FY 2015 HSGP NOFO Final 041615

The Department of Homeland Security
Notice of Funding Opportunity
Fiscal Year 2015 Homeland Security Grant Program
NOTE: If you are going to apply for this funding opportunity and have not obtained a Data
Universal Numbering System (DUNS) number and/or are not currently registered in the System
for Award Management (SAM), please take immediate action to obtain a DUNS Number, if
applicable, and then to register immediately in SAM . It may take 4 weeks or more after you
submit your SAM registration before your registration is active in SAM, then an additional 24
hours for Grants.gov to recognize your information. Information on obtaining a DUNS number
and registering in SAM is available from Grants.gov at:
http://www.grants.gov/web/grants/applicants/applicant-resources.html.
A.

Notice of Funding Opportunity (NOFO) Description
Issued By
U.S. Department of Homeland Security, Federal Emergency Management Agency,
Grant Programs Directorate
Catalog of Federal Domestic Assistance (CFDA) Number
97.067
CFDA Title
Homeland Security Grant Program
Notice of Funding Opportunity Title
FY 2015 Homeland Security Grant Program
 State Homeland Security Program (SHSP)
 Urban Area Security Initiative (UASI)
 Operation Stonegarden (OPSG)
NOFO Number
DHS-15-GPD-067-000-01
Authorizing Authority for Program
Section 2002 of the Homeland Security Act of 2002, as amended (Pub. L. No. 107-296),
(6 U.S.C. § 603)
Appropriation Authority for Program
Department of Homeland Security Appropriations Act, 2015 (Pub. L. No. 114-4)
Program Type
New

1

FY 2015 HSGP NOFO

Program Overview, Objectives, and Priorities
Overview
The purpose of the FY 2015 HSGP is to support state and local efforts to prevent
terrorism and other catastrophic events and to prepare the Nation for the threats and
hazards that pose the greatest risk to the security of the United States. The FY 2015
HSGP provides funding to implement investments that build, sustain, and deliver the 31
core capabilities essential to achieving the National Preparedness Goal (the Goal) of a
secure and resilient Nation. The building, sustainment, and delivery of these core
capabilities are not exclusive to any single level of government, organization, or
community, but rather, require the combined effort of the whole community. The FY
2015 HSGP supports core capabilities across the five mission areas of Prevention,
Protection, Mitigation, Response, and Recovery based on allowable costs. HSGP is
comprised of three grant programs:
 State Homeland Security Program (SHSP)
 Urban Area Security Initiative (UASI)
 Operation Stonegarden (OPSG)
Together, these grant programs fund a range of activities, including planning,
organization, equipment purchase, training, exercises, and management and
administration across all core capabilities and mission areas.
Objectives
 State Homeland Security Program (SHSP): The SHSP assists state, Tribal and
local preparedness activities that address high-priority preparedness gaps across all
core capabilities where a nexus to terrorism exists. All supported investments are
based on capability targets and gaps identified during the Threat and Hazard
Identification and Risk Assessment (THIRA) process, and assessed in the State
Preparedness Report (SPR).
 Urban Area Security Initiative (UASI): The UASI Program assists high-threat,
high-density Urban Areas in efforts to build and sustain the capabilities necessary to
prevent, protect against, mitigate, respond to, and recover from acts of terrorism.
 Operation Stonegarden (OPSG): The OPSG Program supports enhanced
cooperation and coordination among Customs and Border Protection (CBP), United
States Border Patrol (USBP), and local, Tribal, territorial, state, and Federal law
enforcement agencies. The OPSG Program funds investments in joint efforts to
secure the United States’ borders along routes of ingress from international borders to
include travel corridors in states bordering Mexico and Canada, as well as states and
territories with international water borders.
All three programs are based on risk-driven, capabilities-based strategic plans that outline
high-priority needs relating to terrorism preparedness. For these plans to be effective,
government officials and elected leaders, working with the whole community, must
consider how to sustain current capability levels, while also addressing potential gaps.
2

FY 2015 HSGP NOFO

Priorities
The National Preparedness System is the instrument the Nation employs to build, sustain,
and deliver core capabilities in order to achieve the Goal of a secure and resilient Nation.
Complex and far-reaching threats and hazards require a collaborative and whole
community approach to national preparedness that engages individuals, families,
communities, private and nonprofit sectors, faith-based organizations, and all levels of
government. The guidance, programs, processes, and systems that support each
component of the National Preparedness System allows for the integration of
preparedness efforts that build, sustain, and deliver core capabilities and achieve the
desired outcomes identified in the Goal.
DHS/FEMA annually publishes the National Preparedness Report (NPR) to evaluate
National progress in building, sustaining, and delivering the core capabilities outlined in
the Goal. This analysis provides a National perspective on critical preparedness trends
for whole community partners to use to inform program priorities, allocate resources, and
communicate with stakeholders about issues of shared concern.
Recipients are required to consider national areas for improvement identified in the 2014
NPR, which include the following core capabilities:
 Cybersecurity;
 Infrastructure Systems;
 Health and Social Services;
 Housing; and
 Long-term Vulnerability Reduction.
In addition, the Department of Homeland Security requires recipients to prioritize
investments that address capability targets and gaps identified through the annual THIRA
and SPR process. These assessments set capability targets and measure current ability to
meet those targets.
Minimum funding amounts are not prescribed by the Department for these priorities;
however, recipients must support state, local, regional, and national efforts in achieving
the desired outcomes of these priorities.
Appendix B-Program Priorities addresses additional areas where funding can be applied
to strengthen preparedness efforts.
B.

Federal Award Information
Award Amounts, Important Dates, and Extensions
Available Funding for the NOFO:
HSGP Programs
State Homeland Security Program

$1,044,000,000
FY 2015 Allocation
$402,000,000

3

FY 2015 HSGP NOFO

Urban Area Security Initiative
Operation Stonegarden
Total

$587,000,000
$55,000,000
$1,044,000,000

For details on program-specific funding amounts, refer to Appendix A – FY 2015
Program Allocations.
Period of Performance:

Thirty-six (36) months

Extensions to the period of performance are allowed. For additional information
on period of performance extensions, refer to Section H of this NOFO.
Projected Period of Performance Start Date:

September 1, 2015

Projected Period of Performance End Date:

August 31, 2018

Funding Instrument: Grant
C.

Eligibility Information
Eligible Applicants
State Governments (State Administrative Agency)
Eligibility Criteria
All 56 States, which includes any state of the United States, the District of Columbia, the
Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, and the
Commonwealth of the Northern Mariana Islands, are eligible to apply for SHSP funds. For those
states that are eligible for UASI and OPSG funding, the State Administrative Agency (SAA) is
the only entity eligible to submit applications to DHS/FEMA on behalf of UASI and OPSG
applicants.
Eligible sub-recipients under the FY 2015 OPSG Program are local units of government at the
county level and Federally-recognized Tribal governments in states bordering Canada, states
bordering Mexico, and states and territories with international water borders. All applicants
must have active ongoing USBP operations coordinated through a CBP sector office to be
eligible for OPSG funding.
Eligible high-risk Urban Areas for the FY 2015 UASI Program have been determined through an
analysis of relative risk of terrorism faced by the 100 most populous metropolitan statistical areas
(MSAs) in the United States. Sub-awards will be made by the SAA to the designated Urban
Areas identified in Appendix A-FY 2015 Program Allocations.

4

FY 2015 HSGP NOFO

Other Eligibility Criteria:
Emergency Management Assistance Compact (EMAC) Membership
In support of the Goal, recipients must belong to, be located in, or act as a temporary
member of EMAC, except for American Samoa and the Commonwealth of the Northern
Mariana Islands, which are not required to belong to EMAC at this time. All assets
supported in part or entirely with FY 2015 HSGP funding must be readily deployable to
support emergency or disaster operations per existing EMAC agreements. In addition,
funding may be used for the sustainment of core capabilities that, while they may not be
physically deployable, support national response capabilities such as
Geographic/Geospatial Information Systems (GIS), interoperable communications
systems, capabilities as defined under the mitigation mission area of the Goal, and fusion
centers.
National Incident Management System (NIMS) Implementation
Prior to allocation of any Federal preparedness awards in FY 2015, recipients must
ensure and maintain adoption and implementation of NIMS. Emergency management
and incident response activities require carefully managed resources (personnel, teams,
facilities, equipment and/or supplies) to meet incident needs. Utilization of the
standardized resource management concepts such as typing, credentialing, and
inventorying promote a strong national mutual aid capability needed to support delivery
of core capabilities. Additional information on resource management and NIMS resource
typing definitions and job titles/position qualifications is on DHS/FEMA’s website under
http://www.fema.gov/resource-management-mutual-aid.
DHS/FEMA developed the NIMS Guideline for Credentialing of Personnel to describe
national credentialing standards and to provide written guidance regarding the use of
those standards. This guideline describes credentialing and typing processes, and
identifies tools which Federal Emergency Response Officials (FEROs) and emergency
managers at all levels of government may use both routinely and to facilitate
multijurisdictional coordinated responses.
Although state, local, Tribal, and private sector partners—including nongovernmental
organizations—are not required to credential their personnel in accordance with these
guidelines; DHS/FEMA strongly encourages them to do so in order to leverage the
Federal investment in the Federal Information Processing Standards (FIPS) 201
infrastructure and to facilitate interoperability for personnel deployed outside their home
jurisdiction. Additional information can be found at
http://www.fema.gov/pdf/emergency/nims/nims_alert_cred_guideline.pdf
Consolidation of Law Enforcement Terrorism Prevention Activities (LETPA)
Per section 2006 of the Homeland Security Act of 2002, as amended, (6 U.S.C. § 607),
DHS/FEMA is required to ensure that at least 25 percent (25%) of grant funding
appropriated for the Homeland Security Grant Program and Tribal Homeland Security
Grant Program are used for law enforcement terrorism prevention activities. DHS/FEMA
meets this requirement, in part, by requiring all SHSP and UASI recipients to ensure that
5

FY 2015 HSGP NOFO

at least 25 percent (25%) of the combined HSGP funds allocated under SHSP and UASI
are dedicated towards law enforcement terrorism prevention activities, as defined in 6
U.S.C. § 607. The LETPA allocation can be from SHSP, UASI or both. This
requirement does not include award funds from OPSG. Please refer to Appendix A – FY
2015 Program Allocations for LETPA minimum allocations for SHSP and UASI by
jurisdiction. The 25% LETPA allocation is in addition to the 80% pass through
requirement to local units of government and Tribes, referenced below.
The National Prevention Framework describes those activities that should be executed
upon the discovery of intelligence or information regarding an imminent threat to the
homeland, in order to thwart an initial or follow on terrorist attack, and provides guidance
to ensure the Nation is prepared to prevent, avoid, or stop a threatened or actual act of
terrorism. Activities outlined in the National Prevention Framework are eligible for use
of LETPA focused funds. In addition, where capabilities are shared with the protection
mission area, the National Protection Framework activities are also eligible. Other
terrorism prevention activities proposed for funding under LETPA must be approved by
the FEMA Administrator.
Maintenance of Effort
There is no Maintenance of Effort requirement for this program.
Cost Share or Match
Cost share or match is not required for the FY 2015 HSGP.
D.

Application and Submission Information
Submission Date and Other Key Dates and Times
Date Posted to Grants.gov:

April 2, 2015

Application Submission Deadline:

May 19, 2015 at 11:59:59 p.m. EDT

All applications must be received by the established deadline. The Non-Disaster (ND)
Grants System has a date stamp that indicates when an application is submitted.
Applicants will receive an electronic message confirming receipt of the full application. In
general, DHS/FEMA will not review applications that are not received by the deadline or
consider them for funding. DHS/FEMA may, however, extend the application deadline on
request for any applicant who can demonstrate that good cause exists to justify extending
the deadline. Good cause for an extension may include technical problems outside of the
applicant’s control that prevent submission of the application by the deadline, or other
exigent or emergency circumstances. If you experience technical issues, you must notify
the respective Headquarters Program Analyst as soon as possible.
Anticipated Award Date: No later than September 30, 2015

6

FY 2015 HSGP NOFO

Other Key Dates (see below for additional information)
The chart below outlines suggested/estimated deadlines for completing the six steps
required for a successful application submission prior to the deadline. These dates are only
recommendations as applicants are responsible for planning far enough in advance to
complete their application. The requirements outlined in the chart below are outside of
DHS/FEMA’s purview. Therefore, DHS/FEMA does not guarantee the timeframes for
completing those processes. Failure of an applicant to comply with any of the required
steps before the deadline for submitting their application may disqualify their application
from funding.
Applicants are encouraged to register early for Authorized Organizational
Representative (AOR) authorization. The registration process can take four weeks or
more to be completed. Therefore, registration should be done in sufficient time to
ensure it does not impact your ability to meet required submission deadlines.
Task
Obtaining DUNS Number
Obtaining valid EIN
Updating SAM registration
Establishing an Authorized Organizational Representative
(AOR) in Grants.gov
Submitting an initial application in Grants.gov

Suggested timeframe for completion of
task to meet submission deadline
April 21, 2015
April 21, 2015
April 21, 2015
April 21, 2015

May 9, 2015
*Applicants will receive an electronic
message confirming eligibility and
approval to submit a full application.
May 9, 2015

Submitting the IJ in the Grants Reporting Tool (GRT)

Address to Request Application Package
Application forms and instructions are available at Grants.gov. To access these
materials, go to http://www.grants.gov, select “Applicants” then “Apply for Grants,” read
the registration requirements and register if necessary (Allow up to 7-10 business days
after you submit before your registration is active in SAM, then an additional 24
hours for Grants.gov to recognize your information). In order to obtain the application
package select “Download a Grant Application Package”, enter the CFDA and/or the
funding opportunity number located on the cover of this NOFO, select “Download
Package,” and then follow the prompts to download the application package.
Hard copies of the NOFO are not available.
In addition, the Telephone Device for the Deaf (TDD) and/or Federal Information Relay
Service (FIRS) number available for this Notice is: (800) 462-7585.
Applications will be processed through the Grants.gov portal and DHS/FEMA’s NonDisaster Grants (ND Grants) System.
7

FY 2015 HSGP NOFO

Content and Form of Application Submission
Applying for an award under this program is a multi-step process and requires time to
complete. To ensure that an application is submitted on time applicants are advised to
start the required steps well in advance of their submission. Please review the table
above under “Submission Dates and Other Key Dates and Times” for estimated
deadlines to complete each of the seven steps listed below. Failure of an applicant to
comply with any of the required steps before the application deadline may disqualify
their application from funding.
The steps required to apply for an award are:
1. Applying for, updating or verifying the DUNS Number;
2. Applying for, updating or verifying the EIN Number;
3. Updating or verifying the SAM Number;
4. Establishing an authorized Organizational Representative (AOR) in
Grants.gov;
5. Submitting an initial application in Grants.gov;
6. Submitting the IJ in the Grants Reporting Tool (GRT); and
7. Submitting the complete application in ND Grants
For additional information regarding the DUNS Number, EIN Number, SAM Number,
and AOR requirements, please refer to the section below entitled Dun and Bradstreet
Universal Numbering System (DUNS) Number, System for Award Management (SAM),
and Authorized Organizational Representative (AOR).
Submitting an Initial Application in Grants.gov
All applicants must submit their initial application through Grants.gov. Applicants may
need to first create a Grants.gov user profile by visiting the Get Registered section of the
Grants.gov website. Successful completion of this step is necessary for DHS/FEMA to
determine eligibility of the applicant. Applicants should complete this initial step on-line
which requires completing:



Standard Form 424 (SF-424), Application for Federal Assistance, and
Grants.gov (GG) Form Certification Regarding Lobbying Form.

Both forms are available in the Forms tab under SF-424 Family. The initial application
cannot be started or submitted in Grants.gov unless the applicant’s registration in SAM is
confirmed.
Application forms and instructions are available at http://www.grants.gov by selecting
Apply for Grants. Enter the CFDA number or the Opportunity ID Number noted in this
NOFO, select Download Application Package, and follow the prompts to download the
application package. The information submitted in Grants.gov will be retrieved by ND
Grants, which will allow DHS/FEMA to determine if an applicant is eligible. Applicants
are encouraged to submit their initial application in Grants.gov at least ten days
before the May 19, 2015, application deadline.

8

FY 2015 HSGP NOFO

If you need assistance applying through Grants.gov, please go to the Grant Application
page, contact support@grants.gov, or call 800-518-4726. DHS/FEMA cannot assist
applicants with questions related to registering with Grants.gov.
Submitting the Final Application Submission in the ND Grants System
Eligible applicants will be notified by DHS/FEMA after the initial application is
submitted in Grants.gov and asked to proceed with submitting their complete application
package in ND Grants . Applicants can register early with ND Grants and are encouraged
to begin their ND Grants registration at the time of this announcement. Early registration
will allow applicants to have adequate time to start and complete their application.
In ND Grants applicants will be prompted to submit all of the information contained in
the following forms. Applicants should review these forms before applying to ensure
they have all the information required.
 Standard Form 424A, Budget Information (Non-construction);
 Standard Form 424B, Standard Assurances (Non-construction); and
 Standard Form LLL, Disclosure of Lobbying Activities.
In addition applicants must submit copies of the following in ND Grants:
 Investment Justification;
 Standard Form 424 C Budget Information (Construction) if applying for funds
to use for construction;
 Standard Form 424D, Standard Assurances (Construction) if applying for
funds to use for construction; and
 Indirect Cost Agreement if applicable.
If you need assistance registering for the ND Grants system, please contact
ndgrants@fema.gov or (800) 865-4076.
Dun and Bradstreet Universal Numbering System (DUNS) Number, System for
Award Management (SAM), and Authorized Organizational Representative (AOR)
Before you can apply for a DHS/FEMA grant at Grants.gov, you must have a DUNS
number and must be registered in the System for Awards Management (SAM).
Obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) Number
The DUNS number must be included in the data entry field labeled "Organizational
DUNS" on the SF-424 form. Instructions for obtaining a DUNS number can be found at
the following website: http://www.grants.gov//web/grants/applicants/organizationregistration/step-1-obtain-duns-number.html.
The applicant must provide a DUNS number with their application. This number is a
required field for all subsequent steps in the application submission. Applicants should
verify they have a DUNS number, or take the steps necessary to obtain one.

9

FY 2015 HSGP NOFO

Applicants can receive a DUNS number at no cost by calling the DUNS number request
line at (866) 705-5711. DHS/FEMA cannot assist applicants with questions related to
obtaining a current DUNS number.
Obtain an Employer Identification Number (EIN)
DHS/FEMA requires both the EIN and a DUNS number prior to the issuance of a
financial assistance award and for grant award payment; both the EIN and DUNS number
are required to register with SAM (see below). The EIN base for an organization is the
IRS Tax ID number, for individuals it is their social security number. Both the EIN and
the social security number are nine-digit numbers. Organizations and individuals
submitting their applications must correctly differentiate the EIN from the DUNS since
both are 9-digit numbers. If these numbers are not correctly identified in the application,
this may result in a delay in the issuance of the funding award and/or incorrect payment
to a recipient organization.
Applying for an EIN should plan on a minimum of 2 full weeks to obtain an EIN. If you
need assistance registering an EIN please contact the IRS helpline. DHS/FEMA cannot
assist applicants with questions related to obtaining a current EIN.
Register with the System for Award Management (SAM)
Applicants applying for grant funds electronically through Grants.gov must register with
the Federal System for Award Management (SAM). Step-by-step instructions for
registering with SAM can be found here:
http://www.grants.gov/web/grants/applicants/organization-registration/step-2-registerwith-sam.html. All applicants must register with SAM in order to apply online. Failure
to register with the SAM will result in your application being rejected by Grants.gov
during the submissions process.
Payment under any DHS/FEMA award is contingent on the recipient’s having a current
SAM registration. The SAM registration process must be completed by the applicant. It
is imperative that the information provided by the applicant is correct and current. Please
ensure that your organization’s name, address, DUNS number and EIN are up to date in
SAM and that the DUNS number used in SAM is the same one used to apply for all other
DHS/FEMA awards.
SAM registration is a multi-step process including validating your EIN with the Internal
Revenue Service (IRS) to obtain a Commercial and Government Entity (CAGE) code.
The CAGE code is only valid for one year after issuance and must be current at the time
of application.
SAM sends notifications to the registered user via email 60, 30, and 15 days prior to
expiration of the SAM registration for the Entity. SAM registration may lapse due to
inactivity. To update or renew your Entity records(s) in SAM you will need to create a
SAM User Account and link it to your migrated Entity records.

