21 Section 4 ‒ Required State Application Components | 2023
Standard
Assurances
The Standard Assurances list the requirements to which the Subrecipients will be held accountable. All Applicants will be required to submit a signed, original of the FY 2023 Standard Assurances as part of their FY 2023 HSGP application. The required Standard Assurances can be found only in PDF format on the Cal OES website.
NOTE: Self-created Standard Assurances will not be accepted.
Operational
Areas and
Urban Areas
Governing Body Resolution – The GBR appoints AAs (identified by the individual’s name or by a position title) to act on behalf of the governing body and the Applicant by executing any actions necessary for each application and subaward. All Applicants are required to submit a copy of an approved GBR with their grant application. Resolutions may be valid for up to three grant years given the following:
• The resolution identifies the applicable grant program (e.g., EMPG and/or HSGP);
• The resolution identifies the applicable grant years, (e.g., FY 2023, FY 2024, FY 2025; and
• Adheres to any necessary elements required by local
protocols, rules, etc., if applicable.
Resolutions that only identify a single grant program will only be valid for that single program. Resolutions that do not identify applicable grant years will only be valid for the grant year in which the resolution was submitted.
Authorized Agent Information – For each person or position appointed by the governing body, identify the individual in the Authorized Body of 5 ledger of the FMFW.
All changes in AA and contact information must be provided to Cal OES in writing. If the GBR identifies the AA by name, a new Resolution is needed when changes are made. If the GBR
identifies the AA by position and/or title, changes may be made by submitting a request on the entity’s letterhead, signed by an existing AA. Cal OES will not accept signatures of an AA’s designee, unless authorized by the GBR. A change to an AA's designee must be submitted on agency letterhead and signed by the AA, announcing the change to their designee.
22 Section 4 ‒ Required State Application Components | 2023
Operational
Areas Only
Approval Authority Body – OAs must appoint an Anti-Terrorism Approval Body (Approval Authority) to have final approval of the OA’s application for HSGP funds. Each member of the Approval Authority must provide written agreement with the OA’s
application for HSGP funds. The Approval Authority shall consist of the following representatives, and additional voting members may be added by a simple majority vote of the following standing members:
• County Public Health Officer or designee responsible for Emergency Medical Services
• County Fire Chief or Chief of Fire Authority
• Municipal Fire Chief (selected by the OA Fire Chiefs) • County Sheriff
• Chief of Police (selected by the OA Police Chiefs)
Urban Areas
Only
Urban Area Working Groups – Membership in the UAWG must provide either direct or indirect representation for all relevant jurisdictions and response disciplines (including law enforcement, fire service, EMS, hospitals, public health, and emergency management) that comprise the defined UA. It also must 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. Additional group composition criteria are found in the FEMA Preparedness Grants Manual.
Threat Hazard Identification and Risk Assessment – Subrecipients are required to submit a THIRA for all 32 core capabilities.
Beginning in 2019, UAs are required to submit a THIRA every three years. An annual capability assessment will still be required.
Stakeholder Preparedness Review – The SPR is an annual grant requirement for all states, territories, and UAs. It is an annual capability assessment, which helps jurisdictions identify capability gaps and prioritize investment requirements to reach the targets set in their THIRA.
All fusion center investments must align to, and reference, specific performance areas of the assessment that the funding is intended to support.
23 Section 4 ‒ Required State Application Components | 2023
Fusion
Centers Only
Fusion Centers are also required to follow all Reporting and Administrative Metrics for California Fusion Centers, as set forth in the Governor’s Homeland Security Advisor/Cal OES Director’s letter dated March 16, 2016. These operational and administrative metrics set forth an integrated and coordinated approach for regular and proactive information and intelligence sharing between all fusion centers in the California State Threat Assessment System (STAS).
State
Agencies and
Tribes Only
State Agencies, and federally recognized tribes may submit the Signature Authorization Form in lieu of a GBR, signed by the most senior ranking official, such as the Secretary, Director, President, Chancellor, or Chairperson.
24 Section 5 ‒ State Application Process | 2023
Application
Submission
Subrecipients must submit an electronic copy of their completed FMFW to their Program Representative for review. After the application is approved, a completed copy of the FMFW, along with all other application components must be submitted, with official signatures, by the application due date. During the application process, if it is determined not all allocated funds can be expended by the end of the period of performance, please inform a Program Representative as soon as possible. The completed application should be received by Cal OES no later than the date provided in the FY 2023 HSGP Timeline, referenced as Attachment B.
Late or
Incomplete
Application
Late or incomplete applications may be denied. If an application is incomplete, the Program Representative may request
additional information. Requests for late submission of applications must be made in writing to the Program
Representative prior to the application due date. Cal OES has sole discretion to accept or reject a late or incomplete grant application.
HSGP Contact
Information
All Subrecipient application materials, questions, comments, and correspondence should be directed to:
California Governor’s Office of Emergency Services
ATTN: Grants Management (Building F)
Homeland Security Grants Unit
3650 Schriever Avenue
Mather, CA 95655
Darlene Arambula (916) 845-8427
Christopher Camacho (916) 845-8789
Laura Halverstadt (916) 845-8899
Antoinette Johnson (916) 845-8260
Jim Lane (916) 845-8428
Tyrone Freeman (916) 328-7750
Abigayle Tirapelle (916) 845-8400
The Program Representative Regional Assignments Map is
available at the Cal OES website under “Regional Assignments”.
