Grants Reporting Tool (GRT) User Guide

GRTUserGuide.pdf

FEMA Preparedness Grants: Operation Stonegarden (OPSG)

Grants Reporting Tool (GRT) User Guide

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FEDERAL EMERGENCY MANAGEMENT AGENCY
User’s Guide – Grants Reporting Tool

April 2013

Table of Contents
CHAPTER 1

INTRODUCTION......................................................................................................................
1
INTRODUCTION

SECTION 1.1
WELCOME ............................................................................................................................ 2
1.1.1
System Purpose ........................................................................................................................ 2
1.1.2
Document Design ..................................................................................................................... 2
1.1.3
Target Audience ........................................................................................................................ 2
SECTION 1.2
OVERVIEW OF THE GRANT REPORTING PROCESS ............................................................................ 2
1.2.1
Grant Reporting Timeline .......................................................................................................... 3
SECTION 1.3
OVERVIEW OF THE GRANTS REPORTING TOOL ................................................................................ 3
1.3.1
Grants Reporting Tool Modules ................................................................................................. 3
SECTION 1.4
USING THE GRANTS REPORTING TOOL ......................................................................................... 5
1.4.1
Grants Reporting Tool Basics .................................................................................................... 5
CHAPTER 2

GETTING STARTED................................................................................................................. 9

SECTION 2.1
REGISTRATION – FIRST TIME USERS ONLY ................................................................................. 10
2.1.1
User Registration .................................................................................................................... 10
2.1.2
Approval Process .................................................................................................................... 14
SECTION 2.2
LOGIN ............................................................................................................................... 18
SECTION 2.3
ORGANIZATION .................................................................................................................... 20
2.3.1
Editing Subgrantee Information ............................................................................................... 21
2.3.2
Adding Subgrantees ................................................................................................................ 23
2.3.3
Subgrantee Detail ................................................................................................................... 23
2.3.4
Subgrantee UA/RTA Tab ......................................................................................................... 23
2.3.5
Organization Options ............................................................................................................... 24
CHAPTER 3

THE ISIP REPORTING PERIOD
PERIOD .............................................................................................. 25

SECTION 3.1
ISIP REPORTING PERIOD INTRODUCTION.................................................................................... 26
3.1.1
ISIP vs. All Other Reporting Periods ......................................................................................... 26
3.1.2
ISIP Reporting Requirements .................................................................................................. 26
SECTION 3.2
GRANTEES/SUBGRANTEES ..................................................................................................... 27
3.2.1
Unassigning Subgrantees ....................................................................................................... 27
3.2.2
Adding Subgrantees ................................................................................................................ 28
3.2.3
Grantee/Subgrantee Completion ............................................................................................ 30
3.2.4
Grantee/Subgrantee Workflow ................................................................................................ 30
SECTION 3.3
GRT FUNCTIONALITY – INVESTMENT MODULE ............................................................................. 31
3.3.1
Investment Module Background .............................................................................................. 31
3.3.2
Investment Module Process .................................................................................................... 31
3.3.3
Investment Module Breakdown ............................................................................................... 31
SECTION 3.4
GRT FUNCTIONALITY – APPROVAL MODULE ................................................................................ 35
3.4.1
Approval Module for ISIP’s ...................................................................................................... 35
3.4.2
ISIP Approval Workflow............................................................................................................ 35
3.4.3
Federal Approval Tab .............................................................................................................. 35
3.4.4
State Approval Tab .................................................................................................................. 36
CHAPTER 4

THE BSIR REPORTING PERIOD
PERIOD ............................................................................................. 39

SECTION 4.1
BSIR REPORTING PERIOD INTRODUCTION .................................................................................. 40
4.1.1
BSIR vs. All Other Reporting Periods ........................................................................................ 40
4.1.2
BSIR Reporting Requirements ................................................................................................. 40
SECTION 4.2
SAA/DTG REPORTING PROCESS ............................................................................................. 41
4.2.1
Roles and Responsibilities ...................................................................................................... 41
4.2.2
Process for Completing the BSIR ............................................................................................. 41
SECTION 4.3
GRT FUNCTIONALITY – FUNDING MODULE ................................................................................. 41
4.3.1
Funding Module Breakdown .................................................................................................... 41

SECTION 4.4
GRT FUNCTIONALITY – APPROVAL MODULE ................................................................................ 67
4.4.1
Approval Module Access ......................................................................................................... 67
4.4.2
Email Notifications .................................................................................................................. 67
4.4.3
Federal Approval Tab .............................................................................................................. 67
4.4.4
Organization Approval Tab ...................................................................................................... 68
4.4.5
Approval – SAA/DTG User ....................................................................................................... 76
4.4.6
Submitting Completed BSIR .................................................................................................... 79
CHAPTER 5

THE CLOSECLOSE-OUT REPORTING PERIOD ................................................................................... 80

SECTION 5.1
CLOSE-OUT REPORTING PERIOD INTRODUCTION ........................................................................... 81
5.1.1
Close-Out vs. All Other Reporting Periods ................................................................................. 81
5.1.2
Background Information Regarding the Close-Out Reporting Period ......................................... 81
5.1.3
Due Date ................................................................................................................................ 81
SECTION 5.2
SAA USER.......................................................................................................................... 81
5.2.1
Close-Out Validation View ........................................................................................................ 81
5.2.2
Submission ............................................................................................................................. 82
5.2.3
State Approval ........................................................................................................................ 82
5.2.4
Certification ............................................................................................................................ 83
5.2.5
Close-Out Completion .............................................................................................................. 83
CHAPTER 6

STATE, URBAN AREA
AREA AND REGIONAL TRANSIT
TRANSIT SECURITY STRATEGIES
STRATEGIES.................................. 84

SECTION 6.1
STRATEGY MODULE .............................................................................................................. 85
6.1.1
Strategy .................................................................................................................................. 85
6.1.2
Intro........................................................................................................................................ 86
6.1.3
Goals & Objectives .................................................................................................................. 87
6.1.4
Evaluation Plan ....................................................................................................................... 89
6.1.5
Update Summary .................................................................................................................... 90
CHAPTER 7

REPORTING ......................................................................................................................... 91

SECTION 7.1
REPORTING MODULE ............................................................................................................ 92
7.1.1
Reporting Module Tabs ........................................................................................................... 92
7.1.2
Using the Reporting Module .................................................................................................... 94
CHAPTER 8
SECTION 8.1
SECTION 8.2
SECTION 8.3
SECTION 8.4
SECTION 8.5
SECTION 8.6
SECTION 8.7
SECTION 8.8
SECTION 8.9
SECTION 8.10

APPENDICES ....................................................................................................................... 98
GLOSSARY .......................................................................................................................... 99
FREQUENTLY USED ACRONYMS ............................................................................................. 106
GRANT PROGRAMS ............................................................................................................. 112
PRE-DEFINED PROJECTS ...................................................................................................... 114
FY 11 PERCENTAGE REQUIREMENTS VALIDATION ...................................................................... 116
REPORTING OPTIONS BY REPORTING PERIODS........................................................................... 117
URBAN AREAS ................................................................................................................... 119
HISTORICAL ALLOWABLE DATA ............................................................................................... 123
GRT FY12 PSIC MODULE USER'S GUIDE ............................................................................... 129
GRT FY 2013 IJ SUBMISSION MODULE USER'S GUIDE .............................................................. 138

CHAPTER 1

INTRODUCTION

Sections
1.1
1.2
1.3
1.4

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Welcome!
Overview of the Grant Reporting Process
Overview of the Grants Reporting Tool
Using the Grants Reporting Tool

Section 1.1
1.1.1

Welcome

System Purpose

The Federal Emergency Management Agency (FEMA) continues to improve its grant distribution and reporting
processes. One such improvement is the development of the Grants Reporting Tool (GRT). The GRT improves
the accuracy and efficiency of Homeland Security’s annual award and biannual grant reporting by providing a
user-friendly web-based reporting system. It is designed to help State Administrative Agencies (SAAs) and
Direct Tribal Grantees (DTGs) meet all reporting requirements identified by the DHS FEMA Grants Programs
Directorate (GPD). For a full list of the programs within GRT, please refer to Appendix C of this document.

1.1.2

Document Design

The User’s Guide is designed to provide SAAs, DTGs and subgrantees (local jurisdictions and other state
agencies) with the information they need to report on funds awarded from grant programs through the Initial
Strategy Implementation Plan (ISIP), Biannual Strategy Implementation Report (BSIR), and Close-out reporting
periods within the GRT. The User’s Guide is divided into the following parts:

Chapter One:
Chapter Two:
Chapter Three:
Chapter Four:
Chapter Five:
Chapter Six:
Chapter Seven:
Chapter Eight:

Introduction
Getting Started
The Initial Strategy Implementation Plan (ISIP)
The Biannual Strategy Implementation Report (BSIR)
The Close-out Process
State, Urban Area, and Regional Transit Security Strategies
The Reporting Module
Appendices

The GRT will be used to capture all grant data (e.g. HSGP, UASI, TSGP, BZPP, IPRSGP) from planned obligations
in the ISIP process, twice yearly expenditure updates through the BSIR process, and final funding in the Closeout reporting period. Appendices contain policy, guidance, and technical assistance for data requirements and
reporting processes.

1.1.3

Target Audience

The guide is designed for use by both SAAs and subgrantees. To avoid confusion, instructions are provided
using the term “user” to refer to the individual completing the respective report. User can refer to either a SAA
or a subgrantee. However, in situations where the instructions are specific to the SAA, the term “SAA” is used.
Conversely, where the instructions are specific to a local jurisdiction or other state agency, the term
“subgrantee” is used.

Section 1.2

Overview
Overview of the Grant Reporting Process

FEMA’s grant reporting cycle is broken into three main reporting periods:
1) ISIP Reporting Period
2) BSIR Reporting Period
3) Close-out BSIR Reporting Period
Through the ISIP, SAA users will report planned expenditures of the newly awarded grants by the federally
mandated due dates. Through the BSIR, grantees update planned information twice a year with the actual
obligations, expenditures, and progress made on activities reported in the ISIP. Through the Close-out
reporting period, SAAs ensure that the adjusted award amount (due to the de-obligation of funds) equals the
obligated and expended amounts.

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1.2.1

Grant Reporting Timeline

Based on a two-year period of performance, FEMA expects most grants will have six submissions over the
course of the period of performance including one ISIP submission, four BSIR submissions, and one final
Close-out submission. Please refer to FEMA grant guidance for due dates.

Section 1.3

Overview of the Grants Reporting Tool

The GRT is divided into eleven modules. Each of these modules is designed to perform different functions that
will allow the user to input data, organize grantees/subgrantees, and allow for analysis of the data collected.
When a user registers for access to the GRT, they must select their Role (Federal, State, or Local User) and
Organizational Assignment (state, territory, or agency). The GRT modules are designed specifically for each
user type and only those modules applicable to the user type will appear. The eleven modules include:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.

Admin (for DHS System Administrators only)
IJ Submission
Investment
Scoring
Funding
PSIC
Approval
Organization
Users
Reporting
Strategy

In the user interface, the names of the modules are displayed on the left side of the screen and the associated
tabs of each module are displayed across the top of the screen. Selected modules will appear as white
lettering on dark blue backgrounds, while unselected modules will appear as dark blue lettering on grey
backgrounds. Conversely, selected tabs will appear as dark blue lettering on light blue backgrounds, while
unselected tabs will appear as dark blue lettering on grey backgrounds. The figure below depicts this example:

Figure 1: Sample view of the application’s module and tab layout

1.3.1

Grants Reporting Tool Modules
Modules

The GRT consists of the eleven modules that are described below. The user type defines which modules a user
is able to access.
1.3.1.1 Welcome! (Not a module)
Welcome! provides a brief description of the GRT system and displays listings on the recent activities of the
GRT. The Welcome! page also provides a list of supporting documentation available to download. The
reference documents are provided to assist users in navigating the GRT system. Some of the reference

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materials include: GRT User’s Guide, Frequently Asked Questions, What’s New in the Latest Version, Close-Out
Overview, Data Ports Overview, Funding Overview, Grant Reporting Lifecycle Overview, Getting Started
Overview, IJ Submission Module Overview, Investment Overview, ISIP Overview, Organization Overview, PSIC
BSIR Overview, Reporting Overview, Strategy Overview, Welcome! News Overview and Workflow Overview.
Users are able to send an email to the GRT help desk via an e-mail hyperlink listed on the bottom of the page.

1.3.1.2 Admin (Available for DHS System
System Administrators)
The Admin module is specific to DHS System Administrators and provides the administrative capabilities for
specific sections within the GRT. Such capabilities include setting up e-mail notifications, updating award
amounts and the ability to perform data porting.

1.3.1.3 IJ Submission
The IJ Submission module is designed to provide users the ability to compile their HSGP IJ online without the
use of an excel template (to date, this includes FY 2009, FY 2010, FY 2011, FY 2012 and FY 2013 IJs). Users
can create up to 10 investments. SAA Admin users mark the final online IJ complete and submit the GRTproduced IJ to grants.gov. This module is available to SAA Admins and state/local users designated by SAA
Admins.

1.3.1.4 Investment
The Investment module allows SAA and Fed users to review and report on information for all collected grant
data. This module allows for Post-Award analysis and adjustments to be made for grants provided for state
allocation of FEMA award funds. This module is not available to Local users.

1.3.1.5 Scoring
The Scoring module is designed for HSGP and PSIC IJ reviewers to score Investments within the GRT
application. Prior to scoring investments within the Scoring module, reviewers must register for a new user
account in order to obtain the IJ Scorer role and privileges. IJ Scorers will score and submit all Investments for
the state and urban area IJ submissions within their designated panel.

1.3.1.6 Funding
The Funding module is the foundation of how funding is allocated between grantees/subgrantees and across
grant programs. Users enter grant funding, project funding (depending on the reporting period selected),
detail, solution area breakdowns, strategies, and metrics.

1.3.1.7 PSIC
The PSIC module allows SAA users to enter Statewide planning, M&A and State-Level Non-Federal Match. The
module also allows both SAA and Local users to create projects for each Investment, allocate funding for each
project to solution areas, enter Non-Federal Match at the project level, and answer metric questions at the
project level. Once all projects within an Investment are complete, and all Investments within the submission
are complete, the SAA Admin may certify and submit the PSIC BSIR to FEMA.

1.3.1.8 Approval
The Approval module allows State and Federal Admin users to review and approve all completed submissions
(Local to SAA or SAA to FEMA). A series of state level self-checks help users to verify funding compliance and
ensure data has been accurately entered. Users are only able to submit their reports for review and approval
once all self-checks are in ‘OK’ status (highlighted in green).

1.3.1.9 Organization
The Organization module allows SAA users to define their respective grantees and subgrantees. In the GRT, it
is the responsibility of the SAA to define all grantees/subgrantees that receive funding within their

April 2013

state/territory. Grantees and subgrantees may be added, edited, and assigned to reporting periods. Contact
information is also entered and updated in this section. Subgrantees may access this section to edit the
contact information as it pertains to their organization.

1.3.1.10

Strategy

The Strategy Module is designed for SAA Admin users to enter and update their State/Territory Homeland
Security Strategies, Urban Area Strategies and Regional Transit Security Strategies. A built-in workflow
component allows for Federal Admin users to approve and request more information on strategies when
applicable. SAA Admin users are able to submit their strategies to FEMA for approval during each reporting
period.

1.3.1.11

Users

Users will be approved and granted access to the system within the Users module. Admin users may review
the details of a request before granting users access to the GRT system. They may also reset a user’s
password. Non-Admin users may only edit their own contact information and change their password in this
module.

1.3.1.12

Reporting

The Reporting module is specific to Federal and SAA Admin users. In this module, users will be able to view
and/or download reports broken down by state/territory, or at a national level. Reports in this section range in
detail from high-level grant funding to detailed solution area and discipline allocations. These reports can be
viewed and/or downloaded in PDF or CSV format.

Section 1.4

Using the Grants Reporting Tool

The GRT was designed to make reporting as easy as possible for the SAA and subgrantee users. The GRT
follows the natural process of obligating grant funding. Conceptually, the GRT starts with inputting the total
grant-funding amount and then tracing the allocation of these funds to a more detailed level. This includes the
Projects and their respective Solution Areas, Solution Area Sub-Categories, and Disciplines impacted by the
funding. The GRT guides the user through a multi-step process beginning with grantee information and ending
with a plan summary to validate the entered data.
This section of the guide includes an overview of how the Grant Funding section is structured, some of the
business rules, features, and best practices utilized in the application.

1.4.1

Grants Reporting Tool Basics

This section introduces the conceptual structure and layout of the GRT.

1.4.1.1 Conceptual Design of the GRT
Conceptual models of the GRT that mirror the capture of data within the application are displayed in the next
two figures. These models provide an overview of how funding allocations are organized and how each module
logically ties to the next.

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Figure 2: Illustration of how ISIP captures the funding grant programs

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Figure 3: Illustration of project funding allocations broken down to the Solution Area Sub-Category and
Discipline levels

1.4.1.2 Features of the GRT
A variety of features are used through the GRT. These are described in the following sections.
1.4.1.2.1 DropDrop-down list boxes
Drop-down list boxes allow the user to enter information from a set list of choices. The drop-down boxes are
marked with a down arrow next to the field. To select an item from a drop-down list,
1. Click on the down arrow next to the field. This will display a list of choices.
2. Select one item from the list by clicking on it. The item selected will appear in the window of the dropdown field.

Figure 4: Drop-down List Boxes
1.4.1.2.2

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Section Headers

Section headers help notify the user what jurisdiction (state, subgrantee, etc.) they are viewing. This is
especially helpful for users who have access to multiple jurisdictions.

Figure 5: Section Headers
1.4.1.2.3 Item Selection
In sections that display multiple items to be edited, updated, or selected, common icons are used. To select
one item, the user can click the underlined words (the hyperlink) to view additional details. For example, in the
figure below, clicking the underlined specific Project Title will present the details of the project to the user.

Figure 6: Hyperlinks
To select multiple items, the user can select multiple checkboxes and then click a command button. This is
illustrated in the following example:

Figure 7: Checkboxes
1.4.1.2.4 SelfSelf-Check Indicators
Within the Investment, Funding, and Approval modules, users will see a self-check indicator across numerous
tabs and sections. The self-check indicator (Red=Error, Green=OK) is used to display the current state of a
grantee/subgrantee, investment, project, program, state, etc. For example, if a user encounters a project with
a self-check status of ‘ERROR’ (in red), they will be unable to submit the project to the next level in the
workflow until the issue has been resolved and the self-check indicator is in ‘OK’ (green) status.

Figure 8: Self-Check Indicators

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CHAPTER 2

GETTING STARTED
Sections
2.1 Registration
2.2 Login
2.3 Organization

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Section 2.1

Registration – First Time Users Only

To access the GRT, each user must register by creating a user profile and account. Registration is a three-step
process:
Step 1: Enter contact information
Step 2: Select role and organizational assignment
Step 3: Select a user name and password
After these three steps are completed, the profile and account information will be passed to the proper party
for review. SAA/DTG user information will be provided to FEMA for review. Subgrantee registration requests,
however, will be submitted to the appropriate SAA/DTG. Once the profile has been approved by the
appropriate authority, the user will receive an e-mail notification that access has been granted. Users may
then login to the GRT with the user name and password established in their profile.

2.1.1

User Registration

2.1.1.1 Registration Form – Step One
From the GRT homepage (https://www.reporting.odp.dhs.gov/), first time users will register for an account by
selecting the ‘click here’ hyperlink at the bottom of the page.

Figure 9: GRT Homepage
After the GRT Registration Form appears, complete all mandatory fields denoted by the asterisk (*). The
required fields are described below.
2.1.1.1.1 Name Prefix, First Name, Last Name
These fields require entry of the user’s first and last name and will be used as the primary point of contact for
any questions regarding the data entered in the GRT.

April 2013

2.1.1.1.2 Address/Phone Number
This field requires entry of the user’s office address and phone number. Home or personal addresses should
not be entered.
2.1.1.1.3 State
This field requires entry of the user’s represented state that will be used to pre-populate the GRT with ISIP data
submitted for grantees/subgrantees of that state. Additionally, the state selected in this field populates the list
of available organizations assigned to this state on the next registration page. From the populated list, the
user will select their organization(s).

The State entered in the User Information page will NOT be the user’s represented state. The
Organizational Assignment selected in Step Two of the Registration Form will be the user’s
represented state within the system.
2.1.1.1.4 E-mail Address
This field requires entry of the user’s primary e-mail address. Please ensure this e-mail address is correct, as
all correspondence will be e-mailed to this address.

Figure 10: User Registration – Step One

2.1.1.2 Registration Form – Step Two
After entering their user information, the user must select a Role and Organizational Assignment.
2.1.1.2.1 Role
The selected Role will grant the user access to the appropriate information to meet the GRT requirements.
There are three roles in the GRT:
Federal: DHS FEMA and other Federal Government Representatives
State/Direct Tribal Grantee: SAA users and DTG users

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Local: All other users including Subgrantees, Local Jurisdictions, Other State Agencies/Non-SAAs, and
Urban Areas

Figure 11: User Registration – Step Two – Role Selection
2.1.1.2.2 Organizational Assignment
Next, the user must select their Organizational Assignment. The Organizational Assignment will be the user’s
represented state/territory/tribe. Additionally, the State selected in this field populates the list of available
grantees/subgrantees assigned to that State.