10

FY 2015 HSGP NOFO

If you need assistance registering, please go to SAM or call 866-606-8220. DHS/FEMA
cannot assist applicants with questions related to registering in SAM or obtaining a
current CAGE code.
Authorized Organizational Representative
The next step in the registration process is creating a username and password with
Grants.gov to become an Authorized Organizational Representative (AOR). AORs
will need to know the DUNS number of the organization for which they will be
submitting applications to complete this process. To read more detailed instructions
for creating a profile on Grants.gov visit:
http://www.grants.gov/web/grants/applicants/organization-registration/step-3username-password.html.
AOR Authorization
After creating a profile on Grants.gov, the E-Biz Point of Contact (E-Biz POC) a
representative from your organization who is the contact listed for SAM will receive
an email to grant the AOR permission to submit applications on behalf of their
organization. The E-Biz POC will then log in to Grants.gov and approves an applicant
as the AOR, thereby giving him or her permission to submit applications. To learn
more about AOR Authorization visit:
http://www.grants.gov/web/grants/applicants/organization-registration/step-4-aorauthorization.html. To track an AOR status visit:
http://www.grants.gov/web/grants/applicants/organization-registration/step-5-trackaor-status.html.
The registration process can take four weeks or more to be completed. Therefore
registration should be done in sufficient time to ensure it does not impact your ability
to meet required submission deadlines. After you have been approved as an AOR you
will be able to submit your application online.
Electronic Signature
Applications submitted through Grants.gov constitute a submission as electronically
signed applications. The registration and account creation with Grants.gov with E-Biz
POC approval, establishes an AOR. When you submit the application through
Grants.gov, the name of your AOR on file will be inserted into the signature line of the
application. Applicants must register the individual who is able to make legally
binding commitments for the applicant organization as the AOR; this step often is
overlooked and is crucial for valid submissions.
DHS/FEMA may not make a HSGP award to an applicant until the applicant has
complied with all applicable DUNS and SAM requirements and, if an applicant has not
fully complied with the requirements by the time DHS/FEMA is ready to make an
award, DHS/FEMA may determine that the applicant is not qualified to receive an
award and use that determination as a basis for making an award to another applicant.

\
11

FY 2015 HSGP NOFO

HSGP Program Specific Application Instructions
Investment Justification (SHSP and UASI)
As part of the FY 2015 HSGP application process for SHSP and UASI funds, applicants
must develop a formal IJ that addresses the proposed investments. Each IJ must
demonstrate how proposed investments:




Address capability gaps identified as State priorities in the most recent SPR;
Align to Urban Area, state, and/or regional THIRAs and national priorities, as
outlined in the NPR; and
Engage and/or impact the whole community, including children, older adults,
pregnant women, individuals with limited English proficiency, individuals
with disabilities and others with access and functional needs.

Furthermore, the IJ must clearly identify and explain how the project will assist the
applicant to achieve capability targets related to preventing, preparing for, protecting
against, or responding to acts of terrorism.
Completing Investment Justifications (IJ) in the Grant Reporting Tool (GRT) (SHSP
and UASI)
The IJ Planning Guide contains instructions for collecting the required information for
investments and projects. Additionally, applicants should utilize the Project Worksheet
to assemble the information required for each project, which will facilitate the input of
that information into the GRT.
For more information on how to complete IJs, refer to the Investment Justification
Planning Guide located on fema.gov/grants.
Instructions for SHSP
 Applicants must propose at least one and include up to 10 projects within
each investment in their IJ to describe the activities they would plan to
implement with SHSP funds.
 Any projects not included in the application must be included in the first BSIR.
 Of the proposed 10 investments, recipients using SHSP funds are required to
propose at least one investment in support of a designated fusion center that
will be funded by SHSP funds. Recipients must coordinate with the fusion
center when developing a fusion center investment prior to submission.
 Recipients investing in emergency communications must describe how
activities align to their statewide Communication Interoperable Plan (SCIP).
Recipients must coordinate with their statewide Interoperability Coordinator
(SWIC) and/or statewide Interoperability Governance Body (SIGB) when
developing an emergency communications investment prior to submission to
ensure the project supports the statewide strategy to improve emergency
communications and is compatible and interoperable with surrounding
systems.

12

FY 2015 HSGP NOFO

Instructions for UASI
 Urban Areas must propose at least one and up to 10 projects within each
investment in their IJ to describe the activities they are planning to implement
with UASI funds.
 Any projects not included in the application must be included in the first
BSIR.
 If applicable, Urban Areas are required to propose at least one investment in
support of a designated fusion center within the Urban Area. Recipients must
coordinate with the fusion center when developing a fusion center investment
prior to submission.
 If UASI funds are used by the SAA in support of the Urban Area, the SAA
must, as part of the up to 10 investments, propose an investment describing
how UASI funds will be used by the SAA to directly support the Urban Area.
 Recipients investing in emergency communications must describe how
activities align to the SCIP. Recipients must coordinate with the statewide
Interoperability Coordinator (SWIC) and/or statewide Interoperability
Governance Body (SIGB) when developing an emergency communications
investment prior to submission to ensure the project supports the statewide
strategy to improve emergency communications and is compatible and
interoperable with surrounding systems.
Instructions for OPSG
As part of the FY 2015 OPSG application process, each eligible local unit of government
at the county or Federally-recognized Tribal government level must develop their
Operations Order in coordination with state and Federal law enforcement agencies, to
include, but not limited to CBP/USBP. Operations Orders that are developed at the
county level should be inclusive of city, county, Tribal, and other local law enforcement
agencies that are eligible to participate in OPSG operational activities. The Operations
Order should address this in the Executive Summary. Operations Order details should
include the names of the agencies, points of contact, and individual funding requests. All
applications must be developed in collaboration with the local USBP sector office, the
SAA and the local unit of government. The sector office will then forward the
application to the SAA for final review before submission to DHS/FEMA. For more
information, refer to Appendix D – FY 2015 OPSG Operations Order Template and
Instructions and Appendix E – OPSG Operational Guidance.
Intergovernmental Review
An intergovernmental review may be required. Applicants must contact their state’s
Single Point of Contact (SPOC) to comply with the state’s process under Executive Order
12372 (see http://www.fws.gov/policy/library/rgeo12372.pdf). Name and addresses of
the SPOCs are maintained at the Office of Management and Budget’s home page at
http://www.whitehouse.gov/omb/grants_spoc to ensure currency.
Funding Restrictions
Federal funds made available through this award may only be used for the purpose set
forth in this award and must be consistent with the statutory authority for the award.
13

FY 2015 HSGP NOFO

Award funds may not be used for matching funds for any other Federal award, lobbying,
or intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal
funds may not be used to sue the Federal government or any other government entity.
Funds Transfer Restriction
The recipient is prohibited from transferring funds between programs (includes
SHSP, UASI, and OPSG). Recipients are allowed to submit an
investment/project where funds come from multiple funding sources (i.e.,
SHSP/UASI); however, recipients are not allowed to divert funding from one
program to another due to the risk-based funding allocations, which were made at
the discretion of DHS/FEMA. For additional details on restrictions on the use of
funds, refer to Appendix C – Funding Guidelines.
Environmental Planning and Historic Preservation (EHP) Compliance
As a Federal agency, DHS/FEMA is required to consider the effects of its actions on the
environment and/or historic properties to ensure that all activities and programs funded
by the agency, including grants-funded projects, comply with Federal EHP regulations,
laws and Executive Orders as applicable. Recipients and subrecipients proposing
projects that have the potential to impact the environment, including but not limited to
construction of communication towers, modification or renovation of existing buildings,
structures and facilities, or new construction including replacement of facilities, must
participate in the DHS/FEMA EHP review process. The EHP review process involves
the submission of a detailed project description that explains the goals and objectives of
the proposed project along with supporting documentation so that DHS/FEMA may
determine whether the proposed project has the potential to impact environmental
resources and/or historic properties. In some cases, DHS/FEMA is also required to
consult with other regulatory agencies and the public in order to complete the review
process. The EHP review process must be completed before funds are released to carry
out the proposed project. DHS/FEMA will not fund projects that are initiated without the
required EHP review.
Additionally, all recipients are required to comply with DHS/FEMA EHP Policy
Guidance. This EHP Policy Guidance can be found in FP 108-023-1, Environmental
Planning and Historic Preservation Policy Guidance, and FP 108.24.4, Environmental
Planning and Historical Preservation Policy.
SAFECOM
Recipients (including subrecipients) who receive awards under HSGP that wholly or
partially provide funding for emergency communication projects and related activities
must comply with the most recent version of the SAFECOM Guidance on Emergency
Communications Grants. This guidance provides recommendations to recipients
regarding interoperable emergency communications projects, including allowable costs,
eligible activities, grants management best practices for emergency communications
grants, and information on technical standards that ensure greater interoperability. The
guidance is intended to ensure that Federally-funded investments are compatible,
interoperable, and support the national goals and objectives for improving emergency
14

FY 2015 HSGP NOFO

communications nationwide. Recipients (including subrecipients) investing in
broadband-related investments should review IB 386, Clarification on Use of
DHS/FEMA Public Safety Grant Funds for Broadband-Related Expenditures and
Investments, and consult their DHS/FEMA HQ Program Analyst on such Investments
before developing applications.
Pre-award Costs
Pre-award costs are allowable only with the prior written approval of DHS/FEMA and if
they are included in the award agreement. To request pre-award costs a written request
must be included with the application, signed by the Authorized Representative of the
entity. The letter must outline what the pre-award costs are for, including a detailed
budget break-out of pre-award costs from the post-award costs, and a justification for
approval.
Direct Costs
Cost Principles
Costs charged to this award must be consistent with the Cost Principles for
Federal Awards located at 2 C.F.R. Part 200, Subpart E.
Planning
Planning related costs are allowed under this program only as described in this
NOFO.
Organization
Organization related costs are allowed under this program only as described in
this NOFO.
Equipment
Equipment related costs are allowed under this program only as described in
this NOFO.
Training
Training related costs are allowed under this program only as described in this
NOFO.
Exercises
Exercise related costs are allowed under this program only as described in
this NOFO.
Personnel
Personnel hiring, overtime, and backfill expenses are permitted under this
grant in order to perform allowable HSGP planning, training, exercise, and
equipment activities. Under the OPSG Program, overtime costs are allowable
only in so far as they meet the intent of the Program. Recipients and
subrecipients may not use more than 50% of their awards to pay for personnel
activities. For more information on the 50% personnel cap, please see IB 358,
Clarification on the Personnel Reimbursement for Intelligence Cooperation
15

FY 2015 HSGP NOFO

and Enhancement of Homeland Security Act of 2008 (Public Law 110-412 –
the PRICE Act) at
http://www.fema.gov/pdf/government/grant/bulletins/info358.pdf.
Travel
Domestic travel costs are allowed under this program, as provided for in this
NOFO. International travel is not an allowable cost under this program unless
approved in advance by DHS/FEMA.
Construction and Renovation
Construction and renovation costs to achieve capability targets related to
preventing, preparing for, protecting against, or responding to acts of terrorism
are allowed under this program. For construction costs to be allowed, they
must be specifically approved by DHS/FEMA in writing prior to the use of any
program funds for construction or renovation. Limits on the total amount of
grant funding that may be used for construction or renovation may apply. See
Appendix C-Funding Guidelines for additional details. Additionally, recipients
are required to submit a SF-424C Budget and Budget detail citing the project
costs.
Operational Overtime
Operational Overtime costs are allowed under this program only as described
in this NOFO.
Maintenance and Sustainment
Maintenance and sustainment costs are allowed under this program only as
described in this NOFO.
Critical Emergency Supplies
Critical emergency supplies are allowed under this program only as described
in this NOFO.
Secure Identification
Secure Identification costs are allowed under this program only as described in
this NOFO.
Management and Administration
Management and administration (M&A) activities are those directly relating to the
management and administration of HSGP funds, such as financial management and
monitoring. A maximum of up to five percent (5%) of HSGP funds awarded may be
retained by the state, and any funds retained are to be used solely for M&A purposes
associated with the HSGP award. Sub-recipients may also retain a maximum of up to
five percent (5%) of funding passed through by the state solely for M&A purposes
associated with the HSGP award.

16

FY 2015 HSGP NOFO

A state’s HSGP funds for M&A calculation purposes includes the sum total of its SHSP,
UASI, and, where applicable, OPSG awards. While the SAA may retain up to five
percent (5%) of this total for M&A, the state must still ensure that all sub-recipient award
amounts meet the mandatory minimum pass through requirements which are applicable
to each HSGP program. To meet this requirement the percentage of SHSP, UASI and
OPSG funds passed through to local jurisdictions must be based on the state’s total HSGP
award prior to withholding any M&A.
For additional information on SHSP and UASI M&A, refer to IB 365. For additional
clarification on OPSG M&A, refer to DHS/FEMA Policy FP-207-087-1. These
documents can be found at
http://www.fema.gov/pdf/government/grant/bulletins/info365.pdf and
http://www.fema.gov/library/viewRecord.do?id=7837, respectively.
Indirect (Facilities & Administrative (F&A)) Costs
Indirect costs are allowable under this program as described in 2 C.F.R. § 200.414. With
the exception of recipients who have never received a negotiated indirect cost rate as
described in 2 C.F.R. § 200.414(f), recipients must have an approved indirect cost rate
agreement with their cognizant Federal agency to charge indirect costs to this award. A
copy of the approved rate (a fully executed, agreement negotiated with the applicant’s
cognizant Federal agency) is required at the time of application, and must be provided to
DHS/FEMA before indirect costs are charged to the award.
E.

Application Review Information
Allocations
Risk Methodology
Based upon the requirements of the Homeland Security Act of 2002, as amended, DHS/FEMA
continues to use risk to determine final HSGP allocations. DHS/FEMA defines risk as:
“potential for an unwanted outcome resulting from an incident, event, or occurrence, as
determined by its likelihood and the associated consequences” (see
http://www.dhs.gov/xlibrary/assets/dhs-risk-lexicon-2010.pdf). The DHS/FEMA risk
methodology is focused on three elements:
 Threat –likelihood of an attack being attempted by an adversary;
 Vulnerability – likelihood that an attack is successful, given that it is
attempted; and
 Consequence – effect of an event, incident or occurrence
The risk methodology determines the relative risk of terrorism faced by a given area taking into
account the potential risk of terrorism to people, critical infrastructure, and economic
security. The analysis includes threats from domestic violent extremists’ international terrorist
groups, and individuals inspired by terrorists abroad.

17

FY 2015 HSGP NOFO

SHSP Allocations
FY 2015 SHSP funds will be allocated based on three factors: minimum amounts as legislatively
mandated, DHS/FEMA’s risk methodology, and anticipated effectiveness of proposed projects.
Anticipated effectiveness is assessed based on the applicant’s description of how proposed
projects, as outlined in the investment Justification’s (IJ’s), align with state THIRA and SPR
results.
Each state and territory will receive a minimum allocation under SHSP using thresholds
established in the Homeland Security Act of 2002, as amended. All 50 States, the District of
Columbia, and the Commonwealth of Puerto Rico will receive 0.35 percent of the total funds
allocated for grants under Section 2003 and Section 2004 of the Homeland Security Act of 2002,
as amended. Four territories (American Samoa, Guam, the Northern Mariana Islands, and the
U.S. Virgin Islands) will receive a minimum allocation of 0.08 percent of the total funds
allocated for grants under Section 2003 and 2004 of the Homeland Security Act of 2002, as
amended. For details on program-specific funding amounts, refer to Appendix A – FY 2015
Program Allocations.
UASI Allocations
FY 2015 UASI funds will be allocated based on DHS/FEMA’s risk methodology and anticipated
effectiveness of proposed projects. Anticipated effectiveness is assessed based on the applicant’s
description of how proposed projects, as outlined in the IJ’s, align with the Urban Area
THIRA. Eligible candidates for the FY 2015 UASI program have been determined through an
analysis of relative risk of terrorism faced by the 100 most populous Metropolitan Statistical
Areas (MSAs) in the United States, in accordance with the Homeland Security Act of 2002, as
amended. Detailed information on MSAs is publicly available from the United States Census
Bureau at http://www.census.gov/population/www/metroareas/metrodef.html. For details on
program-specific funding amounts, refer to Appendix A – FY 2015 Program Allocations.
OPSG Allocations
The FY 2015 OPSG Risk Assessment is designed to identify the risk to border security and to
assist with the distribution of funds for the grant program. Funding under OPSG is distributed
based on the risk to the security of the border. Entities eligible for funding are the state, local
and Tribal law enforcement agencies that are located along the border of the United States.
For the purposes of OPSG, risk is defined as the potential for an adverse outcome assessed as a
function of threats, vulnerabilities, and consequences associated with an incident, event, or
occurrence.
Based upon ongoing intelligence analysis and extensive security reviews, DHS/FEMA continues
to focus the bulk of OPSG funds based upon risk analyses. The risk model used to allocate
OPSG funds considers the potential risk that certain threats pose to border security and estimate
the relative risk faced by a given area. In evaluating risk, DHS/FEMA considers the populations
in a particular area that could be at risk, the concentration of people in the area, and specific
characteristics of their location that might contribute to risk, such as Intelligence Community
assessments of threat and the potential impacts that the threats pose to the security of the border

18

FY 2015 HSGP NOFO

area. For vulnerability and consequence, DHS/FEMA considers the expected impact and
consequences of successful border events occurring in specific areas.
To determine the level of risk, two primary components are considered:
Threat: natural or man-made occurrence, individual, entity, or action that has or indicates the
potential to harm life, information, operations, the environment, and/or property. OPSG uses the
effect of the threat to the border to evaluate consequence.
Vulnerability: characteristic of design, location, security posture, operation, or any combination
thereof, that renders an asset, system, network, or entity susceptible to disruption, destruction, or
exploitation.
Threat and vulnerability are evaluated by assigning each factor a value based on specific
operational data from CBP Components. Threat components present in each of the Sectors are
used to determine the overall threat score.
These components are:
Terrorism
Criminal Aliens
Drug Trafficking Organizations
Alien Smuggling Organizations
Review Criteria
FY 2015 HSGP applications will be evaluated through a review process for completeness,
adherence to programmatic guidelines, and anticipated effectiveness of the proposed
investments. Applicants will be required to align all IJs to at least one core capability identified
in the Goal. Descriptions of projects should be clear and concise and should include whether the
project supports a NIMS typed resource and whether assets are deployable/shareable. The grant
funded activities of every project must align to the HSGP solution areas: Planning, Organization,
Exercises, Training and/or Equipment (POETE). A project may have activities in more than one
solution area.
Grant projects must be: 1) both feasible and effective at reducing the risks for which the project
was designed; and 2) able to be fully completed within the 3-year period of performance.
FEMA will use the information provided in the application and after the submission of the first
BSIR, to determine the feasibility and effectiveness of the grant project. Information that would
assist in the feasibility and effectiveness determination includes the following:
 Scope of work (purpose and objectives of the project, identification of what is
being protected, identification of core capability addressed and whether the
core capability is identified in the SPR, where applicable, as a priority)
 Desired outcomes, including expected long-term impact where applicable, and
discussion of which core capability gap it helps to close and how
 Summary of status of planning and design accomplished to date (e.g. included
in a capital improvement plan)
19

FY 2015 HSGP NOFO

 Project schedule
Grantees are expected to conform, as applicable, with accepted engineering practices, established
codes, standards, modeling techniques, and best practices.
Review and Selection Process
SHSP and UASI
Using a Reviewer Checklist, DHS/FEMA will verify compliance with all administrative and
eligibility criteria identified in the NOFO and review the submission of risk-driven, capabilitiesbased IJs. Using previously submitted SPR data, DHS/FEMA will verify alignment of the
proposed investments and projects to gaps identified through the THIRA/SPR process and
national priorities identified in the NPR. IJs will be reviewed at both the investment and project
level. The IJ will receive either an approval or conditional approval. Those IJs that are
conditionally approved will be revised and must receive final approval prior to access to full
funding.
Fusion Center investments will be jointly reviewed by FEMA and the DHS Office of Intelligence
and Analysis for compliance with HSGP NOFO requirements to prioritize the alignment of
requests with results from the annual Fusion Center Assessment Program. Investments that do
not meet the requirements will be revised and must receive approval prior to accessing funds
allocated to fusion center activities.
OPSG
Applications will be reviewed by the SAA and USBP Sector Headquarters for completeness and
adherence to programmatic guidelines and evaluated for anticipated feasibility, need, and impact
of the Operations Orders.
DHS/FEMA will verify compliance with all administrative and eligibility criteria identified in
the NOFO and required submission of Operations Orders and Inventory of Operations Orders by
the established due dates. DHS/FEMA and USBP will use the results of both the risk analysis
and the Federal review by DHS/FEMA to make recommendations for funding to the Secretary of
Homeland Security.
FY 2015 OPSG funds will be allocated competitively based on risk-based prioritization using the
USBP Sector-specific border risk methodology described above. Final funding allocations are
determined by the Secretary, who may consider information and input from various law
enforcement offices or subject matter experts within the Department. Factors considered
include, but are not limited to: threat, vulnerability, miles of border, and other border-specific
“law enforcement intelligence,” as well as feasibility of FY 2015 Operation Orders to designated
localities within the United States Border States and territories. For details on program-specific
funding amounts, please refer to Appendix A – FY 2015 Program Allocations.

