SAA/Direct Tribal Grantee (DTG) is responsible for providing FEMA with BSIR reports to account for grant funding. The BSIRs are due within 30 days of the end of the reporting periods (June 30 and December 31), for the life of the award. A close-out BSIR is due 120 days after the end date of the award period. The submission of a completed BSIR satisfies programmatic reporting requirements as outlined in the grant program guidance to ensure legal and prudent use of federal funds. All funds provided to the SAA through these grant programs must be accounted for and linked to one or more projects. This, in turn, must support specific goals and objectives in the State Homeland Security Strategy and where appropriate, the Urban Area Homeland Security Strategy, and Regional Transit Security Strategy, as detailed in the special conditions of the grant award. The BSIR data is submitted electronically in a FEMA-sponsored system, the Grants Reporting Tool (GRT). This collection activity is currently in the OMB process for approval under ICR Reference No. 201003-1660-005.

Preparedness Comprehensive Assessment Support Tool (PrepCAST) formerly known as the National Incident Management System Compliance Assistance Support Tool (NIMSCAST) – PrepCAST facilitates and reports State, Territory, tribal and local jurisdictions’ compliance with the National Incident Management System (NIMS). PrepCAST allows incident management authorities and resource managers to assess their current capabilities as well as to determine what additional measures should be taken and what resources are needed to effectively implement the NIMS nationwide. The State Preparedness Report provides information on the readiness of states to respond to disaster situations. The capability based data in this report is used in conjunction with other data to create documents such as the National Preparedness Report. This collection activity is approved under OMB Control Number 1660-0087.

FEMA Form 024-0-1, Environmental and Historic Preservation (EHP) Environmental Screening Form (ESF) - The Environmental and Historic Preservation Environmental Screening Form is a paper form used by FEMA’s Grant Programs Directorate (GPD) and is utilized when following the requirements for grant packages that utilize this instrument. This form should be attached to all project information sent to GPD for an Environmental and Historic Preservation (EHP) regulatory compliance review. This collection activity is currently in the OMB process for approval under ICR Reference No. 201003-1660-007.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.

Data is electronically collected in one of two ways, either through completing the forms in a Microsoft program or by using the DHS-sponsored Automated Critical Asset Management System (ACAMS) tool. ACAMS aids the applicant in submitting information by automatically populating some fields of both the BZP and the VRPP, thus reducing the administrative burden on the applicant.

The Homeland Security Information Network (HSIN) is utilized by Federal, State, local, and private partners as a data bank resource for sharing and storing sensitive information. HSIN is a web-based encrypted network providing for delivery of real-time interactive information exchange among FEMA and its Partners. The program office creates folders in secured compartments accessible only to authorized users of each folder. The program office grants access to BZPP staff/partners, and grantees. The Buffer Zone Plan and the Vulnerability Reduction Purchasing Plan (in MS Word, Excel or other electronic format) are all uploaded and stored within the HSIN. This provides a single source access point for BZPP partners. The Homeland Security Information Network web address is www.//cs.hsin.gov. Note: This information was formally submitted via the FEMA Preparedness Portal located at: https://preparednessportal.dhs.gov which is no longer being used.

Additionally, grant applicants must use the FEMA-sponsored Grants Reporting Tool (GRT) to submit data for their Initial Strategy Implementation Plan (ISIP) and Biannual Strategy Implementation Report (BSIR) to report on funds awarded. The GRT provides grantees the ability to electronically create and submit their ISIPs and BSIRs throughout the life of the grant. The GRT homepage is (https://www.reporting.odp.dhs.gov/). The GRT is used to capture FEMA’s annual award and biannual grant reporting data. The Department developed the GRT as a tool to streamline the reporting process for grantees. The module is user-friendly with a web-based format, thus reducing burden on the grantees by providing increased flexibility yet ensuring adherence to agency guidelines. The Grants Reporting Tool (GRT) collection activity is currently in the OMB process for approval.

4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.

 This information is not collected in any form, and therefore is not duplicated elsewhere.

5. If the collection of information impacts small businesses or other small entities (Item 5 of OMB Form 83-I), describe any methods used to minimize.

This information collection does not have an impact on small businesses or other small entities.

6. Describe the consequence to Federal/FEMA program or policy activities if the collection of information is not conducted, or is conducted less frequently as well as any technical or legal obstacles to reducing burden.