Figure 12: User Registration – Step Two – Organization Assignment

2.1.1.2.3 Request Grantee/Subgrantee
After selecting the Role and Organizational Assignment, the user will select the grantee(s)/subgrantee(s) they
wish to access.
Federal: Federal users will select the states/territories they represent.
State/DTG: SAA/DTG users will automatically be assigned every available grantee/subgrantee within
their state.
Local: Local users will select the specific organization they represent. As a rule, this is how
users shall select and request organizations.
FEMA and SAA/DTG/Local Admin users will only provide access to grantee(s)/subgrantee(s) as
required to meet the reporting requirements and will not allow local users to access data that
outside their realm of accountability.
To select the grantee(s)/subgrantee(s), highlight a desired grantee/subgrantee name from the ‘Available
Grantees/Subgrantees’ list and click the right arrow button to move the grantee(s)/subgrantee(s) to the
‘Requested Grantees/Subgrantees’ section. To select multiple grantees/subgrantees, hold down the ‘CTRL’
key while clicking on each desired grantee/subgrantee.

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Figure 13: User Registration – Step Two – Grantee/Subgrantee Selection

Only the SAA/DTG user type has the ability to select all available grantees/subgrantees. When a
user is registering as an SAA/DTG user, all of the grantees/subgrantees for that state will
automatically be assigned to them and appear within ‘Requested Grantees/Subgrantees’.

After selecting the desired grantee(s)/subgrantee(s), click ‘Next’ and proceed to Step Three.

2.1.1.3 Registration Form – Step Three
The final step of the registration phase is the creation of the User ID and Password. Users can create their own
User ID and Password that meet the requirements outlined below.
2.1.1.3.1 User ID Requirements
The user must create an ID unique to the system. If another user has previously chosen the desired user ID,
the system will instruct the registering user to create another one.
2.1.1.3.2 Password Requirements
Passwords must be between 8 and 15 characters in length and consist of a mix of the following: uppercase (AZ), lowercase (a-z), numeric (0-9), and special characters (_#$). Passwords cannot start with a number (0-9) or
a special character (_#$). Passwords cannot include consecutive keys on the keyboard (qwe, zxc), sequences
(abc, 123), consecutive letters in respect to case (aa, dd, GG), the username, or the username separated by
special characters.
2.1.1.3.1 Citizenship Requirement
The user shall select ‘No’ if they are not US Citizen. The default value for the citizenship is ‘Yes’.

Figure 14: User Registration – Step Three

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After the User ID and Password are entered and citizenship question has been answered, click ‘Submit’. The
system will alert the user to any deviations from the User ID and/or Password requirements. If the system
rejects the User ID and/or Password, it will request a modification to complete their registration process. Upon
successful creation of the User ID/Password, the user registration status will default to ‘Pending’; the user will
be notified via e-mail once access has been granted.
If a password has not been changed in the last 90 days, the user will be required to change their password.
Additionally, if a user has not used the system in the last 45 days, the user status will be changed to ‘Locked
Out’. If a user’s account has expired or been ‘Locked Out’, the system will display the following error message
in the login screen: ‘Invalid Username and Password’. In the event the user receives this message, they
should contact the Helpdesk at 1-877-612-4357 to have their account unlocked. If a user is unable to
coordinate with the Helpdesk, the user’s respective Admin (the user who approved their account) also has the
ability to change their password or unlock their account. Users will receive an e-mail notification once their
account has been ‘unlocked’. The user will have until midnight to log in and change their password in order to
prevent their account from becoming ‘Locked Out’ again.

Note: When the appropriate Admin user has approved a profile, it will be the responsibility of that
approving authority to notify the new user via e-mail that access has been granted to the GRT
system.
The following table outlines the basic registration approval steps.
Requesting User
SAA/DTG
Subgrantee

2.1.2

Authorized Approver
Federal (FEMA) user assigned to requesting state
SAA/DTG role with admin privileges assigned to requesting state
Federal (FEMA) user assigned to requesting subgrantee
SAA/DTG role with admin privileges assigned to requesting subgrantee
Local role with admin privileges assigned to requesting subgrantee

Approval Process

There are three steps to the approval process:
FEMA Program Analysts approve at least one SAA/DTG account per state.
The SAA/DTG user(s) with admin access approves additional users within their states at the SAA/DTG
level, and must approve at least one Admin user within each subgrantee.
Admin users login to the GRT regularly to ensure users are approved in a timely manner during the
mandated reporting period. If the SAA/DTG completes reporting submissions on behalf of
subgrantees, there is no need to create/assign local users.

Note: Each subgrantee will be required to have at least one user with admin privileges.

User approval occurs in the User module, which can be selected from the left navigation bar. All user
information and related management tasks are contained within the three tabs available to all users within
this section:
User Management
User Detail
Change Password

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2.1.2.1 Users Module - User Management Tab
The User Management tab provides a snapshot of all users within the admin realm of the logged in user. If the
user is an SAA/DTG Admin user, they will see all users within their state. If the user is a Local Admin user, they
will see all users within their jurisdiction. Lastly, if the user is a local user or if the user does not have admin
privileges, they will only see themselves.
The following fields aid the user in reviewing the user status: Name, Grantee/Subgrantee, Account Type,
Username, and Status. The User Management List Screen will only display 100 users at one time; the next
100+ users can be accessed through the ’next ‘page hyperlink, which will only be active if applicable.

Figure 15: User Approval
There are four functions an approving user can perform on the User Approval page. In order to perform one of
the functions, the checkbox to the left of the name must be selected before the button is clicked.

Approve - Allows the approving user to change a user’s status from ‘Pending’ to ‘Active’
Deny - Allows the approving user to reject a user’s access request
Delete - Allows the approving user to delete a user from the system
De-activate - Allows the approving user to change a user’s status to ‘Inactive’

It is important for the approving user to carefully review the name of the registering user and the
requested jurisdiction(s) to ensure that only those authorized to enter data for those
grantee(s)/subgrantee(s) are approved.

2.1.2.2 Users Module - User Detail Tab
To review additional information regarding the user, the approving user can enter the User Detail tab by
clicking a user’s name. If the user wishes to view their own user information, they can click their name, or click
the User Detail tab. The User Detail page will display a user’s status, contact information, role, organizational
assignment, and user permissions. Additionally, users can see who last activated their account by reviewing
the box labeled “last activated by.”
Under the User Status section of the User Detail tab, an approving user can change the status of the user.
Once the status is changed, the user should click the ‘Save’ button to update the user’s status.

April 2013

Figure 16: User Status
As displayed below, the approving user can assign Administrative privileges, PSIC Module privileges, or
Strategy related roles to the user, In order to have state and local users accessing the PSIC module, SAA
Admins will be responsible for assigning their users PSIC module privileges. Per user feedback, State, Urban
Area and Regional Transit Area strategies can also be assigned directly to specific users involved in updating
those strategies. Users can be given entry privileges for State Homeland Security Strategies (SHSS), Urban
Area Security Strategies (UASS) and/or Regional Transit Security Strategies (RTSS).

Strategy module Role Assignments for SHSS, UASS and RTSS
SAA or Local users seeking Strategy module privileges are asked to contact their Program Analysts
with the request. Requests should include the type of entry privilege required: SHSS, UASS (by
Urban Area) or RTSS (by Regional Transit Area).

April 2013

All users pending approval will show ‘Pending’ in the status column. Once the user has been changed by their
Admin user to an active status, ‘Active’ will appear in the status column and those users are then able to login
into the GRT.

Figure 17: User Approval – User Status
The following tables highlight the User Roles and Rights within the GRT as it pertains to the creation and
approval of users:
User Roles
User Rights
Federal User/Admin
Review (in read-only mode) SAA submissions to FEMA
Approve SAA/DTG submissions to FEMA
Approve additional FEMA, SAA/DTG, and Local users
Generate Reports
State (SAA)/ Direct Tribal Input, certify, and mark complete Investment Justification data
Grantee (DTG) Admin Review SAA/DTG and subgrantee reports
User
Approve SAA/DTG and subgrantee reports and submit to FEMA for approval
Create and manage other SAA/DTG users
Create and manage subgrantees
Create and manage Local users
Input Grant Funding data
Enter subgrantee award(s)
Generate Reports
State (SAA) User
Input Investment Justification data
Input Grant Funding data
Review (in read-only mode) subgrantee submissions to SAA/DTG
Enter subgrantee award(s)
Local Admin User
Input Investment Justification data
Input Project Funding data
Review subgrantee report
Submit subgrantee report to SAA/DTG for review and approval
Create and manage Local users
Local User
Input Investment Justification data
Input Project Funding data
IJ Scorer
Score PSIC and HSGP IJs and submit scores to FEMA

User Status
Active
Pending
Denied
Inactive
Locked

April 2013

Definition
Indicates that a user currently has login access to the system
Indicates that a user has recently requested access to the GRT
Indicates that a user account has been requested, but denied
Indicates that a user account has not been used within 45 days
Indicates that a user account is currently inaccessible. An account may be locked because a
user entered an incorrect password three or more times. Users with admin rights carry the
privilege to unlock these users

Section 2.2

The first time a user successfully logs into the system, they will receive the GRT Rules of Behavior. The Rules of
Behavior remind users that they shall be held accountable for their actions related to the information
resources entrusted to them. Users must comply with the rules or risk losing their privileges and/or disciplinary
action for failure to comply with these responsibilities.

Figure 18: Rules of Behavior

April 2013

Upon agreeing to the Rules of Behavior, the Welcome! page will display. The Welcome! page will be the opening
page upon logging in for every subsequent login. On the Welcome! page, the user logged in will see their
username displayed at the top left-hand corner of the application.
The Welcome! page is split into three sections. A welcome message is displayed at top, followed by
documentation and news. The documentation section provides supporting documentation (guidance and
overview documents) on using the GRT application. The drop-down list displays the Overview Documents listed
below. Users may select the desired document from the appropriate drop-down. The file will open in a new
window. The news section will display brief news items regarding the application. For example, if the system is
scheduled for an updated release or maintenance, it will be noted in the news.
The Documentation section is split under two categories: Guidance Documents and Overview Documents.
Listed below is a chart of all the available Guidance and Overview Documents.
Guidance Documents
GRT Super User’s Guide (For Super Users only)
GRT User’s Guide
Frequently Asked Questions
What's New in the Latest Version

Overview Documents
ISIP Overview
Close-out Overview
Data Ports Overview (Fed user only)
Funding Overview
Getting Started Overview
Investment Module Overview
Organization Overview
Reporting Overview
Welcome! News Overview (Fed user only)
Workflow Overview
Strategy Module Overview
IJ Submission Module Overview
PSIC Module Overview
GRT Reporting Lifecycle Overview
PSIC Close-Out Overview

Figure 19: Documentation Chart
References for the help desk are also provided on the Welcome! page. The help desk can be reached toll-free
at 1-877-612-4357 or through e-mail at help@shsasresources.com.
The examples below display the SAA view and a Subgrantee view.

Figure 20: SAA View

April 2013

Figure 21: Subgrantee View

Section 2.3

Organization

In the Organization module, SAA/DTG users define the entire grantee/subgrantee population for a specific
grant-reporting period. The Organization module is divided into five tabs: Organizations, Subgrantee,
Subgrantee Detail, Add Subgrantee, and Organization Options. The Organizations tab is accessible to Fed
users only, and will list all the State names, as depicted below. From this point, the SAA/DTG user must click
on the state name to be taken to the full list of subgrantees receiving funding for a defined reporting period.

Figure 22: Organizations Page
Once the Fed user clicks on their state name, the Subgrantee tab opens. This tab displays all subgrantees that
the SAA/DTG user may view and/or edit.
The list of state subgrantees is displayed with their grantee type, as well as the last date the subgrantee was
updated. Only 100 will be displayed at one time on the Subgrantee List Screen. When there are more than
100 subgrantees, the continued list can be viewed by clicking the ‘Next’ hyperlink on the bottom of the page.

April 2013

Figure 23: Subgrantee Page

2.3.1

Editing Subgrantee Information

SAA/DTG users are able to edit the contact information for each of their respective subgrantees. To access
this feature, SAA/DTG users should click on the name of the subgrantee they wish to update. This will take the
SAA/DTG user into the Subgrantee Detail tab. The SAA/DTG user should then update any of the fields and
click ‘Update’ to update their changes to the system.

Any other user who has the rights to view the new subgrantee will also be able to edit the
contact information. This feature is especially important to the subgrantees as they may want
to edit and correct information that the state has entered on their behalf. For example, the
SAA/DTG may not know the exact phrasing of a subgrantee’s legal agency name or jurisdiction
name and the subgrantee may wish to change it.

Within the Subgrantee Detail, there is a reporting period indicator to specify which reporting periods are
relevant to the respective subgrantee. This option is available to prevent SAA/DTG users from adding and
deleting the same subgrantees over the course of many reporting periods. It is often the case that one
subgrantee will receive funding in FY04 but not in FY05. In this situation, the subgrantee cannot be deleted,
but rather the reporting period box should be unchecked. Likewise, a new subgrantee should not be created
for this reporting period. The existing subgrantee should be used, and the appropriate reporting periods
marked.
If a Reporting Period is unable to be changed, it will be marked in gray. The Reporting Period selectors can be
gray for one of two reasons:
•
•

The subgrantee was funded during the reporting period.
The state has already been approved by FEMA and the reporting period is now closed.

Subgrantees that have not submitted through review and approval may change their reporting period
association.

If the subgrantee was funded in a previous reporting period but is not being funded in the current
reporting period, the funding MUST be re-allocated to other subgrantees.

April 2013

Figure 24: Subgrantee Detail Page

April 2013

2.3.2

Adding Subgrantees
Subgrantees

The SAA/DTG may add subgrantees as they see fit, however, a subgrantee only needs to be created once. The
same subgrantee name can be used across reporting periods and fiscal years. Once the SAA/DTG user adds a
new subgrantee, it will appear in the state’s master list.
In order to add additional subgrantees to the system, the SAA/DTG should click the Add Subgrantee tab on the
top menu of the Organization page. The SAA/DTG user will enter in the name of the new subgrantee they are
creating, along with the appropriate details. If applicable, the user will also need to select the appropriate
Urban Area from the Urban Area drop-down list box. Grantee/subgrantee information such as e-mail, phone,
zip code, and DUNS are now being validated for accuracy in format and content.

2.3.3

Subgrantee Detail

Each grantee/subgrantee receiving UASI funding must be aligned to an Urban Area. This association is
important because it will enable users to select the appropriate Urban Area Goals & Objectives for their
projects which are allocated UASI funding. Once the Urban Area association is made, it will carry over for
future reporting periods. Grantees/Subgrantees with Urban Area associations and/or those residing within the
boundaries of an urban area regardless of the receipt of funding are required to select an urban area. Users
needing clarification on which urban area applies to them should contact their FEMA Program Analyst.
In order to view Regional Transit Security Strategies (RTSS), a Regional Transit Area must be associated with
each subgrantee inn the Subgrantee Detail tab. If a subgrantee is not associated with a Regional Transit Area,
their respective SAA user can associate them with the appropriate area.

2.3.4

Subgrantee UA/RTA Tab

The Subgrantee UA/RTA tab allows users to assign an Urban Area and Regional Transit Area (if applicable) to
each individual grantee/subgrantee. Upon selecting a grantee/subgrantee from the Subgrantee Tab, users
may choose to edit the Urban Area and/or Regional Transit Area assignment for that particular
grantee/subgrantee. The assigned Urban Area/Regional Transit Area will be applied for the grant award year
selected in the drop-down menu.
The Urban Area and Regional Transit Area drop-down menus will appear disabled (grayed-out)
if the grantee/subgrantee already has either strategy or investment data aligned to it using the
selected Urban Area/Regional Transit Area. This feature was put in place to prevent data from
being misaligned.

Figure 25: Subgrantee UA/RTA Page

April 2013

2.3.5

Organization Options

The Organization Options tab allows for the SAA/DTG Admin users to make changes to their state’s/territory’s
options. SAA/DTG Admin users may designate their preference as to whether or not their funding data should
be captured and tracked in whole dollars or to the cents. This option can only be selected at the state/territory
level and will be used consistently across all grantees within that state/territory. This will help to ensure that
funding information ties out accurately. In order to set the preference for this option, users should enter
preferred funding format (whole dollars vs. cents) the Organization Options tab. While it is not recommended
that they make changes to a state’s preferences, Fed users have the ability to make state option changes to all
states/territories.
SAA/DTG Admin users may also grant local users the ability to edit grantee/subgrantee award amounts. The
funding data award amount (whole dollar amounts vs. cents to two decimal places) preferences are based on
the previously chosen format. By default, local users will not be enabled to edit grantee/subgrantee award
amounts.

Figure 26: Organization Options Page

April 2013

CHAPTER 3

THE ISIP REPORTING PERIOD

Sections
3.1
3.2
3.3
3.4

April 2013

ISIP Reporting Period Introduction
Grantees/Subgrantees
Investment Module
Approval Module

Section 3.1

ISIP Reporting Period Introduction

3.1.1 ISIP vs. All Other Reporting Periods
The ISIP is the first reporting period of the fiscal year grant reporting cycle. This reporting period will be
followed by five additional submissions over the course of the period of performance – four Biannual Strategy
Implementation Reports (BSIRs) and a final Close-out reporting period (see figure below). Through the ISIP,
SAA users will report planned expenditures of the newly awarded grants by the federally mandated due dates.

Figure 27: ISIP Reporting Period

3.1.2

ISIP Reporting Requirements

3.1.2.1 FEMA Grant Programs
Submission of the ISIPs satisfies the reporting requirements identified in the FEMA Grant Programs. 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.

3.1.2.2 ISIP Submission Requirements
The SAA user is responsible for the submission of the ISIP report to FEMA. The final submission will include an
SAA-level report (if the SAA user retains a portion of funding) and one for every local jurisdiction, state agency,
or non-governmental organization receiving a subgrant. Specifically, the number of ISIPs to be completed
correlates to the number of subgrants awarded by the SAA user; one ISIP per subgrant must be completed in
addition to one ISIP for funding retained by the SAA user.

3.1.2.3 SAA Roles and Responsibilities
The SAA user is responsible for providing FEMA with an ISIP to account for all HSGP, TSGP, and UASI grant
funding. The submission of the ISIP will include one report that reflects funds retained by the SAA, and one for
each grant made to local jurisdictions and other state agencies. Several options are available to the SAA user
for ensuring that the required reports are completed. This process is illustrated in the figure below:

April 2013

Figure 28: Decision Matrix for the completion & submission of the ISIP

As outlined in the FEMA Grant Programs, only SAAs and Subgrantees that received funds should
complete ISIP reports. Funding from previous fiscal years or from programs other than the HSGP or
UASI should not be included in these reports.

Section 3.2
3.2.1

Grantees/Subgrantees

Unassigning Subgrantees

Grantees/Subgrantees can be unassigned from a reporting period in one of two ways. As discussed earlier, the
grantee/subgrantee can be removed from a reporting period from the Subgrantee Detail tab of the
Organization module. The grantee/subgrantee can only be unassigned from the reporting period if funding has
not been allocated to this grantee/subgrantee for the selected reporting period. The reporting period must also
still be open for this state (submission has not already been approved by FEMA).
From the Subgrantees tab, SAAs can select all grantees/subgrantees that they wish to remove from the
reporting period (via a checkbox) and then click the ‘Unassign from ISIP’ button to remove these non-applicable
grantees/subgrantees from the current ISIP Reporting Period.

April 2013

Figure 29: Subgrantee Tab

Note: Unassigning grantees/subgrantees from the ISIP reporting period does not remove the
grantees/subgrantees permanently from the system, rather only from the reporting period.

3.2.2

Adding Subgrantees

If the SAA user would like to include additional subgrantees for the ISIP reporting periods, they can do so in the
Organization module. If the subgrantee has never been entered for their state/territory before, they can create
a new entry using the Add Subgrantee tab of the Organization module.
If the subgrantee has been used previously for the state, the user should find the subgrantee on the list from
the Subgrantee tab of the Organization module, and click on the subgrantee name. The Subgrantee Detail tab
will
be
display
where
the
user
can
select
the
desired
reporting
period
to
add.

April 2013

Figure 30: Subgrantee Detail Tab

April 2013

3.2.3

Grantee/Subgrantee Completion

After a new subgrantee has been added, the SAA user should proceed to fund the subgrantee by entering the
Funding module.
Upon entering the Funding module, the SAA user should select the ISIP reporting period from the drop-down list
box and click on the newly created subgrantee from the list. This will pull the SAA user into the Award tab.
Within the Award tab, the SAA user should enter the award information for the subgrantee. Upon ensuring that
all self-checks and validations have been met, the SAA user can re-enter the Recipients tab and mark the
grantee/subgrantee as completed.
Once marked, the grantee/subgrantee status will change to
‘Grantee/Subgrantee Completed’.