20

FY 2015 HSGP NOFO

F.

Federal Award Administration Information
Notice of Award
Notification of award approval is made through the ND Grants system through an automatic
electronic mail to the awardee authorized official listed in the initial application. The “award
date” for HSGP will be the date that DHS/FEMA approves the award. The awardee should
follow the directions in the notification to confirm acceptance of the award.
Recipients must accept their awards no later than 90 days from the award date. The recipient
shall notify the awarding agency of its intent to accept and proceed with work under the award
through the ND Grants system. For instructions on how to accept or decline an award in the ND
Grants system, please see pages 40-43 in the ND Grants Recipient Training Manual.
Funds will remain on hold until the recipient accepts the award through the ND Grants system
and all other conditions of award have been satisfied, or the award is otherwise rescinded.
Failure to accept the grant award within the 90 day timeframe may result in a loss of funds.
SHSP and UASI Pass-Through Requirements
Awards made to the SAA for HSGP carry additional pass-through requirements. Pass through is
defined as an obligation on the part of the SAA to make funds available to local units of
government, combinations of local units, tribal governments, or other specific groups or
organizations. The SAA’s pass through requirement must be met within 45 days of the award
date. Four requirements must be met to pass through grant funds:





There must be some action to establish a firm commitment on the part of the
SAA;
The action must be unconditional on the part of the awarding entity (i.e., no
contingencies for availability of SAA funds);
There must be documentary evidence (i.e., award document, terms and
conditions) of the commitment; and
The award terms must be communicated to the official recipient

The SAA must obligate at least 80 percent (80%) of the funds awarded under SHSP and UASI to
local or Tribal units of government within 45 days of receipt of the funds. ‘Receipt of funds’
occurs when the recipient accepts the award or 15 days after the recipient is notified of the
award, whichever comes first. The signatory authority of the SAA must certify in writing to
DHS/FEMA that pass-through requirements have been met. A letter of intent (or equivalent) to
distribute funds is not considered sufficient. The pass through requirement does not apply to
SHSP awards made to the District of Columbia, Guam, American Samoa, the U.S. Virgin
Islands, and the Commonwealth of the Northern Mariana Islands. The Commonwealth of Puerto
Rico is required to comply with the pass-through requirement and its SAA must also obligate at
least 80 percent (80%) of the funds to local units of government within 45 days of receipt of the
funds. Any UASI funds retained by the SAA must be used to directly support the designated
Urban Areas in the state. The SAA must propose an investment describing how such UASI
funds it retains will be used to directly support the Urban Area.

21

FY 2015 HSGP NOFO

Under SHSP, the SAA may retain more than 20 percent (20%) of SHSP funding for expenditure
made by the state on behalf of the local unit(s) of government. This may occur only with the
written consent of the local unit of government, specifying the amount of funds to be retained
and the intended use of funds. If a written consent agreement is already in place from previous
fiscal years, DHS/FEMA will continue to recognize it for FY 2015. If modifications to the
existing agreement are necessary, the SAA should contact their assigned Headquarters Program
Analyst.
OPSG Pass-Through Requirement
The recipient must pass through 100 percent (100%) of OPSG allocations to eligible
jurisdictions. The recipient is prohibited from obligating or expending funds provided through
this award until each unique and specific county-level or equivalent Operational
Order/Fragmentary Operations Order budget has been reviewed and approved through an official
electronic mail notice issued by DHS/FEMA removing this special programmatic condition.
Administrative and National Policy Requirements
Successful applicants for all DHS/FEMA grant and cooperative agreements are required to
comply with DHS/FEMA Standard Administrative Terms and Conditions, which are available
online at http://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions.
Before accepting the award the authorized official should carefully read the award package. The
award package contains instructions on administering the grant award, as well as the terms and
conditions with which the recipient must comply. Recipients must accept all the conditions in
this NOFO as well as all Terms and Conditions in the Notice of Award to receive an award under
this program.
Reporting
Recipients are required to submit various financial and programmatic reports as a condition of
their award acceptance. Future awards and funds drawdown may be withheld if these reports are
delinquent.
Federal Financial Reporting Requirements
Federal Financial Report (FFR)
Recipients must report obligations and expenditures on a quarterly basis through the
FFR (SF-425) to DHS/FEMA. Recipients must file the FFR electronically using the
Payment and Reporting System (PARS). A FFR must be submitted quarterly
throughout the period of performance, including partial calendar quarters, as well as for
periods where no grant award activity occurs. Future awards and fund drawdowns may
be withheld if these reports are delinquent, demonstrate lack of progress, or are
insufficient in detail.
Recipients may review the Federal Financial Reporting Form (FFR) (SF-425) here:
http://www.whitehouse.gov/sites/default/files/omb/grants/approved_forms/SF-425.pdf,
SF-425 OMB #00348-0061.

22

FY 2015 HSGP NOFO

Financial Reporting Periods and Due Dates
The following reporting periods and due dates apply for the FFR:
Reporting Period

Report Due Date

October 1 – December 31

January 30

January 1 – March 31

April 30

April 1 – June 30

July 30

July 1 – September 30

October 30

Financial and Compliance Audit Report
For audits of fiscal years beginning on or after December 26, 2014, recipients that expend
$750,000 or more from all Federal funding sources during their fiscal year are required to
submit an organization-wide financial and compliance audit report. The audit must be
performed in accordance with the requirements of Government and Accountability
Office’s (GAO) Government Auditing Standards, located at
http://www.gao.gov/govaud/ybk01.htm, and the requirements of Subpart F of 2 C.F.R.
Part 200, located at http://www.ecfr.gov/cgi-bin/textidx?SID=55e12eead565605b4d529d82d276105c&node=2:1.1.2.1.1.6&rgn=div6.
For audits of fiscal years beginning prior to December 26, 2014, recipients that expend
$500,000 or more from all Federal funding sources during their fiscal year are required to
submit an organization-wide financial and compliance audit report. The audit must be
performed in accordance with GAO’s Government Auditing Standards, located at
http://www.gao.gov/govaud/ybk01.htm, and OMB Circular A-133, Audits of States, Local
Governments, and Non-Profit Organizations, located at
http://www.whitehouse.gov/omb/circulars/a133_compliance_supplement_2012
Program Performance Reporting Requirements
Performance Progress Reports (SF-PPR)
Recipients are responsible for providing updated performance reports using the SF-PPR
on a biannual basis. Recipients must submit the cover page of the SF-PPR as an
attachment to the ND Grants system. The SF-PPR can be accessed online at
http://www.na.fs.fed.us/fap/SF-PPR_Cover%20Sheet.pdf. As part of the SF-PPR,
recipients will be required to report on progress towards implementing the following
performance measures:


For fusion centers, the achievement of capabilities and compliance with
measurement requirements within the Maturation and Enhancement of State
and Major Urban Area Fusion Centers priority through the annual Fusion
Center Assessment Program managed by the DHS Office of Intelligence and
Analysis (I&A) and reported to DHS/FEMA.
23

FY 2015 HSGP NOFO

Program Performance Reporting Periods and Due Dates
The following reporting periods and due dates apply for the PPR:
Reporting Period

Report Due Date

January 1 – June 30

July 30

July 1 – December 31

January 30

Biannual Strategy Implementation Report (BSIR)
In addition to the quarterly financial and biannual performance progress reports,
recipients are responsible for completing and submitting BSIRs through the Grants
Reporting Tool (GRT). The BSIR is due within 30 days after the end of the reporting
period (July 30 for the reporting period of January 1 through June 30 (the summer BSIR
report); and January 30 for the reporting period of July 1 through December 31 (winter
BSIR report). All required attributes of each project must be included. Updated
obligations, expenditures, and significant developments must be provided within the
BSIR to show progress of implementation for every project, as well as how expenditures
support Planning, Organization, Equipment, Training and Exercises (POETE). The first
BSIR will be due January 30, 2016 (30 days after the end of the first reporting period for
the award). Subsequent BSIR reports will require recipients to report on a project-byproject basis.
Grant Reporting Tool (GRT) Registration
The Grants Reporting Tool (GRT) is the system in which HSGP recipients will submit
their BSIR information. HSGP recipients are responsible for filing a semi-annual BSIR
report in the GRT and should register to create an account as soon as possible.
Recipients should go to the following link and follow the links to create a new account:
https://www.reporting.odp.dhs.gov/. This report is used to track the progress toward the
completion of projects.
Emergency Operations Plan (EOP)
Recipients must update their EOP at least once every two years to comply with
Comprehensive Preparedness Guide (CPG) 101 Version 2.0, Developing and
Maintaining Emergency Operations Plans. Recipients will use the Unified Reporting
Tool (URT) to report their compliance with this reporting requirement.
Threat and Hazard Identification and Risk Assessment (THIRA)
FY 2015 HSGP award recipients must complete, or update (for FY 2014 HSGP
recipients) their THIRA using the URT by December 31, 2015. Further details on the
THIRA as it relates to HSGP Program requirements can be found in Appendix BProgram Priorities. For additional guidance on THIRA, please refer to CPG 201,
Second Edition, available at www.fema.gov/plan.

24

FY 2015 HSGP NOFO

State Preparedness Report (SPR)
The SPR is an annual capability assessment. The Post-Katrina Emergency Management
Reform Act of 2006 (PKEMRA) requires an SPR from any state/territory receiving
Federal preparedness assistance administered by DHS/FEMA. Each state submits an
annual SPR to DHS/FEMA. Refer to Appendix B – FY 2014 HSGP Program Priorities
for additional guidance on SPR requirements.
FY 2015 Unified Reporting Tool (URT)
The URT is DHS/FEMA’s collection mechanism for THIRA, SPR, and related
preparedness information. The FY 2015 SPR includes questions related to NIMS
adoption and implementation, CPG 101v2 compliance, and other preparedness questions,
as appropriate. Information on the URT, including when recipients will receive the tool
and how to use the tool, will be sent to recipients later in 2015.
Closeout
DHS/FEMA will close out the grant award when it determines that all applicable
administrative actions and all required work of the HSGP award have been completed by
the recipient. This section summarizes the actions that the recipient must take to
complete the closeout process in accordance with 2 C.F.R. § 200.343 at the end of the
grant’s period of performance or the issuance of a Grant Amendment Notice issued to
close out the grant.
Within 90 days after the end of the period of performance, or after an amendment has
been issued to close out a grant, whichever comes first, recipients must submit a final
FFR and final progress report detailing all accomplishments and a qualitative summary of
the impact of those accomplishments throughout the period of performance, as well as the
following documentation:
1)
2)
3)
4)

Final request for payment, if applicable;
SF-425 –Final Federal Financial Report;
SF-PPR – Final Performance Progress Report;
A qualitative narrative summary on the impact of those accomplishments
throughout the entire period of performance submitted to the respective
Grant Programs Directorate (GPD) HQ Program Analyst in a Word
document;
5) SF-428 – Tangible Personal Property Report – Inventory of all tangible
personal property acquired using funds from this award.
6) Other documents required by program guidance or terms and conditions of
the award.
If applicable, an inventory of all construction projects that used funds from this program
has to be reported using the Real Property Status Report (Standard Form SF 429)
available at http://www.whitehouse.gov/sites/default/files/omb/grants/approved_forms/sf429.pdf.
Additionally, the recipient must liquidate all obligations incurred under the HSGP award
no later than 90 calendar days after the end date of the period of performance or issuance
25

FY 2015 HSGP NOFO

of a Grant Amendment Notice that closes out the award, whichever comes first.
Recipients who do not liquidate their obligations within this time period may have the
costs of their unliquidated obligations disallowed. Recipients are also responsible for
promptly returning to DHS/FEMA the balance of any funds that have been drawn down,
but remain unliquidated.
After these reports have been reviewed and approved by DHS/FEMA, a close-out notice
will be completed to close out the grant. The notice will indicate the period of
performance as closed, list any remaining funds the recipient has not drawn down that
will be deobligated, and address requirements for record retention, and disposition and
reporting requirements for any equipment or real property purchased using THSGP grant
funding.
In addition, any HSGP recipient that issues subawards to any subrecipient is responsible
for closing out those subawards as described in 2 C.F.R. § 200.343. HSGP recipients
must ensure that they complete the closeout of their subawards in time to submit all
necessary documentation and information to DHS/FEMA during the closeout of their
own grant award.

G.

DHS/FEMA Awarding Agency Contact Information
Contact and Resource Information
Centralized Scheduling and Information Desk (CSID)
CSID is a non-emergency comprehensive management and information resource
developed by DHS/FEMA for grants stakeholders. CSID provides general information
on all DHS/FEMA grant programs and maintains a comprehensive database containing
key personnel contact information at the Federal, state, and local levels. When necessary,
recipients will be directed to a Federal point of contact who can answer specific
programmatic questions or concerns. CSID can be reached by phone at (800) 368-6498
or by e-mail at askcsid@dhs.gov, Monday through Friday, 8:00 a.m. – 5:30 p.m. EST.
Grant Programs Directorate (GPD) Grant Operations Division
GPD’s Grant Operations Division Business Office provides financial support and
technical assistance. The Grant Operations Division manages, administers, and conducts
application budget review, creates the award package, approves, amends and closes out
awards. Additional guidance and information can be obtained by contacting the
DHS/FEMA Call Center at (866) 927-5646 or via e-mail to ASK-GMD@dhs.gov.
FEMA Regions
FEMA Regions may also provide fiscal support, including pre- and post-award
administration and technical assistance such as conducting cash analysis, financial
monitoring, and audit resolution to the grant programs included in this solicitation. GPD
will provide programmatic support and technical assistance. A list of contacts in FEMA
Regions is available online.
26

FY 2015 HSGP NOFO

Systems Information
Grants.gov.
For technical assistance with Grants.gov, please call the customer support hotline
at (800) 518-4726.
Non-Disaster (ND) Grants.
For technical assistance with the ND Grants system, please contact
ndgrants@fema.gov or (800) 865-4076.
GPD Environmental Planning and Historic Preservation (GPD-EHP)
The DHS/FEMA GPD-EHP Team provides guidance and information about the EHP
review process to recipients and subrecipients. All inquiries and communications about
GPD projects or the EHP review process, including the submittal of EHP review
materials, should be sent to gpdehpinfo@fema.gov. EHP Technical Assistance, including
the EHP Screening Form, can be found online.
Telephone Device for the Deaf (TDD)
The Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service
(FIRS) number available for this announcement is: (800) 462-7585.
Hard copies of the NOFO
Hard copies of the NOFO can be downloaded from the common electronic “storefront”
Grants.gov .
H.

Additional Information
Extensions
Extensions to this program are allowed. Extensions to the initial period of performance
identified in the award will only be considered through formal, written requests to the
recipient’s respective HQ Program Analyst and must contain specific and compelling
justifications as to why an extension is required. SAAs are advised to coordinate with the
HQ Program Analyst as needed, when preparing an extension request. All extension
requests must address the following:
1) Grant program, fiscal year, and award number;
2) Reason for delay – this must include details of the legal, policy, or operational
challenges being experienced that prevent the final outlay of awarded funds
by the applicable deadline;
3) Current status of the activity/activities;
4) Approved period of performance termination date and new project completion
date;
5) Amount of funds drawn down to date;
6) Remaining available funds, both Federal and non-Federal;
27

FY 2015 HSGP NOFO

7) Budget outlining how remaining Federal and non-Federal funds will be
expended;
8) Plan for completion, including milestones and timeframes for achieving each
milestone and the position/person responsible for implementing the plan for
completion; and
9) Certification that the activity/activities will be completed within the extended
period of performance without any modification to the original Statement of
Work, as described in the investment justification and approved by
DHS/FEMA.
Recipients must submit all proposed extension requests to DHS/FEMA for review and
approval no later than 120 days prior to the end of the period of performance. In
accordance with GPD policy, extensions are typically granted for no more than a six
month time period. For more details please review Information Bulletin 379 at
http://www.fema.gov/pdf/government/grant/bulletins/info379.pdf.
National Preparedness
DHS/FEMA coordinates with local, state, territory, Tribal, and Federal governments as
well as the private and non-profit sectors to facilitate an all-of-nation/whole community,
risk driven, and capabilities-based approach to preparedness. This risk driven,
capabilities-based approach is grounded in the identification and assessment of risk
through the THIRA. For additional information on THIRA, please refer to:
http://www.fema.gov/threat-and-hazard-identification-and-risk-assessment. HSGP grant
recipients must submit a THIRA annually to ensure that the community’s shared
understanding of risk evolves to account for changes in the risk landscape, including
successful mitigation efforts, emerging threats, hazards, and associated
consequences. Information on the National Preparedness System can be found in the
National Preparedness System Description (released Nov 2011), at
http://www.fema.gov/national-preparedness-system. Additional details regarding the
National Preparedness System and how it is supported by HSGP can be found in
Appendix B-Program Priorities.
Payments
DHS/FEMA utilizes the Payment and Reporting System (PARS) for financial reporting,
invoicing and tracking payments.
DHS/FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of
payment to recipients. To enroll in the DD/EFT, the recipients must complete a Standard
Form 1199A, Direct Deposit Form.
Monitoring
Recipients will be monitored on an annual and as needed basis by DHS/FEMA staff, both
programmatically and financially, to ensure that the project goals, objectives,
performance requirements, timelines, milestone completion, budgets, and other related
program criteria are being met.

28

FY 2015 HSGP NOFO

Monitoring may be accomplished through desk-based reviews on-site monitoring visits,
or both. Monitoring will involve the review and analysis of the financial, programmatic,
performance, compliance and administrative processes, policies, activities, and other
attributes of each Federal assistance award and will identify areas where technical
assistance, corrective actions and other support may be needed.
Conflict of Interest
To eliminate and reduce the impact of conflicts of interest in the subaward process,
recipients and pass-through entities must follow their own policies and procedures
regarding the elimination or reduction of conflicts of interest when making
subawards. Recipients and pass-through entities are also required to follow any
applicable state, local, or Tribal statutes or regulations governing conflicts of interest in
the making of subawards.
The recipient or subrecipient must disclose to the respective Program Analyst, in writing,
any real or potential conflict of interest as defined by the Federal, state, local, or Tribal
statutes or regulations or their own existing policies, which may arise during the
administration of the Federal award within five days of learning of the conflict of
interest. Similarly, subrecipients must disclose any real or potential conflict of interest to
the pass-through entity as required by the Recipient’s conflict of interest policies, or any
applicable state, local, or Tribal statutes or regulations.
Conflicts of interest may arise during the process of DHS/FEMA making a Federal award
in situations where an employee, officer, or agent, any members of his or her immediate
family, his or her partner has a close personal relationship, a business relationship, or a
professional relationship, with an applicant, subapplicant, recipient, subrecipient, or
DHS/FEMA employees.