If FEMA could not request and obtain this information, FEMA could not exercise comprehensive financial management and ensure the efficient and effective use of Federal funds. If FEMA was not able to receive information collected from grant recipients, the agency could not fulfill monitoring requirements.

7. Explain any special circumstances that would cause an information collection to be conducted in a manner:

1. Requiring respondents to report information to the agency more

often than quarterly.

No data collection elements are required more often than quarterly. Most collection elements are only required once per year per grant application.

 (b) Requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it.



There are no requirements for respondents to prepare a written response to this collection of information in fewer than 30 days after receipt of it.

3. Requiring respondents to submit more than an original and two

copies of any document.

 There are no requirements for a respondent to submit more than an original and two copies of any document.

3. Requiring respondents to retain records, other than health,

medical, government contract, grant-in-aid, or tax records for more than three years.



Records must be retained for three years after close-out. If any litigation, claim, negotiation, audit or other action involving the records has been started before the expiration of the three-year period, the records must be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular three-year period, which ever is later.

3. In connection with a statistical survey, that is not designed to

produce valid and reliable results that can be generalized to the universe of study.



There is no statistical survey involved with this data collection.

 (f) Requiring the use of a statistical data classification that has not

been reviewed and approved by OMB.

There is no use for statistical data classification in this data collection.

 (g) That includes a pledge of confidentiality that is not supported by

authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use.



There is no pledge of confidentiality that is not supported by authority established in statute or regulation for this data collection.

 (h) Requiring respondents to submit proprietary trade secret, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information’s confidentiality to the extent permitted by law.

There are no requirements for respondents to submit proprietary trade secret, or other confidential information for this data collection.

8. Federal Register Notice:



 a. Provide a copy and identify the date and page number of publication in the Federal Register of the agency’s notice soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden.



A 60-day Federal Register Notice inviting public comments was published on November 17, 2009, Volume 74, Number 220, pp. 59238. No comments were received. See attached copy of the published notice included in this package.

A 30-day Federal Register Notice inviting public comments was published on April 5, 2010, Volume 75, Number 64, pp. 17151. No comments were received. See attached copy of the published notice included in this package.

 b. Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported.

FEMA meets with State and local Law Enforcement and Grants Administration representatives, as well as individual grantees, through regular program-specific conferences and workshops.  Additionally, teleconferences and e-mail communications are also used. These consultations focus on the nature of information needed by FEMA to manage the grant programs. 

c. Describe consultations with representatives of those from whom information is to be obtained or those who must compile records. Consultation should occur at least once every three years, even if the collection of information activities is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.

FEMA consults with Federal, State, local, tribal partners on a regular basis. These consultations involve discussions regarding the nature of the information needed by FEMA to manage the grant programs. Partners offer comments and suggestions about their reporting practices. The most common area of concern is performance reporting, as most States are very familiar and comfortable with the grant administrative and financial reporting data elements that FEMA uses.

9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

There are no payments or gifts to respondents for this data collection.

10. Describe any assurance of confidentiality provided to respondents. Present the basis for the assurance in statute, regulation, or agency policy.



The DHS Privacy Office approved the Privacy Impact Assessment (PIA) for this information collection on July 14, 2009.

11. Provide additional justification for any question of a sensitive nature (such as sexual behavior and attitudes, religious beliefs and other matters that are commonly considered private). This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.

There are no questions of a sensitive nature required for this data collection.

12. Provide estimates of the hour burden of the collection of information. The statement should:



 a. Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated for each collection instrument (separately list each instrument and describe information as requested). Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desired. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.

The Buffer Zone Plan is estimated to be completed by 250 local representatives, and each response will require 8 hours to complete. The total annual burden hours for the data collection are estimated to be 2,000 hours.

The Vulnerability Reduction Purchasing Plan is estimated to be completed by 250 local representatives, and each response will require 8 hours to complete. The total annual burden hours for the data collection are estimated to be 2,000 hours.

 b. If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens in Item 13 of OMB Form 83-I.

c. Provide an estimate of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost to the respondents of contracting out or paying outside parties for information collection activities should not be included here. Instead this cost should be included in Item 13.