Figure 31: Recipients Tab for 2012 ISIP

3.2.4

Grantee/Subgrantee Workflow

The figure below displays an overview of the grantees/subgrantees workflow:
Grantees /Subgrantees Workflow
Yes

User enters
Organization
Module –
Subgrantee Tab
for 2011 ISIP

All Subgrantees
applicable for 2011
ISIP?

User enters Add
Subgrantee Tab
and selects 2011
ISIP; Click Add

User enters
Funding Module –
Recipients Tab

User enters Award
Information; Clicks
Save

Click on Submit
button

Grantee/
Subgrantee
Completed

Add

Remove or
Add?

Remove

User checks all
Non- Applicable
Subgrantees for
2011 ISIP

User clicks on
‘Unassign from
2011 ISIP’ button

Figure 32: Grantees/Subgrantees Workflow

April 2013

Section 3.3
3.3.1

GRT Functionality – Investment Module

Investment Module Background

The purpose of the Investment module is for the SAA user to review the collected grant data. States and Urban
Areas were required to submit an IJ template outlining their state/territory money allocations. All of this data
was collected, compiled, and loaded into the GRT.

3.3.2

Investment Module Process

The Investment module allows for Post-Award analysis and state allocation of FEMA awarded funds. The figure
below displays the general process that users will follow within the Investment module.

Figure 33: 2012 ISIP Investment Module Process

3.3.3

Investment Module Breakdown

In the Investment module, Fed and SAA users will examine and amend all the grant data for their respective
state/territory. Once the user clicks on the link for the Investment module, the Federal Overview tab (or State
Overview tab for SAA users) will display.
The Investment module tabs include the following:
Federal Overview (Fed users only)
State Overview
Investments
Investment Detail

3.3.3.1 Federal Overview Tab
Designed specifically for Fed users, the Federal Overview tab displays the Estimated, Awarded, and Reported
amounts for all states/territories within the selected ISIP Reporting Period. The page will display the workflow
and self-check statuses of the investments for all states/territories.
The Federal Overview tab displays all states/territories (as a hyperlink), the Total Requested amount, Total
HSGP Awarded amount, Total HSGP Reported amount, workflow Status, and the Investments Self-Check.
If there aren’t any funding/self-check errors detected, then the Investments Self-Check will reflect an ‘OK’
status. If the self-check is in ‘ERROR’ status, there is at least one self-check or validation error. To determine
why the self-check is displayed in ‘ERROR’ status, click the state/territory name and proceed to the State
Overview tab.

April 2013

Figure 34: Federal Overview Tab

3.3.3.2 State Overview Tab
The State Overview tab is the default tab within the Investment module for all SAAs. Within the page, the
option exists to select different views via a drop-down list box. The different views are the Submissions and
Funding Validation views.

April 2013

3.3.3.2.1 Submissions View
The default view within the State Overview tab is the Submissions view. This page displays the SAA user’s
state and urban areas (if available), its Total HSGP Estimated amount, Total HSGP Reported amount, Status of
investments, and an overall Investments Self-Check for the selected ISIP reporting period. If the Investments
Self-Check is in ‘OK’ status, then the state/territory has no funding or self-check errors within the validation
criteria for investments. If the self-check is in ‘ERROR’ status, there is at least one self-check or validation
error. To determine why the self-check is displayed in ‘ERROR’ status, select State Funding Validation from the
select option drop-down list box.

Figure 35: State Overview Tab – Submission View
3.3.3.2.2 Funding Validation View
The second view within the State Overview tab is the Funding Validation view. This page displays a chart that
displays funding for all grant programs broken down by each investment and for the state and urban area
submissions (if applicable). The funding total for each investment is automatically calculated in the last
column while the Total HSGP Reported amount for each grant program is calculated across the bottom of the
chart. The Total HSGP Reported amounts are listed in conjunction with the Total Awarded amounts below each
grant program. The funding amounts are followed by self-check indicators for each grant program. In order for
a grant program to display a self-check status of ‘OK’, the grant program total must equal the grant program
award amount; otherwise, the self-check indicator will display ‘ERROR’.

Figure 36: State Overview Tab –Funding Validation View

3.3.3.3 Investments Tab
The Investments tab is the main piece of the Investment module. Upon selecting a submission type from the
State Overview tab, SAA users will use this page to review their investments as well as the breakdown of
funding. While reviewing investment data, SAA users have the ability to enter or edit funding information. All
edits are made in the Investment Detail tab which is reached by clicking the Investment Name. Fed users will
only be able to view the data entered by the SAA; they will not have the ability to edit or enter data.

April 2013

Once the SAA user has entered funding details for all investments and the state has no investment funding
self-check errors, the SAA user can confirm completion of their investments by clicking on the ‘Mark Complete’
button. Upon successful submission, the investment will be in ‘Investment Completed’ status. Once all
investments have been marked completed, then the investment portion of the ISIP package will be ready for
the SAA Admin user to submit to FEMA.

Figure 37: Investments Tab – Fed User View

Figure 38: Investments Tab – SAA User View

3.3.3.4 Investment Detail Tab
Once a user has selected an investment, they are directed to the Investment Detail Tab. All edits are made in
the Investment Detail tab which is reached by clicking the Investment Name. The system displays as read-only
text the Proposed funding amounts by each POETE solution area. Users may then enter the 2012 ISIP funding
amounts for each grant program by POETE solution area. This year the user will enter the M&A amount too. Fed
users will only be able to view the data entered by the SAA; they will not have the ability to edit or enter data.

April 2013

Figure 39: Investment Detail Tab – SAA User

Section 3.4
3.4.1

GRT Functionality – Approval Module

Approval Module for ISIP’s

The Approval module for the selected ISIP reporting period displays the validation self-checks and
computations for both the investments and grantees/subgrantees. The Federal Approval tab will provide the
Fed Admin user with the ability to approve or change request submissions by states/territories. The State
Approval tab will provide SAA Admin users with three different views. These different views will allow for the
submission of their respective state’s ISIP package (investments and grantees/subgrantees) to FEMA, as well
as other funding validation views. The figure below depicts the Modified ISIP Approval workflow.

3.4.2

ISIP Approval
Approval Workflow

Figure 40: Modified ISIP Approval Workflow

In order for a state/territory to ‘Submit to FEMA’, both the investment and grantee/subgrantee must
be in ‘Completed’ status and all self-checks ‘OK’.

3.4.3

Federal Approval Tab

3.4.3.1 Approve or Change Request Submissions
Submissions
Upon selecting the ISIP reporting period, the Fed Admin user will have the ability to Approve or Change Request
submissions made by states/territories. The Federal Approval tab will display all states/territories and their
respective statuses and self-checks. Fed users will also be able to view the Grantees/Subgrantees Total
amount, Investments Total amount, and Federal Grant amount for each state.

3.4.3.2 Status Options
The status dictates what level of approval is next in the workflow process. For the SAA user, the status also
dictates when the report is in read-only format. The report will always be in read-only format for the Fed users.
Status
Data Entry in Progress
Investment Completed

April 2013

Definition
Investments and grantees/subgrantees are currently being populated and
completed.
State’s investments have been completed and ‘locked down’.

Status
Grantee/Subgrantee
Completed

Definition
State’s grantee/subgrantee funding information has been completed and ‘locked
down’.

ISIP Completed

Both the state’s investments and grantees/subgrantees have been completed and
‘locked down’. In this stage, the state’s ISIP is ready to be submitted to FEMA.

Submitted to FEMA

State’s ISIP has been submitted by the SAA Admin user to FEMA for review and
approval.
State’s submission to FEMA has been approved and there are no outstanding
change requests.
Approving user has denied the ISIP submission and requests changes be made.

Approved by FEMA
Change Request

When validating a state’s ISIP submission, the Fed Admin user has the ability to deny the submission and
request changes to be made. When creating a change request, the approving user must enter a reason in the
free-text box below the ‘Change Request’ button. Upon clicking on the ‘Change Request’ button, the system
will automatically generate and send an e-mail to the SAA user. The change request comments made by the
Fed user will only be available in this e-mail.

Once an approving user requests changes to be made to a state’s ISIP submission, the status of both
the state’s investment and grantee/subgrantee will change to ‘Change Request’.

Figure 41: Federal Approval Tab

3.4.4

State Approval Tab

The State Approval tab provides the SAA Admin user with the ability to examine various validation checks for
the selected ISIP reporting period. Once all data has been entered and all self-checks are in ‘OK’ status, the
SAA Admin user will be able to submit the investment and grantee/subgrantee. The three different views
within the State Approval tab include the following:

April 2013

Submission Status View
Grantees/Subgrantees Funding Validation
Investments Funding Validation

3.4.4.1 Submission Status View
The Submission Status View is the default view within the ISIP reporting period of the State Approval tab. In
this view, SAA Admin users will be able to view the two required components (investments and
grantees/subgrantees), Total Awarded amount, Total Reported amount, the status of the respective
component, its self-check indicators, and the state self-check indicator. SAA Admin users will be able to
submit the ISIP package to FEMA by clicking the ‘Submit to FEMA’ button, only once both investments and
grantees/subgrantees are in self-check ‘OK’ status and have an overall state self-check status of ‘OK’.

Figure 42: State Approval – Submission Status View

3.4.4.2 Grantees/Subgrantees Funding Validation
The Grantees/Subgrantees Funding Validation view displays all of the ISIP funding validation points for the
user’s state, broken down by grant program. This view also displays the Total Reported and Federal Award
amounts. In order for the state to pass the self-check validation for each grant program, the Total Reported
Amount must equal the Federal Award amount.

Figure 43: State Approval – Grantees/Subgrantees Funding Validation View

3.4.4.3 Investments Funding Validation
The Investments Funding Validation view displays the funding validations for all grant programs associated
with the user’s state. In a single snapshot, the user is able to examine all grant programs as well as their
Estimated, Awarded, and Reported amounts. In order to display an ‘OK’ self-check, the Awarded and Reported
Amounts must be equal.

April 2013

Figure 44: State Approval – Investments Funding Validation View

3.4.4.4 Passthrough Compliance Validation
This validation validates the 80/20 passthrough rule where local share needs to be a minimum of 80% of
the distributed amount and state share can be a maximum of 20% of the total awarded amount.

Figure 45: State Approval – Passthrough Compliance Validation View

April 2013

CHAPTER 4

THE BSIR REPORTING PERIOD

Sections
4.1
4.2
4.3
4.4

April 2013

BSIR Reporting Period Introduction
SAA Reporting Process
GRT Functionality – Funding Module
GRT Functionality – Approval Module

Section 4.1
4.1.1

BSIR Reporting Period Introduction

BSIR vs. All Other Reporting Periods

The BSIR serves as the reporting format for the Categorical Assistance Program Reports (CAPR), which are due
every six months for the life of the award. A Close-out BSIR is due after the end date of the award period.
Refer to program guidance for specific due dates.
Users should note that the PSIC BSIR, while within the same reporting period as the standard BSIR, is a distinct
process that must be completed through the PSIC module. States and territories receiving grant funds from
PSIC and other FEMA grant program within GRT must complete both BSIRs. For a user’s guide of the PSIC
module, please refer to the Appendices.

Figure 46: BSIR Approval Workflow

4.1.2

BSIR Reporting Requirements

4.1.2.1 Grant Application Kit Requirements
While the submission of the ISIP satisfies the planning requirements, the submission of a completed BSIR
satisfies the expenditure requirements. The FEMA Grant Programs state that all funds provided to the
SAA/DTG through these grant programs must be accounted for and linked to one or more projects. In return,
this funding 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 (strategy requirements not applicable to Direct Tribal Grantees).

4.1.2.2 BSIR Submission Requirements
The BSIR must account for all HSGP, TSGP, and UASI grant funding within the acceptable margin as published
by FEMA. Submissions made outside of the one thousand dollar threshold will be evaluated by FEMA on a
case-by-case basis. The BSIR should also include one SAA/DTG-level submission (if the SAA/DTG retains a
portion of funding) and one GRT submission for every local jurisdiction, state agency, urban area, tribe, or nongovernmental organization receiving a grant. Specifically, the number of reports submitted by the SAA/DTG
through the BSIR correlates to the number of subgrantees in a state; if a subgrantee receives two separate
grants, both grants should be captured in one GRT submission.

April 2013

Section 4.2
4.2.1

SAA/DTG Reporting
Reporting Process

Roles and Responsibilities

The SAA/DTG’s key roles and responsibilities include the following:
Ensuring the timeliness and accuracy of the BSIR submission
Approving at least one Local (subgrantee) user for each subgrantee and assigning them admin
privileges (if necessary)
Completing the SAA/DTG level report for the reporting period
Populating the subgrantee award amounts for all subgrantees within their state per reporting period
Reviewing and approving the SAA/DTG report
Compliance with the appropriate passthrough requirement of each grant award to subgrantees, (Local
Jurisdictions/Entities, Other State Agency (Non-SAAs), or UASIs)
Reviewing and approving all subgrantee submission reports that have been submitted to the state
from their subgrantees
Submitting all state/territory/tribe reports to FEMA for review and approval

4.2.2

Process for Completing the BSIR

The SAA/DTG is responsible for providing FEMA with BSIR reports to account for all HSGP, TSGP, and UASI
grant funding. This submission will include one report that reflect funds retained by the SAA/DTG and one
report for all subgrants given to local jurisdictions, other state agencies, and the urban areas. Several options
are available to the SAA/DTG for ensuring that the required reports are completed. These options are
described below.
As the state’s admin, the SAA/DTG is given access to all subgrantee reports within the GRT system. The
SAA/DTG may choose to update each report with actual expenditure data and then submit the completed BSIR
to FEMA.
If the SAA/DTG opts to have subgrantees complete their own BSIR, the SAA/DTG should notify the subgrantees
of their participation in this process and establish deadlines, roles, and responsibilities. The SAA/DTG must
approve access to subgrantees and pre-populate their award information. They should assign one individual
as the approval admin for the state. Then, the SAA/DTG Admin user may grant access to an admin at the local
level (Local Admin user). The Local Admin user may then grant access to other users that are apart of that
subgrantees. The SAA/DTG Admin user will retain admin access to all reports and should review them for
accuracy prior to final submission to FEMA.
SAA is required to communicate the goals and objectives identified in the State Homeland Security Strategy,
Urban Area Security Strategy, and/or Regional Transit Security Strategy to its subgrantees completing BSIRs.
Subgrantees will be unable to accurately complete their BSIR without this information as all projects must be
assigned to the appropriate goals and objectives. This requirement is not applicable to Direct Tribal Grantees.

Section 4.3
4.3.1

GRT Functionality – Funding Module

Funding Module Breakdown

4.3.1.1 Recipients Tab
The view of the Recipients tab within the Funding module will change depending on which reporting period is
selected). In order to change the reporting period, simply select the desired grant year from the ‘Grant Award
Year’ drop-down list box and then select the reporting period from the ‘Reporting Period’ drop-down list box to
toggle the views. The ‘Reporting Period’ drop-down list box will update based on the grant award year selected.

April 2013

Figure 47: Recipients Tab – Fed User

Figure 48: Recipients Tab – SAA/DTG User
The GRT is designed to capture each fiscal year’s funding in a single report regardless of the number of grant
programs being funded. The following periods are currently in the application:
2004: Close-Out
2005: Close-Out
2006: Close-Out
2007: Close-Out, ISIP, BSIR (June 12), BSIR (December 12)
2008: Close-Out, ISIP, BSIR (June 10), BSIR (December 10), BSIR (June 11), BSIR (June 12), BSIR
(December 12)
2009: Close-Out, ISIP, BSIR (December 09), BSIR (June 10), BSIR (December 10), BSIR (June 11),
BSIR (June 12), BSIR (December 12)
2010: Close-Out, ISIP, BSIR (December 10), BSIR (June 11), BSIR (June 12), BSIR (December 12)
2011: ISIP, BSIR (June 12), BSIR (December 12)
2012: ISIP

4.3.1.2 Award Tab
The Award tab within the Funding module displays the grant programs that are available for the applicable
Grant Award Year.

April 2013

In FY 2004, award information was divided into two solicitations, Homeland Security Grant Program (HSGP)
and Urban Areas Security Initiative (UASI). The following was the breakdown of programs by solicitations:
FY 2004 Grant Programs
Citizen Corps Program (CCP)
Law Enforcement Training and Prevention Program (LETPP)
State Homeland Security Program (SHSP)
Urban Areas Security Initiative Program (UASI)
Transportation Security Program (TSP)
FY 2005 Grant Programs
Citizen Corps Program (CCP)
Law Enforcement Training and Prevention Program (LETPP)
State Homeland Security Program (SHSP)
Emergency Management Performance Grant (EMPG)
Metropolitan Medical Response System (MMRS)
Buffer Zone Protection Program (BZPP)
Transit Security Grant Program (TSGP)
Urban Areas Security Initiative (UASI)
Inter-City Passenger Rail Security Grant Program (IPRSGP)
FY 2006 Grant Programs
Citizen Corps Program (CCP)
Law Enforcement Training and Prevention Program (LETPP)
State Homeland Security Program (SHSP)
Emergency Management Performance Grant (EMPG)
Metropolitan Medical Response System (MMRS)
Buffer Zone Protection Program (BZPP)
Urban Areas Security Initiative (UASI)
Transit Security Grant Program (TSGP)
Inter-City Passenger Rail Security Grant Program (IPRSGP)
Operation Stonegarden Grant Program (OPSG)
FY 2007 Grant Programs
Citizen Corps Program (CCP)
Law Enforcement Training and Prevention Program (LETPP)
State Homeland Security Program (SHSP)
Emergency Management Performance Grant (EMPG)
Emergency Management Performance Grant–Supplemental (EMPGSUP)
Metropolitan Medical Response System (MMRS)
Buffer Zone Protection Program (BZPP)
Urban Areas Security Initiative (UASI)
Transit Security Grant Program (TSGP)
Transit Security Grant Program–Supplemental (TSGPSUP)
Transit Security Grant Program–Ferry (TSGPF)
Public Safety Interoperable Communications Grant Program (PSIC)
UASI Nonprofit Security Grant Program (NSGP)
FY 2008 Grant Programs
Citizen Corps Program (CCP)
State Homeland Security Program (SHSP)
Emergency Management Performance Grant (EMPG)
Metropolitan Medical Response System (MMRS)
Buffer Zone Protection Program (BZPP)
Urban Areas Security Initiative (UASI)
Transit Security Grant Program (TSGP)
Intercity Passenger Rail Program (IPR)

April 2013

Operation Stonegarden Grant Program (OPSG)
Public Safety Interoperable Communications Grant Program (PSIC)
UASI Nonprofit Security Grant Program (NSGP)
Interoperable Emergency Communications Grant Program (IECGP)
Emergency Operations Center (EOC) Grant Program
Regional Catastrophic Preparedness Grant Program (RCPGP)
Mississippi Interoperable Communications Grant (MSICG)

FY 2009 Grant Programs
State Homeland Security Program (SHSP)
Urban Areas Security Initiative (UASI)
Metropolitan Medical Response System (MMRS)
Citizen Corps Program (CCP)
Emergency Management Performance Grant (EMPG)
UASI Nonprofit Security Grant Program (NSGP)
Operation Stonegarden Grant Program (OPSG)
Interoperable Emergency Communications Grant Program (IECGP)
Emergency Operations Center (EOC) Grant Program
Buffer Zone Protection Program (BZPP)
Intercity Passenger Rail Program (IPR)
Regional Catastrophic Preparedness Grant Program (RCPGP)
FY 2010 Grant Programs
State Homeland Security Program (SHSP)
Urban Areas Security Initiative (UASI)
Metropolitan Medical Response System (MMRS)
Citizen Corps Program (CCP)
Emergency Management Performance Grant (EMPG)
UASI Nonprofit Security Grant Program (NSGP)
Operation Stonegarden Grant Program (OPSG)
Interoperable Emergency Communications Grant Program (IECGP)
Emergency Operations Center (EOC) Grant Program
Buffer Zone Protection Program (BZPP)
Intercity Passenger Rail Program (IPR)
Regional Catastrophic Preparedness Grant Program (RCPGP)
FY 2011 Grant Programs
State Homeland Security Program (SHSP)
Urban Areas Security Initiative (UASI)
Citizen Corps Program (CCP)
Metropolitan Medical Response System (MMRS)
Operation Stonegarden Grant Program (OPSG)
Emergency Operations Center (EOC) Grant Program
Emergency Management Performance Grant (EMPG)
UASI Nonprofit Security Grant Program (NSGP)
Intercity Passenger Rail Program (IPR)
Regional Catastrophic Preparedness Grant Program (RCPGP)

April 2013

Figure 49: Award Tab – SAA/DTG/Local User (reporting period available for edits)

4.3.1.3 Project Tab
The Project tab displays project information including Project Title, Project Type, Funding Type, Signed MOU,
Project Description and Project Self-Check for a Grantee/Subgrantee by selected Reporting Period. The
‘Project View’ drop-down list box contains options to Create Project, display the Project List, and display the
Project History. For a selected Grantee/Subgrantee in a Reporting Period, the ‘Self-Check View’ drop-down list
box displays Grant Program, Solution Area, and Project Validation views.
A user may select the checkbox to the left of the Project Title, enter Comments in the comments field, and
either Submit, Change Status, or Delete the selected project.