29

FY 2015 HSGP NOFO

Appendix A – FY 2015 Program Allocations
FY 2015 SHSP Allocations

State/Territory
Alabama
Alaska
American Samoa
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Total

FY 2015
Allocation
$3,734,500
$3,734,500
$854,000
$4,568,000
$3,734,500
$60,178,500
$3,979,000
$3,978,000
$3,734,500
$4,141,500
$11,040,500
$6,807,000
$854,000
$3,734,500
$3,734,500
$16,408,500
$3,978,000
$3,734,500
$3,734,500
$3,978,000
$3,978,000
$3,734,500
$6,153,500
$5,645,000
$6,658,000
$3,978,000
$3,734,500
$3,978,000

State/Territory
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Northern Mariana
Ohio
Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
U.S. Virgin Islands
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming

30
Appendix A - FY 2015 Program Allocations

FY 2015
Allocation
$3,734,500
$3,734,500
$3,734,500
$3,734,500
$8,354,000
$3,734,500
$76,949,000
$5,489,000
$3,734,500
$854,000
$7,698,000
$3,734,500
$3,837,000
$10,054,500
$3,734,500
$3,734,500
$3,734,500
$3,734,500
$3,978,000
$21,498,000
$854,000
$3,734,500
$3,734,500
$7,445,500
$6,493,000
$3,734,500
$3,978,000
$3,734,500
$402,000,000

FY 2015 UASI Allocations

State/Territory
Arizona

Funded Urban Area

FY 2015 UASI
Allocation

Phoenix Area
Anaheim/Santa Ana Area

California

$5,500,000

Bay Area

$28,400,000

Los Angeles/Long Beach Area

$69,500,000

Riverside Area

$3,000,000

San Diego Area

$16,874,000

Colorado

Denver Area

District of Columbia

National Capital Region

Florida

$5,500,000

$3,000,000
$54,000,000

Miami/Fort Lauderdale Area

$5,500,000

Tampa Area

$3,000,000

Georgia

Atlanta Area

$5,500,000

Hawaii

Honolulu Area

$3,000,000

Illinois

Chicago Area

$69,500,000

Maryland

Baltimore Area

$5,500,000

Massachusetts

Boston Area

$18,000,000

Michigan

Detroit Area

$5,500,000

Minnesota

Twin Cities Area

$5,500,000

Missouri

St. Louis Area

$3,000,000

Nevada

Las Vegas Area

$3,000,000

New Jersey

Jersey City/Newark Area

New York

New York City Area

North Carolina

Charlotte Area

$3,000,000

Oregon

Portland Area

$3,000,000

Pennsylvania

Texas
Washington

Philadelphia Area
Pittsburgh Area
Dallas/Fort Worth/Arlington
Area
Houston Area
Seattle Area

Total

$20,800,000
$180,926,000

$18,500,000
$3,000,000
$15,500,000
$24,000,000
$5,500,000
$587,000,000

31
Appendix A - FY 2015 Program Allocations

FY 2015 SHSP and UASI LETPA Minimums

Alabama

Total
Allocation by
State
$3,734,500
$3,734,500

Alaska

$3,734,500

$3,734,500

$854,000

$854,000

$213,500

$4,568,000

$10,068,000

$2,517,000

$3,734,500

$3,734,500

$933,625

$123,274,000

$60,178,500

$183,452,500

$45,863,125

$3,000,000

State/Territory

Funded Urban Area(s)

UASI
Allocation

Total UASI
Allocation

American Samoa
Arizona

Phoenix Area

$5,500,000

Anaheim/Santa Ana Area

$5,500,000

$5,500,000

Arkansas

California

Bay Area

$28,400,000

Los Angeles/Long Beach Area

$69,500,000

Riverside Area
San Diego Area
Colorado

SHSP
Allocation

LETPA
$933,625
$933,625

$3,000,000
$16,874,000
$3,979,000

$6,979,000

$1,744,750

Connecticut

$3,978,000

$3,978,000

$994,500

Delaware

$3,734,500

$3,734,500

$933,625

$54,000,000

$4,141,500

$58,141,500

$14,535,375

$8,500,000

$11,040,500

$19,540,500

$4,885,125

$5,500,000

$6,807,000

$12,307,000

$3,076,750

$854,000

$854,000

$213,500

$6,734,500

$1,683,625

District of Columbia
Florida
Georgia

Denver Area

National Capital Region

$3,000,000

$54,000,000

Miami/Fort Lauderdale Area

$5,500,000

Tampa Area

$3,000,000

Atlanta Area

$5,500,000

Guam
Hawaii

Honolulu Area

$3,000,000

$3,000,000

$3,734,500
$3,734,500

$3,734,500

$933,625

Chicago Area

$69,500,000

$69,500,000

$16,408,500

$85,908,500

$21,477,125

Indiana

$3,978,000

$3,978,000

$994,500

Iowa

$3,734,500

$3,734,500

$933,625

Kansas

$3,734,500

$3,734,500

$933,625

Kentucky

$3,978,000

$3,978,000

$994,500

Louisiana

$3,978,000

$3,978,000

$994,500

Maine

$3,734,500

$3,734,500

$933,625

Idaho
Illinois

Maryland

Baltimore Area

$5,500,000

$5,500,000

$6,153,500

$11,653,500

$2,913,375

Massachusetts
Michigan

Boston Area

$18,000,000

$18,000,000

$5,645,000

$23,645,000

$5,911,250

Detroit Area

$5,500,000

$5,500,000

$6,658,000

$12,158,000

Minnesota

$3,039,500

Twin Cities Area

$5,500,000

$5,500,000

$3,978,000

$9,478,000

$2,369,500

$3,734,500

$3,734,500

$933,625

$3,978,000

$6,978,000

$1,744,500

Montana

$3,734,500

$3,734,500

$933,625

Nebraska

$3,734,500

$3,734,500

$933,625

$3,734,500

$6,734,500

$1,683,625

Mississippi
Missouri

Nevada

St. Louis Area

Las Vegas Area

$3,000,000

$3,000,000

$3,000,000

$3,000,000

$3,734,500

$3,734,500

$933,625

$20,800,000

$20,800,000

$8,354,000

$29,154,000

$7,288,500

$3,734,500

$3,734,500

$933,625

$180,926,000

$180,926,000

$76,949,000

$257,875,000

$64,468,750

$3,000,000

$3,000,000

$5,489,000

$8,489,000

$2,122,250

$3,734,500

$3,734,500

$933,625

$854,000

$854,000

$213,500

$7,698,000

$7,698,000

$1,924,500

$3,734,500

$3,734,500

$933,625

$3,837,000

$6,837,000

$1,709,250

New Hampshire
New Jersey

Jersey City/Newark Area

New Mexico
New York

New York City Area

North Carolina

Charlotte Area

North Dakota
Northern Mariana Islands
Ohio
Oklahoma
Oregon

Portland Area

$3,000,000

$3,000,000

32
Appendix A - FY 2015 Program Allocations

FY 2015 SHSP and UASI LETPA Minimum (continued)
State/Territory

Pennsylvania

Funded Urban Area(s)
Philadelphia Area

UASI
Allocation
$18,500,000

Total UASI
Allocation

Total
Allocation by
State

LETPA

$10,054,500

$31,554,500

$7,888,625

Puerto Rico

$3,734,500

$3,734,500

$933,625

Rhode Island

$3,734,500

$3,734,500

$933,625

South Carolina

$3,734,500

$3,734,500

$933,625

South Dakota

$3,734,500

$3,734,500

$933,625

Tennessee

$3,978,000

$3,978,000

$994,500

$21,498,000

$60,998,000

$15,249,500

Texas

Pittsburgh Area

$3,000,000

Dallas/Fort Worth/Arlington Area

$15,500,000

Houston Area

$24,000,000

$21,500,000

SHSP
Allocation

$39,500,000

U.S. Virgin Islands

$854,000

$854,000

$213,500

Utah

$3,734,500

$3,734,500

$933,625

Vermont

$3,734,500

$3,734,500

$933,625

Virginia

$7,445,500

$7,445,500

$1,861,375

Washington

$6,493,000

$11,993,000

$2,998,250

West Virginia

$3,734,500

$3,734,500

$933,625

Wisconsin

$3,978,000

$3,978,000

$994,500

Wyoming

$3,734,500

$3,734,500

$933,625

$402,000,000

$989,000,000

$247,250,000

Total

Seattle Area

$5,500,000

$587,000,000

$5,500,000

$587,000,000

33
Appendix A - FY 2015 Program Allocations

FY 2015 OPSG Eligible States and Territories

States and Territories
Alabama

Massachusetts

Pennsylvania

Alaska

Michigan

Rhode Island

Arizona

Minnesota

South Carolina

California

Mississippi

Texas

Connecticut

Montana

Vermont

Delaware

New Hampshire

Virginia

Florida

New Jersey

Washington

Georgia

New Mexico

Wisconsin

Hawaii

New York

Puerto Rico

Idaho

North Carolina

U.S. Virgin Islands

Louisiana

North Dakota

American Samoa

Maine

Ohio

Guam

Maryland

Oregon

Northern Mariana Islands

Note: Not all applicants are guaranteed to receive funding under the FY 2015 OPSG.

34
Appendix A - FY 2015 Program Allocations

Appendix B – Program Priorities
Alignment of HSGP to the National Preparedness System
The Nation utilizes the National Preparedness System to build, sustain, and deliver core
capabilities in order to achieve the National Preparedness Goal (the Goal). The Goal is “a secure
and resilient Nation with the capabilities required across the whole community to prevent,
protect against, mitigate, respond to, and recover from the threats and hazards that pose the
greatest risk.”
The objective of the National Preparedness System is to facilitate an integrated, all-of-Nation,
risk informed, capabilities-based, whole community approach to preparedness. Complex and
far-reaching threats and hazards require the engagement of individuals, families, communities,
private and nonprofit sectors, faith-based organizations, and all levels of government
(http://www.fema.gov/whole-community).
Recipients will use the National Preparedness System to support building, sustaining, and
delivering these core capabilities. The components of the National Preparedness System are:
Identifying and Assessing Risk; Estimating Capability Requirements; Building and Sustaining
Capabilities; Planning to Deliver Capabilities; Validating Capabilities; and Reviewing and
Updating. For more information on each component, read the National Preparedness System
description available at http://www.fema.gov/national-preparedness-system.
The FY 2015 HSGP contributes to the implementation of the National Preparedness System by
financially supporting the ability of States and local jurisdictions to build, sustain, and deliver
core capabilities identified in the Goal. The HSGP’s allowable costs support efforts across the
five mission areas of Prevention, Protection, Mitigation, Response, and Recovery.
A key focus and requirement of the HSGP is to prevent terrorism and other catastrophic events
and to prepare the Nation for the threats and hazards that pose the greatest risk to the security and
resilience of the United States, and the greatest risks along the Nation’s Borders. When
applicable, funding should support deployable assets that can be used anywhere in the Nation
through automatic assistance and mutual aid agreements, including but not limited to the
Emergency Management Assistance Compact (EMAC).
In addition, DHS/FEMA expects recipients to prioritize grant funding to address gaps identified
through the annual SPR in achieving capability targets set through the annual THIRA. These
assessments identify the jurisdiction’s capability targets and current ability to meet those
targets. Recipients should prioritize grant funds to increase capability for high-priority core
capabilities with low capability levels. Minimum funding amounts are not prescribed by the
Department for these priorities; however recipients are expected to support state, local, regional,
and national efforts in achieving the desired outcomes of these priorities.
Recipients are expected to consider national areas for improvement identified in the 2014 NPR,
which include cybersecurity, enhancing the resilience of infrastructure systems, health and social

35

Appendix B—FY 2015 HSGP Priorities

services, housing, and long-term vulnerability reduction. Addressing these areas for
improvement will enhance preparedness nation-wide.
The FY 2015 HSGP supports investments that improve the ability of jurisdictions nationwide to:





Prevent a threatened or an actual act of terrorism;
Protect our citizens, residents, visitors, and assets against the greatest threats and hazards;
Mitigate the loss of life and property by lessening the impact of future catastrophic events;
Respond quickly to save lives, protect property and the environment, and meet basic human
needs in the aftermath of a catastrophic incident; and/or
 Recover through a focus on the timely restoration, strengthening, accessibility and
revitalization of infrastructure, housing, and a sustainable economy, as well as the health,
social, cultural, historic, and environmental fabric of communities affected by a
catastrophic incident.
The core capabilities contained in the Goal are highly interdependent and require the use of
existing preparedness networks and activities, to improve training and exercise programs, to
promote innovation, and to ensure that the appropriate administrative, finance, and logistics
systems are in place.
Reporting on the Implementation of the National Preparedness System
Identifying and Assessing Risk and Estimating Capability Requirements
In order to qualify for HSGP Program funding, all recipients shall develop and maintain an
annual THIRA and an annual SPR. A THIRA provides a comprehensive approach for
identifying and assessing risks and associated impacts. It expands on existing local, Tribal,
territorial, and State Hazard Identification and Risk Assessments (HIRAs) and other risk
methodologies by broadening the factors considered in the process, incorporating the whole
community throughout the entire process, and by accounting for important community-specific
characteristics. CPG 201, Second Edition is available at http://www.fema.gov/threat-andhazard-identification-and-risk-assessment.
In step four of the THIRA process, a jurisdiction should estimate the resources required to
deliver the capability targets set in their THIRAs. Communities express resource requirements
as a list of whole community resources needed to successfully manage their capability targets.
Each jurisdiction should decide which combination of resources is most appropriate to achieve
its capability targets.
The SPR is an annual self-assessment of state preparedness submitted by the 56 States and
territories to DHS/FEMA. The Post-Katrina Emergency Management Reform Act of 2006
(PKEMRA) requires an SPR from any state or territory receiving Federal preparedness
assistance administered by the Department of Homeland Security.
Reporting
 UASIs are required to submit an annual update to their THIRA. UASIs will
submit their THIRA to the designated SAA. THIRA submissions shall be in
alignment with CPG 201, Second Edition. The Urban Area should coordinate
internally to ensure its submission represents all jurisdictions within the UASI
36

Appendix B—FY 2015 HSGP Priorities

program. UASI submissions of the THIRA are due no later than December 31each
year.
 States are required to submit an annual update to their THIRA. States will submit
their THIRA update along with their annual SPR through the URT and email a copy
of the URT submission to their respective DHS/FEMA Regional Federal
Preparedness Coordinator and copy fema-spr@fema.dhs.gov. THIRA submissions
shall be in alignment with CPG 201, Second Edition. State submissions of the
THIRA and SPR are due no later than December 31 each year. The state should
coordinate with each eligible Urban Area to ensure that the UASI THIRA
submissions occur in advance of this deadline, as the state must include the Urban
Area’s input when conducting the statewide SPR assessment.
Building and Sustaining Capabilities
HSGP recipients should ensure that funding is used to sustain core capabilities funded by past
HSGP funding cycles and grant programs. New capabilities should not be built at the expense of
maintaining current and critically needed core capabilities. New capabilities also must be
aligned with capability targets and gaps identified through the THIRA/SPR process.
Reporting
As part of programmatic monitoring, recipients will be required to describe how
expenditures support maintenance and sustainment of current core capabilities within the
BSIR. HSGP recipients will, on a project-by-project basis, check one of the following:
 Sustaining or maintaining a capability acquired with Federal homeland security
funding;
 Sustaining or maintaining a capability acquired without Federal homeland
security funding; or
 Developing or acquiring a new core capability.
NIMS Implementation
Recipients receiving HSGP funding are required to implement the NIMS. The NIMS uses a
systematic approach to integrate the best existing processes and methods into a unified national
framework for incident management. Incident management refers to how incidents are managed
across all homeland security activities, including prevention, protection, and response,
mitigation, and recovery. FY 2015 HSGP recipients must use standardized resource
management concepts for resource typing, credentialing, and an inventory to facilitate the
effective identification, dispatch, deployment, tracking and recovery of resources.
Reporting
 Recipients report on NIMS implementation through the SPR.
Fusion Centers
DHS/FEMA has identified state and major Urban Area fusion centers as a critical component of
our Nation’s distributed homeland security and counterterrorism architecture. They provide
grassroots intelligence and analytic capabilities within the state and local jurisdiction
(http://www.dhs.gov/state-and-major-urban-area-fusion-centers). To that end, DHS/FEMA
preparedness grants will continue to support designated state and major Urban Area fusion
37

Appendix B—FY 2015 HSGP Priorities

centers (http://www.dhs.gov/fusion-center-locations-and-contact-information) and the maturation
of the Information Sharing Environment (ISE).
The national network of fusion centers (National Network) provides a mechanism for the Federal
government to receive information from state, local, territory and Tribal partners, which helps
create a more complete threat picture at the National level. Participating in the Nationwide
Suspicious Activity Reporting (SAR) Initiative enables fusion centers to receive and analyze
suspicious activity reporting from frontline public safety personnel, the private sector, and the
public, and ensure the sharing of SAR with the Federal Bureau of Investigation’s Joint Terrorism
Task Forces for further investigation.
In support of this strategic vision, the DHS/FEMA is requiring designated state and major Urban
Area fusion centers to participate in an annual assessment of their achievement of Critical
Operational Capabilities (COCs) and Enabling Capabilities (ECs).
As maturation of the National Network continues to be a high priority in FY 2015, DHS/FEMA
is requiring that all fusion center related funding requests be consolidated into a single (1)
investment for states or Urban Areas in which designated fusion centers reside. The single
investment provides states and urban areas a means to centrally manage and report on fusion
center related activities. Recipients must coordinate with the fusion center when developing
a fusion center investment prior to application submission and the investment must directly
align to and reference capability gaps identified during the center’s individual 2014 Fusion
Center Assessment Report. In particular, each proposed project included in the fusion
center investment must reference the corresponding COC or EC, as well as associated
attribute(s), the funding investment is intended to address. Additionally, any jurisdiction or
agency that leverages HSGP funds to support intelligence- or fusion process-related activities
(e.g., intelligence unit, real time crime information and analysis centers) must ensure efforts are
integrated and/or coordinated with the state or major Urban Area fusion center(s).
State and major Urban Area fusion centers receiving SHSP and/or UASI grant funds will be
evaluated based on compliance with the guidance and requirements for the National Network as
set forth by DHS I&A through the annual Fusion Center Assessment Program.
 FY2015 Fusion Center Grant requirements are listed at http://www.dhs.gov/homelandsecurity-grant-program-hsgp.
 DHS/FEMA approved analyst courses that meet the grant requirement are listed at
http://www.dhs.gov/fema-approved-intelligence-analyst-training-courses.
Through the SF-PPR, fusion centers will report on the achievement of capabilities and
compliance with measurement requirements within the Maturation and Enhancement of State
and major Urban Area fusion centers priority through the annual Fusion Center Assessment
Program managed by DHS I&A and reported to FEMA.
Planning to Deliver Capabilities
Recipients shall develop and maintain, jurisdiction-wide, all threats and hazards EOPs consistent
with CPG 101 v.2. Recipients must update their EOP at least once every two years.

38

Appendix B—FY 2015 HSGP Priorities

Reporting
 Recipients report EOP compliance with CPG 101 v2 in the SPR.
Validating Capabilities
Recipients should engage elected and appointed officials and other whole community
stakeholders to identify long-term training and exercise priorities. These priorities should
address capability targets and gaps identified through the annual THIRA and SPR processes,
areas for improvement identified from real-world events and preparedness exercises, and
national areas for improvement identified in the most recent NPR.
Recipients should document these priorities and schedule of exercise events and supporting
training activities in a Multi-year Training and Exercise Plan (TEP). Information related to TEPs
and Training and Exercise Planning Workshops (TEPWs) can be found on the Homeland
Security Exercise and Evaluation Program (HSEEP) website at https://www.fema.gov/exercise.
All recipients will develop and maintain a progressive exercise program consistent with HSEEP
and support of the National Exercise Program (NEP) (http://www.fema.gov/national-exerciseprogram). Recipients can examine and validate capability through exercises and are strongly
encouraged to nominate exercises into the National Exercise Program (NEP). The NEP serves as
the principal exercise mechanism for examining national preparedness and measuring readiness.
Reporting
 Recipients and sub-recipients are required to develop a TEP that identifies
training and exercise priorities and activities. The TEP shall be submitted to
hseep@fema.dhs.gov no later than June 1annually. States are encouraged to post their
schedules to the National Exercise Scheduling System (NEXS) at
https://www.fema.gov/exercise.
 Recipients are required to submit one After Action Report/Improvement Plan
(AAR/IP) for each HSGP-funded progressive exercise series; or submit individual
AAR/IPs for each HSGP-funded exercise. AAR/IPs should be submitted to
hseep@fema.dhs.gov, no more than 90 days after completion of the
exercise. Recipients are reminded of the importance of implementing corrective
actions iteratively throughout the progressive exercise cycle. Recipients are
encouraged to use the HSEEP AAR/IP template located at
https://www.fema.gov/exercise and use the Corrective Action Program (CAP) System
at https://hseep.dhs.gov/caps/, to track the implementation of corrective actions listed
in the AAR/IP.
Reviewing and Updating
On a recurring basis, capability levels, resources, and plans should be reviewed to determine if
they remain relevant or need to be updated. This review should be ongoing and based on a
current risk assessment and utilize information gathered during the validation process. These
reviews provide a means to examine preparedness analyses, determine priorities, direct
preparedness actions, and calibrate goals and objectives.