25 Section 5 ‒ State Application Process | 2023
Subaward
Approval
Subrecipients will receive a formal notification of award no later than 45 days after Cal OES accepts the federal grant award. The award letter must be signed, dated, and returned to Cal OES within 20 calendar days. Once the completed application, along with the signed award letter, is received and approved, reimbursement of eligible subaward expenditures may be
requested using the Cal OES FMFW.
26 Section 6 ‒ Post Award Requirements | 2023
Payment Request
Process
To request an advance or cash reimbursement of HSGP
funds, Subrecipients must first complete a payment request using the Cal OES HSGP FMFW, returning it to the appropriate Program Representative. Subrecipients who fail to follow the workbook instructions may experience delays in processing the payment request.
Payments can only be made if the Subrecipient has an
approved application.
Advances and
Interest Earned on
Advances
An Advance payment is a payment that is requested before Subrecipients have disbursed the funds for program purposes.
Subrecipients may be paid an advance, provided they
maintain a willingness and ability to maintain procedures to minimize the time elapsing between the receipt of funds and their disbursement. The timing and amount of advance
payments must be as close as administratively feasible to the actual disbursements by the Subrecipient for project costs.
Federal rules require advances to be deposited in interest- bearing accounts. Interest earned amounts up to $500 per year may be retained by Subrecipients for administrative expenses; any additional interest earned on federal advance payments must be returned annually to Cal OES.
Semi-Annual
Drawdown
Requirements
All Subrecipients must report expenditures and request funds at least semi-annually throughout the period of performance.
Semi-annual drawdowns should occur by March and
October of each calendar year following final approval of the subaward application, except for the final cash request, which must be submitted within 20 calendar days after the end of the period of performance.
Modifications Post-award budget and scope modifications must be requested using the Cal OES HSGP FMFW v1.23, signed by the Subrecipient’s AA, and submitted to the Program
Representative.
The Subrecipient may implement grant modification
activities, and incur associated expenses, only after receiving written final approval of the modification from Cal OES.
27 Section 6 ‒ Post Award Requirements | 2023
Modifications
Cont.
Subrecipients must provide a written justification with all modification requests. The justification may be included in the body of the e-mail transmitting the request, or in a document attached to the transmittal e-mail. Please reference GMM 2018-17 for additional information regarding modification requests.
Modifications to NP Projects have additional restrictions as indicated below:
Modifications which do not change the project scope and do not decrease the overall project budget can be
processed via regular modification request.
Modifications which change the project scope or decrease the overall project budget will require DHS/FEMA approval and must be requested on the National Priority Project
Modification Form.
Training
Requirements
All grant-funded training activities must receive Cal OES approval prior to starting the training event. Cal OES shall allow Subrecipients to develop a “placeholder” for future training conferences when an agenda has not been
established at the time Subrecipient applications are due.
Please work with a Program Representative and the Training Branch to identify a possible “placeholder” for these types of training activities.
When seeking approval of non-DHS/FEMA developed
courses, course materials must be submitted with the
approval requests. Conditional approvals are not offered.
Subrecipients must complete a Training Request Form and submit it electronically to the Cal OES Training Branch to be approved with a Training Feedback Number before
beginning any training activities. This includes project components like travel to, materials for, or attendance in training courses. Training Feedback Numbers should be
obtained no later than 30 days before the first day of the training or related activities. Requests that are submitted with less than 30 days prior to the start of the training or activity are not guaranteed to be approved in time and run the risk of training being unallowable. Training Feedback numbers must
28 Section 6 ‒ Post Award Requirements | 2023
Training
Requirements
Cont.
be included on the FMFW Training Ledger to be considered for reimbursement.
For more information on this or other training-related inquiries, contact the Cal OES Training Branch at (916) 845-8745 or [email protected].
Exercises,
Improvement
Plans, and After-
Action Reporting
Subrecipients should engage stakeholders to identify long- term training and exercise priorities. These priorities should address capability targets and gaps identified through the THIRA and SPR process, real-world events, previous exercises, and national areas for improvement identified in the NPR.
Subrecipients must report on all exercises conducted with HSGP grant funds. An After-Action Report
(AAR)/Improvement Plan (IP) or Summary Report (for
Seminars and Workshops) must be completed and submitted to Cal OES within 90 days after exercise/seminars/workshops are conducted. It is acceptable to submit an Exercise
Summary Report for Seminars and Workshops in lieu of a full AAR/IP.
Please e-mail AAR/IPs and Summary Reports to:
• [email protected]
• [email protected]
• [email protected]
For exercise-related issues and/or questions, please email the Cal OES Exercise Team at [email protected].
Exercise costs will not be considered for reimbursement until an AAR/IP is received by Cal OES.
Procurement
Standards and
Written
Procedures
Subrecipients must conduct procurement using documented local government procurement procedures, or the federal procurement standards found in 2 C.F.R. Part 200, whichever are more strict. Subrecipients must also have written conflict of interest policies governing the actions of its employees engaged in the selection, award and administration of
contracts, including disciplinary actions for violations of such standards.