4.3.1.3.1 Project View – Create Project
The Create Project view within the Project tab allows the user to create new projects for a grantee/subgrantee
within the selected reporting period. The project description field allows the user to enter a statement up to a
maximum of 1000 characters describing the details surrounding the project.

April 2013

Figure 50: Project Tab – Create Project View

4.3.1.3.2 Project View – Project List
List
An ISIP requires the creation of new projects for the grant award. A BSIR is automatically populated with the list
of projects from the previous reporting period. The project name, funding type, amount, and project status are
all listed for the user’s view. The user has the option to delete, edit, or view the details for each project listed.
The user also has the option to create new projects in the lower portion of the screen.

Figure 51: Project Tab – Project List View

4.3.1.3.3

April 2013

Project View – Project History

The Project History view within the Project tab displays the workflow step, last updated (date), updated by
(user), comments and the grantee/subgrantee self-check.

Figure 52: Project Tab – Project History View
4.3.1.3.4

SelfSelf-Check View – Grant Program

The Grant Program self-check view displays grant program funding, totals, and self-check validations.

Figure 53: Project Tab – Grant Program Self-Check View

4.3.1.3.5 SelfSelf-Check View – Solution Area
The Solution Area self-check view displays solution area amounts, totals, and self-check validations.

Figure 54: Project Tab – Solution Area Self-Check View

4.3.1.3.6 SelfSelf-Check View – Project Validation
The Project Validation self-check view displays goals & objectives, project metrics, funding impact, solution
area tie-out, and self-check validations.

April 2013

Figure 55: Project Tab – Project Validation Self-Check View

4.3.1.4 Project ($) Tab
The Project ($) tab is the section in which the user will allocate grant funding to the projects the user created
under the Project tab. It is important for the user to remember that the total grant-funding amount must equal
the total grant project-funding amount. Project funding allocation cannot exceed the total award funding, nor
can project funding allocation fall short of total award funding. Users will be unable to submit projects that
contain errors.
Therefore, once the user is satisfied that they have entered all necessary projects, they may continue to the
Project ($) section for each project. In order to fund a project, the user must click the project name of the
desired project. The user will then be taken to the Project ($) tab specific to the project they selected to fund.

April 2013

The Project ($) tab is also the page where users can make changes to the Investment supported selected in
the
Create
Project
page.

April 2013

Figure 56: Project ($) Tab
The user will be able to edit the specific details of the project they are funding/editing. This information is
identical to the information the user entered for this project on the Project tab. The total grant funding amount
is also included in this view. This information is displayed to provide the user a funding reference point so they
know the pool of total program funding.

4.3.1.4.1

Funding Type/Pass through Compliance

SAAs and other State Agencies - Using the drop-down list box, these users will identify if the project is funded
by monies retained at the state/DTG level as part of the state’s share or by monies retained at the request of a
local jurisdiction. These two pools of funding cannot be combined under one project. If a project receives
funds from the state share and the funding retained on behalf of the local jurisdiction, two separate projects
bearing the same name must be completed for each source of funding.
Local Jurisdictions - There will not be a drop-down list box and “Passthrough to Local” will be presented
as the default in read-only format.
To view a chart that shows the passthrough compliance for the grant programs in FY , please refer to
the Appendices.
States that retain funds that exceed the passthrough requirements must enter into a
Memorandum of Understanding (MOU) with the local unit of government specifying the
amount of funds to be retained by the SAA/DTG for expenditure. This process can only
occur if the request is in writing by a local unit of government, stating that the state may
retain funds on behalf of the local unit of government.
SAA/DTGs must keep the
request(s) and MOU(s) on file.

April 2013

4.3.1.4.2 Funding retained on behalf of local jurisdictions
If the project is funded by money retained by the SAA/DTG on behalf of a local jurisdiction, use the check box
to indicate whether a Memorandum of Understanding (MOU) has been executed.
If the SAA/DTG is retaining funds on behalf of a local jurisdiction, the SAA/DTG should ensure that the money
is reported only once. In order to accomplish this, the SAA/DTG should include all funding that is being
retained on behalf of a local jurisdiction. Subgrantees should not account for these funds in their projects.
4.3.1.4.3 Project funding source(s)
When completing the BSIR, the user may enter in the dollar amounts allocated to this project from each of the
grant programs. The system will automatically total the grant program funds for this project. Examples of the
Project Funding (Project $) screens are below:

Figure 57: Project Funding Example for FY04 Grant Programs

April 2013

Figure 58: Project Funding Example for FY05 Grant Programs

Figure 59: Project Funding Example for FY06 Grant Programs

April 2013

Figure 60: Project Funding Example for FY07 Grant Programs

April 2013

Figure 61: Project Funding Example for FY08 Grant Programs

April 2013

Figure 62: Project Funding Example for FY09 Grant Programs

April 2013

Figure 63: Project Funding Example for FY10 Grant Programs

April 2013

Figure 64: Project Funding Example for FY11 Grant Programs

Only programs with funding entered in Award Information will be active and appear
‘ungrayed’; all others will be grayed out. If the subgrantee indicated in Award Information
that it did not receive grant funds from a program, the program field will be ‘grayed out’ in
Project Funding and no funds should be assigned to this program. Funding from a grant
program does not need to be allocated to every project.

4.3.1.4.4 Shared Funding
Users have the option of noting, if any, other state Subgrantees that are working on the same project type. At
the bottom of the page, the user may assign same state subgrantees by selecting the appropriate one(s) from
the ‘Available Subgrantee(s)’ column and clicking on the right arrow to move them to the ‘Shared Funding
Subgrantee(s)’ column.
After saving the data the user entered, the user may click ‘Save’, or continue to add the details of this project
by clicking ‘Save and Continue’. This will take the user to the Project Detail tab.

April 2013

Figure 65: Project Funding Tab – Shared Funding

4.3.1.5 Project Detail Tab
The Project Detail page has been created to allow the user to choose a submission type (state or urban area
submission) and the investment that is being supported. Upon selection of an investment, the page will
automatically refresh and display the user selected target capabilities from the associated Investment
Justification. Based on the grantee/subgrantee of the project, a list of applicable target capabilities is
displayed. Users must select a primary target capability from the available list via a drop-down list box and
anywhere between zero to four secondary target capabilities. All grant programs are aligned to all target
capabilities. Upon entering all the required fields, the Save button must be clicked to confirm the selections.

Figure 66: Project Detail Tab

4.3.1.6 Allocations Tab
The Allocations tab within the Funding module has been updated with the appropriate Fiscal Year
subcategories/disciplines and their respective allowable costs by solution area. The tab was also modified to
show only funded grant programs across solution area sub-categories and disciplines. Prior versions of the
GRT showed all grant programs across solution area sub-category and discipline, rather than just those which
were funded. For PSIC-specific projects, this tab has been deactivated.

April 2013

Figure 67: Allocations Tab
In the Allocations tab, the user assigns project funding to a series of solution areas through solution area subcategories and disciplines. Detailed project information is displayed for the user so they know which project
they are funding. Details on how to access all solution areas are found below.

April 2013

4.3.1.6.1 Solution Areas
The six solution areas correspond to the strategic objectives in the State Homeland Security Strategies, Urban
Area Homeland Security Strategies, and Regional Transit Security Strategies. Each project’s funding must be
aligned with at least one of the six solution areas:

Planning
Organization
Equipment
Training
Exercise
Management and Administration

For each solution area, the user will identify both solution area sub-categories and disciplines that will receive
grant funding. Although the solution area sub-categories and disciplines are mutually exclusive, the totals for
the funding assigned to solution area sub-categories and disciplines should be equal.
4.3.1.6.2 Solution Area SubSub-Categories
A solution area sub-category is an allowable expenditure within each solution area to accomplish identified
projects. The sub-categories are initially defined in the grant application kits. Sub-categories vary from one
solution area to the next. The user will be asked to indicate the total funding for each solution area to a subcategory for each grant program (i.e., SHSP, LETPA, CCP, UASI, EMPG, MMRS, etc. as appropriate).
Specific subcategories within HSGP have been directly associated with the personnel cap. To
ensure that the 50% cap is met, all subcategories that are identified as part of ‘personnel’
would be totaled and compared against the 50% threshold. Should the state/territory be over
the 50% cap, an error would be thrown on the funding validation for Personnel. Those
subcategories that will count towards the cap are noted with a red help carat and the
following pop-up text: Funding entered into this subcategory will count toward the Personnel
cap for the grant program.

4.3.1.6.3 Disciplines
A discipline is a generally defined group or function receiving grant funding for specific work within a solution
area. The list of disciplines is the same for all solution areas. The user must identify within each solution area,
which disciplines will benefit from each type of grant program funding (e.g.., SHSP, LETPA, CCP, UASI, EMPG,
MMRS, TSGP, etc. as appropriate).

States are required to fund 25% of specified grant programs to the LETPA discipline. Since the 25% number is
based on a variety of factors, DHS has published the minimum funding thresholds for states
to meet the LETPA requirements. GRT will compare the total LETPA funding reported to the
DHS requirement, if states are under the DHS-required LETPA funding amount, they will
receive and error – states may overfund LETPA. The LETPA discipline funding textbox is
noted with a red help carat and the following pop-up text: Funding entered into this discipline
will count toward the Law Enforcement Terrorism Prevention Activities (LETPA) minimum for
the grant program

4.3.1.6.4 SelfSelf-Checks
As shown below, the Total Solution Area Funding summary will also provide users a self-check that will identify
any errors within the alignment of their sub-categories and disciplines. Per grant program, the total project
funding, total sub-category funding and total discipline funding must equal each other in order for the selfcheck to be ‘OK’.

April 2013

Figure 68: Funding – No Errors
If, for whatever reason, the sub-category totals and discipline totals do not equal within a grant program, the
system will display an error to the user.

Figure 69: Funding – Errors
The user may save their work with an error as it is unlikely that a user will complete their BSIR in
one sitting. Therefore, self-check errors may occur naturally. However, it is important to
remember that the user will be unable to submit their information for approval if it contains
errors.

April 2013

4.3.1.7 Strategies Tab (not applicable to DTGs)
All projects must support specific goals and objectives in the Homeland Security Grant Program, Urban Areas
Security Initiative, and/or Transit Security Grant Program. The Strategies tab displays Goals & Objectives for
each State/territory. Users should refer to the strategies recently submitted to FEMA.
After creating a project and populating the project with applicable funding, the user must assign the
appropriate goals and objectives.
Each goal and objective is populated in the drop-down list box under the appropriate strategy section. The
description in this box is truncated. Once a goal or objective is selected, it will appear in its entirety in the box
at the right for review.
Users will have the option to select ”Other” from the goal and objectives drop-down list box. If a user selects
this option the following text will appear:
You have indicated that this project is supporting a goal and objective other than those listed above.
FEMA funds can only be used to support goals and objectives in the State or/and Urban Area
Homeland Security Strategies approved by the SAA and FEMA, including any new or revised goals and
objectives. You may proceed with selecting “Other” only if these goals and objectives have been
approved by the SAA and FEMA, and will be updated in the State and/or Urban Area Homeland
Security Strategy located on the DHS on-line Data Collection Tool.

Figure 70: Strategies Tab
4.3.1.7.1 Goals
A goal is required if funding has been allocated for the particular grant program.
SHSS – State Homeland Security Strategy
UASS – Urban Area Security Strategy
RTSS – Regional Transit Security Strategy
4.3.1.7.2 Objectives
At least one primary objective for the program supported by this project should be selected in the objectives
section. Although users can supply two objectives for a Primary Goal, only one is required. Examples of the
objectives screen are below.

April 2013

Figure 71: Strategies - Objectives View
Projects funded with UASI funding or grantees aligned with urban areas will be displayed as Urban Area Goals
& Objectives. Projects funded with TSGP funding will be displayed as Regional Transit Security Strategy Goals
& Objectives.
The goals and objectives self-check will notify the user that they have not assigned goals and objectives to a
project by displaying ‘ERROR’. The system will display ‘OK’ once goals and objectives have been assigned.

4.3.1.8 Metrics Tab
As of the FY 2005 Grant Award Year, Metrics are not required as part of the ISIP submission.

The Metrics tab within the Funding module will be dynamically displayed so that it maps directly to the solution
areas with associated funding to cover associated costs. Essentially, metrics should only be applied against
the specific POETE that had funding allocated to it. The Metrics tab has been modified so that funding can be
allocated to the identified POETE.
Like the solution area subcategories and disciplines, there are differences from the FY04 to FY05 project
metrics. Users will see this difference in the application and are encouraged to pay close attention to the
reporting period they are modifying/editing to ensure accuracy.
All projects for reporting periods after December 2005 will not require metrics, and therefore users do not have
to fill out the fields in the Metrics tab. To indicate this, users must access the Metrics tab for the associated
project, scroll down to the ‘Metrics Exception’ section, and select the checkbox next to “No metrics associated
with this project”. This indicates that there are no metrics captured for this project. The user should then click
on the ‘Save’ button at the bottom of the page to save this change.

April 2013

Figure 72: Metrics Tab
The Metrics tab contains the metric options for the six solution area categories. The metrics are either
quantitative or “Yes/No” in nature. There is no text-based summary associated with the items; users must
enter in numeric values or select a check box if they are indicating that a metric was satisfied.

4.3.1.9 Project Completion and Submission
Once the user selects the Metrics tab, the user will see the Project Title and Project Description for that
project’s metrics. Below the project description is a summary of their solution area funding specific to the
project. The solution area summary is displayed to remind the user of which solution areas were allocated
funds for this project.

April 2013

The performance metrics are found below the project summary box and the project metrics are sorted by
Solution Area. The user scrolls down the page and populates the performance metrics under the funded
solution areas.
The Metrics tab has a drop-down list box for each metric. The dropdown options are N/A, Yes, or No. If the
metric does not apply to the project, select ‘N/A’. If the metric is applicable to the project, select the
appropriate ‘Yes’ or ‘No’ answer. For some metrics, a ‘Yes’ answer must be coupled with a numeric response
in order to ensure no errors. Once all of the metrics have been addressed, the user should click ‘Save’.

Figure 73: Metrics View Before ‘YES’ Selected
After clicking ‘Save’, those metrics that have a ‘Yes’ answer will be opened to accept numerical or “check-box”
responses. After all updates are made, the user should save their work.

Figure 74: Metrics View After ‘YES’ Selected

April 2013

After a user completes all of the applicable steps of the project created (funds project, assigns goals &
objectives, funds solution areas, completes project metrics), the user may navigate back to the Project tab if
they wish to create more projects or work with projects already created.
4.3.1.9.1 State Level Submission
If the user has completed all applicable steps within the Funding module, they may navigate to the Project tab
and submit the projects for approval. Please refer to the ‘Submitting Projects’ (sec 4.4.5.1.2) section for
detailed instructions.

Section 4.4
4.4.1

GRT Functionality – Approval Module

Approval Module Access

The major validation self-checks and computations are contained within the Approval module. Only SAA/DTG
Admin and Federal users will have access to and use of this module.

4.4.2

Email Notifications

All Federal and SAA/DTG Admin users will receive e-mail notifications based on the approval and/or change
request status of subgrantees. If a user wants to receive e-mail notifications, their Program Analyst should
contact the DHS System Administrator so they can be assigned to receive e-mail notifications by GRT. There
are two major types of e-mail notifications, the Approval notification and the Change Request notification.

4.4.2.1 Federal Approval
4.4.2.1.1 Approval Email Notification
When the Federal user approves a state submission, the GRT system will automatically send an e-mail from
grt@www.reporting.odp.dhs.gov to the active SAA/DTG Admin user specific to the approved state.
4.4.2.1.2 Change Request Email Notification
If a Federal user submits a ‘State Change Request’, the GRT will automatically send an e-mail from
grt@www.reporting.odp.dhs.gov to the active SAA/DTG Admin user specific to the change requested state.

4.4.2.2 State Approval
4.4.2.2.1 Submitted to FEMA Email Notification
If an SAA/DTG Admin user submits a ‘State Change Request’ to FEMA, the GRT will automatically send an email from grt@www.reporting.odp.dhs.gov to the active Federal and SAA/DTG Admin users assigned to the
state.

4.4.3

Federal
Federal Approval Tab

4.4.3.1 Approve or Change Request State Submissions
The Federal Approval tab (available to Fed users only) displays each state assigned to the user as a hyperlink,
the Reporting Period drop-down list box, the Total Reported dollars, the Federal Grant dollars, workflow Status,
and the State Self-Check. If the State Self-Check is in ‘OK’ status, then the state has no funding or self-check
errors within any of the projects or validation criteria. If the self-check is in ‘ERROR’ status, there is at least
one self-check or validation error.

April 2013

Fed Admin users are able to approve or change request states by clicking the checkbox next to the intended
state/territory, and click the action button at the bottom of the page, to indicate ‘Approve’ or ‘Change
Request’.

Figure 75: Federal Approval Tab

4.4.4

Organization Approval Tab

4.4.4.1 SelfSelf-Check Validation Views
The Organization Approval tab is the page in which the SAA/DTG Admin user will review and approve all
individual grantees and subgrantees, as well as submit the state’s BSIR to FEMA.
There are three drop-down list boxes available for the state:
Select Option - State self-check validation components (individually described in this section)
Grant Award Year – Grant Award Year selector
Reporting Period – Reporting Period selector; populated based on Grant Award Year selected

April 2013

Figure 76: Organization Approval Tab

4.4.4.1.1 Grantee/Subgrantee Approval
This is the default view in the State Approval tab. This page displays the entire list of grantees/subgrantees
within the state for the specific reporting period as well as their associated self-checks.

Figure 77: Organization Approval Tab – Grantee/Subgrantee Approval View
4.4.4.1.2 State Submission
This validation page displays all of the validation points for the selected State. In one snapshot, the user is
able to determine if any self-check errors exist. Specifically, the Funding, Passthrough Compliance,
Management & Administration, MOU, Personnel, LETPA and Organization (Close-out - if in a Close-out period)
validations are confirmed.

Figure 78: Organization Approval Tab – Overall Submission Validation View
4.4.4.1.3

April 2013

Funding Validation

This validation page displays aggregate grant award funding totals at the state level. The amounts totaled are
from the Award tab in the Funding module. The totals from all subgrantees from all grant programs per
reporting period are displayed and compared to the Federal Grant amounts.

Figure 79: Organization Approval Tab – Funding Validation View

April 2013

4.4.4.1.4 Passthrough Compliance Validation
This validation page displays the passthrough compliance validation at the state level. Passthrough amounts
are broken out by grant program and subsequently by state and local funding share.

Figure 80: Organization Approval Tab – Passthrough Compliance View

4.4.4.1.5 Management & Administration Validation
This validation page displays the Management & Administration validation per grant program. The percent
allocated to Management & Administration is displayed and compared to the allowable percentage.

Figure 81: Organization Approval Tab – Management & Administration View

April 2013

4.4.4.1.6 Planning Validation (applicable for FY 200
2006
006 – FY 2008 grant programs)
This validation page displays the Planning validation per grant program. The percent allocated to Planning is
displayed and compared to the allowable percentage. The self-check OK and ERROR are displayed
accordingly.

Figure 82: Organization Approval Tab – Planning (Statewide) Validation View

4.4.4.1.7 MOU Validation
This validation page displays the grantees/subgrantees which are retaining funding on behalf of local
jurisdictions. The projects which fit this category will be listed along with a self-check confirming whether or not
an MOU is in place.

Figure 83: Organization Approval Tab – MOU Validation View
4.4.4.1.8 LETPA Validation
This validation page displays the LETPA validation per grant program. The minimum funding required is
displayed and compared to the allocations. The self-check OK and ERROR are displayed accordingly.

April 2013

Figure 84: Organization Approval Tab – LETPA Validation View
4.4.4.1.9 Organization Validation
This validation page displays the Organization validation per grant program. The Federal Award, Allocations,
Program % and Allowable % are displayed. The self-check OK and ERROR are displayed accordingly.

Figure 85: Organization Approval Tab – Organization Validation View

4.4.4.1.10 Personnel Validation (not applicable for FY 2007
2007 grant programs)
This validation page displays the Personnel validation per grant program. The percent allocated to Personnel is
displayed and compared to the allowable percentage. Allowable percentages can be found in the Appendix in
Personnel pass-through requirements. The self-check OK and ERROR are displayed accordingly.