39

Appendix B—FY 2015 HSGP Priorities

Supplemental SHSP Guidance
Governance
In keeping with the guiding principles of governance for all DHS/FEMA preparedness programs,
recipients must coordinate activities across preparedness disciplines and levels of government,
including state, territorial, local, and Tribal governments. A cohesive planning framework
should incorporate DHS/FEMA resources, as well as those from other Federal, state, territory,
local, private sector, faith-based community, and Tribal organizations. Specific attention should
be paid to how available preparedness funding sources can effectively support a whole
community approach to emergency preparedness and management and the enhancement of core
capabilities. To ensure this, the SAA must establish or reestablish a unified Senior Advisory
Committee (SAC).
Senior Advisory Committee (SAC)
The SAC builds upon previously established advisory bodies under HSGP (including the SHSP
and UASI programs), Nonprofit Security Grant Program (NSGP), Transit Security Grant
Program (TSGP), and Port Security Grant Program (PSGP). Examples of advisory bodies that
should be included on the SAC include: Urban Area Working Groups (UAWGs), Statewide
Interoperability Governing Board (SIGB), Area Maritime Security Committees (AMSCs),
Regional Transportation Security Working Groups (RTSWGs), Citizen Corps Councils,
Disability Inclusion Working Groups, and Children’s Working Groups. To ensure a whole
community effort, SAC membership should include representation from relevant jurisdictions,
response disciplines, UASI-funded Urban Areas, Citizen Corps Councils, Tribal organizations,
and non-profit, faith based, and other voluntary organizations such as the American Red Cross.
SACs are encouraged to develop subcommittee structures, as necessary, to address issue- or
region-specific considerations.
The responsibilities of a SAC include:
 Integrating preparedness activities across disciplines, the private sector, non-profit
organizations, faith-based and community organizations, and all levels of government,
including local, state, Tribal, and territorial, with the goal of maximizing coordination
and reducing duplication of effort;
 Creating a cohesive planning network that builds and implements preparedness
initiatives using DHS/FEMA resources, as well as other Federal, state, territorial, local,
private sector, faith-based community, and Tribal resources;
 Management of all available preparedness funding sources to ensure their effective use
of and to minimize duplication of effort; and
 Ensuring applications for SHSP and UASI funds align with the capability gaps
identified in the THIRA and SPR.
SAC Composition and Scope
1. Membership. The SAC must include whole community intrastate and interstate
partners as applicable and have balanced representation among entities with operational
responsibilities for terrorism/disaster prevention, protection, mitigation, response, and
recovery activities within the state.
40

Appendix B—FY 2015 HSGP Priorities

The membership of the SAC must reflect the threats and hazards identified in the state's
THIRA as well as each of the core capabilities, in particular those core capabilities
identified as having large capability gaps identified in the state’s most recent SPR. SAAs
will use the URT to verify compliance of SAC charter requirements. Further, the SAC
must include representatives that were involved in the production of the state’s THIRA and
represent the interests of the five mission areas as outlined in the Goal.
The above membership requirement does not prohibit states, Urban Areas, regional transit
and port entities, or other recipients of DHS/FEMA preparedness funding from retaining
their existing structure under separate programs; however, at a minimum, those bodies
must support and feed into the larger SAC. The composition, structure and charter of the
SAC should reflect this focus on building core capabilities, instead of simply joining
previously existing advisory bodies under other grant programs.
The SAA must ensure that appropriate representation from defined UASI-funded Urban
Areas is included on the SAC. DHS/FEMA strongly encourages that, wherever possible,
previously established local working groups be leveraged for this purpose to ensure that
UASI resources are managed in the most efficient and effective manner possible. The
UAWG should also support state efforts to develop the THIRA and SPR, particularly as it
relates to UASI activities.
For designated Urban Areas, the SAA POCs are responsible for identifying and
coordinating with the POC for the UAWG, who should be a member of the SAC. The
POC’s contact information must be provided to DHS/FEMA with the grant application.
SAAs must work with existing Urban Areas to ensure that information for current POCs is
on file with DHS/FEMA.
Finally, DHS/FEMA recommends that organizations advocating on behalf of youth, older
adults and individuals with disabilities and others with access and functional needs, socioeconomic factors and cultural diversity, be invited to participate in the SAC.
2.Collaboration with state agencies and other stakeholder organizations.
Program representatives from the following entities should be members of the SAC (as
applicable): State Homeland Security Advisor (HSA) (if this role is not also the SAA),
State Emergency Management Agency (EMA) Director, State Public Health Officer, State
Public Safety Officer (and SAA for Justice Assistance Grants, if different), State
Coordinator for the DOD 1033 Program , State Court Official, State Emergency Medical
Services (EMS) Director, State Trauma System Manager, Statewide Interoperability
Coordinator, State Citizen Corps Council, the State Emergency Medical Services for
Children (EMSC) Coordinator, State Education Department, State Human Services
Department, State Child Welfare Services, State Juvenile Justice Services, Urban Area
POC, Senior Members of AMSCs, Senior Members of the RTSWG, Senior Security
Officials from Major Transportation Systems, and the Adjutant General.

41

Appendix B—FY 2015 HSGP Priorities

Senior Advisory Committee Charter
The governance of the SHSP and UASI programs through the SAC should be directed by a
charter. All members of the SAC should sign and date the charter showing their agreement with
its content and their representation on the Committee. Revisions to the governing charter must
be sent to the recipient’s assigned Headquarters Program Analyst. The SAC charter must at a
minimum address the following:






A detailed description of the SAC’s composition and an explanation of key governance
processes, including how SAC is informed by the state’s THIRA and SPR data
reflecting capability gaps and the approach to address gaps in core capabilities;
A description of the frequency at which the SAC will meet;
How existing governance bodies will be leveraged by the Committee;
A detailed description of how decisions on programmatic priorities funded by SHSP
and UASI are made and how those decisions will be documented and shared with its
members and other stakeholders, as appropriate; and
A description of defined roles and responsibilities for financial decision making and
meeting administrative requirements.

To ensure ongoing coordination efforts, SAAs are encouraged to share community preparedness
information submitted in the state’s BSIR with members of the SAC. The charter should be
made available upon request to promote transparency in decision-making related to HSGP
activities.
To manage this effort and to further reinforce collaboration and coordination across the
stakeholder community, a portion of the 20 percent (20%) holdback of a state or territory award
may be utilized by the SAA for the purpose of supporting the SAC and to ensure representation
and active participation of SAC members. Funding may be used for hiring and training planners,
establishing and maintaining a program management structure, identifying and managing
projects, conducting research necessary to inform the planning process, and developing plans
that bridge mechanisms, documents, protocols, and procedures.
SAAs will use the URT to verify compliance of SAC charter requirements.
Supplemental UASI Guidance
The UASI program is intended to provide financial assistance to address the unique multidiscipline planning, organization, equipment, training, and exercise needs of high-threat, highdensity Urban Areas, and to assist these areas in building and sustaining capabilities to prevent,
protect against, mitigate, respond to, and recover from threats or acts of terrorism using the
Whole Community approach. Urban Areas must use UASI funds to employ regional approaches
to overall preparedness and are encouraged to adopt regional response structures whenever
appropriate. UASI program implementation and governance must include regional partners and
should have balanced representation among entities with operational responsibilities for
prevention, protection, mitigation, response, and recovery activities within the region. In some
42

Appendix B—FY 2015 HSGP Priorities

instances, Urban Area boundaries cross state borders. States must ensure that the identified
Urban Areas take an inclusive regional approach to the development and implementation of the
UASI program and involve the contiguous jurisdictions, mutual aid partners, port authorities, rail
and transit authorities, state agencies, state-wide Interoperability Coordinators, Citizen Corps
Council(s), and campus law enforcement in their program activities.
Composition
Pursuant to provisions of the Homeland Security Act of 2002, as amended, eligible UASI sites
were determined based on an analysis of relative risk of the 100 most populous Metropolitan
Statistical Areas (MSAs), as defined by the Office of Management and Budget (OMB). MSAs
are used by DHS/FEMA to determine eligibility for participation in the program. Geographical
areas queried do not equate to minimum mandated membership representation of an Urban Area,
nor does this guarantee funding for geographical areas queried. UAWGs must continue to take a
regional approach to membership but are not required to expand or contract existing Urban Area
participation to conform to MSA composition. Detailed information on MSAs is publicly
available from the United States Census Bureau at
http://www.census.gov/population/www/metroareas/metrodef.html.
UASI Program Requirements
The SAA will be responsible for ensuring compliance with the fiduciary and programmatic
administration requirements of the UASI program.


Identify POCs. The SAA must confirm a specific POC with the designated Urban
Area. The SAA POCs are responsible for identifying and coordinating with the POC
for the UAWG. This information must be provided to DHS/FEMA with the grant
application. SAAs must work with existing Urban Areas to ensure that information for
current POCs is on file with DHS/FEMA.

 Define the Urban Area. The SAA POC, in coordination with the candidate Urban
Areas, must define the Urban Area, as it will apply to the UASI program. The
identified city or combined entity represents the candidate Urban Area eligible to apply
for funding under the UASI program. For those Urban Areas with a combined entity,
that area represents the minimum area that must be part of the defined Urban Area. The
definition of the Urban Area is limited to jurisdictions contiguous to the geographic
area used to determine eligibility, or those jurisdictions in that area which have
established formal mutual aid agreements. States may request a waiver for this
limitation for regions previously established by Executive Order, law, or compact. For
the purposes of the UASI program, the Washington, D.C. Urban Area will consist of
the National Capital Region (NCR) as set forth in 10 U.S.C. §2674(f)(2). In
coordination with the UAWG, the SAA POC may redefine the geographic boundaries
of an existing Urban Area, as it will apply to the UASI program. The SAA POC must
notify DHS/FEMA of this change.


Establish the UAWG. Membership in the UAWG must provide either direct or
indirect representation for all relevant jurisdictions and response disciplines (including
law enforcement, fire service, EMS, and emergency management) that comprise the
43

Appendix B—FY 2015 HSGP Priorities

defined Urban Area. It must also be inclusive of local Citizen Corps Council and
Tribal representatives. The UAWG should also ensure the integration of local
emergency management, public health, and health care systems into a coordinated,
sustained local capability to respond effectively to a mass casualty incident. In
addition, the UAWG should include officials responsible for the administration of
Center for Disease Control (CDC) and Assistant Secretary for Preparedness and
Response’s (ASPR) cooperative agreements. Finally, it must be inclusive of members
advocating on behalf of youth, older adults, individuals with disabilities and others with
access and functional needs, socio-economic factors and cultural diversity.
The SAA POC must ensure that appropriate representation for the defined Urban Area
is included per this guidance. DHS/FEMA strongly encourages that, wherever possible,
previously established local working groups should be leveraged for this purpose to
ensure that UASI funded resources are managed in the most efficient and effective
manner possible. The UAWG may also support state efforts to develop the SPR,
particularly as it relates to UASI funded activities.


Governance. The jurisdictions identified in Appendix A – FY 2015 Program
Allocations represent the candidate Urban Areas eligible to apply for funding. The
UAWG will be responsible for coordinating the development and implementation of all
program initiatives. States and Urban Areas must consider including counties within
which the cities reside, contiguous jurisdictions, MSAs, operational areas, and mutual
aid partners, as appropriate, in the governance process.
In keeping with sound project management practices, the UAWG must ensure that its
approach to critical issues such as membership, governance structure, voting rights,
grant management and administration responsibilities, and funding allocation
methodologies are formalized in a working group charter or other form of standard
operating procedure related to the UASI program governance. The charter must also
outline how decisions made in UAWG meetings will be documented and shared with
UAWG members. The UAWG charter must be on file with DHS/FEMA prior to
drawing down UASI funding and must be available to all UAWG members to promote
transparency in decision-making related to the UASI program.
UASIs will use the URT to verify UAWG structure and membership. Urban Areas
must notify the SAA and Headquarters Program Analyst of any updates to the UAWG
structure or membership.



Develop Urban Area THIRA. As a result of the improved governance process and
the rationale for maintaining and sustaining existing capabilities and the development
of new capabilities, members of the UAWG should be involved in the development of
an Urban Area THIRA coordinated with the state THIRA and SPR, and subsequent
updates.



Allocation of Funds. The use and allocation of all grant funds available through the
UASI program must focus on the investments identified in the Urban Area’s IJ. The
44

Appendix B—FY 2015 HSGP Priorities

use of funds must also be consistent with overall UASI program guidelines, the
National Preparedness System, and must develop or sustain one or more core
capabilities in the Goal. Funds used to support whole community and individual
preparedness related efforts, such as engaging non-governmental organizations
demonstrating the integration of children and individuals with disabilities or access and
functional needs in all phases of emergency management, participation of disaster
volunteers, such as Community Emergency Response Teams (CERTs) in training,
exercises and response and recovery operations, and educating the public should be
coordinated with local CERT programs and/or Citizen Corps Councils.
The UAWG, in coordination with the SAA POC, must develop a methodology for
allocating funding available through the UASI program. The UAWG must reach
consensus on all UASI funding allocations. If consensus cannot be reached within the
45-day time period allotted for the state to obligate funds to sub-recipients, the SAA
must make the allocation determination. The SAA must provide written documentation
verifying the consensus of the UAWG, or the failure to achieve otherwise, on the
allocation of funds and submit it to DHS/FEMA immediately after the 45-day time
period allotted for the state to obligate funds to sub-recipients.
Any UASI funds retained by the state must be used in direct support of the Urban Area.
States must provide documentation to the UAWG and DHS/FEMA upon request
demonstrating how any UASI funds retained by the state are directly supporting the
Urban Area. If the SAA intends to retain any UASI funds, the SAA must prepare an
investment that demonstrates how the retained funds will be used to directly support the
designated Urban Area in the state. This investment should be included in the
designated Urban Area’s IJ.
Supplemental SHSP and UASI Guidance
Collaboration with Other Federal Preparedness Programs
DHS/FEMA strongly encourages states, Urban Areas, and regions to understand other Federal
preparedness programs in their jurisdictions and to work with them in a collaborative manner to
leverage all available resources and avoid duplicative activities. For example, U. S. Department
of Health and Human Services (HHS) has two robust preparedness programs – CDC Public
Health Emergency Preparedness (PHEP) cooperative agreement program and ASPR’s Hospital
Preparedness Program (HPP) cooperative agreement program – that focus on preparedness
capabilities. CDC’s 15 public health preparedness capabilities and ASPR’s eight healthcare
preparedness capabilities serve as operational components for many of the core capabilities, and
collaboration with the PHEP directors and HPP coordinators can build capacity around shared
interests and investments that fall in the scope of these HHS cooperative agreements and the
2015 HSGP. States and Urban Areas should coordinate among the entire scope of Federal
partners, national initiatives and grant programs to identify opportunities to leverage resources
when implementing their preparedness programs. These may include but are not limited to:
Medical Reserve Corps. Emergency Medical Services for Children grants; ASPR HPP; CDC
PHEP; CDC Cities Readiness Initiative; Strategic National Stockpile Programs; and EMS; and
DOJ grants, and the DOD 1033 Program. However, coordination is not limited to grant
45

Appendix B—FY 2015 HSGP Priorities

funding. It also includes leveraging assessments such as TSA’s Baseline Assessment and
Security Enhancement (BASE); reporting from the Intelligence Community, risk information
such as U.S. Coast Guard’s Maritime Security Risk Analysis Model (MSRAM), and USBP
Sector Analysis.
Each SHSP and UASI funded investment that addresses biological risk, patient care or health
systems preparedness should be implemented in a coordinated manner with other Federal
emergency preparedness programs such as those administered by the HHS ASPR, the CDC, and
the U.S. Department of Transportation’s (DOT) National Highway Traffic Safety
Administration.
Whole Community Engagement
SHSP and UASI recipients must engage with the whole community to advance community and
individual preparedness and to work as a nation to build and sustain resilience (see
http://www.fema.gov/whole-community). Recipients must also integrate the needs of children
and individuals with disabilities and other with access and functional needs into activities
implemented with SHSP and UASI funds.
Collaboration with Nonprofit Organizations
SHSP and UASI recipients are encouraged to work with the nonprofit community to address
terrorism and all hazards prevention concerns, seek input on the needs of the nonprofit sector,
and support the goals of their investments.
Collaboration with Tribes
DHS/FEMA strongly encourages states, Urban Areas, and regions to work with Tribal nations in
overall initiatives such as whole community preparedness and emergency management planning.
Multiple Purpose or Dual-Use of Funds
For both SHSP and UASI, many activities which support the achievement of target capabilities
related to terrorism preparedness may simultaneously support enhanced preparedness for other
hazards unrelated to acts of terrorism. However, all SHSP and UASI funded projects must assist
recipients and subrecipients in achieving target capabilities related to preventing, preparing for,
protecting against, or responding to acts of terrorism.
Enhancing Cybersecurity Capabilities
Applicants are encouraged to propose projects to aid in implementation of all or part of the
National Institute of Standards and Technology (NIST) Cyber Security Framework when
requesting funds for cybersecurity. The Framework gathers existing global standards and
practices to help organizations understand, communicate, and manage their cyber risks. For
organizations that don’t know where to start, the Framework provides a road map. For
organizations with more advanced cybersecurity, the Framework offers a way to better
communicate with their leadership and with suppliers about management of cyber risks.
The Department of Homeland Security's Critical Infrastructure Cyber Community C³ Voluntary
Program also provides resources to critical infrastructure owners and operators to assist in
adoption of the Framework and managing cyber risks.
Mass Casualty Incident Preparedness and Citizen Preparedness
46

Appendix B—FY 2015 HSGP Priorities

Although the Citizen Corps Program (CCP) and Metropolitan Medical Response System
(MMRS) are no longer funded as discrete grant programs within HSGP, SAAs may include IJs
funding to support CCP and MMRS activities/programs. Activities funded under these projects
must meet the allowability requirements of the SHSP and UASI programs. The following
coordination requirements will remain in place for proposed activities that support mass casualty
incident preparedness, as well as citizen preparedness.
Mass casualty preparedness must be conducted in collaboration with state/city/local health
departments that administer Federal funds from HHS to enhance the integration of local
emergency management, public health, and health care systems into a coordinated, sustained
local capability to respond effectively to a mass casualty incident or a response to catastrophic
events and acts of terrorism. Recipients must also demonstrate how their investments will
increase the effectiveness of emergency preparedness planning and response for the whole
community by integrating and coordinating activities including children, older adults, pregnant
women, and individuals with disabilities and others with access and functional needs. Further,
recipients are strongly encouraged to collaborate with local, regional, and state public health and
health care partners, including Medical Reserve Corps Units Community Emergency Response
Teams (CERTs) Citizen Corps Councils, as well as leverage other Federal programs, such as the
HHS ASPR Hospital Preparedness Program and Emergency Systems for Advance Registration
of Volunteer Health Professionals, CDC Cities Readiness Initiative, PHEP, and Strategic
National Stockpile Programs.
To demonstrate whole community engagement, Citizen Corps Councils and Community CERT
programs must register new programs or annually update information for an existing program on
line in order to be considered by a state or local jurisdiction for inclusion in their IJs when
applying for HSGP funds. Program updates can be made at http://www.ready.gov/citizen-corps
for Citizen Corps Councils and at http://www.fema.gov/community-emergency-response-teams
for CERT Programs. The Citizen Corps and CERT Whole Community Core Capabilities Tool
has been developed to help recipients develop IJs that reference how Citizen Corps and CERT
activities contribute to and support specific core capabilities.
Citizen preparedness must be coordinated by an integrated body of government and
nongovernmental representatives. State and local government recipients of HSGP funds must
have a coordinating body to serve as their Citizen Corps Council, with membership that includes,
but is not limited to: representatives from emergency management, homeland security, law
enforcement, fire service, EMS, public health or their designee, elected officials, the private
sector (especially privately owned critical infrastructure), private nonprofits, nongovernmental
organizations (including faith-based, community-based, and voluntary organizations), and
advocacy groups for children, older adults, and people with disabilities and others with access
and functional needs.