29 Section 6 ‒ Post Award Requirements | 2023
Procurement
Thresholds
Effective June 20, 2018, the micro-purchase threshold was increased from $3,500 to $10,000 and the simplified
acquisition threshold was increased from $150,000 to
$250,000. These increases apply to all Subrecipient
procurements executed on or after June 20, 2018.
Refer to IB 434 for additional information.
Procurement
Documentation
Non-federal entities, other than states and territories, are required to maintain and retain records sufficient to detail the history of procurements, covering at least the rationale for the procurement method, contract type, contractor selection or rejection, and the basis for the contract price. For any cost to be allowable, it must be adequately documented. Examples of the types of documents that would meet this requirement include, but are not limited to:
• Solicitation documentation, such as requests for quotes, invitations for bids, or requests for proposals;
• Responses to solicitations, such as quotes, bids, or
proposals;
• Pre-solicitation independent cost estimates and post- solicitation cost/price analyses on file for review by federal personnel, if applicable;
• Contract documents and amendments;
• Documents demonstrating inclusion of required contract provisions; and
• Other documents required by federal regulations
applicable at the time the grant was awarded to the
Subrecipient.
Noncompetitive
Procurement
All noncompetitive procurements exceeding the simplified acquisition threshold requires Cal OES prior written approval to be eligible for reimbursement. This method of procurement must be approved by the local Purchasing Agent prior to submitting a request for Cal OES approval. A copy of the Purchasing Agent’s approval must be included with the
Cal OES Request for Noncompetitive Procurement
Authorization form. Cal OES may request additional
documentation that supports the procurement effort.
30 Section 6 ‒ Post Award Requirements | 2023
Noncompetitive
Procurement
Cont.
Cal OES will not reimburse for any noncompetitive
procurement contracts for any HSGP terrorism-related
training, regardless of the cost of the training. Exceptions to this policy may be approved in limited circumstances, e.g., related to a procurement effort that has resulted in
inadequate competition. Please refer to GMM2017-01A and GMM2021-05 for additional guidance.
Performance
Bond
Due to the risks associated with delays in vendor delivery of large equipment procurements, DHS/FEMA allows
Subrecipients to obtain a “performance bond” for items that are paid for up front to ensure delivery of the equipment within the grant period of performance.
Cal OES requires Subrecipients to obtain a performance bond when procuring any equipment item over $250,000, or for any vehicle, aircraft, or watercraft that requires full or partial payment prior to receiving the final product(s).
Performance Bond Waivers may be granted on a case-by-
case basis and must be submitted to Cal OES prior to
procurement.
Environmental
Planning and
Historic
Preservation (EHP)
DHS/FEMA is required to ensure all activities and programs that are funded by the agency comply with federal
Environmental Planning and Historic Preservation (EHP)
regulations. Subrecipients proposing projects or activities (including, but not limited to, training, exercises, the installation of equipment, and construction or renovation projects) that have the potential to impact the environment, or a historic structure must participate in the EHP screening process. EHP Screening Memos must include detailed project information, explain the goals and objectives of the proposed project, and include supporting documentation.
DHS/FEMA may also require the Subrecipient to provide a confidential California Historical Resources Information System (CHRIS) report in addition to the EHP Screening Form.
Determination on the necessity of a CHRIS report is based upon information disclosed on the form. Program
Representatives will provide additional instructions should this report be required.
31 Section 6 ‒ Post Award Requirements | 2023
Environmental
Planning and
Historic
Preservation (EHP)
Cont.
EHP Screening Requests should be submitted to Cal OES as early as possible. All projects/activities triggering EHP must receive DHS/FEMA written approval prior to commencement of the funded activity.
Updated information may be referenced in the FEMA GPD
EHP Policy Guidance.
Construction and
Renovation
When applying for construction activity at the time of
application, including communication towers, Subrecipients must submit evidence of approved zoning ordinances,
architectural plans, any other locally required planning permits, and a notice of federal interest. Additionally, Subrecipients are required to submit an SF-424C Budget and Budget Detail that cites project costs. Communication tower construction requests also require evidence that the Federal Communications Commission’s Section 106 review process
was completed.
Subrecipients using funds for construction projects must comply with the Davis-Bacon Act. Subrecipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a
character like the contract work in the civil subdivision of the state in which the work is to be performed.
Project construction using SHSP and UASI funds may not
exceed $1,000,000 or 15% of the grant subaward (for the purposes of limitations on funding levels, communications towers are not considered construction).
Written approval for construction must be provided by
DHS/FEMA prior to the use of any HSGP funds for construction or renovation. No construction activities (including site preparation, utility installations, and any groundbreaking activities) or equipment installations on existing structures, may begin until the EHP review process is complete.
32 Section 6 ‒ Post Award Requirements | 2023
Inventory Control
and Property
Management
Subrecipients must use standardized resource management concepts for resource typing and credentialing, in addition to maintaining an inventory by which to facilitate the effective identification, dispatch, deployment, tracking, and recovery of resources.
Subrecipients must have an effective inventory management system, to include:
• Property records that document description, serial/ID number, fund source, title information, acquisition date, cost, federal cost share, location, use, condition, and ultimate disposition;
• A physical inventory conducted at least every two years; • A control system to prevent loss, damage, and theft of grant purchased equipment and supplies; and
• Adequate maintenance procedures to keep the property
in good condition.