April 2013

Figure 86: Organization Approval Tab – Personnel Validation View

4.4.4.1.11 CloseClose-out Validation
The Close-out Validation page displays the difference between the Obligated and Expended data for the final
Close-out reporting period. The user will not be able to submit to FEMA without certifying that the Close-out
reporting period is accurate. In order for the Adjusted Award Amount (the original award amount minus the
deobligated amounts) be changed for a specific grant program, SAAs are advised to contact their PA or the GRT
Help Desk for this request.
Self-Check Status
The user will see a self-check status of ‘OK‘or ‘ERROR’ depending on the values of the Obligated
Amount Reported, Expended Amount Reported, and Adjusted Award Amount.
A self-check status of ‘OK’ should be activated when the Obligated Amount Reported is $0.00. Also,
the difference between Expended Amount Reported and Adjusted Amount Reported is $0.00. A selfcheck status of ‘ERROR’ should be set when the Obligated Amount Reported is not $0.00 and/or the
difference between Expended Amount Reported and Adjusted Amount Reported is not $0.00.

Organization Approval Tab – Close-out Validation View

April 2013

4.4.4.1.12 CloseClose-Out Submission
In order for the SAA user to submit the Close-out reporting period to FEMA, the Close-out validation
requirements must be satisfied. Once satisfied, the SAA/DTG admin user must certify, within the Close-out
validation, that the data within this final BSIR reporting period is accurate.
The SAA Admin user will not be able to submit to FEMA without certifying that the final BSIR reporting period is
accurate.
Close-out – Organization Approval
The SAA Admin user should select the checkbox, then click ‘Approve’.
Data can only be certified if the self-check status is ‘OK’ and all criteria have been satisfied.

Figure 87: Organization Approval Tab – SAA/DTG Approval
Close-out – Submit to FEMA
Upon approving the Close-out period at the state level, the SAA Admin user should check mark the
certification box (circled below), then click ‘Submit to FEMA’ to submit for approval.

Figure 88: Organization Approval Tab – Submit to FEMA

April 2013

4.4.5

Approval – SAA/DTG User

The SAA/DTG is responsible for reviewing and approving all grantees/subgrantees associated with their state.
Only SAA/DTG users with admin rights can review and approve their state’s grantees/subgrantees and submit
them to FEMA.
The status dictates which users can review the reports, when the report is in read-only format, and what level
of approval is next in the workflow process.

4.4.5.1 Status and Definition
Status
Data
Entry
Progress
Project Submitted

Submitted to State
Approved by
(SAA/DTG)

State

Submitted to FEMA

Approved by FEMA
Change Request

Definition
This status denotes that a grantees/subgrantees and related projects are currently
being populated and completed.
This status denotes that a specific project has been completed and ‘locked down’.
Once all of the projects are in ‘Project Submitted’ status, they may be sent to the
next level for review and approval.
This status denotes that the subgrantee’s project(s) have been submitted and are
awaiting approval by the SAA/DTG.
This status denotes that the subgrantee’s project(s) have been approved by the
SAA/DTG and is/are pending submittal to FEMA.
This status denotes that grantees/subgrantees have been submitted by the
SAA/DTG to FEMA for review and approval. All of the state’s grantees/subgrantees
must be in the ‘Approved by State’ status prior to FEMA approval.
This status denotes that the state’s submission to FEMA has been approved and
there are no outstanding change requests.
This status denotes that an approving user has denied the submission and requests
changes be made. There are two types of change requests: ‘SAA/DTG Change
Request’ and ‘Subgrantee Change Request’.
Figure 89: Statuses and Definitions

Once a subgrantee submits all of their projects and officially submits their report to the SAA/DTG for review,
the SAA/DTG will receive an e-mail notification that project has been submitted to the State level and is
awaiting approval. The SAA/DTG Admin user will see the status of these projects as ‘Submitted to State’. The
SAA/DTG Admin user can now review and approve the subgrantees with this status.
It is suggested that the SAA/DTG review and approve the subgrantee reports as they are submitted to
the state. As a reminder, states can always view the status of all of their subgrantees to see who has
(and has not) been approved.
After an SAA/DTG Admin user reviews each report and is confident that no changes need to be made, they
should approve the report. Approving a subgrantee report at the SAA/DTG level changes the status to
‘Approved by State’. Each subgrantee report must have the status ‘Approved by State’ in order for the entire
state’s submission to then be submitted to FEMA for approval.
For example, if a state has 50 subgrantees, each subgrantee report will need to be ‘Approved by State’. The
SAA/DTG report flow follows the same path as the subgrantees; however, the SAA/DTG Admin user would be
submitting the report to themselves (the SAA/DTG) for review and approval. The SAA/DTG report also must be
‘Approved by State’.
In order to approve the report, the SAA/DTG should click on the check box of the subgrantee they wish to
approve. The SAA/DTG user should then select the ‘Approve’ button to approve the subgrantee.

April 2013

4.4.5.1.1 Approval
In order for any subgrantee to submit their report to the SAA/DTG Admin user for review and approval, the
Local Admin user of that subgrantee must ensure that all projects that have been created have been allocated
funds and individually submitted. The user may check the progress of all the projects under the Funding tab.
The ‘Project Status’ column will note the status of the project: ‘Data Entry In Progress’ or ‘Projected
Submitted’. All projects need to be in the ‘Project Submitted’ phase in order for the projects to proceed to the
next level, ‘Submitted to State’.

Figure 90: Funding Module – Project Tab – Review Status

4.4.5.1.2 Submitting Projects
Each project must be individually submitted and confirmed. However, one or many project(s) in ‘Data Entry in
Progress’ may be changed to ‘Project Submitted’. This additional confirmation is put in place to ensure that all
projects have been correctly addressed and that there are no funding errors. If the system does not allow a
project to be submitted, the user must check to ensure that there are no data entry errors or that required
fields have been correctly populated.
Each project that is created but not submitted will show the status of ‘Data Entry in Progress’. To change this
status to ‘Project Submitted’, the user should click on the check box next to the subgrantee name, and then
click ‘Submit’. If the user needs to change the status to ‘Data Entry in Progress,’ the user will click the check
box, and then the ‘Change Status’ button. Users may select one or more projects with the same status when
changing the workflow status.

Figure 91: Funding Module – Project Tab – Submit Projects

April 2013

4.4.5.1.3 Change Request
SAA/DTG Admin users have the ability to request a change to the subgrantee’s report. In order to request a
change, the SAA/DTG should select the check box(es) of the appropriate grantee(s)/subgrantee(s) and then
click the ‘Change Request’ button. The SAA/DTG will be required to enter a reason for the change request.
4.4.5.1.4 Responding to Change Requests
SAA/DTG Admin users have the ability to request a change to the subgrantee’s submittal. SAA/DTGs may
request changes after reviewing a subgrantee’s report. The subgrantees will be notified by the SAA/DTG user
that a change request has been made. When a change request is made, the status of the submitted
subgrantee will change to ‘Change Request’. The report will no longer be in read-only mode, to allow for all
necessary changes to be made.
4.4.5.1.5

Impact Tab

The Impact tab has been disabled and will only be accessible for reporting periods before December
2005.

The final step prior to submitting to the SAA for review is for the subgrantee to complete the Impact tab. This
section is found as a tab under the Approval module. The Impact tab seeks to qualify the impact the grant
award funding has had on the specific subgrantee’s progress to date. This is completed once per reporting
period.
There are three sections of questions, including: Prevention, Response, and Recovery. Each question has two
types of answers. The first set of answers is on a numerical scale of 0 to 5. The other type of question is a
response that will be either a ‘Yes’, ‘No’, or ‘N/A’. Additional instructions on completing this section can be
found on the top of the Impact tab. After completing the section the user must click on the ‘Save’ button.

Figure 92: Impact Tab

April 2013

4.4.6

Submitting Completed BSIR

To fulfill its reporting requirements to FEMA, the SAA/DTG must submit its grantees/subgrantees to FEMA.
BSIR reports should be approved by the SAA/DTG and submitted to FEMA for approval. When all of the
subgrantee and SAA/DTG reports have been ‘Approved by State’, the SAA/DTG may submit the entire state’s
grantee/subgrantee report to FEMA.
In order to submit the grantees/subgrantees to FEMA, the SAA/DTG must first approve all individual
subgrantee reports. To approve a subgrantee, the SAA/DTG Admin user may select the check box(es) for the
subgrantee(s) and click the ‘Approve by State’ button. After the SAA/DTG has approved ALL individual
grantees/subgrantees, they can submit them to FEMA for approval by clicking on the ‘Submit to FEMA’ button.
The SAA/DTG Admin user may also submit a change request by selecting the check box for the subgrantee and
clicking the ‘Change Request’ button. Comments must be entered in the comments box when submitting a
change request.

Figure 93: Approval

April 2013

CHAPTER 5

THE CLOSE-OUT REPORTING PERIOD

Sections
5.1 Close-out Reporting Period Introduction
5.2 SAA User

April 2013

Section 5.1
5.1.1

CloseClose-out Reporting Period Introduction

CloseClose-Out vs. All Other Reporting Periods

The Close-out BSIR serves as the final reporting in the reporting cycle of a grant. A Close-out BSIR is due after
the end date of the award period. Refer to program guidance for specific due dates. The following section will
outline all differences between a regular BSIR and a Close-out BSIR reporting period. Since this is a BSIR, all
previous information outlined in the BSIR chapter will be applicable to the Close-out BSIR.

Figure 94: Close-Out Reporting Period

5.1.2

Background Information Regarding the CloseClose-Out Reporting Period

In order for a state to be in a Close-out period, the DHS System Administrator must port the data into the
respective Close-out period. The state/territory must be in an ‘Approved by FEMA’ status in order to be ported
to the Close-out period.

5.1.3

Due Date

The Close-out reporting period is due after the end date of the award period. Refer to program guidance for
specific due dates.

Section 5.2

SAA User

During the Close-out reporting period, SAAs are responsible for the final funding allocations submitted during
the BSIR with actual obligated, expended, and adjusted data.

5.2.1

CloseClose-Out Validation View

The Close-out Validation page displays the difference between the Obligated and Expended data for the final
Close-out reporting period. The user will not be able to submit to FEMA without certifying that the Close-out
reporting period is accurate.

April 2013

Self-Check Status
The user will see a self-check status of ‘OK‘or ‘ERROR’ depending on the values of the Obligated
Amount Reported, Expended Amount Reported, and Adjusted Award Amount.
A self-check status of ‘OK’ should be activated when the Obligated Amount Reported is $0.00. Also,
the difference between Expended Amount Reported and Adjusted Amount Reported is $0.00. A selfcheck status of ‘ERROR’ should be set when the Obligated Amount Reported is not $0.00 and/or the
difference between Expended Amount Reported and Adjusted Amount Reported is not $0.00.

Figure 95: State Approval Tab – Close-Out Validation View

5.2.2

Submission

In order for the SAA user to submit the Close-out reporting period to FEMA, the Close-out validation
requirements must be satisfied. Once satisfied, the SAA admin user must certify, within the Close-out
validation, that the data within this final BSIR reporting period is accurate.
The SAA Admin user will not be able to submit to FEMA without certifying that the final BSIR reporting period is
accurate and that data within this final BSIR ties-out

5.2.3

State Approval
Approval

The SAA Admin user should select the checkbox, then click the ‘Approve by State’ button. Data can only be
certified if the self-check status is ‘OK’ and all criteria have been satisfied.

Figure 96: State Approval Tab – State Approval

April 2013

5.2.4

Certification

Upon approving the Close-out period at the state level, the SAA Admin user should check mark the certification
box (circled below), then click ‘Submit to FEMA’ to submit for approval.

Figure 97: State Approval Tab – Submit to FEMA

5.2.4.1 Data Certification Requirements
Obligated Amount must equal $0.00, AND the difference between the Expended and Adjusted amounts must
equal $0.00. If these two requirements are not satisfied, the user will have to refer back to the funding section
to correct or Change Request all errors. In order for the Adjusted Award Amount (the original award amount
minus the deobligated amounts) be changed for a specific grant program, SAAs are advised to contact their PO
or the GRT Help Desk for this request.

5.2.5

CloseClose-Out Completion

At the completion of the Close-out reporting period, the GRT will be used to update the grant-funding allocation
through the life of the grant.

April 2013

CHAPTER 6

STATE, URBAN AREA AND REGIONAL
TRANSIT SECURITY STRATEGIES

Sections
6.1 Strategy Module

April 2013

Section 6.1

Strategy Module

The GRT Strategy module will enable users to add and update State/territory strategy-related information
including Goals and Objectives. This module was specifically designed for SAA users to create and update
State Homeland, Urban Area, and Regional Transit Security Strategies. With the built-in submittal and approval
workflow component, SAA/DTG users are able to submit their strategies to FEMA for approval. Per user
feedback, State, Urban Area and Regional Transit Area strategies can now be assigned directly to specific
users involved in updating those strategies. This enhancement will allow certain users access to their specific
State’s, Urban Area’s or Regional Transit Area’s strategy data.
The Strategy module is comprised of five tabs: Strategy tab, Intro tab, Goals & Objectives tab, Evaluation Plan
tab and Update Summary tab.

6.1.1

Strategy

This is the first tab within the Strategy module and is available to all applicable users. The tab allows users to
view the list of their specific state/territory strategies. Click on the applicable state, urban area or regional
transit area in order to continue.

Figure 98: Strategies tab – SAA User
In order to see the history of past Goals & Objectives that have been approved or change requested, click on
the ‘View History’ link. Below is a sample of the link that demonstrates the Goal & Objective history.

Figure 99: Strategies tab (View History) – SAA User

April 2013

6.1.2

Intro

This tab is available to all applicable users and allows SAA users to update or add their strategy-related
answers for the strategy selected on the previous tab. Users are asked to update their information and then
click ‘Save and Continue’ to continue within the Strategy module.

Figure 100: Intro tab – SAA User

April 2013

6.1.3

Goals & Objectives

This tab allows SAA users to create, update, and remove their goals and objectives for their selected
State/territory/Urban Area/Regional Transit Area. Once goals and objectives are updated, the user should
click on the next tab name, ‘Evaluation Plan’, or whatever tab is next during the update process.

6.1.3.1 Goals & Objectives Page
Page
This Page allows users to sort goals, add goals, edit previously existing goals and to delete goals. This page
also allows users to sort objectives, add objectives, edit previously existing objectives and delete objectives.
•
•
•

•
•

Sort Goals: To sort goals, please assign a sort order number next to each goal.
Sort Objective: To sort objectives within each goal, please assign a sort order number next to each
objective.
Save New Sort Order: Users must select "Save Goal Sort Orders" button to save the new goal sort
orders and select "Save Objective Sort Orders" button to save the new objective sort orders in that
goal.
Edit Goals/Objectives: To edit a goal/objective, click the hyperlinked “Description” text to update the
text. Users will be directed to the appropriate text .
Delete Goals/Objectives: Click the Delete hyperlink to delete the desired Goal/Objective. Users will be
presented with a confirmation dialog box to confirm their intent.

Figure 101: Goals & Objectives tab – SAA User

April 2013

6.1.3.2 Adding a Goal – Click ‘Add Goal’ on Goals & Objectives Page
If the user clicks the “Add Goal” function on the Goals & Objectives Page, they will be directed to a new Goals &
Objectives page with an editable textbox. Users may enter the description of their goal and then click “Save”.
Once saved, the user’s information will be recorded. The user should then click the “Return to Goals &
Objectives Page” function to be directed back to the original Goals & Objectives Page.

Figure 102: Adding a Goal – SAA User

6.1.3.3 Editing a Goal – Click on Goal Description
Description
If the user clicks the on the hyperlinked goal text, they will be directed to a new Goals & Objectives page with
an editable textbox. Users may enter/update/edit the description of their goal and then click “Save”. Once
saved, the user’s information will be recorded. The user should then click the “Return to Goals & Objectives
Page” function to be directed back to the original Goals & Objectives Page.

Figure 103: Editing a Goal – SAA User

April 2013

6.1.3.4 Adding an Objective – Click ‘Add Objective’ (within specific goal)
If the user clicks the “Add Objective function on the Goals & Objectives Page, they will be directed to a new
Goals & Objectives page with an editable textbox. Users may enter the description of their objective and then
click “Save”. Once saved, the user’s information will be recorded. The user should then click the “Return to
Goals & Objectives Page” function to be directed back to the original Goals & Objectives Page.

Figure 104: Adding Objectives – SAA User

6.1.4

Evaluation Plan

This tab allows SAA users to edit and adjust their evaluation plan answers for the selected strategy. Users are
asked to update their information and then click ‘Save and Continue’ to continue within the Strategy module

6.1.5

Update Summary

This tab gives SAA users the ability to monitor and track changes made to their strategy data before each
submission to FEMA. Users are asked to update their information and then click ‘Save and Return to
Strategies Page’ to continue within the Strategy module

April 2013

CHAPTER 7

REPORTING

Sections
7.1 Reporting Module

April 2013

Section 7.1

Reporting Module

The Reporting module is specific to Federal and State Admin accounts and provides key reports to FEMA based
on users’ roles. Reports provided in this section range in detail from high-level grant funding to detailed
solution area and discipline allocations.

7.1.1

Reporting Module Tabs

The Reporting module is arranged in tabular format. The tabs are: Funding, Investment, Historical, Trend
Analysis and Administrative. The following details the data displayed for each report tab:
Funding – funding module data
Investment – investment module data
Historical – FY 2002 and FY 2003 grant award data
Trend Analysis – FY 2002 through present grant award data trends
Administrative – submission and audit data (available for Fed users only)
Executive – Super Users only

7.1.1.1 Funding
The funding reports are generated based on data contained within the Funding module. All reports can be
generated at either the Federal or State/territory level. Options include:
Funding Distribution
Grant Award
Management & Administration
Obligated & Expended
Solution Area
Solution Area Discipline
Solution Area Sub-Category

7.1.1.2 Investment
The investment reports are generated based on data contained within the Investment module. Reports can be
generated at either the Federal or State/territory level. Options include:
Federal
• Grant Program Funding
• Grant Program Funding by Submission
• Solution Area Funding
• Solution Area Funding by Submission
State/territory
• Grant Program Funding by Submission
• Investment Funding Totals
• Investment Funding Totals with Summary Description
• Solution Area Funding
• Solution Area Funding by Submission

7.1.1.3 Historical1
The historical reports are generated based on data contained within the Historical Grants Database (HGDB).
All reports can be generated at either the Federal or State/territory level. Options include:
Grant Program Funding Distribution
Solution Area Breakdown
Solution Area Funding by Grant Program
Solution Area Funding by UASI (FY 2003 only)
1

Please note, all Trend and Historical reports will be available to users in early 2007.
Reports must go through final data verification and approval before going Live. Notifications
to all users will be sent once the reports are available in the GRT.