47

Appendix B—FY 2015 HSGP Priorities

Emergency Management Accreditation Program
With funds provided through FY 2015 HSGP, states have the opportunity to encourage their
local jurisdictions to pursue assessment and accreditation under the Emergency Management
Accreditation Program (EMAP).
EMAP’s assessment and accreditation of emergency management organizations against
consensus-based, American National Standards Institute (ANSI)-certified standards allows for
standardized benchmarking of critical functions necessary for an emergency management
organization to meet the core capabilities identified in the National Preparedness Goal (Goal).
Additional information on the EMAP Standard is available at http://www.emaponline.org.
Supplemental OPSG Guidance
OPSG provides funding to designated localities to enhance cooperation and coordination
between Federal, state, local, Tribal, and territorial law enforcement agencies in a joint mission
to secure the United States Borders along routes of ingress from international borders to include
travel corridors in states bordering Mexico and Canada, as well as states and territories with
international water borders.
OPSG is intended to support Border States and territories of the United States in accomplishing
the following objectives:
 Increase capability to prevent, protect against, and respond to border security issues;
 Increase coordination and collaboration among Federal, state, local, Tribal, and
territorial law enforcement agencies;
 Continue the distinct capability enhancements required for border security and border
protection;
 Provide intelligence-based operations through USBP Sector Level experts to ensure
safety and operational oversight of Federal, state, local, Tribal, and territorial law
enforcement agencies participating in OPSG operational activities;
 Support a request to any Governor to activate, deploy, or redeploy specialized National
Guard Units/Packages and/or elements of state law enforcement to increase or augment
specialized/technical law enforcement elements operational activities; and
 Continue to increase operational, material and technological readiness of state, local,
Tribal, and territorial law enforcement agencies.
OPSG funds must be used to increase operational capabilities of Federal, state, local, Tribal, and
territorial law enforcement, promoting a layered, coordinated approach to law enforcement
within Border States and territories of the United States.
 Federal, State, Local, Tribal, and Territorial OPSG Integrated Planning
Team (IPT). It is recommended that Federal, state, local, Tribal, and territorial
partners establish and maintain an OPSG IPT with representation from all
participating law enforcement agencies, co-chaired by representatives from
USBP, the SAA, and participating law enforcement agencies’ OPSG program
representatives.

48

Appendix B—FY 2015 HSGP Priorities

Coordination Requirements
All operational plans should be crafted in cooperation and coordination among Federal, state,
local, Tribal, and territorial partners. Consideration will be given to applications that are
coordinated across multiple jurisdictions. All applicants must coordinate with the USBP Sector
Headquarters with geographic responsibility for the applicant’s location in developing and
submitting an Operations Order with an embedded budget to the SAA.
After awards are announced, prospective recipients will re-scope the draft Operations Order and
resubmit as a final Operations Order with an embedded budget, based on actual dollar amounts
awarded. Final Operations Orders will be approved by the appropriate Sector Headquarters and
forwarded to Headquarters, Office of Border Patrol, Washington, D.C., before funding is
released.
Recipients may not begin operations, obligate, or expend any funds until the final Operations
Order and embedded budget has been approved by FEMA GPD and USBP Headquarters and any
existing special conditions and/or restrictions are removed.
Management and Administration (M&A)
For information on how to determine M&A for OPSG awards, please review the GPD policy
Clarification for Allowable Management and Administration (M&A) Costs under the Operation
Stonegarden Grant Program, dated June 25, 2013.
Other Requirements
National Information Exchange Model (NIEM). DHS/FEMA requires all grantees to use the
latest NIEM specifications and guidelines regarding the use of Extensible Markup Language
(XML) when using HSGP funds to develop, procure, or implement homeland security
information exchanges, including systems and databases. Further information about NIEM
specifications and guidelines is available at http://www.niem.gov.
28 C.F.R. Part 23 Guidance. DHS/FEMA requires that any information technology system
funded or supported by these funds comply with 28 C.F.R. Part 23, Criminal Intelligence
Systems Operating Policies, if this regulation is determined to be applicable.

49

Appendix B—FY 2015 HSGP Priorities

Appendix C - Funding Guidelines
Recipients must comply with all the requirements in 2 C.F.R. Part 200 (Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards).
In general, recipients should consult with their Headquarters Program Analyst prior to making
any investment that does not clearly meet the allowable expense criteria established by the
NOFO. Funding guidelines established within this section support the five mission areas—
Prevention, Protection, Mitigation, Response, and Recovery—and associated core capabilities
within the Goal.
Allowable investments made in support of the HSGP priorities as well as other capabilityenhancing projects must fall into the categories of planning, organization, exercises, training, or
equipment.
Continuity of Operations
FEMA is designated as the Department of Homeland Security's lead agency for managing the
nation's Continuity Program. To support this role, FEMA provides direction and guidance to
assist in developing capabilities for continuing the Federal and state, territorial, Tribal, and local
(STTL) government jurisdictions and private sector organizations' essential functions across a
broad spectrum of emergencies.
National Security Presidential Directive 51, National Security Presidential Directive 20, the
National Continuity Policy Implementation Plan (NCPIP), the Federal Continuity Directive
1(FCD 1), and Continuity Guidance Circular 1 (CGC 1), and CGC 2 outline the following
overarching continuity requirements for agencies and organizations and provide guidance,
methodology, and checklists. For additional information on continuity programs, guidance, and
directives, visit http://www.fema.gov/guidance-directives and http://www.fema.gov/continuityoperations or you may contact your Regional Continuity Manager.
Planning (SHSP and UASI only)
SHSP and UASI funds may be used for a range of emergency preparedness and management
planning activities and such as those associated with the development of the THIRA, SPR,
continuity of operations plans and other planning activities that support the Goal and placing an
emphasis on updating and maintaining a current EOP that conforms to the guidelines outlined in
CPG 101 v 2.0.
Organization (SHSP and UASI Only)
Organizational activities include:
 Program management;
 Development of whole community partnerships, through groups such as Citizen Corp
Councils;
 Structures and mechanisms for information sharing between the public and private sector;

50

Appendix C—FY2015 HSGP Funding Guidelines

 Implementing models, programs, and workforce enhancement initiatives to address
ideologically-inspired radicalization to violence in the homeland;
 Tools, resources and activities that facilitate shared situational awareness between the
public and private sectors;
 Operational Support;
 Utilization of standardized resource management concepts such as typing, inventorying,
organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources
before, during, and after an incident;
 Responding to an increase in the threat level under the National Terrorism Advisory
System (NTAS), or needs in resulting from a National Special Security Event; and
 Paying salaries and benefits for personnel to serve as qualified intelligence analysts.
States and Urban Areas must justify proposed expenditures of SHSP or UASI funds to support
organization activities within their IJ submission. All SAAs are allowed to utilize up to 50
percent (50%) of their SHSP funding and all Urban Areas are allowed up to 50 percent (50%) of
their UASI funding for personnel costs. At the request of a recipient of a grant, the FEMA
Administrator may grant a waiver of the 50 percent (50%) limitation noted above. Requests for
waivers to the personnel cap must be submitted by the authorized representative of the SAA (or
recipient agency) to GPD in writing on official letterhead, with the following information:
• Documentation explaining why the cap should be waived;
• Conditions under which the request is being submitted; and
• A budget and method of calculation of personnel costs both in percentages of the grant award
and in total dollar amount. To avoid supplanting issues, the request must also include a threeyear staffing history for the requesting entity.
Organizational activities under SHSP and UASI include:
 Intelligence analysts. Per the Personnel Reimbursement for Intelligence Cooperation
and Enhancement (PRICE) of Homeland Security Act (Pub. L. No. 110-412), SHSP and
UASI funds may be used to hire new staff and/or contractor positions to serve as
intelligence analysts to enable information/intelligence sharing capabilities, as well as
support existing intelligence analysts previously covered by SHSP or UASI funding. In
order to be hired as an intelligence analyst, staff and/or contractor personnel must meet at
least one of the following criteria:
- Successfully complete training to ensure baseline proficiency in intelligence
analysis and production within six months of being hired; and/or,
- Previously served as an intelligence analyst for a minimum of two years either in
a Federal intelligence agency, the military, or state and/or local law enforcement
intelligence unit
As identified in the priority entitled, Maturation and Enhancement of State and Major Urban
Area Fusion Centers, all fusion center analytic personnel must demonstrate qualifications that
meet or exceed competencies identified in the Common Competencies for State, Local, and
Tribal Intelligence Analysts, which outlines the minimum categories of training needed for
intelligence analysts. A certificate of completion of such training must be on file with the SAA
51

Appendix C—FY2015 HSGP Funding Guidelines

and must be made available to the recipient’s respective Headquarters Program Analyst upon
request. In addition to these training requirements, fusion centers should also continue to mature
their analytic capabilities by addressing gaps in analytic capability identified during the fusion
center’s annual assessment.
 Overtime costs. Overtime costs are allowable for personnel to participate in information,
investigative, and intelligence sharing activities specifically related to homeland security
and specifically requested by a Federal agency. Allowable costs are limited to overtime
associated with Federally requested participation in eligible fusion activities, including antiterrorism task forces, Joint Terrorism Task Forces (JTTFs), Area Maritime Security
Committees (as required by the Maritime Transportation Security Act of 2002), DHS Border
Enforcement Security Task Forces, and Integrated Border Enforcement Teams. Grant
funding can only be used in proportion to the Federal man-hour estimate, and only after
funding for these activities from other Federal sources (i.e., FBI JTTF payments to state and
local agencies) has been exhausted. Under no circumstances should DHS/FEMA grant
funding be used to pay for costs already supported by funding from another Federal source.
 Operational overtime costs. In support of efforts to enhance capabilities for detecting,
deterring, disrupting, and preventing acts of terrorism and other catastrophic events,
operational overtime costs are allowable for increased security measures at critical
infrastructure sites. SHSP or UASI funds for organizational costs may be used to support
select operational expenses associated with increased security measures at critical
infrastructure sites in the following authorized categories:
- Backfill and overtime expenses for staffing state or Major Urban Area fusion
centers;
- Hiring of contracted security for critical infrastructure sites;
- Participation in Regional Resiliency Assessment Program activities;
- Public safety overtime;
- Title 32 or state Active Duty National Guard deployments to protect critical
infrastructure sites, including all resources that are part of the standard National
Guard deployment package (Note: Consumable costs, such as fuel expenses, are
not allowed except as part of the standard National Guard deployment package);
and
- Increased border security activities in coordination with CBP
SHSP or UASI funds may only be spent for operational overtime costs upon prior approval
provided in writing by the FEMA Administrator per the instructions in IB 379.
Note: States with UASI jurisdictions can use funds retained at the state level to reimburse
eligible operational overtime expenses incurred by the state (per the above guidance limitations
and up to a maximum of 50 percent (50%) of the state share of the UASI grant). Any UASI
funds retained by the state must be used in direct support of the Urban Area. States must
provide documentation to the UAWG and DHS/FEMA upon request demonstrating how any
UASI funds retained by the state would directly support the Urban Area.

52

Appendix C—FY2015 HSGP Funding Guidelines

Equipment (SHSP and UASI)
The 21 allowable prevention, protection, mitigation, response, and recovery equipment
categories and equipment standards for HSGP are listed on the Authorized Equipment List
(AEL) The AEL is available in PDF format at https://www.fema.gov/medialibrary/assets/documents/101566. Unless otherwise stated, equipment must meet all mandatory
regulatory and/or DHS/FEMA-adopted standards to be eligible for purchase using these funds.
In addition, agencies will be responsible for obtaining and maintaining all necessary
certifications and licenses for the requested equipment.
Grant funds may be used for the procurement of medical countermeasures. Procurement of
medical countermeasures must be conducted in collaboration with state/city/local health
departments who administer Federal funds from HHS for this purpose and with existing MMRS
committees where available, in order to sustain their long term planning for appropriate, rapid,
and local medical countermeasures, including antibiotics and antidotes for nerve agents, cyanide,
and other toxins. Procurement must have a sound threat based justification with an aim to reduce
the consequences of mass casualty incidents during the first crucial hours of a response. Prior to
procuring pharmaceuticals, recipients must have in place an inventory management plan to avoid
large periodic variations in supplies due to coinciding purchase and expiration dates. Recipients
are encouraged to enter into rotational procurement agreements with vendors and distributors.
Purchases of pharmaceuticals must include a budget for the disposal of expired drugs within each
fiscal year’s period of performance for HSGP. The cost of disposal cannot be carried over to
another DHS/FEMA grant or grant period.
Training (SHSP and UASI)
Allowable training-related costs under HSGP include the establishment, support, conduct, and
attendance of training specifically identified under the SHSP and UASI programs and/or in
conjunction with emergency preparedness training by other Federal agencies (e.g., HHS and
DOT). Training conducted using HSGP funds should address a performance gap identified
through an AAR/IP or other assessments (e.g., National Emergency Communications Plan NECP
Goal Assessments) and contribute to building a capability that will be evaluated through a formal
exercise. Any training or training gaps, including those for children, older adults, pregnant
women, and individuals with disabilities and others who also have or access and functional
needs, should be identified in the AAR/IP and addressed in the state or Urban Area training
cycle. Recipients are encouraged to use existing training rather than developing new courses.
When developing new courses, recipients are encouraged to apply the Analysis, Design,
Development, Implementation and Evaluation model of instructional design using the Course
Development Tool.
Exercises (SHSP and UASI)
Exercises conducted with grant funding should be managed and conducted consistent with
HSEEP. HSEEP guidance for exercise design, development, conduct, evaluation, and
improvement planning is located at https://www.fema.gov/exercise.
Maintenance and Sustainment (SHSP, UASI, and OPSG)
The use of DHS/FEMA preparedness grant funds for maintenance contracts, warranties, repair or
replacement costs, upgrades, and user fees are allowable, as described in FEMA Policy FP 20553

Appendix C—FY2015 HSGP Funding Guidelines

402-125-1 under all active and future grant awards, unless otherwise noted. With the exception
of maintenance plans purchased incidental to the original purchase of the equipment, the period
covered by maintenance or warranty plan must not exceed the period of performance of the
specific grant funds used to purchase the plan or warranty.
Grant funds are intended to support the Goal by funding projects that build and sustain the core
capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover
from those threats that pose the greatest risk to the security of the Nation. In order to provide
recipients the ability to meet this objective, the policy set forth in GPD’s IB 379 (Guidance to
State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant
Funding) allows for the expansion of eligible maintenance and sustainment costs which must be
in 1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under
the applicable grant program; (3) be tied to one of the core capabilities in the five mission areas
contained within the Goal, and (4) shareable through the Emergency Management Assistance
Compact. Additionally, eligible costs must also be in support of equipment, training, and critical
resources that have previously been purchased with either Federal grant or any other source of
funding other than DHS/FEMA preparedness grant program dollars.
Law Enforcement Terrorism Prevention Allowable Costs (SHSP and UASI)
Activities eligible for use of LETPA focused funds are outlined in the National Prevention
Framework (and where capabilities are shared with the protection mission area, the National
Protection Framework) and include but are not limited to:
 Maturation and enhancement of designated state and major Urban Area fusion centers,
including information sharing and analysis, threat recognition, terrorist interdiction, and
training/ hiring of intelligence analysts;
 Coordination between fusion centers and other analytical and investigative efforts
including, but not limited to Joint Terrorism Task Forces (JTTFs), Field Intelligence
Groups (FIGs), High Intensity Drug Trafficking Areas (HIDTAs), Regional Information
Sharing Systems (RISS) Centers, criminal intelligence units, and real-time crime analysis
centers;
 Implementation and maintenance of the Nationwide SAR Initiative, including training for
front line personnel on identifying and reporting suspicious activities;
 Implementation of the “If You See Something, Say Something™” campaign to raise
public awareness of indicators of terrorism and terrorism-related crime and associated
efforts to increase the sharing of information with public and private sector partners,
including nonprofit organizations. Note: DHS/FEMA requires that the Office of Public
Affairs be given the opportunity to review and approve any public awareness materials
(e.g., videos, posters, tri-folds, etc.) developed using HSGP grant funds for the “If You
See Something, Say Something™” campaign to ensure these materials are consistent with
the Department’s messaging and strategy for the campaign and the initiative’s trademark;
 Training for countering violent extremism; development, implementation, and/or
expansion of programs to engage communities that may be targeted by violent extremist
radicalization; and the development and implementation of projects to partner with local
communities to prevent radicalization to violence, in accordance with the Strategic

54

Appendix C—FY2015 HSGP Funding Guidelines

Implementation Plan (SIP) to the National Strategy on Empowering Local Partners to
Prevent Violent Extremism in the United States; and
 Increase physical security, through law enforcement personnel and other protective
measures by implementing preventive and protective measures at critical infrastructure
site or at-risk nonprofit organizations.
Critical Emergency Supplies (SHSP and UASI)
In order to further DHS/FEMA’ mission, critical emergency supplies, such as shelf stable
products, water, and basic medical supplies are an allowable expense under SHSP and UASI.
Prior to the allocation of grant funds for stockpiling purposes, each state must have
DHS/FEMA’s approval of a five-year viable inventory management plan which should include a
distribution strategy and related sustainment costs if planned grant expenditure is over $100,000.
If grant expenditures exceed the minimum threshold, the five-year inventory management plan
will be developed by the recipient and monitored by FEMA GPD with the assistance of the
FEMA Logistics Management Directorate (LMD). FEMA GPD will coordinate with LMD and
the respective FEMA Region to provide program oversight and technical assistance as it relates
to the purchase of critical emergency supplies under UASI. FEMA GPD and LMD will establish
guidelines and requirements for the purchase of these supplies under UASI and monitor
development and status of the state’s inventory management plan.
States (through their Emergency Management Office) are strongly encouraged to consult with
their respective FEMA Regional Logistics Chief regarding disaster logistics- related issues.
States are further encouraged to share their DHS/FEMA approved plan with local jurisdictions
and Tribes.
Construction and Renovation (SHSP and UASI)
Project construction using SHSP and UASI funds may not exceed the greater of $1,000,000 or
15 percent (15%) of the grant award. For the purposes of the limitations on funding levels,
communications towers are not considered construction.
Written approval must be provided by DHS/FEMA prior to the use of any HSGP funds for
construction or renovation. When applying for construction funds, including communications
towers, at the time of application, recipients must submit evidence of approved zoning
ordinances, architectural plans, any other locally required planning permits, and a notice of
Federal interest. Additionally, recipients are required to submit a SF-424C Budget and Budget
detail citing the project costs.
When applying for funds to construct communication towers, recipients and sub-recipients must
submit evidence that the FCC’s Section 106 review process has been completed and submit all
documentation resulting from that review to GPD using the guidelines in EHP Supplement prior
to submitting materials for EHP review. Completed EHP review materials for construction and
communication tower projects must be submitted as soon as possible to get approved by the end
of the period of performance. EHP review materials should be sent to gpdehpinfo@fema.gov.
HSGP Program recipients using funds for construction projects must comply with the DavisBacon Act (40 U.S.C. 3141 et seq.). Recipients must ensure that their contractors or
subcontractors for construction projects pay workers no less than the prevailing wages for
55

Appendix C—FY2015 HSGP Funding Guidelines

laborers and mechanics employed on projects of a character similar to the contract work in the
civil subdivision of the state in which the work is to be performed. Additional information
regarding compliance with the Davis-Bacon Act, including Department of Labor (DOL) wage
determinations, is available from the following website
http://www.dol.gov/compliance/laws/comp-dbra.htm.
OPSG funds may not be used for any type of construction.
Personnel (SHSP and UASI)
Personnel hiring, overtime, and backfill expenses are permitted under this grant in order to
perform allowable HSGP planning, training, exercise, and equipment activities. Personnel may
include but are not limited to: training and exercise coordinators, program managers for activities
directly associated with SHSP and UASI funded activities, intelligence analysts, and statewide
interoperability coordinators (SWIC).
For further details, SAAs should refer to IB # 358,
http://www.fema.gov/pdf/government/grant/bulletins/info358.pdf, or contact their Headquarters
Program Analyst.
HSGP funds may not be used to support the hiring of any personnel for the purposes of fulfilling
traditional public health and safety duties or to supplant traditional public health and safety
positions and responsibilities.
The following are definitions as it relates to personnel costs:








Hiring. State and local entities may use grant funding to cover the salary of newly hired
personnel who are exclusively undertaking allowable /DHSFEMA program activities as
specified in this guidance. This may not include new personnel who are hired to fulfill
any non-DHS/FEMA program activities under any circumstances. Hiring will always
result in a net increase of Full Time Equivalent (FTE) employees.
Overtime. These expenses are limited to the additional costs which result from personnel
working over and above 40 hours of weekly work time as a direct result of their
performance of DHS/FEMA-approved activities specified in this guidance. Overtime
associated with any other activity is not eligible.
Backfill-related Overtime. Also called “Overtime as Backfill,” these expenses are limited
to overtime costs which result from personnel who are working overtime (as identified
above) to perform the duties of other personnel who are temporarily assigned to
DHS/FEMA-approved activities outside their core responsibilities. Neither overtime nor
backfill expenses are the result of an increase of FTE employees.
Supplanting. Grant funds will be used to supplement existing funds, and will not replace
(supplant) funds that have been appropriated for the same purpose. Applicants or
recipients may be required to supply documentation certifying that a reduction in nonFederal resources occurred for reasons other than the receipt or expected receipt of
Federal funds.