Equipment
Disposition
When original or replacement equipment acquired under the HSGP is no longer needed for program activities, the
Subrecipient must contact the Program Representative to request disposition instructions. See 2 C.F.R. § 200.313(e).
Performance
Reporting
Subrecipients must complete a BSIR each Winter and Summer using the DHS/FEMA Grants Reporting Tool (GRT) for the
duration of the subaward period of performance or until all grant activities are completed and the subaward is formally closed by Cal OES. Failure to submit a BSIR could result in subaward reduction, suspension, or termination.
Access to the BSIR may be obtained through the GRT. To
create a new account, please click the link that reads, “Register for an account” and follow the instructions
provided. The Subrecipient will be required to ensure up-to- date project information is entered. The Project Ledger in the FMFW may assist with the BSIR data entry process. For
additional assistance with the GRT, please contact your Program Representative.
33 Section 6 ‒ Post Award Requirements | 2023
Extension
Requests
Extensions to the initial period of performance identified in the subaward will only be considered through formal, written requests to your Program Representative. Upon receipt of the extension request, Cal OES will:
1. Verify compliance with performance reporting
requirements by confirming the Subrecipient has
submitted all necessary performance reports;
2. Confirm the Subrecipient has provided sufficient
justification for the request; and
3. If applicable, confirm the Subrecipient has demonstrated sufficient progress in past situations where an extension was authorized by Cal OES.
Extension requests will be granted only due to compelling legal, policy, or operational challenges, must be project- specific and will only be considered for the following reasons:
1. Contractual commitments with vendors that prevent
completion of the project within the period of
performance;
2. The project must undergo a complex environmental
review which cannot be completed within this timeframe;
3. Projects are long-term by design and therefore,
acceleration would compromise core programmatic
goals; and
4. Where other special circumstances exist.
To be considered, extension requests must be received no later than 60 days prior to the end of the Subrecipient’s period of performance and must contain specific and
compelling justifications as to why an extension is required. All extension requests must address the following:
1. Grant program, fiscal year, and award number;
2. Reason for delay;
3. Current status of the activity/activities;
4. Approved period of performance termination date and
new project completion date;
5. Amount of funds drawn down to date;
6. Remaining available funds, both federal and non-federal;
34 Section 6 ‒ Post Award Requirements | 2023
Extension
Requests
Cont.
7. Budget outlining how remaining federal and non-federal funds will be expended;
8. Plan for completion, including milestones and timeframes for each milestone and the position/person responsible for implementing the plan for completion; and
9. Certification the activity/activities will be completed within the extended period of performance without any
modification to the original Project Scope.
General questions regarding extension requirements and the extension request form, should be directed to your Program Representative. For additional information, please see IB 379 .
Extension requests for personnel and salaries do not meet the requirements of IB 379 and will not be granted. Subrecipients are expected to complete all grant-funded personnel
activities by the end of the subaward period of performance.
Progress Reports
on Grant
Extensions
All Subrecipients that receive Cal OES approval to extend their FY 2023 Grant Subaward period of performance may be required to submit progress reports indicating completed and future project milestones on all extended projects. Progress reports must be submitted electronically to the Subrecipient’s Program Representative. Deadlines for the submission of progress reports will be established at the time of extension approval.
Monitoring Cal OES Grants Monitoring actively monitors Subrecipients, through day-to-day communications, programmatic site
visits, desk, and on-site compliance assessments. The purpose of the compliance assessment is to ensure Subrecipients are in compliance with applicable state and federal regulations, grant guidelines, and programmatic requirements.
Monitoring activities may include, but are not limited to:
• Verifying entries recorded on the FMFW categories are properly supported with source documentation;
• Eligibility of and support for expenditures, typically covering two to three years of data;
• Comparing actual Subrecipient activities to those
approved in the grant application and subsequent
35 Section 6 ‒ Post Award Requirements | 2023
Monitoring
Cont.
modifications, including the review of timesheets and
invoices as applicable;
• Procurements and contracts;
• Ensuring equipment lists are properly maintained and
physical inventories are conducted;
• Ensuring advances have been disbursed in accordance
with applicable guidelines; and
• Confirming compliance with Standard Assurances; and
• Information provided on performance reports and
payment requests
NOTE: It is the responsibility of all Subrecipients that pass down grant funds to other entities, to maintain and utilize a formal process to monitor the grant activities of their subawards. This requirement includes, but is not limited to, on-site verification of grant activities, as required. It is common for Subrecipients to receive findings in a programmatic site visit or compliance assessment, which require a Corrective Action Plan (CAP) to be submitted by Subrecipients. Those Subrecipients who fail to submit a CAP, as required, shall have a “hold” placed on any future reimbursements until the “finding” is resolved.
Failure to Submit
Required Reports
Periodic reporting is required by the grant. Subrecipients who miss a single reporting deadline may receive a letter
addressed to their Board of Supervisors informing them of the failure to report. County OAs and tribes who fail to report twice consecutively may have subsequent awards reduced
by 10% until timely reporting is reestablished; UASIs may have a “hold” placed on any future reimbursements.
Suspension/
Termination
Cal OES may suspend or terminate grant funding, in whole or in part, or other measures may be imposed for any of the following reasons:
Suspension/
• Failure to submit required reports.
• Failure to expend funds in a timely manner consistent with the grant milestones, guidance, and assurances.