April 2013

Solution Area Funding Chart
• UASI Breakdown (FY 2003 only)

7.1.1.4 Trend Analysis2
The trend analysis reports are generated based on reports ranging from the FY 2002 through FY 2006 fiscal
years. Reports can be generated at either the Federal or State/territory level. Options include:
Funding Distribution for a Solution Area
Funding Distribution Across all Solution Areas
Solution Area Funding Distribution
Item Level Expenditure for a Solution Area
Item Level Distribution by Solution Area
Item Level Cumulative Distribution

7.1.1.5 IJ Scoring
The IJ scoring reports are generated based on data contained within the IJ Scoring Module. Options include:

Investment Scores
Investment Notes
Investment Status
Portfolio Scores
Portfolio Notes
Portfolio Status
Synchronization Investment Scores
Synchronization Investment Notes
Synchronization Investment Status
Overall Submission Status for IJ Panels
Overall Submission Status for Multi-Applicant Panels
Facilitator Report
Reviewer Report

7.1.1.6 Administrative
The administrative reports are available to the Fed user only. The tab will not appear for other users. All reports
can be generated at either the Federal or State/territory level. Options include:
Submission Status
Grantee-level Audit

7.1.1.7 PSIC
The PSIC reports are generated based on data contained within the PSIC module. Reports can be generated at
either the Federal or State/territory level. Options include:
Federal
• BSIR Submission Status
• State-Level Federal Funding
• State-Level Non-Federal Match
State/territory
• Investment Submission Status
• Investment Federal Funding
• Investment Non-Federal Match
• Project Federal Funding
2

April 2013

•
•
•

Project Non-Federal Match
Project Metrics
Project Disciplines

7.1.1.8 Executive
The executive reports are available to the Executive user only. The tab will not appear for other users. All
reports can be generated at the Federal level. Options include:

7.1.2

IED Funding – HSGP Programs
Planning Funding – HSGP Programs
LETPP Operational Overtime Costs
Overall Solution Area Funding
Personnel Funding by Grant Program
Personnel Funding by Solution Area

Using the Reporting Module

Each tab in the Reporting module operates in the same manner. A series of dropdown menus are available
allowing users to select the desired reporting criteria. The dropdown menus include:
State/territory (available for Fed users only; select the desired jurisdiction, either National or a specific
state/territory)
Grant Award Year (options updated based on the state selected; select the desired grant award year)
Reporting Period (options updated based on grant award year selected; select the desired reporting
period)
Report Type (options updated based on the reporting period selected; select the desired report type)
Report Format (select to generate the report as either a PDF or CSV file)

Figure 105: Reports Module – Fed User

April 2013

Figure 106: Reports Module – SAA User

Figure 107: PDF Download Prompt

April 2013

Figure 108: CSV Download Prompt

Figure 109: Example PDF Report – 2005 ISIP – National

April 2013

Figure 110: Example CSV Report – 2005 ISIP – National

April 2013

CHAPTER 8

APPENDICES

Appendix
8.1
8.2
8.3
8.4
8.5
8.6
8.7
8.8
8.9
8.10
8.11

April 2013

Glossary
Frequently Used Acronyms
Grant Programs within GRT
Pre-defined Projects
Passthrough Compliance Validation
Reporting Options by Reporting Period
Urban Areas
Historical Allowable Data
FY08 PSIC Module User's Guide
FY13 IJ Submission Module User's Guide
Index

Section 8.1

Glossary

Account Type
Type
There are multiple account types that exist within GRT, as explained in the table below:
Role
Federal

Description
DHS FEMA and other Federal Government Representatives

State
(SAA/DTG)
Local

State users and Direct Tribal Grantee users
All other users including Subgrantees, Local Jurisdictions,
Other State Agencies/Non-SAAs, and Urban Areas

Account Type
Federal Admin User
Federal User
Federal Guest User
State (SAA/DTG) Admin User
State (SAA/DTG) User
Local Admin User
Local User

Adjusted Award Amount
The Adjusted Award Amount is based on the Award amount minus the amount of de-obligated funds. Through
the Close-out BSIR report, SAAs ensure that the Adjusted Award Amount (due to the de-obligation of funds)
equals the obligated and expended amounts.
Administrative Privileges
Users with administrative privileges will serve as the approving user for other users within their organization.
This privilege is granted above and beyond their user role.
Award (Award Amount)
The amount of funding provided to a grantee/subgrantee is referred to as the award (also seen as grant award
or award amount).
Biannual Strategy Implementation Report
Represents multiple reporting periods throughout the fiscal year grant reporting cycle. Through the BSIR,
SAA/DTG users will report submission of a completed BSIR, satisfying expenditure requirements of FEMA.
Budget Detail Worksheet
BDWs require budgets to be completed to the line item level. The BDW accounts for funding through line item
reporting, and goes deeper than the ISIP and BSIR solution area requirements. The BDW requires the grantee
to report on the type, name, number, and unit cost of items purchased (such as equipment).
Change Request
When reviewing a submission component (grantee/subgrantee funding or investment data), the approving
user (SAA/DTG or Fed) may determine that a change is required. If the data requires modification, a change
request is submitted by marking the submission with a change request status. The status will update to
‘Change Request’.
CloseClose-out
The Close-out reporting period is the final reporting period of the fiscal year grant reporting cycle. During the
Close-out reporting period, SAAs are responsible for the final funding allocations submitted during the BSIR
with actual obligated, expended, and adjusted data. At the completion of the Close-out reporting period, the
GRT will be used to update the grant-funding allocation through the life of the grant. Submission of the Closeout is due 120 days after the end date of the award period.
CSV
CSV refers to a comma separated values file. This file type downloads data from the GRT database and
converts it to a user-friendly format. It can contain multiple records of data which are designated by a line
break. Multiple fields can also be included, and each field is separated by the comma character. CSV files can
be easily read using MS Excel or most other spreadsheet applications.

April 2013

Data Port
The process of moving data from a previously completed reporting period (source reporting period) to a current
reporting period (destination reporting period).
Destination Reporting Period
The reporting period to which you want to upload the data from the data port.
Discipline
A general defined group or function receiving grant funding for specific work in a solution area. e.g. Fire
Service, Emergency Management, Public Works, etc.
Direct Tribal Grantee (DTG)
Direct tribal grant recipient.
DUNS
The DUNS number is the Data Universal Numbering System. It is a unique number that exists for each SAA. A
DUNS number is either 9 or 14 (for DUNS +4) characters in length.
Expended
An outlay of funds to fulfill an obligation (for example, paying salaries or vendors). Once obligated funding has
been disbursed to the vendor, the funding should be removed from the Obligated column and added to the
Expended column. At no point should the same money be accounted for in both the Obligated and Expended
columns. As such, the sum of the two aforementioned columns should at no point be greater than the
Awarded column amount. At the closeout of the grant period, the Expended amount should be equal to the
adjusted Award amount. Example 1. Funding that has been removed from state or local accounts as payment
to suppliers or vendors. Example 2. The amount of the salary paid using grant funding (mostly for M&A
Expenses).
Federal Grant
The total amount of money awarded to the state by FEMA.
Funding
The amount of money allocated to the project.
Funding Type
There are several categories (funding types) of which a grant award can be a part. The various funding types
include:
• Passthrough to Local (part of 80 percent)
• Retained at State Level - At Request of Local Jurisdiction(s)
• Retained at State Level - Part of State Share
Funding with Two Decimals
The decimal option checkbox is referred to as ‘Funding with Two Decimals’. This feature can be found in the
Organization Options tab of the Organization module. This option allows users to make a preference as to
whether or not their funding data should be captured and tracked in whole dollars or to the cents. All reports
will still display two decimal values. If the organization has not selected to report to the decimal place, the
numbers will trail with zeros (i.e., $100.00). If the subgrantee has selected to report to the decimal place, the
user entered values will display (i.e., $100.50).
Grant Award Year
A period of time for which a grant award applies. The grant award years are congruent with calendar years.
Grantee
An agency or organization that has been awarded financial assistance under one or more of the Department’s
grant programs. A grantee can have numerous subgrantees within their agency/organization.

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Grantee Type
The category to which a grantee belongs. Options include:
• Local Jurisdiction / Entity
• Other State Agency (Non-SAA)
• SAA/DTG
Guest Role
User role providing limited responsibilities and privileges within GRT.
Initial Strategy Implementation Plan
The first reporting period of the fiscal year grant reporting cycle. Through the ISIP, SAA users will report
planned expenditures of the newly awarded grants by the federally mandated due dates.
Investment Name
The name given to the particular investment. This value cannot be edited within GRT.
Investment Rank
The rank assigned to the investment by FEMA. This value cannot be edited within GRT.
Investment SelfSelf-Check
The Investment Self-Check will help determine if the investments are ready to be submitted. If the total
investment funding reported within each grant program equals the amount of funding awarded to each grant
program, the self-check is OK.
Legal Agency Name
The Official chartered name of an agency. The Legal Agency Name should match what was entered by the
jurisdiction into the Data Collection Toolkit (DCT) or submitted to FEMA along with its assessment data and
should be spelled out completely. e.g. Pennsylvania Emergency Management Agency should be not be entered
as PEMA or Los Angeles Police Department should not be entered as L.A.P.D.
Legal Grantee/Subgrantee
The Official chartered name of grantee or subgrantee. The Legal Grantee/Subgrantee name does not have to
be unique. The Legal Grantee/Subgrantee Name should match what was entered by the jurisdiction into the
Data Collection Toolkit (DCT) and should be spelled out completely. e.g. New York City should not be entered
as NYC or Prince George’s County should not be entered as P.G. County.
Legal Jurisdiction Name
The Official chartered name of a city, county, parish, etc. The Legal Jurisdiction Name should match what was
entered by the jurisdiction into the Data Collection Toolkit (DCT) and should be spelled out completely. e.g.
New York City should not be entered as NYC or Prince George’s County should not be entered as P.G. County.
Metric
A parameter against which a project can be measured. Examples include: Interoperable Communications
Plans, Recovery Plans and Risk Mitigation Plan.
Note that as of the FY 2005 Grant Award Year, Metrics are not required as part of the ISIP submission.
Obligated
A legal liability to pay, and/or contract determinable sums for services or goods incurred at the time of the ISIP
or BSIR filing. Obligated does not refer to the required passthrough of funds from the SAA/DTG to local
subgrantees. Compliance with the passthrough requirement is met with the filing of the ISIP. Obligated funding
has been legally designated to be expended for a particular purchase or purpose; however, funds have yet to
exchange hands from the purchaser (grantee or subgrantee) to the supplier or vendor. Once obligated funds
have been disbursed to the supplier or vendor, the Obligated amount should be removed from the Obligated
column and added to the column for Expended funding. At the closeout of the grant period, the Obligated
column should equal “$ 0.00”. Example 1. A check that has been drawn for the purchase of a piece of

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101

equipment, however the equipment has yet to be delivered. As such, the check has not been cashed by the
equipment supplier. Example 2. A purchase order that has been cut where funds have not been paid out and
the equipment not delivered, results in no exchange of funds. Example 3. The amount of the salary paid
through grant funding that is delegated for that particular 6 month BSIR period (mostly for M&A Expenses).
Organizational Assignment
The user’s represented state, territory or agency. The organizational assignment selected will determine the
list of available grantees/subgrantees assigned to that state, territory or agency.
PDF
Reports can be generated as portable document format (PDF) files. In order to open a PDF file, you must have
Adobe Reader software installed on your computer. If you need this tool, please navigate to
http://www.adobe.com/products/acrobat/readstep2.html and download the latest free version.
Program
A specific source of funding for projects that represent the FEMA Grant Programs. e.g. State Homeland
Security Program (SHSP), Law Enforcement Terrorism Prevention (LETPP), Citizen Corps Program (CCP), Urban
Areas Security Initiative Program (UASI), etc.
Project
An organized set of activities designed to achieve defined objectives or tasks resulting in specific identifiable
improvements within a given budget and grant period. These should all start with an action word. e.g. Stand
up an emergency operations center in the Town of Smith, Develop a public health surveillance system for the
City of Jones, Develop a state-wide sustainable training system, Create a terrorism information-sharing network
for Jane County, etc.
Project Title
The title of the project.
Project Type
The type of project. Examples include: Establish/enhance Citizen Corps Councils, Establish/enhance cyber
security program, and Establish/enhance emergency operations center.
Regional Transit Area
A geographic area within the state/territory. Not available for all states/territories.
Report Type
The title of the report. It serves as a brief description of the type of data to be included in the report. The types
of reports available are detailed below:
• Funding Reports (National or State/territory)
o Funding Distribution
o Grant Award
o Management & Administration
o Obligated & Expended
o Solution Area
o Solution Area Discipline
o Solution Area Sub-Category
• Investment Reports (National Only)
o Grant Program Funding
o Grant Program Funding by Submission
o Solution Area Funding
o Solution Area Funding by Submission
• Investment Reports (State/territory)
o Grant Program Funding by Submission
o Investment Funding Totals
o Investment Funding Totals with Summary Description

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102

•
o

o National Priorities
o Overall Effectiveness Scores
o Solution Area Funding
o Solution Area Funding by Submission
o Target Capabilities
Administrative Reports (National or State/territory)
o Submission Status
Executive
o IED Report
o Planning Report
o Overtime Report
o Overall Solution Area Report
o Planning Report (1)
o Planning Report (2)

Reporting Period
The period of time within the grant reporting timeline for which you would like to review data.
State Administrative Agencies (SAA)
Governing body for the state.
SelfSelf-Check
An automatic check established by the system to determine if an item meets all requirements. A valid item will
have a status of OK and be marked in green. An invalid item will have a status of ERROR and be marked in
red.
Shared Funding
Funding that is shared between subgrantees of the same state. This may occur when two or more subgrantees
are working n the same project.
Slick Sheet
Slick sheets are one to two page documents that provide module/task specific directions. The slick sheets
were designed to provide users with details on some of the most commonly asked questions and scenarios.
Solution Area
A means of categorizing objectives developed in the strategy process (POETE). Solution Areas are associated
with the State or Urban Areas Homeland Security Assessment and Strategy. e.g. Planning, Organization,
Equipment, Training, Exercise, Management & Administration.
Solution Area SubSub-Category
Categories of allowable expenditures within each solution area to accomplish identified projects. e.g. For
Solution Area – Equipment, associated Solution Area Sub-Categories would be: Personal Protective Equipment
and Planning Develop or Conduct Assessments.
Source Reporting Period
The reporting period from which you are copying data during a data port. The data selected from the source
reporting period will be copied to the destination reporting period.
State Submission
Investment package specific to the state.
Status
The position of an item within its workflow.
Strategic Goal

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A target that the state wants to achieve regarding an improved level of capability. For the ISIP, the target
should come directly from the State’s individual SHSS and/or Urban Area Homeland Security Strategy. e.g.
Develop a regional response capability to ensure incident response coverage in areas not currently covered,
etc.
Strategic Objective
A specific statement of desired achievement that supports the goal. For the ISIP, this statement should come
directly from the state’s individual SHSS and/or Urban Area Homeland Security Strategy and should be tied to
a goal from the same strategy. e.g. Planning: Develop a statewide terrorism incident regional response plan
by Oct. 2006. Organizing: Develop the organization structure for three regions by Oct. 2006. Equipping:
Equip three regional response teams by Dec. 2006. Training: Train three regional response teams by March
2007. Exercising: Conduct a full-scale exercise to validate the operations of one regional response team by
May 2007.
Subgrant
A portion of a grant that is awarded by a grantee to an eligible subgrantee as financial assistance.
Subgrantee
A sub-agency or organization that has been awarded financial assistance under one or more of the
Department’s grant programs; a subgrantee is part of a grantee.
Total Awarded
The actual amount of grant money allocated by FEMA to that state/territory.
Total Reported
The adjusted amount of grant money, based upon the grant award.
Total Requested
The original amount of grant money request by the state/territory.
Urban Area
A geographic area within a state. Each grantee/subgrantee receiving UASI funding must be aligned to an
urban area. This association is important because it will enable users to select the appropriate urban area
goals & objectives for their projects which are allocated UASI funding. Users needing clarification on which
urban area applies to them should contact their FEMA Program Analyst.
Urban Area Submission
Investment Package specific to an urban area. This will apply to a state/territory if an urban area exists.
User Status
User Status
Active
Pending
Denied
Inactive
Locked

Definition
Indicates that a user currently has login access to the system
Indicates that a user has recently requested access to the GRT
Indicates that an account has been requested, but denied
Indicates that a user account has not been used within 45 days
Indicates a user’s account is currently inaccessible. An account may be locked because a
user entered an incorrect password three or more times. Users with admin rights carry the
privilege to unlock these users

User Roles
User Roles
FEMA User/Admin

State/

April 2013

Direct

Tribal

User Rights
Review (in read-only mode) SAA/DTG submissions to FEMA
Approve SAA/DTG submissions to FEMA
Approve additional FEMA, SAA/DTG, and Local users
Generate Reports
Review SAA/DTG and subgrantee reports

104

User Roles
Grantee
(SAA//DTG)
Admin User

State/ Direct Tribal
Grantee (SAA/DTG) User
Local Admin User

Local User

User Rights
Approve SAA/DTG and subgrantee reports and submit to FEMA for approval
Create and manage other SAA/DTG users
Create and manage subgrantees
Create and manage Local users
Input Grant Funding data
Enter subgrantee award(s)
Input Grant Funding data
Review (in read-only mode) subgrantee submissions to SAA/DTG
Enter subgrantee award(s)
Input Project Funding data
Review subgrantee report
Submit subgrantee report to SAA/DTG for review and approval
Create and manage Local users
Input Project Funding data

Workflow Step
The specific point within the process where the project resides. Options include:
• Project Submitted
• Submitted to State
• Approved by State
• Submitted to FEMA
• Approved by FEMA

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Section 8.2

Frequently Used Acronyms

AAR – After Action Reports
ACH – Automated Clearing House
AEL – Authorized Equipment List
AFG – Assistance to Firefighters Grants
AHRQ – Agency for Healthcare Research and Quality
ANSI – American National Standards Institute
ASAP – Automated Standard Application for Payments
BDW – Budget Data Worksheet
BSIR – Biannual Strategy Implementation Report
BZPP – Buffer Zone Protection Program
CAPR – Categorical Assistance Program Reports
CBP – Customs and Border Protection
CBRNE – Chemical, Biological, Radiological, Nuclear, and Explosive
CCP – Citizen Corps Program
CCR – Central Contractor Registry
CCTV – Closed-Circuit Television
CDC – Centers for Disease Control and Prevention
CERT – Community Emergency Response Teams
CFA – Capability Focus Area
CFDA – Catalog of Federal Domestic Assistance
CFR – Code of Federal Regulations
CI/KR – Critical Infrastructure/Key Resources
CIP – Critical Infrastructure Protection
CMIA – Cash Management Improvement Act
COOP/COG – Continuity of Operations/Continuity of Government
COCO-OP – Cooperative Training Outreach Program
CRI – Cities Readiness Initiative

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CSID – Centralized Scheduling and Information Desk
D&B – Dun and Bradstreet
DHS – Department of Homeland Security
DLA – Defense Logistics Agency
DNDO – Domestic Nuclear Detection Office
DOJ – Department of Justice
DOT – Department of Transportation
DTG – Direct Tribal Grantee
DUNS – Data Universal Numbering System
EDAP – Excess Delivery Acquisition Program
EEG – Exercise Evaluation Guide
ELO – Enabling Learning Objectives
EMAC – Emergency Management Assistance Compact
EMI – Emergency Management Institute
EMPG – Emergency Management Performance Grant
EMS – Emergency Medical Services
EOC – Emergency Operations Center
EOP – Emergency Operations Plan
EPAP – Equipment Purchase Assistance Program
ESF – Emergency Support Function
FAR – Federal Acquisition Regulations
FBI – Federal Bureau of Investigation
FEMA – Federal Emergency Management Agency
FOIA – Freedom of Information Act
FSR – Financial Status Report
FTE – Full-Time Equivalent
GAN – Grant Adjustment Notices
GAO – Government Accountability Office

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GMS – Grants Management System
GPRA – Government Performance and Results Act
GRT – Grants Reporting Tool
FEMA – Federal Emergency Management Agency
HAZMAT – Hazardous Materials
HDER – Homeland Defense Equipment Reuse
HHS – Health and Human Services
HRSA – Health Resources and Services Administration
HSA – Homeland Security Advisor
HSC – Homeland Security Council
HSEEP – Homeland Security Exercise and Evaluation Program
HSGP – Homeland Security Grant Program
HSIN – Homeland Security Information Network
HSPD – Homeland Security Presidential Directive
HSPTAP – Homeland Security Preparedness Technical Assistance Program
IAFIS
IAFIS – Integrated Automated Fingerprint Identification System
IALEIA – International Association of Law Enforcement Intelligence Analysts
IBSGP – Intercity Bus Security Grant Program
ICS – Incident Command System
ICTAP – Interoperable Communications Technical Assistance Program
IP – Improvement Plan
IPP – Infrastructure Protection Program
IPRSGP – Inter-City Passenger Rail Security Grant Program
ISIP – Initial Strategy Implementation Plan
IV&V – Independent Verification & Validation
JTTF – Joint Terrorism Task Force
LAP – Lesson Administration Page
LEP – Limited English Proficient
LETPP – Law Enforcement Terrorism Prevention Program

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108

LLEA – Lead Law Enforcement Agency
LLIS – Lessons Learned Information Sharing
LOCES – Letter of Credit Electronic Certification System
M&A – Management & Administration
MEEMCN – Minimum Essential Emergency Medical Communications Network
MIPT – National Memorial Institute for the Prevention of Terrorism
MMRS – Metropolitan Medical Response System
MOA – Memorandum of Agreement
MOU – Memorandum of Understanding
MRC – Medical Reserve Corps
MS&G – Models, Simulations, and Games
NBHPP – National Bioterrorism Hospital Preparedness Program
NCIC – National Crime Information Center
NCR – National Capital Region
NDPC – National Domestic Preparedness Consortium
NEPA – National Environmental Policy Act
NFA – National Fire Academy
NGO – Non-Governmental Organization
NIC – NIMS Integration Center
NIEM – National Information Exchange Model
NIMS – National Incident Management System
NIPP – National Infrastructure Protection Plan
NRP – National Response Plan
NSGIC – National States’ Geographic Information Council
NSSE – National Special Security Event
OC – Office of the Comptroller
ODP – Office for Domestic Preparedness
OIC – Office for Interoperability and Compatibility

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109

OGO – Office of Grant Operations
OJP – Office of Justice Programs
OMB – Office of Management and Budget
OSHA – Occupational Safety and Health Administration
PAPRS – Phone Activated Paperless Request System
PHEP – Public Health Emergency Preparedness
POC – Point of Contact
POETE – Planning, Organization, Equipment, Training, and Exercises
POI – Point of Instruction
PPE – Personal Protective Equipment
PSGP – Port Security Grant Program
RDT&E – Research, Development, Testing, and Evaluation
RKB – Responder Knowledge Base
RTSS – Regional Transit Security Strategies
RTSWG – Regional Transit Security Working Group
SAA – State Administrative Agency
SEL – Standardized Equipment List
SHSEEP – State Homeland Security Exercise and Evaluation Program
SHSP – State Homeland Security Program
SHSS – State Homeland Security Strategy
SNS – Strategic National Stockpile
SOP - Standard Operating Procedure
SPOC – Single Point of Contact
SRM – Service Reference Model
STE – Secure Terminal Equipment
T&EPW – Training and Exercise Planning Workshop
TA – Technical Assistance
TCL – Target Capabilities List
TLO – Terminal Learning Objectives