56

Appendix C—FY2015 HSGP Funding Guidelines

Operational Packages (OPacks) (SHSP and UASI)
Applicants may elect to pursue operational package (OPack) funding, such as Canine Teams,
Mobile Explosive Screening Teams, and Anti-Terrorism Teams, for new capabilities as well as
to sustain existing OPacks. Applicants must commit to minimum training standards to be set by
the Department for all Federally-funded security positions. Applicants must also ensure that the
capabilities are able to be deployable, through EMAC, outside of their community to support
regional and national efforts. When requesting new OPacks-related projects, applicants must
demonstrate the need for developing a new capability at the expense of sustaining existing core
capability.
Western Hemispheric Travel Initiative (SHSP)
In addition to the expenditures outlined above, SHSP funds may be used to support the
implementation activities associated with the Western Hemisphere Travel Initiative (WHTI),
including the issuance of WHTI-compliant Tribal identification cards. More information on the
WHTI may be found at http://www.dhs.gov/files/programs/gc_1200693579776.shtm or
http://www.getyouhome.gov/html/eng_map.html.
Other Secure Identification Initiatives (SHSP)
SHSP funds may also be used to support the Department’s additional efforts to enhance secure
identification, including driver’s license and identification security enhancements. Activities that
facilitate secure identification, including IT enhancements for identification management and
verification systems are a priority. DHS/FEMA is currently developing and implementing a
number of screening programs in which secure identification credentials figure prominently.
These include the Transportation Worker Identification Credential (TWIC) program which
promotes tamper-resistant biometric credentials for workers who require unescorted access to
secure areas of ports, vessels, outer continental shelf facilities, and all credentialed merchant
mariners; and the credentialing of first responders which entails enhancing real-time electronic
authentication of identity and attribute(s) (qualification, certification, authorization, and/or
privilege) of emergency response/critical government personnel responding to terrorist attacks or
other catastrophic events.
States may continue implementing activities previously funded through the Driver’s License
Security Grant Program (DLSGP) that focus on securing driver’s license and identification card
issuance processes. Initiatives related to securing identification should:
 Have the greatest impact upon reducing the issuance and use of fraudulent driver’s
license and identification cards;
 Reduce the cost of program implementation for individuals, states, and the Federal
government;
 Driver’s license identification material requirements;
 Expedite state progress toward meeting minimum security standards; and
 Plan and expedite state-specific activities to support Federal data and document
verification requirements and standards.

57

Appendix C—FY2015 HSGP Funding Guidelines

Operations (OPSG)
The intent of OPSG is to focus on operational aspects of enhancing coordination between
Federal, state, local, Tribal, and territorial law enforcement agencies to increase the security of
the United States Borders.
 Operational Overtime. OPSG funds may be used for operational overtime costs
associated with law enforcement activities, in support of border law enforcement agencies
for increased border security enhancement. At the request of a recipient, the FEMA
Administrator may waive the 50 percent (50%) personnel cap. Waiver decisions are at the
discretion of the FEMA Administrator and will be considered on a case-by-case basis. A
formal OPSG personnel waiver request should:
- Be requested on official letterhead, include a written justification, and be signed
by the local jurisdiction;
- Include a budget and method of calculation of personnel costs both in percentage
of the grant award and in total dollar amount;
- Include an approved Operations Order from the USBP Sector office which
supports the local jurisdiction’s written justification; and
- Be coordinated with the USBP Sector, SAA, and OBP.
 Part Time Personnel. OPSG funds may be used to pay additional current part time law
enforcement personnel salaries in order to bring them to temporary full time status.
 Travel, Per Diem, and Lodging. Travel and per diem include costs associated with the
deployment/redeployment of personnel to border areas and for travel associated with law
enforcement entities assisting other local jurisdictions in law enforcement activities. In
addition, costs to support up to six month deployment of law enforcement personnel to
critical Southwest Border locations to support operational activities (travel costs must be
in accordance with applicable travel regulations).
 Vehicle and Equipment Rentals.
 Vehicle/Equipment Maintenance.
 Fuel Cost and/or Mileage Reimbursement. There is no cap for reimbursement of
operational activities.
 Activate Reserve State, local, Tribal, and territorial law enforcement personnel.
Supporting a request to the Governor to activate, deploy, or redeploy specialized National
Guard Units/Package and/or elements of state law enforcement to increase or augment
specialized/technical law enforcement elements operational activities.
 Backfill. Costs associated with backfill for personnel supporting operational activities.
 Law Enforcement Readiness. Use of OPSG funds may be used to increase operational,
material, and technological readiness of state, local, Tribal, and territorial law enforcement
agencies.
Unallowable Costs (OPSG)
OPSG unallowable costs include costs associated with staffing and general IT computing
equipment and hardware, such as personal computers, faxes, copy machines, modems, etc.
OPSG is not intended as a hiring program. Therefore, applying funds toward hiring full-time or
permanent sworn public safety officers is unallowable. OPSG funding shall not be used to
supplant inherent routine patrols and law enforcement operations or activities not directly related
to providing enhanced coordination between local and Federal law enforcement agencies.
58

Appendix C—FY2015 HSGP Funding Guidelines

Finally, construction and/or renovation costs are prohibited under OPSG. Applicants should
refer to IB 358 or contact their Headquarters Program Analyst at (800) 368-6498 for guidance
and clarification.
Due to the nature of OPSG, training and exercise expenses are not allowable costs under OPSG.
Unallowable Costs (SHSP, UASI and OPSG)
Per FEMA policy, the purchase of weapons and weapons accessories is not allowed with HSGP
funds.
Additional Planning Information
FEMA’s National Preparedness Directorate (NPD) offers technical assistance (TA) that is
designed to provide recipients and sub-recipients with specialized expertise to improve their
emergency plans and planning. TA deliveries are designed specifically to improve and enhance
the continuing development of state and local emergency management across the five mission
areas of the National Preparedness Goal and across all core capabilities. TA provides the
opportunity to engage emergency managers, emergency planners, and appropriate decisionmakers in open discussion of options to improve plans and planning in light of their
jurisdiction’s needs. There is no cost to approved jurisdictions for DHS/FEMA TA.
TA deliveries combine current emergency management best practices with practical
consideration of emerging trends, through discussion facilitated by DHS/FEMA contract
specialists and with the support of FEMA Region operational specialists. While the invitation of
participants is up to the requesting jurisdiction, DHS/FEMA encourages requesting jurisdictions
to include the broadest practical range of its emergency managers and planners in all TA
deliveries. TA deliveries should be made open to neighboring jurisdictions. As necessary,
DHS/FEMA may also invite other Federal experts and practitioners to participate. Additionally,
peer-to-peer representation may also be included from other jurisdictions that have recently used
TA for the same planning issue.
The TA catalog, showing the full range of TA available across all five mission areas and by all
providers, and the TA request form can be accessed at http://www.fema.gov/national-incidentmanagement-system/fema-technical-assistance-division.
Additional Training Information
Per DHS/FEMA Grant Programs Directorate Policy FP 207-008-064-1, Review and Approval
Requirements for Training Courses Funded Through Preparedness Grants, issued on September
9, 2013, states, territories, Tribal entities and urban areas are no longer required to request
approval from FEMA for personnel to attend non-DHS FEMA training as long as the training is
coordinated with and approved by the state, territory, Tribal or Urban Area Training Point of
Contact (TPOC) and falls within the FEMA mission scope and the jurisdiction’s Emergency
Operations Plan (EOP). The only exception to this policy is for Countering Violent Extremism
courses.
DHS/FEMA will conduct periodic reviews of all state, territory, and Urban Area training funded
by DHS/FEMA. These reviews may include requests for all course materials and physical
observation of, or participation in, the funded training. If these reviews determine that courses
59

Appendix C—FY2015 HSGP Funding Guidelines

are outside the scope of this guidance, recipients will be asked to repay grant funds expended in
support of those efforts.
For further information on developing courses using the instructional design methodology and
tools that can facilitate the process, SAAs and TPOCs are encouraged to review the NTED
Responder Training Development Center (RTDC) website.
DHS/FEMA Provided Training. These trainings include programs or courses developed for and
delivered by institutions and organizations funded by DHS/FEMA. This includes the Center for
Domestic Preparedness (CDP), the Emergency Management Institute (EMI), and the National
Training and Education Division’s (NTED) training partner programs including, the Continuing
Training Grants, the National Domestic Preparedness Consortium (NDPC) and the Rural
Domestic Preparedness Consortium (RDPC).
Approved State and Federal Sponsored Course Catalogue. This catalogue lists state and Federal
sponsored courses that fall within the DHS/FEMA mission scope, and have been approved
through the FEMA course review and approval process. An updated version of this catalog can
be accessed at http://www.firstrespondertraining.gov.
Training Not Provided by DHS/FEMA. These trainings includes courses that are either state
sponsored or Federal sponsored (non-DHS/FEMA), coordinated and approved by the SAA or
their designated TPOC, and fall within the DHS/FEMA mission scope to prepare state, local,
Tribal, and territorial personnel to prevent, protect against, mitigate, respond to, and recover
from acts of terrorism or catastrophic events.
 State Sponsored Courses. These courses are developed for and/or delivered by
institutions or organizations other than Federal entities or DHS/FEMA and are sponsored
by the SAA or their designated TPOC.


Joint Training and Exercises with the Public and Private Sectors. These courses are
sponsored and coordinated by private sector entities to enhance public-private
partnerships for training personnel to prevent, protect against, mitigate, respond to, and
recover from acts of terrorism or catastrophic events. Overtime pay for first responders
and emergency managers who participate in public-private training and exercises is
allowable. In addition, states, territories, Tribes, and Urban Areas are encouraged to
incorporate the private sector in government-sponsored training and exercises.

Additional information on both DHS/FEMA provided training and other Federal and state
training can be found at http://www.firstrespondertraining.gov.
Training Information Reporting System (“Web-Forms”). Web-Forms are an electronic
form/data management system built to assist the SAA and its designated state, territory and
Tribal Training Point of Contact (TPOC). Reporting training activities through Web-Forms is
not required under FY 2015 HSGP; however, the system remains available and can be accessed
through the DHS/FEMA Toolkit located at http://www.firstrespondertraining.gov/admin in order
to support recipients in their own tracking of training.

60

Appendix C—FY2015 HSGP Funding Guidelines

Additional Exercise Information
Recipients that decide to use HSGP funds to conduct an exercise(s) are encouraged to complete a
progressive exercise series. Exercises conducted by states and Urban Areas may be used to
fulfill similar exercise requirements required by other grant programs. Recipients are
encouraged to invite representatives/planners involved with other Federally-mandated or private
exercise activities. States and Urban Areas are encouraged to share, at a minimum, the multiyear training and exercise schedule with those departments, agencies, and organizations included
in the plan.







Exercise Scenarios. The scenarios used in HSGP-funded exercises must be based on the
state/Urban Area’s THIRA and SPR. The scenarios used in HSGP-funded exercises must
focus on validating capabilities, must be large enough in scope and size to exercise
multiple activities and warrant involvement from multiple jurisdictions and disciplines
and non-governmental organizations, and take into account the needs and requirements
for individuals with disabilities. Exercise scenarios should align with priorities and
capabilities identified in the Multi-year TEP.
Special Event Planning. If a state or Urban Area will be hosting a special event (e.g.,
Super Bowl, G-8 Summit), the special event planning should be considered as a training
or exercise activity for the purpose of the Multi-year TEP. The state or Urban Area
should plan to use SHSP or UASI funding to finance training and exercise activities in
preparation for those events. States and Urban Areas should also consider exercises at
major venues (e.g., arenas, convention centers) that focus on evacuations,
communications, and command and control.
Regional Exercises. States should also anticipate participating in at least one Regional
Exercise annually. States must include all confirmed or planned special events in the
Multi-year TEP.
Role of Non-Governmental Entities in Exercises. Non-governmental participation in all
levels of exercises is strongly encouraged. Leaders from non-governmental entities
should be included in the planning, design, and evaluation of an exercise. State, local,
Tribal, and territorial jurisdictions are encouraged to develop exercises that test the
integration and use of non-governmental resources provided by non-governmental
entities, defined as the private sector and private non-profit, faith-based, community,
participation in exercises should be coordinated with the local Citizen Corps Council(s)
or their equivalent and other partner agencies.

Unauthorized Exercise Costs
Unauthorized exercise-related costs include:
 Reimbursement for the maintenance and/or wear and tear costs of general use vehicles
(e.g., construction vehicles), medical supplies, and emergency response apparatus (e.g.,
fire trucks, ambulances).
 Equipment that is purchased for permanent installation and/or use, beyond the scope of
the conclusion of the exercise (e.g., electronic messaging signs).

61

Appendix C—FY2015 HSGP Funding Guidelines

Appendix D – FY 2015 OPSG Operations Order Template and
Instructions
Operations Order Template Instructions
The OPSG Operations Order Template can be found at http://www.grants.gov.
Executive Summary Overview
Operations Order Executive Summary must:
 Identify the organization name, point of contact, committees, and other structures
accountable for implementing OPSG in the jurisdiction (typically this will be a program
lead or manager overseeing operations and individuals assigned to that agency).
 Describe how Federal, state, local, and Tribal law enforcement agencies will work
together to establish and enhance coordination and collaboration on border security
issues.
Budget Requirements Overview
Operations Order Detailed Annual Budget must:



Explain how costs and expenses were estimated.
Provide a narrative justification for costs and expenses. Supporting tables describing cost
and expense elements (e.g., equipment, fuel, vehicle maintenance costs) may be included.

Submission Requirements
Operations Orders must meet the following submission requirements:




Must be created and submitted in Microsoft Word (*.doc)
Must not exceed six pages in length
Must be submitted using the following file naming convention: “FY 20XX OPSG - ”

Due to the competitive nature of this program, separate attachments will not be accepted or
reviewed.

62
Appendix D—OPSG Operations Order Template

FY 2015 OPERATION STONEGARDEN (OPSG) OPERATIONS
ORDER AND BUDGET TEMPLATE
Operation

From:

Op Order Name:
Op Order Number:
Op Dates:
Report Date:

To:

Executive Summary
I. Situation
A. General Situation:
B. Terrain/Weather:
C. C. Criminal Element:
D. D. Friendly Forces:
II. MISSION
III. EXECUTION
A. Management/Supervisor Intent:
B. General Concept:
C. Specific Responsibilities:
1.
2.
3.
D. Coordinating Instructions:
IV. BUDGET
Within the Operations Order, include budgets and operative spending plans in one-year
increments (Year 1, Year 2, and Year 3). The annual operations should be practical and able to
be completed within the 36-month period of performance. Recipients may not begin operations,
obligate, or expend any funds until the final Operations Order and embedded budget has been
approved by FEMA GPD and USBP Headquarters and any existing special conditions and/or
restrictions are removed.
The sample table provided below may be used as a guide to the applicant in the preparation of
the budget and Operations Order to be submitted. Using the table below, compute the total
estimated cost under the Narrative Justification column and indicates the amount of Federal
funds requested under the Federal Request column that will support the project.

63
Appendix D—OPSG Operations Order Template

A.1 Example - Cost Estimates/Funding Requests (Year 1):
Administration/Logistics/Budget
Narrative Justification
Request
(Computation of Items)
Law Enforcement Operational
$50 per hour OT rate x 11 personnel
Overtime
x 10 hours x 3 day detail x 4 quarters
per year x 3 years
Fringe Benefits for Law
$27.55/hr x 1.5 OT = ($41.33/hr) x
Enforcement
(.062) = ($2.56/hr FICA) x 5840
hrs/yr x 3 yrs
Travel, Lodging, and Per Diem for Federal or below: approx. miles of
deployed LE and/or Federally
3,500, 15 days single Occupancy @
sponsored (DHS/FEMA) border
$150 for 5 people
security task forces, conferences
and/or mandatory training
General Equipment
Lines, personal flotation devices,
GPS software updates, marine
batteries, thermal imaging system
Special Equipment
Sea Hawk Boat, Explorer 4x4 Police
with Package
(Requiring separate waiver i.e.,
Planes, boats, vehicles, SUVs,
etc.)
Part-Time to Full-Time Law
Enforcement Personnel

Federal Request

$198,000.00

$44,851.20

$1,750.00

$75,000.00

Activated Reserve Law
Enforcement Personnel
Vehicle
Maintenance
Vehicles:
Fuel Cost

46,800 miles per year x .18 cents per
mile = $8,424.00 x 3 yrs
Tires, engine repair, other
3,342 x $4.50 per gallon = $15,043/yr
x 3 yrs

Total

A.2 Cost Estimates/Funding Requests (Year 2):
< INSERT COST ESTIMATES AND FUNDING REQUESTS TABLE >
A.3 Cost Estimates/Funding Requests (Year 3):
< INSERT COST ESTIMATES AND FUNDING REQUESTS TABLE >
V. COMMAND/CONTROL/COMMUNICATION
A. Chain of Command:
B. Unit Command:
C. Communications Detail:

64
Appendix D—OPSG Operations Order Template

$25,272.00
$45,129.00
$390,002.20

D. Map Coordinates:
Notes:
Longitude:
Degrees:
Decimal:
Location Zone:

Latitude:
Minutes:

Seconds:

ANNEX
A. Administration Annex:

B. Execution Annex:

C. Command Annex:
Media Action Plan:
Legal Review:
Risks:
Photos:

65
Appendix D—OPSG Operations Order Template

Appendix E – OPSG Operational Guidance
Appendix E is intended to provide operational guidance to applicants on the development of the
concept of operations and campaign planning, the tactical operation period and the reporting
procedures. This also delineates specific roles and responsibilities, expectations for operations,
and performance measures. Successful execution of these objectives will promote situational
awareness among participating agencies and ensure a rapid, fluid response to emerging bordersecurity conditions.
OPSG uses an integrated approach to address transnational criminal activity. Federal, state,
local, Tribal, and territorial partners are required to establish and maintain an OPSG Integrated
Planning Team (IPT) with representation from all participating law enforcement agencies, cochaired by representatives from USBP, the SAA, and participating local law enforcement
agencies’ OPSG program representatives. USBP will provide routine monitoring and technical
expertise to each participating agency. The content of each operational plan, to include the
requested items will be reviewed for border-security value and approved by the corresponding
sector’s Chief Patrol Agent or his/her designee.
All operational plans should be crafted in cooperation and coordination among Federal, state,
local, Tribal, and territorial partners, to meet the needs of the USBP Sector. Consideration will
be given to applications that are coordinated across multiple jurisdictions. All applicants must
coordinate with the CBP/BP Sector Headquarters with geographic responsibility for the
applicant’s location in developing and submitting an Operations Order with an embedded budget
to the SAA.
As OPSG continues to evolve, several proven practices are being recognized, centered on shortterm, periodic operations in support of overarching near and long-term goals. A multi-step
process will be established through the area IPT, including a campaign plan and a cycle of
operations to ensure that OPSG partners maintain synergism and have a coordinated impact on
reducing border-security risk.
I. Concept of Operations and Campaign Planning (Post Allocation Announcement/PreAward)
The overarching operational cycle involves three stages; application, concept of operations to
formulate a Campaign Plan and one or more tactical operational periods, which are all developed
by the IPT.
First Stage: Please refer to section IX of the full NOFO.
Second Stage (Post Award): After awards are announced participants will create and submit an
operations order that forms a campaign plan and captures the initial, generalized-budgetary intent
to their IPT. The campaign plan should articulate the participant agency’s long-term border
security objectives and goals designed to mitigate border-security risk.
66
Appendix E—OPSG Operational Guidance

Funds should be obligated as needed to target specific threats or vulnerabilities and ensure that
OPSG usage is commensurate to the unique risk of each border region. This may require several
short-term operations that combine to form an ongoing operational cycle, ensuring that USBP
commanders and state, local, and Tribal agency partners reserve the flexibility to respond to the
ever-changing elements of border security.
The operations plan also will articulate the budgetary intent of how funds are to be used
throughout the performance period. The operations plan will project planned expenditures in the
following categories: overtime, equipment, instruction, travel, maintenance, fuel, and
administrative funds. The recipient can initiate the procurement of equipment, as well as state
how much the county intends to use for M&A while keeping funds for overtime or residual
equipment funds available for use as needed. If the recipient intends to spend more than 50% of
its award on overtime over the course of the performance period, requests for a PRICE Act
waiver would be submitted at the time of the waiver request. The operations plan will meet both
the SAA expectations to obligate the funds within 45 days of the award announcement and the
demands of the grant’s operational intent. Once the operations plan is approved, the area IPT
will meet to initiate the last stage in the planning process.
Third Stage: Once the recipient is ready to conduct operations, the area IPT will begin planning
tactical operations. The tracking number for each operational plan will be assigned by
CBP/USBP. The tactical operation number will remain intact for the duration of the grant’s
period of performance.
In the event that changes or additional funding requests to the original operational plan must be
made, a Fragmentary Order (FRAGO) will be created. These modifications will be annotated in
the annex section of the FRAGO.
II. Tactical Operational Period
Operational discipline is necessary for the success of OPSG. Deliberate, adaptive, integrated,
and intelligence-driven planning is critical to conducting targeted enforcement operations
consistent with the objectives of the OPSG. By participating in the OPSG, the state, local, and
Tribal agencies agree to conduct operations designed to reduce border-security risk. Tactical
operations will be conducted on a periodic basis meeting the criteria outlined below.
Tactical operational periods are composed of six critical elements: 1) a pre-planning meeting
with the IPT; 2) specified beginning and ending dates; 3) intelligence driven, with a nexus to
border security; 4) use of targeted enforcement techniques; 5) clearly stated objectives; and 6) an
after-action meeting. A campaign should involve several tactical operational periods. These
periods require deliberate on-going planning to ensure command, staff, and unit activities
synchronize to current and future operations. The cyclical nature of the process will ensure
OPSG activities align with the fluctuating border-security threats and vulnerabilities. Key
planners should recognize that shorter, frequent tactical operational periods increase the
flexibility and leverage gained through OPSG funding.