• Failure to comply with the requirements or statutory
progress toward the goals or objectives of federal or state law.
• Failure to make satisfactory progress toward the goals or objectives set forth in the Subrecipient application.
• Failure to follow Grant Subaward requirements or Special Conditions.
36 Section 6 ‒ Post Award Requirements | 2023
Termination
Cont.
• Proposing or implementing substantial plan changes to the extent that, if originally submitted, the application would not have been selected for funding.
• False certification in the application or document.
• Failure to adequately manage, monitor, or direct the
grant funding activities of their Subrecipients.
Before taking action, Cal OES will provide the Subrecipient reasonable notice of intent to impose corrective measures and will make every effort to informally resolve the problem.
Closeout
Cal OES will close-out Subrecipient awards when it
determines all applicable administrative actions and all required work of the federal award have been completed.
Subawards will be closed after:
• All funds have been requested and reimbursed, or
disencumbered;
• Receiving all applicable Subrecipient reports indicating all approved work has been completed, and all funds have
been distributed;
• Completing a review to confirm the accuracy of reported information;
• Reconciling actual costs to subawards, modifications, and payments; and
• Verifying the Subrecipient has submitted a final BSIR showing all grant funds have been expended.
Records Retention The records retention period is three years from the date of the Cal OES Grant Closeout letter, or until any pending litigation, claim, or audit started before the expiration of the three-year retention period has been resolved and final action is taken.
For indirect cost rate proposals, cost allocation plans, or other rate computation records, the start of the record retention period is dependent on whether the proposal, plan, or other computation is required to be submitted to the federal
government (or to the pass-through entity) for negotiation purposes. See 2 C.F.R. § 200.334(f).
In order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g).
37 Section 6 ‒ Post Award Requirements | 2023
Records Retention
Cont.
The Cal OES Grant Closeout Letter will notify the Subrecipient of the start of the records retention period for all
programmatic and financial grant-related records.
If the State Administrative Agency’s award remains open after the Subrecipient’s submission of the final BSIR, Cal OES will complete any additional BSIR reporting required under the award on behalf of the Subrecipient.
Closed grants may still be monitored and audited. Failure to maintain all grant records for the required retention period could result in a reduction of grant funds, and an invoice to return costs associated with the unsupported activities.
If documents are retained longer than the required retention period, FEMA, the DHS Office of Inspector General,
Government Accountability Office, and pass-through entity have the right to access these records as well. See 2 C.F.R. §§ 200.334, 200.336.
38 Attachment A ‒ FY 2023 HSGP Allocations | 2023
*SHSP allocations reflect National Priority Area project adjustments State Homeland Security Program (SHSP)
Operational Area Total Award Operational Area Total Award ALAMEDA 1,650,795 ORANGE 3,091,413
ALPINE 76,145 PLACER 465,161
AMADOR 113,439 PLUMAS 93,069
BUTTE 267,310 RIVERSIDE 2,398,207
CALAVERAS 117,971 SACRAMENTO 1,578,910
COLUSA 94,168 SAN BENITO 137,459
CONTRA COSTA 1,178,218 SAN BERNARDINO 2,161,778
DEL NORTE 100,963 SAN DIEGO 3,210,706
EL DORADO 256,682 SAN FRANCISCO 878,889
FRESNO 1,039,636 SAN JOAQUIN 823,130
GLENN 102,425 SAN LUIS OBISPO 342,774
HUMBOLDT 203,934 SAN MATEO 785,321
IMPERIAL 246,059 SANTA BARBARA 499,634
INYO 93,103 SANTA CLARA 1,882,403
KERN 942,855 SANTA CRUZ 329,271
KINGS 220,012 SHASTA 247,205
LAKE 126,762 SIERRA 78,080
LASSEN 103,878 SISKIYOU 116,809
LOS ANGELES 9,481,457 SOLANO 501,615
MADERA 225,138 SONOMA 535,157
MARIN 320,277 STANISLAUS 599,128
MARIPOSA 102,042 SUTTER 169,572
MENDOCINO 168,349 TEHAMA 132,940
MERCED 346,225 TRINITY 90,284
MODOC 83,289 TULARE 528,108
MONO 87,762 TUOLUMNE 127,741
MONTEREY 488,715 VENTURA 870,207
NAPA 204,898 YOLO 285,965
NEVADA 171,574 YUBA 153,481
*Total 41,728,498
39 Attachment A ‒ FY 2023 HSGP Allocations | 2023
Fusion Centers
Region Total Award
SAN FRANCISCO BAY AREA 1,792,050
SACRAMENTO/CENTRAL VALLEY AREA 2,565,000
GREATER LOS ANGELES AREA 2,887,500
SAN DIEGO AREA 2,047,500
ORANGE AREA 835,000
*Total 10,127,050
* SH
SP allocations reflect National Priority Area project adjustments Urban Areas Security Initiative (UASI)
*A minimum of 35% of UASI funding must be for Law Enforcement Terrorism Prevention Urban Area