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TOPOFF – Top Officials Exercise
TPOC – Training Point of Contact
TSGP – Transit Security Grant Program
TSP – Transit Security Program
UASI – Urban Areas Security Initiative
UASS – Urban Area Security Strategies
UAWG – Urban Area Working Group
UHF – Ultra High Frequency
USDA – U.S. Department of Agriculture
VIPS – Volunteers in Police Service
VTEP – Voluntary Training Enhancement Program
WMD – Weapons of Mass Destruction
XML – Extensible Markup Language

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Section 8.3

Grant Programs
Programs

The following grant programs are found within the GRT. Please note that FY02 & FY03 is historical data and
can be found in the Reporting module.
FY2002

FY2003

FY2004

FY2005

FY2006

FY2007

FY2008

FY 2009

FY2010

FY2011

State
Homelan
d Security
Program
(SHSP)
Law
Enforcem
ent
Enhance
ment
Program
(LEEP)
New York
Equipmen
t
Replacem
ent
Program
(NYERP)1

State
Homeland
Security
Program
(SHSP)
State
Homeland
Security
Grant
Program
(SHSGP II)

State
Homeland
Security
Program
(SHSP)
Law
Enforcemen
t Terrorism
Prevention
Program
(LETPP)

State
Homeland
Security
Program
(SHSP)
Law
Enforcement
Terrorism
Prevention
Program
(LETPP)

State
Homeland
Security
Program
(SHSP)

Citizen
Corps
Program
(CCP)

Citizen Corps
Program
(CCP)

State
Homeland
Security
Program
(SHSP)
Law
Enforceme
nt
Terrorism
Prevention
Program
(LETPP)
Citizen
Corps
Program
(CCP)

State
Homelan
d Security
Program
(SHSP)

Urban Area
Security
Initiative
(UASI I)

State
Homeland
Security
Program
(SHSP)
Law
Enforceme
nt
Terrorism
Prevention
Program
(LETPP)
Citizen
Corps
Program
(CCP)

Citizen
Corps
Program
(CCP)

Urban Area
Security
Initiative II
(UASI II)

Urban Area
Security
Initiative
(UASI)

Metropolitan
Medical
Response
System
(MMRS)

Metropolita
n Medical
Response
System
(MMRS)

Urban
Area
Security
Initiative
(UASI)
Metropoli
tan
Medical
Response
System
(MMRS)

Metropolitan
Medical
Response
System
(MMRS)

Metropolita
n Medical
Response
System
(MMRS)

Emergency
Management
Performance
Grant (EMPG)

Emergency
Manageme
nt
Performan
ce Grant
(EMPG)

Emergenc
y
Managem
ent
Performa
nce Grant
(EMPG)

Emergency
Managemen
t
Performanc
e Grant
(EMPG)

Emergency
Manageme
nt
Performan
ce Grant
(EMPG)

Buffer
Zone
Protection
Plan
(BZPP)
Transporta
tion
Security
Grant
Program
(TSGP)

Emergency
Manageme
nt
Performan
ce Grant –
Supplemen
tal
(EMPGSUP
)
Buffer
Zone
Protection
Plan
(BZPP)
Transporta
tion
Security
Grant
Program
(TSGP)

Buffer
Zone
Protectio
n Plan
(BZPP)
Transport
ation
Security
Grant
Program
(TSGP)

Buffer Zone
Protection
Plan (BZPP)

Buffer
Zone
Protection
Plan
(BZPP)

Urban Area
Security
Initiative –
Discretionary
Grants
Program
(UASI – DGP)
UASI –
RDDPMP

Buffer Zone
Protection
Plan (BZPP)

Urban Area
Security
Initiative –
Transit
System
Security
Grant

April 2013

Transportati
on Security
Program
(TSP)

Transportatio
n Security
Grant
Program
(TSGP)

112

FY2002

FY2003

FY2004

FY2005

FY2006

FY2007

FY2008

FY 2009

FY2010

FY2011

Intercity
Passenge
r Rail
Program
(IPR)

Intercity
Passenger
Rail
Program
(IPR)

Operation
Stonegar
den
(OPSG)
Regional
Catastrop
hic
Prepared
ness
Grant
Program
(RCPGP)

Operation
Stonegarde
n (OPSG)

Operation
Stonegard
en (OPSG)

Regional
Catastrophic
Preparednes
s Grant
Program
(RCPGP)

Regional
Catastroph
ic
Preparedn
ess Grant
Program
(RCPGP)

UASI
Nonprofit
Security
Grant
Program
(NSGP)
Interoper
able
Emergenc
y
Communi
cations
Grant
Program
(IECGP)
MS
Interoper
able
Communi
cations
Grant
(MSICG)
Emergenc
y
Operation
s Center
(EOC)

UASI
Nonprofit
Security
Grant
Program
(NSGP)
Interoperabl
e
Emergency
Communicat
ions Grant
Program
(IECGP)

UASI
Nonprofit
Security
Grant
Program
(NSGP)
Interopera
ble
Emergency
Communic
ations
Grant
Program
(IECGP)

UASI
Nonprofit
Security
Grant
Program
(NSGP)

Emergency
Operations
Center (EOC)

Emergency
Operations
Center
(EOC)

Transit
Security
Grant
Program –
Supplemen
tal
(TSGPSUP)
Transit
Security
Grant
Program –
Ferry
(TSGPF)
Inter-City Rail
Passenger
Security
Grant
Program
(IPRSGP)

Inter-City
Rail
Passenger
Security
Grant
Program
(IPRSGP)
Operation
Stonegard
en (OPSG)

Public
Safety
Interopera
ble
Communic
ations
Grant
Program
(PSIC)
UASI
Nonprofit
Security
Grant
Program
(NSGP)

- only for New York

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113

Section 8.4

PrePre-defined Projects

PROJECT

FY04

FY05

FY06

FY07

FY08

FY09

FY10

FY11

Assess vulnerability of and/or harden/protect critical
infrastructure and key assets
Adopt and implement NIMS to include integration of core
concepts into plans and procedures
Administer and manage the Homeland Security Grant Program
Build/enhance a pharmaceutical stockpile and/or distribution
network
Develop/enhance interoperable communications systems
Develop/enhance plans, procedures, and protocols
Develop/enhance homeland security/emergency management
organization and structure
Develop/enhance state and local geospatial data
system/Geographic Information System (GIS)
Enhance capability to support international border and
waterway security
Establish/enhance a public health surveillance system
Establish/enhance a terrorism intelligence/early warning
system, center, or task force
Establish/enhance agro-terrorism preparedness capabilities
Establish/enhance Citizen Corps Councils
Establish/enhance cyber security program
Establish/enhance emergency operations center
Establish/enhance explosive ordnance disposal units/bomb
squads
Establish/enhance public-private emergency preparedness
program
Establish/enhance regional response teams
Establish/enhance sustainable homeland security exercise
program
Establish/enhance sustainable homeland security training
program
Establish/enhance sustainable Homeland Security Planning
Program
Establish/enhance
citizen
awareness
of
emergency
preparedness, prevention, and response measures
Establish/enhance citizen/volunteer initiatives
Enhance
integration
of
metropolitan
area
public
health/medical and emergency management capabilities
Establish / enhance mass care shelter and alternative medical
facilities operations
Establish/Enhance emergency plans and procedures to reflect
the National Response Plan
Enhance capabilities to respond to all-hazards events
Establish/enhance fusion center
Enhance capabilities to recover from all-hazards events
Enhance capability to perform post-incident structural damage
and mitigation assessment
Enhance capability to restore lifelines post-incident
Enhance capability to support economic and community
recovery
Manage, update and/or implement the State Homeland

X
X

X
X
X

X
X

X
X
X
X
X

X
X

X
X
X
X

X
X

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114

PROJECT

Security Strategy
Manage, update and/or implement the Urban Area Homeland
Security Strategy
Manage, update and/or implement the Regional Transit
Security Strategy
Transit Security Grant Program - RAIL
Transit Security Grant Program – FERRY
Transit Security Grant Program - BUS

April 2013

FY04

FY05

FY06

FY07

FY08

FY09

FY10

FY11

X
X
X

115

Section 8.5

FY 11 Percentage Requirements Validation

The SAA has a responsibility to obligate a minimum percentage of the Federal Award to the local
jurisdictions/subgrantees. The requirements vary by grant program and by fiscal year. The table below
illustrates the required percentage distribution of grant funding between state and local jurisdictions.

Min. Pass-through Percent
Max. M&A Percent - Overall
Max. M&A Percent - State Share
Max. M&A Percent - Local Share
Max Organization % for states with UASIs
Max Organization % for states without UASIs
Max. Personnel Percent
Max. Planning Percent
Max. Statewide Planning Percent

April 2013

SHSP

CCP

UASI

MMRS

OPSG

EOC

NSGP

EMPG

RCPGP

IPR

80%
N/A
5%
5%
50%
50%
50%
N/A
N/A

N/A
N/A
5%
5%
N/A
N/A
N/A
N/A
N/A

80%
N/A
5%
5%
50%
50%
50%
N/A
N/A

95%
N/A
5%
5%
N/A
N/A
N/A
N/A
N/A

100%
N/A
0%
5%
N/A
N/A
N/A
N/A
N/A

95%
N/A
5%
5%
N/A
N/A
N/A
N/A
N/A

95%
5%
N/A
N/A
N/A
N/A
N/A
N/A
N/A

N/A
N/A
5%
5%
N/A
N/A
N/A
N/A
N/A

95%
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A

N/A
5%
N/A
N/A
N/A
N/A
N/A
N/A
N/A

116

Section 8.6

Reporting Options by Reporting Periods

The following table contains all reports and their applicable reporting periods found within the
Reporting module of the application.
Available Reports per Reporting Period 3

Please note, all Historical and Trend Analysis reports will be available to users in
2007. Reports must go through final data verification and approval before going
Live. Notifications to all users will be sent once the reports are available in the GRT.

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Urban Areas

Section 8.7

The following table contains all states and their applicable urban areas from FY04 to FY12.

State

Urban Area

FY04
FY04

FY05

FY06

FY07

FY08

FY09

FY10

FY11

FY12

FY13

Phoenix Area

Tucson Area

Anaheim/Santa Ana Area

Bakersfield

Bay Urban Area

Fresno Area

Long Beach Area

Los Angeles Area

Los Angeles/Long Beach
Urban Area

Oakland Area

Riverside Urban Area

Sacramento Area

San Diego Urban Area

San Jose Area

San Francisco Area

Santa-Ana/Anaheim Area

Colorado

Denver Urban Area

Connecticut

Bridgeport Area

Hartford Area

New Haven Area

New York Area

Philadelphia Area

Alabama
Alaska
American Samoa
Arizona

Arkansas
California

Delaware
District

National

April 2013

Capital

Region

119

State

Urban Area

FY04
FY04

FY05

FY06

FY07

FY08

FY09

FY10

FY11

FY12

FY13

Columbia

Urban Area

Florida

Ft. Lauderdale Area

Jacksonville Area

Miami Urban Area

Orlando Urban Area

Tampa Urban Area

Atlanta Urban Area

Honolulu Area

Chicago Urban Area

St. Louis Area

Chicago Area

Indianapolis Urban Area

Kansas

Kansas City Area

Kentucky

Cincinnati Area

Louisville Area

Baton Rouge Area

New Orleans Urban Area

Baltimore Urban Area

National Capital Regional
Area

Massachusetts

Boston Urban Area

Michigan

Detroit Urban Area

Minnesota

St. Paul/Minneapolis Area

Twin Cities Urban Area

Kansas City Urban Area

St. Louis Urban Area

Georgia
Guam
Hawaii
Idaho
Illinois

Indiana

Iowa

Louisiana

Maine
Maryland

Mississippi
Missouri

Montana

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State

Urban Area

FY04
FY04

FY05

FY06

FY07

FY08

FY09

FY10

FY11

FY12

FY13

Nebraska

Omaha

Nevada

Las Vegas Urban Area

Jersey City

Jersey City/Newark Urban
Area

New York Area

Newark Area

Philadelphia Area

Albany Area

Buffalo Area

New York Area

New York City Urban Area

Charlotte Urban Area

Cincinnati Area

Cleveland Area

Columbus Area

Toledo Area

Oklahoma

Oklahoma City Area

Oregon

Portland Urban Area

Pennsylvania

Philadelphia Urban Area

Pittsburgh Area

Providence Area

Memphis Area

Nashville Area

New Hampshire
New Jersey

New Mexico
New York

North Carolina
North Dakota
Northern
Mariana Islands
Ohio

Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee

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State

Urban Area

FY04
FY04

FY05

FY06

FY07

FY08

FY09

FY10

FY11

FY12

FY13

Texas

Austin Area

Dallas Area

Dallas/Forth
Worth
/Arlington Urban Area

El Paso Area

Houston Urban Area

San Antonio Urban Area

National
Area

Norfolk Area

Richmond Area

Portland Area

Seattle Urban Area

Milwaukee Area

U.S.
Islands

Virgin

Utah
Vermont
Virginia

Washington

Capital

Region

West Virginia
Wisconsin
Wyoming

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Section 8.8

Historical Allowable Data

Historical Planning Categories
FY 2003
2003

FY 2004
2004

FY 2005
2005

FY 2006
2006

SHSGP

SHSGP II

UASI

UASI II

SHSP

LETPP

CCP

UASI

SHSP

UASI

LETPP

CCP

EMPG

MMRS

SHSP

UASI

LETPP

CCP

MMRS

Implementing and managing
programs for equipment
acquisition, training, and
exercises

Develop and enhance plans
and protocols

Develop
or
assessments

Establish and/or enhance
Citizen Corps Councils to
include
planning
and
evaluation

Develop
and
implement
homeland security support
programs and adopt ongoing
DHS national initiatives

Materials
and
Related Expenses

Planning Costs

conduct

Meeting

Hiring of full or part-time staff
or contractors/consultants to
assist with any related
planning activities (not for the
purpose of hiring public
safety personnel)

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Historical Equipment Costs
FY 2003
2003

Information Technology
Cyber Security Enhancement
Equipment

MMRS

CCP

LETPP

UASI

SHSP

MMRS

EMPG

FY 2006
2006
CCP

LETPP

UASI

SHSP

UASI

FY 2005
2005

CCP

LETPP

CBRNE
Operational
and
Search & Rescue Equipment

SHSP

Explosive Device Mitigation
and Remediation Equipment

UASI II

Protective

UASI

Personal
Equipment

List

SHSGP II

Equipment

SHSGP

Authorized
Categories

FY 2004
2004

Interoperable
Communications Equipment

Detection Equipment

Decontamination Equipment

Medical Supplies and Limited
Types of Pharmaceuticals

Power Equipment

CBRNE Incident
Vehicles

Terrorism Incident Prevention
Equipment

Physical
Security
Enhancement Equipment

Inspection
Systems

and

Screening

Agricultural
Terrorism
Prevention, Response and
Mitigation Equipment

CBRNE
Prevention
Response Watercraft

and

CBRNE Aviation Equipment
CBRNE Logistical
Equipment

Support

Intervention Equipment

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X
X

CBRNE Reference Materials
Response

124

FY 2003
2003

SHSP

UASI

LETPP

CCP

EMPG

MMRS

SHSP

UASI

LETPP

CCP

MMRS

FY 2006
2006

UASI

LETPP

Other Authorized Equipment

FY 2005
2005

CCP

SHSP

UASI II

UASI

List

SHSGP II

Equipment

SHSGP

Authorized
Categories

FY 2004
2004

Historical Training Costs
FY 2003
2003

MMRS

Supplies

CCP

Travel

LETPP

Creation and maintenance of
student databases

UASI

Full of part-time staff or
contractors/consultants

SHSP

MMRS

EMPG

FY 2006
2006
CCP

LETPP

Overtime and backfill funding
for emergency preparedness
and response personnel
attending
FEMA-sponsored
and approved training classes

UASI

and

SHSP

FY 2005
2005
UASI

CCP

LETPP

SHSP

UASI II

Training
workshops
conferences

CBRNE

UASI

Establishment of
training capacities

SHSGP II

SHSGP

Training Costs

FY 2004
2004

X
X

* - O/T only

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125

Historical Management & Administrative Costs
FY 2003
2003

MMRS

CCP

LETPP

Meeting-related expenses

UASI

SHSP

MMRS

EMPG

CCP

Conducting local or regional
strategy
implementation
meetings

LETPP

UASI

SHSP

Updating
and
refining
Statewide Homeland Security
Strategic plans

UASI

CCP

UASI II

Development of operating
plans
for
information
collection and processing
necessary to respond to
FEMA data calls
Implementing and managing
programs for equipment
acquisition,
training
and
exercise

Hiring part-time staff or
contractors/consultants
to
assist with management,
implementation
and
administration

Overtime and backfill
Travel

Leasing and/or renting of
office space for newly hired
personnel

Recurring
fees/charges
associated
with
certain
equipment, such as cell
phones, faxes, etc. (allowable
only within the period of
performance of the grant
program)

April 2013

Acquisition of authorized
office equipment (includes
personal computers, laptops,
printers, LCD projectors and

FY 2006
2006

LETPP

UASI

Conduct training sessions
ensure accurate completion
of the needs assessment

FY 2005
2005

SHSP
SHSP

SHSGP II

SHSGP

Management
Administrative Costs

FY 2004
2004

126

FY 2003
2003

FY 2006
2006

SHSGP II

UASI

UASI II

SHSP
SHSP

LETPP

CCP

UASI

SHSP

UASI

LETPP

CCP

EMPG

MMRS

SHSP

UASI

LETPP

CCP

MMRS

FY 2005
2005

SHSGP

Management
Administrative Costs

FY 2004
2004

3
%

5
%

other equipment or software
which may be required to
support implementation of
the State strategy)
The percentage of the
program that may be used for
M&A
Percentage of grant program
that may be sub-awarded
from the State for local M&A
purposes
Passthrough Requirements

>=
80
%

3
%

>=
80
%

No
mi
n

10
0
%

>=
80
%

No
mi
n

>
=
8
0
%

Historical Exercise Costs
FY 2003
2003

FY 2004
2004

Costs Related to
the
Implementation
of the HSEEP

Hiring of full or
part-time staff or
contractors
/
consultants

Overtime

MMRS

CCP

LETPP

UASI

SHSP

MMRS

Expenses related
to
Exercise
Planning
Workshops

EMPG

CCP

LETPP

FY 2006
2006

UASI

SHSP

UASI II

UASI

CCP

SHSGP II

LETPP

SHSGP

Design,
development,
conduct
and
evaluation
of
exercises

April 2013

SHSP

Exercise Costs

FY 2005
2005

127

FY 2003
2003

FY 2004
2004

- denotes that “backfill” is also allowed

April 2013

MMRS

CCP

LETPP

UASI

SHSP

MMRS

EMPG

Supplies

CCP

LETPP

FY 2006
2006

UASI

SHSP

UASI II

UASI

CCP

SHSGP II

- for citizens

LETPP

SHSGP

Travel

SHSP

Exercise Costs

FY 2005
2005

128

Section 8.9 GRT FY12
FY12 PSIC Module User's Guide
PSIC Module Overview
The Public Safety Interoperable Communications (PSIC) Grant Program is designed to assist public
safety agencies in the acquisition of, deployment of, or training for the use of interoperable
communications systems that utilize - or enable interoperability with communications systems that can
utilize - reallocated 700 MHz spectrum for radio communications. Each public safety agency receiving
PSIC funds is required to meet and document a 20 percent statutory match requirement for each project
during the period of performance of the grant.
In order to have state and local users accessing the PSIC module, SAA Admins will be
responsible for assigning their users PSIC module privileges. State and local users must
either create a GRT user account or use their existing active GRT account. Admin users
are asked to grant permissions to all applicable state and local users that need access
to the PSIC module.
Below is the workflow process for all applicable users to follow when completing the PSIC BSIR.
Throughout the module, red help carat will be noted on specific question to provide additional
guidance to users. Move your mouse over the red triangle in order to activate the help carat text; the
text will remain onscreen until the mouse is moved away from the icon.

Figure 1: PSIC Module Workflow
Upon entering the PSIC module, an SAA and Local user will be directed to the State Overview tab. For
Federal Users, the first page of the module is the Federal Overview tab, Federal Users can approve the
PSIC BSIR from this tab. The PSIC module is comprised of seven individual pages. These pages
include Federal Overview, State Overview, Investment Summary, Projects, Federal Funding, NonFederal Match, and Metrics.

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Below is an illustration of the PSIC module tabs:

Figure 2: PSIC Module Tab View
Listed below are brief descriptions of the various pages found in the PSIC module. They include the
following:
•

Federal Overview –The Federal Overview Tab is the first page within the PSIC module. This
page is available to Fed users only and allows Fed users to see a list of available
States/territories and either Approve or Change the Status of the States/territories.

•

State Overview – The State Overview tab is the second page within the PSIC module and is
available to Fed, SAA and Local users. Users will be able to select the Investment List view to
review the list of Investments imported from the PSIC IJs, along with the approved budget,
current budget, acquisition/deployment funds and non-federal match for each Investment.
By selecting the State-Level Funding view, users will view the total PSIC award and total
minimum match required. and enter the State-Level Federal Funding and State-Level NonFederal Match Funding amounts.