97.067 Buffer Zone Protection Program (BZPP) – The BZPP is a grant program designed to strengthen the Nation against risks associated with potential terrorist attacks by protecting critical infrastructure, including chemical facilities, financial institutions, nuclear and electric power plants, dams, stadiums, and other high-risk/high-consequence facilities.

Table A.12: Estimated Annualized Burden Hours and Costs

Type of Respondent	Form Name / Form Number	No. of Respon-dents	No. of Respon-ses per Respon-dent	Total No. of Responses	Avg. Burden per Response (in hours)	Total Annual Burden (in hours)	Avg. Hourly Wage Rate*	Total Annual Respondent Cost
State, Local or Tribal Government	Buffer Zone Plan / FEMA Form 089-23	250	1	250	8 hrs.	2,000	$36.15	$72,300.00
State, Local or Tribal Government	Vulnerability Reduction Purchasing Plan / FEMA Form 089-23A	250	1	250	8 hrs.	2,000	$36.15	$72,300.00
Total				500		4,000		$144,600.00

*NOTE: The “Avg. Hourly Wage Rate” for each respondent includes a 1.4 multiplier to reflect a fully-loaded wage rate.*

According to the U.S. Department of Labor, Bureau of Labor Statistics Website (www.bls.gov) the wage rate category for State Business and Financial Representatives is estimated to be $25.82 per hour, applying the 1.4 multiplier produces a fully loaded wage of $36.15.The total estimated annual cost to respondents is $144,600.00.

The Standard Forms listed in the table below are used in FEMA administration of grant programs collections of information. These burden estimates are captured under the OMB government-wide collections of information for Standard Forms (SF). Other data collection activities approved by OMB are also identified in the table below.

Type of Respondent	Form Name / Form Number		No. of Respon-dents		No. of Respon-ses per Respon-dent		Total No. of Responses		Avg. Burden per Response (in hours)		Total Annual Burden (in hours)		Avg. Hourly Wage Rate*		Total Annual Respondent Cost
Standard Forms
State, Local or Tribal Government	Application for Federal Assistance / SF 424		56		1		56		0.75		42		$36.15		$1,518.30
State, Local or Tribal Government	Budget Information - Non-Construction Programs / SF 424A		56		1		56		3		168		$36.15		$6,073.20
State, Local or Tribal Government	Assurances - Non-Construction Programs / SF 424B		56		1		56		0.25		14		$36.15		$506.10
State, Local or Tribal Government	Disclosure of Lobbying Activities / SF LLL		56		1		56		0.167		9		$36.15		$325.35
State, Local or Tribal Government	Direct Deposit Sign-Up Form / SF 1199A		56		1		56		0.167		9		$36.15		$325.35
State, Local or Tribal Government	Federal Financial Report / SF 425		56		4		224		1.5		336		$36.15		$12,146.40
State, Local or Tribal Government	Financial Status Report / Standard Form 269		56		4		224		0.5		112		$36.15		$4,048.80
Total							728				691				$24,943.50
Other Departments/ Agencies Data Collection Activities
State, Local or Tribal Government		Initial Strategy Implementation Plan (ISIP) / No Form; FEMA OMB Number 1660-XXXX		56		1		56
State, Local or Tribal Government		Biannual Strategy Implementation Report (BSIR) / No Form; FEMA OMB Number 1660-XXXX		56		2		112
State, Local or Tribal Government		Preparedness Comprehensive Assessment Support Tool (PrepCAST) formerly known as the National Incident Management System Compliance Assistance Support Tool (NIMSCAST) / No Form Number; FEMA OMB Number 1660-0087		56		1		56
State, Local or Tribal Government		State Preparedness Report (SPR) / No Form Number; FEMA OMB Number 1660-0087		56		1		56
State, Local or Tribal Government		EHP - Environmental Screening Form / FEMA Form 024-0-1; OMB Number 1660-XXXX		56		1		56
Total								336

13. Provide an estimate of the total annual cost burden to respondents or recordkeepers resulting from the collection of information. The cost of purchasing or contracting out information collection services should be a part of this cost burden estimate. (Do not include the cost of any hour burden shown in Items 12 and 14.)

The cost estimates should be split into two components:

a. Operation and Maintenance and purchase of services component. These estimates should take into account cost associated with generating, maintaining, and disclosing or providing information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred.

b. Capital and Start-up-Cost should include, among other items, preparations for collecting information such as purchasing computers and software, monitoring sampling, drilling and testing equipment, and record storage facilities.