Federal
Allocation to
State
Allocation to
UASI State Initiatives
ANAHEIM/SANTA ANA AREA 5,250,000 4,278,750 971,250
BAY AREA 36,493,265 29,742,011 6,751,254
LOS ANGELES/LONG BEACH AREA 66,174,270 53,932,030 12,242,240 RIVERSIDE AREA 3,900,000 3,178,500 721,500
SACRAMENTO AREA 3,800,000 3,097,000 703,000
SAN DIEGO AREA 16,445,560 13,403,131 3,042,429
Total 132,063,095 107,631,422 24,431,673
40 Attachment B ‒ FY 2023 HSGP Timeline | 2023
DHS/FEMA Announcement of 2023 HSGP NOFO
February 13, 2023
Cal OES Application Due to DHS
May 18, 2023
DHS Award to California September 25, 2023
Subrecipient period of performance begins
September 1, 2023
2023 HSGP California Supplement release
October 2023
Subrecipient Workshops
October 2023
Subrecipient Awards (45 days from DHS award) October 2023 Subrecipient Final Applications for FY23 Due to
Cal OES
December 29, 2023
Subrecipient period of performance ends
May 31, 2026
Final Cash Requests due to Cal OES
Within twenty (20) calendar
days after end of grant
Cal OES’s period of performance ends
August 31, 2026
Attachment C: FY 2023 HSGP Application Checklist | 2023
UEI ☐ L ETPA 35% or >☐ M&A 5% or <☐
Subrecipient: FIPS#:
Program Representative:
Financial Management Forms Workbook:
☐
Grant Award Face Sheet
☐ Authorized Body of 5
☐ Project Ledger
☐ Planning Tab
☐ Organization Tab
☐ Equipment Tab
☐ Training Tab
☐ Exercise Tab
☐ Consultant/C ontractor Tab
☐ Management & Administration Tab
☐ Indirect Cost Tab
☐ Authorized Agent Sheet
Attachments:
☐ Original Counter-Signed Award Letter
☐ Governing Body Resolution (Certified)
☐ Standard Assurances (Signed Originals)
☐ FFATA Certification
☐ Lobbying Certification
☐ Subrecipient Grant Management Assessment Form
☐ Indirect Cost Rate Negotiation Agreement
☐ Personnel Cap Waiver (If Applicable)
☐ Intelligence Analyst(s) Certificates (If Applicable)
UASI Only:
☐
UASI Footprint
☐ UAWG Roster
State Agencies and Tribes Only:
☒ Signature Authority Form (in lieu of Governing Body Resolution)
For Cal OES Use Only
Reviewed by: Date:
Management Approval: Date:
County Fire Chief
280 North Campus Drive
William Lynch
Hanford, CA 93230
Kings County
July 24, 2024
Dear Chief Lynch:
NANCY WARD
DIRECTOR
3650 SCHRIEVER AVENUE, MATHER, CA 95655
(916) 845-8510 TELEPHONE
NOTIFICATION OF SUBRECIPIENT APPLICATION APPROVAL
FY 2023 Homeland Security Grant Program (HSGP)
Subaward #: 2023-0042, Cal OES ID: 031-00000
The California Governor's Office of Emergency Services (Cal OES) has approved your FY 2023 Homeland Security Grant Program (HSGP) application in the amount of $220,012. As of the date of this letter, you may request reimbursement of eligible grant expenditures using the Cal OES Financial Management Forms Workbook (FMFW) available at www.caloes.ca.gov. A copy of your approved subaward is enclosed for your records.
Any activities requiring additional review (e.g., Environmental Planning and Historic Preservation, Allowability Requests, procurement of Aviation or Controlled Equipment, etc.) shall not incur costs until you receive written approval for those activities.
This subaward is subject to all provisions of 2 CFR Part 200, Subpart F - Audit Requirements. Any funds received in excess of current needs, approved amounts, or those found owed as a result of a final review or audit, must be refunded to the State within 30 days upon receipt of an invoice from Cal OES.
For additional information, please contact your Cal OES Program Representative.
SUBJECT:
Homeland Security & Emergency Management Grants Processing
Enclosure
cc: Subrecipient file
GAVIN NEWSOM
GOVERNOR
www.CalOES.ca.gov
80 APR
SL: 14733
Pgm: 0385
09/01/23 to 08/31/26
ENY: 2024-25 Chapter: 22
Item: 0690-101-0890
FAIN#: EMW-2023-SS-00042
Fund: Federal TrustAL#: 97.067
Program: Homeland Security Grant Program
Match Req.: None
Project No.: OES23HSGP000012 Amount: $220,012
SC: 2024-14733
APR
Received 12/21/23
ML#781795
Docusign Envelope ID: 7DD563C6-1C41-4CB2-91A2-81B079EACF66 7/19/2024
7/19/2024
Supplemental Grant Subaward Information – Cal OES 2-101a (9/2021) Revised 4/7/23 CALIFORNIA GOVERNOR’S OFFICE OF EMERGENCY SERVICES
SUPPLEMENTAL GRANT SUBAWARD INFORMATION
1. Cal OES Contact Information Section:
Governor’s Office of Emergency Services
Nancy Ward, Director
3650 Schriever Avenue
Mather, CA 95655
2. Federal Awarding Agency Section:
Federal Program
Fund / AL #
Federal Awarding
Agency
Federal
Award Date
Total Federal
Award
Amount
Total Local
Assistance
Amount
Homeland Security
Grant Program /
97.067
US Department of
Homeland Security
09/01/2023 $202,198,718 $192,088,782
3. Project Description Section:
• Project Acronym:
Homeland Security Grant Program (HSGP)
• Project Description:
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.