•

Investment Summary – The Investment Summary tab is the third page within the PSIC
module. By selecting an Investment, the user will proceed to the investment summary for that
Investment. The user will select whether or not the Investment is an STR-Related Investment
and review the Investment funding data. The user may then select ‘Save and Continue’ or
click on the Projects Tab to proceed.

•

Projects – The Projects tab is the fourth page within the PSIC module. For each Investment,
the user will view the projects aligned to the Investment and can either create, delete, mark
complete or change the status of a project(s). It is important to note that there is no limit to
the number of projects that can be created.

•

Federal Funding – The Federal Funding tab is the fifth page within the PSIC module. By
selecting a project from the Project tab, the user will enter, review and edit the details of the
project funding for acquisition, deployment, planning/coordination and training.

•

NonNon-Federal Match – The Non-Federal Match tab is the sixth page within the PSIC module. In
this page, the user will be able to enter, review and edit the match amount per the match
fund source for the selected project.

•

Metrics – The Metrics tab is the seventh page within the PSIC module. In this page, the user
will select answers to questions regarding Project Metrics and Outcome Metrics. Once
complete, the user will return to the Projects tab and repeat the Federal Funding, Non-Federal
Match, and Metrics tab for each project.

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Completing the PSIC BSIR
8.9.1.1 Federal Overview
Upon entering the PSIC module, Fed users will have access to a list of all State and territory
submissions.
Step 1 – User enters the Federal Overview page
Step 2 – User selects one or more States and/or territories
Step 3 – User can view, approve, or change request a State or territory

Figure 3: Federal Overview Tab

8.9.1.2 State Overview – StateState-Level Funding View
The State Overview tab is the second page within the PSIC module. This view allows SAA Admin users
and all SAA and Local users who have PSIC module privileges assigned to them (in the user’s module)
to view the total PSIC award and total minimum match required, and the State-Level Federal Funding
and State-Level Non-Federal Match Funding amounts. This view is only editable to SAA users.
Step 1 – User enters the State Overview page
Step 2 – User selects State-Level Funding view
Step 3 – User enters Budget, Obligated, and Expended funding amounts for State-Level
Federal Funding, and Budget and Expended funding amounts for State-Level Non-Federal
Match Funding
Step 4 – User saves and views Investments List

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Figure 4: State Overview Tab – State-Level Funding

8.9.1.3 State Overview – Investments
Investments List View
By selecting ‘Investments List’ from the View menu, users see a list of Investments and their related
status. On this page, users have the ability to select an Investment, and view the status, Approved
and Current Budgets, Acquisition and Deployment, and Non-Federal Match. Users will later return to
this page to certify and submit the PSIC BSIR to FEMA.
Step 1 – User enters the State Overview page
Step 2 – User selects Investments List view
Step 3 – User selects an Investment from Investment list
Step 4 – User proceeds to Investment Summary

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Figure 5: State Overview Tab – Investments List

8.9.1.4 Investment Summary
The Investment Summary tab displays the 2007 Approved funding and 2007 BSIR (December 08)
funding by solution area for the selected Investment. The user also indicates whether or not the
Investment is STR related.
Step 1 – User enters Investment Summary page
Step 2 – User selects Yes/No to indicate if Investment is STR related
Step 3 – User saves and continues to Projects tab

Figure 6: Investment Summary Tab

8.9.1.5 Projects – Create Projects
The Projects tab is the third page within the PSIC module. On this page, users have the ability to select
from a drop-down the following choices: Create Project or Projects List. The default selection is
‘Projects List’. By selecting the ‘Create Project’ view, users can create projects for each Investment.
Once a project has been created, the project will appear in the Projects list.
Step 1 – User enters the Projects page
Step 2 – User selects ‘Create Project’ from the drop-down menu

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133

Step 3 – User enters the project name
Step 4 – User enters project description
Step 5 – User clicks ‘Create Project’ and returns to the Projects List

Figure 7: Projects Tab – Create Project

8.9.1.6 Projects – Projects List
By creating a project, or selecting ‘Projects List’ from the drop-down menu, users see a list of
Investments and their related status. Users can select a project by clicking on the project name in
order to advance to the next tab.
Step 1 – User enters the Projects page
Step 2 – User selects a project from the list of projects
Step 3 – User is directed to the Federal Funding page

Figure 8: Projects Tab – Project List

8.9.1.7 Federal Funding
The Federal Funding tab is the only page in which users can modify the project name or description.
Once the user saves this page, the project name and description will be read-only. Users can return to
the Federal Funding tab to edit information at any time while the project is in ‘Data Entry in Progress’
status.
Step 1 – User enters Federal Funding page from Projects tab
Step 2 – User edits project name and description
Step 3 – User enters Budget, Obligated, and Expended funding amounts for each solution
area for the project
Step 4 – User saves and continues to Non-Federal Match tab

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Figure 9: Federal Funding Tab
Users are advised to save as they proceed through the module; striking the ‘enter’ key
will not save all information. User must click ‘Save’ or ‘Save and Continue’ before
proceeding off the page.

8.9.1.8 NonNon-Federal Match
The Non-Federal Match page allows the user to enter the match amount per the match fund source for
the selected project.
Step 1 – User enters Non-Federal Match page from the Federal Funding page
Step 2 – User enters match amount per the match fund source for Acquisition and
Deployment solution areas
Step 3 – User enters match fund source and amount in other category, as needed
Step 4 – User saves and continues to Metrics page

Figure 10: Non-Federal Match Tab

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8.9.1.9 Metrics
The Metrics tab is the seventh and final page within the PSIC module. In this page, the user will select
answers to questions regarding the selected project.
Step 1 – User selects from a drop-down the number of jurisdictions impacted
Step 2 – User selects Yes/No to indicate if State Public Safety Agencies are impacted
Step 3 – User selects Yes/No to indicate if Local Public Safety Agencies are impacted
Step 4 – User selects Yes/No to indicate if UASI(s) are impacted
Step 5 – User selects Yes/No to indicate if Tier I UASI(s) are impacted
Step 6 – User selects Yes/No to indicate if NGOs are impacted
Step 7 – User selects Yes/No to indicate if Tribal Organizations are impacted
Step 8 – User selects disciplines impacted by moving selections from the left box to the right
Step 9 – User selects Yes/No to indicate answers to eight Outcome Metrics questions
Step 10 – User selects the primary focus outcome.
Step 11
11 – User saves and returns to Projects tab

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136

Figure 11: Metrics Tab

8.9.1.10

Projects

Once a user completes both Federal Funding and Non-Federal Match Funding tabs for a project, the
user will return to the Projects tab. From this page, users may mark a project complete, change status
of a project, or proceed to Federal Funding page. Once all projects within an Investment are marked
complete, that Investment’s status will change to ‘Complete’ on the State Overview page.
Step 1 – User selects the check box next to a finished project
Step 2 – User selects ‘Mark Complete’ to change project status from ‘Data Entry in Progress’
to ‘Complete’

Figure 12: Projects Tab – Marking a Project Complete

8.9.1.11

State Overview Tab – Submitting to FEMA

Once all projects within an Investment are marked complete, that Investment’s status will read
‘Complete’ in the Investments List. Once all Investments are complete, the SAA may certify and
submit the PSIC BSIR to FEMA.
Step 1 – User will select the check box to certify that all PSIC-funded equipment was
purchased in accordance with the award terms and conditions.
Step 2 – User will select the check box to certify that the data within the submission is
complete, accurate, and adheres to all Fiscal Year 2007 Grant Guidance issues overseen
by the DHS FEMA and the Department of Commerce National Telecommunications and
Information Administration.
Step 3 – User will submit PSIC BSIR to FEMA

Figure 13: State Overview Tab – Submitting to FEMA

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137

Section 8.10 GRT FY 2013
2013 IJ Submission Module
Module User's
Guide
8.10.1.1

IJ Submission Module Overview

The FY 2013 Investment Justification (IJ) for the Homeland Security Grant Program (HSGP) will be
compiled online by State, territory and Urban Area users through the IJ Submission module in the GRT
(similarly to the FY 2012 HSGP IJ).
The purpose of this module is to provide users the ability to compile their FY 2013 Investment
Justification online and without the use of an excel template. Users may create up to 10 Investments
per Urban Area IJ submission. For state/territory IJ Submissions, users may create up to 10
Investments.
Upon completion of all Investments, SAA Admin users will mark each final Investment Justification
submission as complete. To complete the Investment Justification submission process, an official
copy of the final Investment Justification must be submitted as described in the grant guidance. The
official copy of the Investment Justification that must accompany the complete HSGP application
package will be available in the GRT.
Throughout the module, some questions will be marked with a red help carat to provide additional
guidance to users. The IJ Submission Module process is detailed in the flow chart below:

IJ Submission Module Process
Upon entering the IJ Submission module, the user will be directed to the first tab of the module, the
Submissions tab. The IJ Submission module is comprised of eight individual tabs. These tabs include

Submissions, Investments, Portfolio, Overview, Baseline, Core Capabilities, Project Management and
Milestones, and Accomplishments and Impacts.

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Below is an illustration of the IJ Submission module tabs:

IJ Submission Module Tabs
Listed below are brief descriptions of the various tabs found in the IJ Submission module. They include
the following:
•

Submissions – The Submissions tab is the first tab within the IJ Submission module. This tab
is available to Fed, State and Local users and it allows users to see a list of available
States/territories and urban areas. Depending on the user, certain features of this tab will be
read-only. The SAA marks the final IJ submission complete on this tab.

•

Investments – The Investments tab is the second tab within the IJ Submission module. By
selecting ‘Investment List’, users see a list of Investments and status. Users have the ability
to create Investments via the Create Investments View, view Investments on the View
Investments View and view a validation of Investments on the Validation View page. Users
will mark their Investments complete on the Investments tab.

•

Portfolio:
Portfolio: The Portfolio tab is the third tab within the IJ Submission module. In this tab user
can provide the overall Investment Justification and provide the M&A Amount for SHSP or
UASI depending on the submission type – state (SHSP) or urban area (UASI) submission.

•

Overview:
Overview: The Overview tab is the fourth tab within the IJ Submission module. In this tab, user
provides Investment description. If the Investment is 'Ongoing' then user can identify up to
three Investments from the prior years (FY 2008 – FY 2011), but user must identify at least
one Investment. User selects the Funding Program and enters Funding Amount. User must
select Capabilities Building and must provide the Investment description.

•

Baseline – The Baselines tab is the fifth tab within the IJ Submission module. In this tab,
users can provide Goals and Objectives, describe Existing capability levels, and explain
Capability gap(s).

•

Core Capabilities – The Core Capabilities tab is the sixth tab within the IJ Submission module.
In this tab, the user will select Core Capabilities relating to the Investment.

•

Project Management and Milestones – The Project Management and Milestones is the
seventh tab within the IJ Submission module. The Project Management and Milestones tab
provides users to allocate funding to the Core capabilities and to POETE. This tab also
provides the format to describe up to ten Projects associated with the Investment and assign
start and end dates to each Project.

•

Accomplishments and Impacts:
Impacts: This is the last tab in the IJ Submission Module. In this tab
user provides Outcome they would achieve from the Investment.

8.10.1.2

User’s Module – Assigning Users to the IJ Submission Module

To review additional information regarding the user, the approving user can enter the User Detail tab
by clicking on a user’s name. If the user wishes to view their own user information, they can click their
name, or click the User Detail tab. The User Detail tab will display a user’s status, contact information,

role, organizational assignment, and user permissions. Additionally, users can see who last activated
their account by reviewing the box labeled “last activated by.”
Under the User Status section of the User Detail tab, an approving user can change the status of the
user. Once the status is changed, the user should click the ‘Save’ button to update the user’s status.

In order to have State and local users accessing the IJ Submission module, SAA Admins will be
responsible for assigning their users IJ Submission module privileges. State and local users must
either create a GRT user account or use their existing active GRT account. If their account is currently
locked-out or inactive, they will need to get their account in an “active” state before they are permitted
into the IJ Submission module. In order to get permission into the IJ Submission module, State and
local users must seek permission from their SAA Admin to edit and complete the information found in
the Investment Justification. SAA Admin users are asked to grant permissions to all applicable State
and local users that need access to the IJ Submission module. If you are a SAA Admin responsible for
the completion and submission of your Investment Justification and do not have a GRT account,
please contact your preparedness officer.

User Assignments for IJ Submission Module
All users pending approval will show ‘Pending’ in the status column. Once the user has been changed
by their Admin user to an active status, ‘Active’ will appear in the status column and those users are
then able to login into the GRT.

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User Approval – User Status
The following table highlights the User statuses within the GRT as it pertains to the creation and
approval of users:
User Status
Active
Pending
Denied
Inactive
Locked

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Definition
Indicates that a user currently has login access to the system
Indicates that a user has recently requested access to the GRT
Indicates that a user account has been requested, but denied
Indicates that a user account has not been used within 45 days
Indicates that a user account is currently inaccessible. An account may be locked
because a user entered an incorrect password three or more times. Users with admin
rights carry the privilege to unlock these users

142

Compiling the Investment Justification
8.10.1.3

Submissions

Upon entering the IJ Submission module, users will have access to their designated State/ territory/ Urban
Area submission as granted by the SAA Admin.
Step
Step 1 – User enters the Submissions tab
Step 2 – User selects IJ Submission
Step 3 – User is directed to Investments tab for that particular submission

IJ Submission Tab (Local User View)

IJ Submission Module (SAA Admin View)

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IJ Submission Module (Fed Admin View)

8.10.1.4

Investments

The Investments tab is the second tab within the IJ Submission module. By selecting ‘Investment List’, users
see a list of Investments and their related status. On this tab, users have the ability to select a view from a
drop-down list box the following choices: Investments List, Create Investment and Validation. The default
selection is Investment List. Please note, that if the maximum number of investments have already been
created for a submission type, the “Create Investment” will not be available.
The user may begin creating Investments using the Create Investment View.
Create Investment
Step 1 – User selects ‘Create Investment’ from the ‘Investment View’ drop-down menu
Step 2 – User enters the Investment name
Step 3 – User selects Investment phase (‘New’ or ‘Ongoing’)
Step 4 - User selects Investment Type ('Competitive' or 'Non0Competitive')
Step 5 –The user clicks ‘Create Investment’ and is returned to the Investment List View

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Investments Tab (Create Investment)

8.10.1.5

Investment List

Once a user creates an Investment, the Investment will appear in the Investment tab under the Investment List
view. On this tab, Portfolio Investment will be the first Investment which will be present under each submission
by default. From this tab, users may mark an Investment complete, check the validation of the Investment and
click on an individual Investment to populate it with data.
Step 1 – User selects an Investment from Investment List by clicking the Investment name (hyperlink)
Step 2 – User select Portfolio Investment and this will direct the user to Portfolio tab.
Step 3 – User is directed to the Overview tab to begin answering Investment questions for the
Investment which are created by the user.

Investment Tab (Investment List View)

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8.10.1.6

Portfolio

In this tab user can enter the Portfolio data.
Step 1 – User enters Portfolio tab from Investments List
Step 2 – User enters Overall Investment Justification.
Step 3 – User enters M&A Amount for SHSP or UASI for the submission.

Portfolio Tab

Users are advised to save as they proceed through the module; striking the ‘enter’ key will
not save all information. User must click ‘Save’ or ‘Save and Continue’ before proceeding off
the tab.

8.10.1.7

Overview

The User is directed to this tab once the Investment is selected from the Investments tab. This tab is the only
tab in which users can modify the Investment Name and Investment Phase. Once the user saves this tab, the
Investment Name and Investment Phase information will only be editable on the Overview Tab and while the
Investment has a “Data Entry in Progress’ status.
Step 1 – User edits Investment name, Investment Phase or Investment type, if applicable
Step 2 – If the Investment is 'Ongoing' then user must identify at least one Investment from the prior
years (FY 2009 – FY 2012), user may identify up to three Investments from the prior years.

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Step 3 – User selects Funding Program
Step 4 –User enter Funding Amount
Step 5 – User selects Capabilities Building.
Step 6 – User Provides Investment Description
Step 7 – User saves and continues to Baseline Tab

Overview Tab

8.10.1.8

Baseline

The Baseline tab is the fifth tab within the IJ Submission module. On this tab, the user will provide Goals
and Objectives, describe Existing capability levels, and explain Capability gap(s).
Step 1 – User Identifies Goals and Objectives
Step 2 – User describes Existing capability levels
Step 3 – User explains Capability gap(s).
Step 4 – User saves and continues to Target Capabilities Tab

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Baseline Tab

8.10.1.9

Core Capabilities

The Core Capabilities tab is the sixth tab within the IJ Submission Module. In this tab, the user will select Core
Capabilities relating to the Investment.

Step 1 – User selects the Core Capabilities.
Step 2 – User saves and continues to Project Management and Milestones Tab

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Core Capabilities Tab

8.10.1.10

Project Management and Milestones

The Project Management and Milestones tab is the seventh tab within the IJ Submission Module. The Project
Management and Milestones tab provides users to select Funding Program, and allocate funding to the Core
capabilities and to POETE. This tab also provides the functionality to add up to ten Projects associated with the
Investment and assign start and end dates to each Project.
Step 1 – User selects the funding program from the drop-down list of SHSP or UASI
Step 2 – User enters the proposed Primary funding amount for the Investment
Step 3 – User select if this investment supports a fusion center from the drop-down list of Yes or No.
Step 4 – – If applicable, users enter the Law Enforcement Terrorism Prevention Activities (LETPA)
Funding amount.
Step 5 – User enters the proposed funding amounts across the previously identified Core Capabilities
(pre-populated from the Core Capabilities Tab)
• The associated percentages will populate automatically
Step 6 – User enters proposed funding amounts by Solution Area (Planning, Organization, Equipment,
Training, and Exercises)
• The associated percentages will populate automatically
Step 7 – User adds Projects, can add up to 10 Projects
• User enters Project Name
• User provides the description of the Project.
• User selects the step of the Project from the Drop down list.
• User enters Milestone Start Date.

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•
•

User enters Milestone End Date.
User enters the Funding Amount for the Project.

Step 8 – User selects Yes or No from a drop-down list to answer: Does this investment require new
construction or renovation, retrofitting, or modification of existing structures?
Step 9 – User saves and continues to Accomplishments and Impact tab

Project Management and Milestones

8.10.1.11

Accomplishments and Impact

On the Accomplishments and Impact tab, the user provides the description of the outcome that will be
achieved as the result of the Investment.
Step 1 – User provides the description of the outcome.
Step 2 – User clicks Save and Continue and is directed to the Investment tab.

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Accomplishments and Impact Tab

Completing the Investment/IJ Submission
8.10.1.12

Marking Investment(s) Complete

Once the user has entered all applicable information from the Overview tab through the Accomplishments and
Impact tab, they may mark the Investment complete.
Step 1 – On the Investments Tab – Investment List View, the user will select the check box to the left
of the applicable Investment that is ready to be ‘Marked Complete’
Step 2 – If self-check status is GREEN, user will click ‘Mark Complete’ to track which Investments are
completed; if self-check is RED, please refer to the ‘Validation‘ View.
Step 3 – Once the Investment is marked complete, user can select the next Investment to compile
and repeat all data entry steps

Please note that if an Investment in ‘Investment Completed’ status needs to be edited, user can
select ‘Change Status’ to change the status of the Investment from ‘Investment Completed’ to ‘Data
Entry in Progress’

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Investments Tab – Marking Investments Complete

8.10.1.13

Validation View

The Validation option allows the user to view a matrix displaying the self-check status of all tabs for all
Investments. If the user has skipped over critical questions and/or the total funding amount that was
proposed does not ‘tie-out’ with all the allocation , then an ‘ERROR’ indicator will appear in the corresponding
tab for that Investment. If all critical and/or required questions have been answered, the indicator box will
read ‘OK’.
If there are any errors within an Investment (within any of the tab), the Cumulative column will display an
‘ERROR’ indicator for that Investment.
It is recommended that users should return to the Validation view each time after completing an Investment.
Investments may not be marked complete until all validations for the Investment are ‘OK’.

Investments Tab (Validation)

8.10.1.14

Marking IJ Submission Complete

Once the user has entered all applicable information from the Overview tab through the Accomplishments
and Impacts tab, they will mark the Investment as complete. Once all Investments and the Portfolio
Investment have been marked complete and no errors exist for the Investment Justification, the SAA Admin
can proceed in marking the entire Investment Justification complete.
Step 1 – On the Submissions Tab, the SAA Admin will select all check boxes to the left of the IJ
Submissions
Step 2 – SAA Admin will click the check box certification
Step 3 – SAA Admin will click the ‘Mark IJ Complete’ button
Step 4 – A pop-up message box appears for confirming this action.

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Step 5 – SAA Admin will click “View” under the Final IJ column in order to view and safe a final copy of
the Investment Justification; it is this Investment Justification that will be uploaded in the portable
document (PDF) format according to the grant guidance on application submission requirements by
the SAA Admin

Mark Complete (SAA Admin)

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File Type	application/pdf
File Title	Microsoft Word - WO25_GRT Users Guide.doc
Author	aparkash
File Modified	2013-03-04
File Created	2013-03-04