There are no record keeping, capital, start-up or maintenance costs associated with this information collection.

14. Provide estimates of annualized cost to the federal government. Also, provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing and support staff), and any other expense that would have been incurred without this collection of information. You may also aggregate cost estimates for Items 12, 13, and 14 in a single table.

The total cost to FEMA is $2,292,343.50. Approximately 35 staff members with an estimated grade level of GS-13 review and analyze the information collected by this program.

Annual Cost to the Federal Government

Item	Cost ($)
Contract Costs There are 2 contracts that support this effort: The Technical Assistance and Program Development Contract and the Grant Operations Support Contract. These contracts support the development of the programs & provide guidance/assistance to grantees, collect & review information, and the cost for these contracts are: Technical Assistance and Program Development: $119,192.00 Grant Operations Support: $43,440.00 Total: $162,632.00	$162,632.00
Staff Salaries [ 35 GS-13, step 1 employees spending approximately 5% of time annually for this administrative and financial data collection] 35 x $86,927.00 = $3,042445.00 x 1.4 = $4,259,423.00 x .5 = $2,129,711.50	$2,129,711.50
Facilities [cost for renting, overhead, etc. for data collection activity]
Computer Hardware and Software [cost of equipment annual lifecycle]
Equipment Maintenance [cost of annual maintenance/service agreements for equipment]
Travel
Printing [number of data collection instruments annually]
Postage [annual number of data collection instruments x postage]
Other
Total	$2,292,343.50

*NOTE: The “Avg. Hourly Wage Rate” for each respondent includes a 1.4 multiplier to reflect a fully-loaded wage rate.*

 15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of the OMB Form 83-I in a narrative form. Present the itemized changes in hour burden and cost burden according to program changes or adjustments in Table 5. Denote a program increase as a positive number, and a program decrease as a negative number.

A "Program increase" is an additional burden resulting from a Federal government regulatory action or directive. (e.g., an increase in sample size or coverage, amount of information, reporting frequency, or expanded use of an existing form). This also includes previously in-use and unapproved information collections discovered during the ICB process, or during the fiscal year, which will be in use during the next fiscal year.

A "Program decrease", is a reduction in burden because of: (1) the discontinuation of an information collection; or (2) a change in an existing information collection by a Federal agency (e.g., the use of sampling (or smaller samples), a decrease in the amount of information requested (fewer questions), or a decrease in reporting frequency).

Itemized Changes in Annual Burden Hours
Data collection Activity/Instrument	Program Change (hours currently on OMB Inventory)	Program Change (New)	Difference	Adjustment (hours currently on OMB Inventory)	Adjustment (New)	Difference
Buffer Zone Plan (BZP) FEMA Form 089-23	0	+2,000	+2,000
Vulnerability Reduction Purchasing Plan (VRPP) FEMA Form 089-23A	0	+2,000	+2,000
Total(s)	0	+4,000	+4,000

Explain: Explain: This is a new collection that was not previously on the OMB inventory. Therefore, the burden hours are positive program changes.

Itemized Changes in Annual Burden Hours
Data collection Activity/Instrument	Program Change (cost currently on OMB Inventory)	Program Change (New)	Difference	Adjustment (cost currently on OMB Inventory)	Adjustment (New)	Difference
Buffer Zone Plan (BZP) FEMA Form 089-23	0	+$72,300	+$72,300
Vulnerability Reduction Purchasing Plan (VRPP) FEMA Form 089-23A	0	+$72,300	+$72,300
Total(s)	0	+$144,600	+$144,600

Explain: This collection has not previously been approved for use by OMB and there was no previous Annual Cost Burden.

16. For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.



FEMA does not intend to employ the use of statistics or the publication thereof for this information collection.

17. If seeking approval not to display the expiration date for OMB approval of the information collection, explain reasons that display would be inappropriate.

FEMA will display the expiration date for OMB approval of this information collection.



18. Explain each exception to the certification statement identified in Item 19 “Certification for Paperwork Reduction Act Submissions,” of OMB Form 83-I.

FEMA does not request an exception to the certification of this information collection.

B. Collections of Information Employing Statistical Methods.

There is no statistical methodology involved in this collection.

13