4. Research & Development Section:
Is this Subaward a Research & Development grant? Yes ☐ No ☒
Homeland Security Grant Program
2023 Approval Authority Members
Below is the contact information for the Kings County Approval Authority signatories for the FY 2023 Homeland Security Grant Program.
• County Public Health Officer
Rose Mary Rahn, Director of Public Health
Kings County Public Health
330 N. Campus Drive
Hanford, CA 93230
Phone: 559.852.2625
[email protected]
• County Fire Chief
• Luis Nevares, Interim Fire Chief
Kings County Fire Department
280 N. Campus Drive
Hanford, CA 93230
Phone: 559.852.2880
[email protected]
• Municipal Fire Chief
Daniel Perkins, Fire Chief
Hanford Fire Department
350 W. Grangeville Avenue
Hanford, CA 93230
Phone: 559.585.2545
[email protected]
• County Sheriff
David Robinson, Sheriff
Kings County Sheriff’s Department
1444 W. Lacey Boulevard
Hanford, CA 93230
Phone: 559.852.2896
[email protected]
• Chief of Police
Michael Kendall, Police Chief
Lemoore Police Department
657 Fox Street
Lemoore, CA 93245
Phone: 559.925.6851
[email protected]
If your agency is using HSGP grant funds to contract with anyone, you MUST verify that they are NOT debarred on the Government’s “System for Award Management” by checking the website:
http://www.sam.gov
Checks must be performed at the time of the Project Proposal, if there is a vendor change, and before payment.
Locate the “SEARCH RECORDS” menu item. You may
search by an entity’s name, UEI number, or CAGE code.
Enter the requested information (i.e. individual, firm, or entity’s name; UEI Number or CAGE Code). Click on search. The
search will display the results.
If your search returned no results, click on “Printer -Friendly” and print the search results. If the search leads you to any Active Exclusion Records for that person or entity, this means they may be debarred or suspended and may NOT be eligible to receive any grant funds.
Attach the search results to your reimbursement request. The printed search results are very important because the date will be printed on the report and it must be prior to the date you contract with anyone. This report must accompany your
reimbursement request to be eligible for reimbursement. If the contractor is listed on the website as debarred or suspended and you use their services, you will NOT be
eligible for reimbursement from Tulare County OES.
Contractors are only allowed a maximum reimbursement of eight (8) hours per day.
SYSTEM FOR AWARD MANAGEMENT (SAM)
REQUIREMENTS
Financial Management Guide
U.S. Department of Homeland Security
Preparedness Directorate
Office of Grants and Training
Office of Grant Operations
January 2006
Department of Homeland Security
The mission of the Department of Homeland Security (DHS) is to lead the unified national effort to secure America; to prevent and deter terrorist attacks and protect against and respond to threats and hazards to the nation; and to ensure safe and secure borders, welcome lawful immigrants and visitors, and promote the free-flow of commerce. DHS is also dedicated to protecting the rights of American citizens and enhancing public services, such as natural disaster assistance and citizenship services, by dedicating offices to these important missions.
Department of Homeland Security
World Wide Web page:
http://www.DHS.gov
U.S. Department of Homeland Security
Preparedness Directorate
Office of Grants and Training
Office of Grant Operations
800 K Street, NW
Washington, DC 20001
Mailing Address
810 Seventh Street, NW
Washington, DC 20531
Michael Chertoff
Secretary
U.S. Department of Homeland Security
Tracy A. Henke
Executive Director
Office of Grants and Training
Kimberly Orben
Director, Office for Business Administration
Office of Grants and Training
Nancy Anne (Baugher) Foy
Director, Office of Grant Operations
Office of Grants and Training
1-866- 9ASK-OGO (866-927-5646)
[email protected]
Foreword
Since terrorists attacked our nation on September 11, 2001, the Office of Grants and Training (G&T) and its predecessor agencies have awarded more than $8.6 billion in grant funding to build capabilities at the state and local levels to prevent, prepare for, and respond to terrorist incidents and catastrophic disasters. As stewards of these public funds, G&T and its recipient agencies share responsibility for ensuring–through sound planning and prioritizing–that those funds are well-invested, and–through sound financial processes–that those funds are well-managed.
G&T’s Office of Grant Operations (OGO) developed this Financial Management Guide to provide step-by-step guidance in fulfilling your fiduciary responsibility as recipients of Federal grant funds and in ensuring that these taxpayer dollars are used for the purposes for which they are awarded. The Guide should serve as the primary reference and day-to-day management tool for G&T award recipients and subrecipients in all financial management and grant administration matters.
I hope that you will find this Financial Management Guide useful and welcome your comments and suggestions. I also encourage you to contact our Office of Grant Operations whenever you have a question about your financial management operations or any of the areas covered in this Guide. OGO’s Customer Service staff may be reached at 1-866-9ASK-OGO or via e-mail at [email protected].
Thank you for your efforts to strengthen the financial management of your grants, to safeguard public funds, and to ensure our national security by building state and local preparedness. I look forward to continuing to work with you.