67
Appendix E—OPSG Operational Guidance

The IPT should leverage information provided by the fusion center, Border Intelligence Centers
or other local intelligence center, when possible, and establish a common operational vision.
The BP sector’s Chief Patrol Agent, or his/her designee, will ensure that the information or
intelligence has a clear nexus to border security. Intelligence will be shared and vetted for
border security value, driving the focus of operations. The tactical operational period should
focus on specific targets of interest or specific areas of interest identified by the IPT. Once
intelligence-driven targets are identified, the IPT will decide on operational objectives that
reflect the intended impact of operations. The objectives should outline how the operation will
deter, deny, degrade, or dismantle the operational capacity of the targeted transnational criminal
organizations.
The frequency and duration of each tactical operational period should be predicated by local risk
factors. The tactical operational period may combine to develop an operational cycle that is
synchronous or asynchronous, connected, or unconnected, depending on security conditions and
the IPT’s intent. Each tactical operational period will begin on a predetermined date and end on
a predetermined date, but the dates may be subject to change commensurate with emerging
security conditions. The starting date of the operational period should be established to allow
sufficient time for the order to be submitted and approved through BP Headquarters and
DHS/FEMA. Once approved, the operation can be conducted.
The following diagrams illustrate two different approaches for conducting operations:1

Figure 1: Example of an Ongoing Synchronized Operational Cycle

1

These illustrations reflect a twelve month campaign plan. A campaign plan should be written to encompass the performance
period. Performance periods vary from state to state, please contact the State Administrative Agency in your area for clarification.

68
Appendix E—OPSG Operational Guidance

Figure 2: Example of a Dynamic, Unsynchronized Operational Cycle

III. Reporting Procedures
Participation in OPSG requires accurate, consistent, and timely reporting of how funds are used,
and how the state, local and Tribal agencies’ operations have impacted border security through
the mitigation of threat or vulnerability and the overall reduction of risk. Reporting will focus
on: monitoring program performance; determining the level of integration and information
sharing; and developing best practices for future operations. To ensure consistent reporting each
state, local and Tribal agency will identify a single point of contact to represent their agency as a
member of the IPT and to coordinate the submission of reports or execute other aspects of the
grant.
Attachment A, the Daily Activity Report is to be used to submit the ongoing results and outputs
from OPSG operations conducted. The Daily Activity Report will be submitted to the BP sector,
if required, or to the participating agency’s OPSG coordinator. The agency coordinator will
compile the results from each Daily Activity Report at the end of the month and submit a
monthly report to the BP sector. The monthly report is due to sector office by the 10th day of the
following month. The BP sector will compile the results from the participating agencies and
submit the results to BP Headquarters by the 15th of each following month.
In addition to the ongoing reporting of outputs, participants will be required to submit After
Action Reports to participating agencies and the BP within 10 days of any completed operation,
after convening a debrief meeting. The After Action Report should carefully articulate outcomes
and outputs, as well as how the results of the operation compare with the objectives identified
during the pre-planning meeting. Failure to submit the After Action report in a timely manner
may prevent the approval of future operations requests.
69
Appendix E—OPSG Operational Guidance

IV. Operational roles and responsibilities
In order to achieve unity of effort, it is essential that each participant know the roles and
responsibilities within the IPT.
The BP sector’s Chief Patrol Agent, or his/her designee, will:
 Coordinate and chair the area Integrated Planning Team’s meetings
 Coordinate with all interested and eligible state, local, and Tribal agencies in the sector’s
area of operation during the open period of the OPSG application process by:
- Assisting applicants in completing the operations planning portion of the
application, which is similar to the Operations Order used by the Border Patrol2
- Forwarding the approved operation portion of the application to CBP/USBP
Headquarters, as well as to the SAA to complete the application process set by
DHS/FEMA/GPD
- BP Sector should detail what operational support they anticipate for specific
periods and match the capabilities of partners to fill those gaps.
 Following the announcement of grant awards, coordinate and chair a meeting with state,
local, and Tribal agencies that received OPSG awards to develop an individualized
campaign plan. This includes:
- Working with state, local, and Tribal agencies, along with other Federal law
enforcement agencies to determine the dates, focus, and needs of each tactical
operational period, ensuring that each operation has a nexus to border security;
- Receiving the first periodic operations order from the state, local, and Tribal
agencies and ensuring that the operation is conducted as outlined in Section I;
- Monitoring and supporting the Operational Cycle throughout the performance
period;
- Ensuring Daily Activity and After Action Reports are submitted by state, local
and Tribal agencies in the proper format and within the established timeframes;
- Providing instruction, when possible, to state, local and Tribal agencies regarding
techniques, methods and trends used by transnational criminal organizations in
the area; and
- Providing a single point of contact to participants as a subject matter expert in
OPSG that can coordinate, collect, and report operational activities within the
established reporting procedures.
- Provide verification that operations are actually conducted.
The state, local or Tribal agency lead, or their designee, will:


2

Coordinate with the SAA on all grant management matters, including but not limited to
the development and review of operations orders, expenditure of funds, allowable costs,
reporting requirements;

This will not be entered into the Border Patrol Enforcement Tracking System (BPETS).

70
Appendix E—OPSG Operational Guidance












Participate as a member of the Integrated Planning Team to facilitate the application
process during the open period and ensure the application is submitted in compliance
with the grant instructions;
Upon receiving a grant award, coordinate and meet as a member of the Integrated
Planning team to develop an individualized campaign plan that covers the length of the
grant performance period;
Work within the Integrated Planning team to develop an initial Operational Cycle and
determine the duration of the first operational period based on the tactical needs specific
to the area;
Submit all operations orders to the SAA for review, and submit the first periodic
operations order to the Border Patrol and ensure the operation meets the six criteria
established in Section II;
Conduct operations, on an as-needed basis throughout the length of the grant
performance period;
Integrate law enforcement partners from contiguous counties and towns into the their
tactical operations to expand the layer of security beyond existing areas;
Ensure reports are submitted to the to the Border Patrol, and the SAA when applicable, in
the proper format and within established timeframes;
Ensure applicable Operation Stonegarden derived data is shared with the designated
fusion center in the state and/or Urban Area.
Request instruction and information from the SAA, when applicable, and/or Border
Patrol and other Federal law enforcement agencies regarding techniques, methods, and
trends used by transnational criminal organizations in the area; and
Provide the SAA and Border Patrol a single point of contact that maintains subject matter
expertise in OPSG who can coordinate, collect, and report operational activities within
the established reporting procedures.

The SAA will:









Actively engage in the IPT meetings;
Work in direct coordination and communication with the local or Tribal agency lead on
all grant management matters;
Review all operations orders created by the local or Tribal agency;
Acts as the fiduciary agent for the program and provide expertise in state policy and
regulations;
Enter into a sub-award agreement with the recipient to disburse the allocated funding
awarded through DHS/FEMA/GPD;
Generate quarterly reports to DHS/FEMA capturing the recipients’ obligation and
expenditure of funds;
Determine if the grant’s performance period requires additional refinement over the
Federally established 36 month period; and
Conduct audits of the program to ensure that the recipients are in compliance with
program guidance.

71
Appendix E—OPSG Operational Guidance

Attachment A:
Operation Stonegarden
Daily Activity Report
Date Information
FY Funds Used

Date of Activity

Select...

Agency Identifiers
Sector

Agency Type

Region/County

Agency Name

Operational Expenses
Overtime Hours
Miles Driven/Patrolled
Fuel Used (in Gallons)
Equipment on Order

Labor Cost
Mileage Cost
Fuel Cost
Equipment Cost
Total Cost

Operational Activity
Narcotics Seizures
Cash Seizures
Weapons Seizures
Vehicle Seizures

Misdemeanor Arrests
Felony Arrests
Outstanding Warrants
Citations Issued
Specialty Equipment

Subjects TOT BP
Cases TOT BP
Criminal Aliens TOT BP
Vehicle Stops
Intel Reports

***Click the orange arrows below to add details about seizures and arrests.
Specialty Equipment Usage
Surveillance Tower

Marine Patrol Asset

Armored Vehicle

Mobile Command Center

Aviation Asset

Other Spec. Equipment

72
Appendix E—OPSG Operational Guidance

Narcotic Seizure Details
Type

Weight

Report Number

Location

Comments

Select...

Currency Seizure Details
Amount

Report Number

Location

Comments

Vehicle Seizure Details
Make/Model

Estimated Value

Location

Comments

Weapon/Ammunition Seizure Details
Weapon Type

Amount Seized

Report Number

Location

Comments

Specialty Equipment Usage Details
Specialty Equipment

Report Number

Location

Comments

Significant Arrest Details
Name

Date of Birth

Report Number

Location

Comments

Location

Summary

Intelligence Summary
Category

Report Number

Select...

Authorizing Officer

Date of Report

V. Definitions
Integrated Planning Team: The IPT will consist of the awarding state Administrative Agency,
local, and Tribal OPSG stakeholders within their Border Patrol sector area and U.S. Border
Patrol representatives, but may include other area Federal law enforcement agencies if deemed
necessary by the Chief Patrol Agent. The Integrated Planning Team will be used for all aspects
of OPSG application, planning, and de-briefings.
73
Appendix E—OPSG Operational Guidance

Area of Interest: A specific area, areas, or facilities known to be used by transnational criminal
organizations in furtherance of their criminal activity.
Campaign Plan: A series of related law enforcement operations aimed at accomplishing a
strategic or operational objective within a given time and space.
Concept of Operations: A written statement that clearly and concisely expresses what the state,
local or Tribal commander intends to accomplish and how it will be done using available
resources (and funding).
Operational Cycle: A deliberate on-going cycle of command, staff, and unit activities intended
to synchronize current and future operations (driven by current intelligence and short-term goals
that support the campaign).
Operational Discipline: The organized manner in which an organization plans, coordinates, and
executes the OPSG mission with common objectives toward a particular outcome.
Performance Measure: A numerical expression that quantitatively conveys how well the
organization is doing against an associated performance goal, objective, or standard.
Tactical Operational Period: An operational segment that meets the following six criteria: 1)
specified beginning and ending dates; 2) begins with pre-planning; 3) is intelligence driven; 4)
uses targeted enforcement techniques; 5) has clearly stated objectives; and 6) concludes with an
after-action meeting.
Targeted Enforcement: The leveraging of all available assets against a specific action, area,
individual, or organization and using those deemed most appropriate to mitigate risk.
Target of Interest: A specific person, group of persons, or conveyance known to be part of, or
used by transnational criminal organizations to advance their criminal activity.
Risk: potential for an adverse outcome assessed as a function of threats, vulnerabilities, and
consequences associated with an incident, event, or occurrence.
Threat: Information expressing intent to conduct illegal activity often derived from intelligence
sources, the overall context, a specific event or series of events, or observation of suspicious
activity.
Vulnerability: The protective measures in place are less than the protective measures needed to
mitigate risk.
Unity of Effort: Coordination and cooperation among all organizational elements, even though
they may not be part of the same “command” structure, to achieve success.

74
Appendix E—OPSG Operational Guidance

Appendix F – HSGP Allowable Cost Matrix
Allowable Program Activities
Current as of FY 2015 Programs*

UASI

Y

Y

Y

Y

Y

Y

Y
Y

Y
Y

Y

Y

Y
Y

Y
Y

Y

Y

Y

Y

Y
Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y
Y
Y
Y

Y
Y
Y
Y

*As of Publication
Allowable Planning Costs
Developing hazard/threat-specific annexes that incorporate the range
of prevention, protection, response, and recovery activities
Developing and implementing homeland security support programs
and adopting ongoing DHS/FEMA national initiatives
Developing related terrorism and other catastrophic event prevention
activities
Developing and enhancing plans and protocols
Developing or conducting assessments
Hiring of full- or part-time staff or contract/consultants to assist with
planning activities (not for the purpose of hiring public safety personnel
fulfilling traditional public safety duties)
Materials required to conduct planning activities
Travel/per diem related to planning activities
Overtime and backfill costs (in accordance with operational Cost
Guidance)
Issuance of WHTI-compliant Tribal identification cards
Activities to achieve planning inclusive of people with disabilities
Coordination with Citizen Corps Councils for public
information/education and development of volunteer programs
Update governance structures and processes and plans for emergency
communications
Allowable Organizational Activities
Reimbursement for select operational expenses associated with
increased security measures at critical infrastructure sites incurred (up
to 50 percent of the allocation)
Overtime for information, investigative, and intelligence sharing
activities (up to 50 percent of the allocation)
Hiring of new staff positions/contractors/consultants for participation in
information/intelligence analysis and sharing groups or fusion center
activities (up to 50 percent of the allocation)
Allowable Equipment Categories
Personal Protective Equipment
Explosive Device Mitigation and Remediation Equipment
CBRNE Operational Search and Rescue Equipment
Information Technology

75
Appendix F—HSGP Allowable Cost Matrix

OPSG

SHSP

This list is not all-inclusive. See the respective program guidance for
additional details and/or requirements

Y

Y

Y

Allowable Program Activities
Current as of FY 2015 Programs*

Allowable Exercise Related Costs
Design, Develop, Conduct, and Evaluate an Exercise
Full- or part-time staff or contractors/consultants
Overtime and backfill costs, including expenses for part-time and
volunteer emergency response personnel participating in DHS/FEMA
exercises
Implementation of HSEEP

76
Appendix F—HSGP Allowable Cost Matrix

Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y

Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y

Y

Y

Y

Y

Y
Y
Y
Y
Y
Y

Y
Y
Y
Y
Y
Y

Y

Y

Y

Y

Y
Y

Y
Y

Y

Y

Y

Y

OPSG

Allowable Training Costs
Overtime and backfill for emergency preparedness and response
personnel attending DHS/FEMA-sponsored and approved training
classes
Overtime and backfill expenses for part-time and volunteer emergency
response personnel participating in DHS/FEMA training
Training workshops and conferences
Activities to achieve training inclusive of people with disabilities
Full- or part-time staff or contractors/consultants
Travel
Supplies
Instructor certification/re-certification
Coordination with Citizen Corps Councils in conducting training
exercises
Interoperable communications training

UASI

*As of Publication
Cyber Security Enhancement Equipment
Interoperable Communications Equipment
Detection
Decontamination
Medical
Power
CBRNE Reference Materials
CBRNE Incident Response Vehicles
Terrorism Incident Prevention Equipment
Physical Security Enhancement Equipment
Inspection and Screening Systems
Animal and Plants
CBRNE Prevention and Response Watercraft
CBRNE Aviation Equipment
CBRNE Logistical Support Equipment
Intervention Equipment
Other Authorized Equipment

SHSP

This list is not all-inclusive. See the respective program guidance for
additional details and/or requirements

Y
Y
Y
Y

Y
Y
Y

Y
Y

Allowable Program Activities
Current as of FY 2015 Programs*

77
Appendix F—HSGP Allowable Cost Matrix

OPSG

Allowable Management & Administrative Costs
Hiring of full- or part-time staff or contractors/consultants to assist with
the management of the respective grant program, application
requirements, and compliance with reporting and data collection
requirements
Development of operating plans for information collection and
processing necessary to respond to DHS/FEMA data calls
Overtime and backfill costs
Travel
Meeting related expenses
Authorized office equipment
Recurring expenses such as those associated with cell phones and
faxes during the period of performance of the grant program
Leasing or renting of space for newly hired personnel during the period
of performance of the grant program

UASI

*As of Publication
Activities to achieve exercises inclusive of people with disabilities
Travel
Supplies
Interoperable communications exercises

SHSP

This list is not all-inclusive. See the respective program guidance for
additional details and/or requirements

Y
Y
Y

Y
Y
Y

Y

Y

Y

Y

Y

Y

Y
Y
Y
Y

Y
Y
Y
Y

Y
Y
Y

Y

Y

Y

Y

Appendix G – Supplemental Material
GPD works with various subject matter experts and acknowledges the value and expertise these
Federal partner agencies provide to help shape the development and implementation of the
HSGP. This continued partnership and collaboration helps provide recipients with maximum
resources required to effectively manage and implement funds as well as promote transparency.
Therefore, GPD is providing hyperlinks to information on various subjects and policies that are
relevant to the mission and intent of the DHS/FEMA and its preparedness grant programs.
Radiological/Nuclear Detection
The Radiological/Nuclear Detection Supplemental Resource provides guidance to state and local
stakeholders seeking to build or sustain preventive radiological and nuclear detection capabilities
using Homeland Security Grant Program funds. The guidance outlines integrating these
capabilities with broader national preparedness initiatives, including PPD-8 and THIRA, as well
as the Global Nuclear Detection Architecture using POETE-aligned activities. The guidance can
be found at http://www.dhs.gov/publication/homeland-security-grant-program-hsgpsupplemental-resource-radiologicalnuclear-detection.
National Information Exchange Model (NIEM)
NIEM is a community-driven, standards-based approach to exchanging information. To support
information sharing, all recipients of grants for projects implementing information exchange
capabilities are required to use NIEM and to adhere to the NIEM conformance rules.
Visit https://niem.gov/grantguidance for guidance on how to utilize DHS/FEMA award funding
for information sharing, exchange, and interoperability activities.
The NIEM Emergency Management domain supports emergency-related services (including
preparing first responders and responding to disasters), information sharing, and activities such
as homeland security and resource and communications management. The Emergency
Management domain has an inclusive governance structure that includes Federal, state, local,
industry, and, where necessary, international partnerships. The NIEM Emergency Management
domain is committed to community support via technical assistance and NIEM training. For
more information on the NIEM Emergency Management domain, to request training or technical
assistance or to just get involved, visit https://niem.gov/EM.
Integrated Public Alert and Warning System (IPAWS)
The 2015 IPAWS Supplemental Guidance on Public Alert and Warning provides guidance on
eligible public alert and warning activities and equipment standards for state, local, territory, and
Tribal prospective recipients. The intent of this document is to promote consistency in policy
across Federal grant programs, and to ensure compatibility among Federally-funded projects.
For more information on the IPAWS, please go to https://s3-us-gov-west1.amazonaws.com/dam-production/uploads/141355995642878
Appendix G – Supplemental Material

6f79b8f6e7886041aa5f2338d22a6a8c/FY%202015%20IPAWS%20Supplemental%2010%2002%
202014_508.pdf.

Homeland Security Information Network
HSIN is a user-driven, web-based, information sharing platform that connects all homeland
security professionals including the Department of Homeland Security (DHS) and its Federal,
State, local, territorial, Tribal, international, and private sector partners across all homeland
security mission areas. HSIN is used to support daily operations, events, exercises, natural
disasters, and incidents. To support user mission needs, HSIN provides three sets of services for
secure information sharing. The first service provides a shared place for communities to
securely collaborate on homeland security issues and includes core functions such as a web
conferencing and instant messaging tools with white boarding, video, and chat services for real
time communication and situational awareness. The second set provides secure dissemination
and sharing capabilities for homeland security alerts, reports, and products. The third set allows
users to access and query a variety of shared data and services from all homeland security
mission areas and trusted Federal partners. Preparedness grant funds may be used to support
planning, training and development costs associated with developing and managing, mission
critical, HSIN communities of interest and sites. You can learn more about HSIN at
http://www.dhs.gov/hsin-hsgp-guidance.

79
Appendix G – Supplemental Material