T racy A. Henke
Executive Director
Table of Contents
CHAPTER 1: INTRODUCTION...............................................................................................1 WHAT IS THE PURPOSE OF THIS GUIDE? .........................................................................................2 WHO IS THIS GUIDE DESIGNED FOR? ..............................................................................................3 CHAPTER 2: THE APPLICATION PROCESS ...........................................................................5 NOTICE OF FUNDING AVAILABILITY/ANNOUNCEMENTS ....................................................................6 APPLICATION REVIEW....................................................................................................................6 TECHNICAL REVIEW.......................................................................................................................7 COST ANALYSIS ............................................................................................................................8 CHAPTER 3: THE AWARD PROCESS......................................................................................9 THE AWARD DOCUMENT..............................................................................................................10 ACCEPTANCE OF AWARD AND CONDITIONS ..................................................................................10 TYPES OF FINANCIAL ASSISTANCE: GRANT OR COOPERATIVE AGREEMENT................................... 11 PLANNING AND IMPLEMENTING AWARD PROGRAMS......................................................................11 CHAPTER 4: MANAGING FEDERAL FUNDS .........................................................................12 FINANCIAL MANAGEMENT SYSTEM REQUIREMENTS ......................................................................13 RECIPIENT AND SUBRECIPIENT ACCOUNTING RESPONSIBILITIES ................................................... 13 COMMINGLING OF FUNDS.............................................................................................................14 MONITORING PROJECT PERFORMANCE ........................................................................................14 CONFLICTS OF INTEREST .............................................................................................................15 SUPPLANTING .............................................................................................................................15 CHAPTER 5: PAYMENTS.........................................................................................................17 REQUEST FOR ADVANCE/REIMBURSEMENT ..................................................................................18 WITHHOLDING OF FUNDS .............................................................................................................18 CASH MANAGEMENT IMPROVEMENT ACT OF 1990........................................................................18 INTEREST .................................................................................................................................... 19 CHAPTER 6: OBLIGATION AND EXPENDITURES................................................................20 OBLIGATION OF FUNDS................................................................................................................21 PERIOD OF AVAILABILITY.............................................................................................................21 EXPENDITURE OF FUNDS .............................................................................................................21 SUSPENSION AND TERMINATION...................................................................................................21 CHAPTER 7: GRANT REPORTING .........................................................................................23 FINANCIAL REPORTING ................................................................................................................24 PROGRAMMATIC REPORTING .......................................................................................................24 CHAPTER 8: ADJUSTMENTS TO AWARDS......................................................................25 MODIFICATIONS AND REVISIONS (INCLUDING GRANT ADJUSTMENT NOTICES) ................................ 26 NOTIFICATION OF CHANGES.........................................................................................................26 TYPES OF ADJUSTMENTS: ...........................................................................................................26 CHAPTER 9: OTHER PROGRAM FUNDS...............................................................................28 PROGRAM INCOME ......................................................................................................................29 REQUIREMENTS FOR MATCHING OR COST SHARING......................................................................30 CHAPTER 10: COSTS AND EXPENDITURES......................................................................32 ALLOWABLE COSTS ....................................................................................................................33
UNALLOWABLE COSTS ................................................................................................................36 COSTS REQUIRING PRIOR APPROVAL ..........................................................................................38 CHAPTER 11: PROCUREMENT ............................................................................................40 PROCUREMENT STANDARDS........................................................................................................41 SOLE SOURCE PROCUREMENT (NON-COMPETITIVE).....................................................................41 CHAPTER 12: AUDITS...........................................................................................................43 AUDIT REQUIREMENTS FOR STATES, LOCAL GOVERNMENTS, AND NON-PROFIT ORGANIZATIONS... 44 AUDITS OF COMMERCIAL/FOR-PROFIT ORGANIZATIONS................................................................45 AUDITS OF SUBRECIPIENTS..........................................................................................................45 DISTRIBUTION OF REPORTS .........................................................................................................45 TECHNICAL ASSISTANCE .............................................................................................................45 CHAPTER 13: CLOSE OUT ...................................................................................................47 CLOSE OUT PROCESS .................................................................................................................48 RETENTION AND MAINTENANCE OF RECORDS...............................................................................48 ACCESS TO RECORDS .................................................................................................................49 APPENDIX: GLOSSARY OF TERMS....................................................................................50 INDEX............................................................................................................................................ 56
Chapter 1: Introduction
Highlights from this chapter:
• What is the purpose of this Guide?
• Who is this Guide designed for?
1
Introduction
What is the purpose of this Guide?
This Guide is intended to be used for the administration of Federal award programs administered by the Office of Grants and Training (G&T) in conjunction with the provisions of the Office of Management and Budget (OMB) circulars and government- wide common rules applicable to grants and cooperative agreements, program guidelines, application kits, special conditions, terms and conditions, G&T information bulletins, and DHS policy, regulations and statutes. Details specific to the OMB Circulars can be found on the OMB website at www.whitehouse.gov/omb/circulars/. Below is a list of the most commonly used circulars with which grant recipients should become familiar.
Administrative Guidelines:
OMB Circular A-102, Grants and Cooperative Agreements with State and Local Governments. This Circular establishes consistency and uniformity among Federal agencies in the management of grants and cooperative agreements with State, local, and Federally recognized Indian tribal governments.
OMB Circular A-110, Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit Organizations. This Circular establishes administrative requirements for Federal grants and agreements awarded to commercial organizations, institutions of higher education, hospitals, and other non-profit organizations.
Cost Guidelines:
OMB Circular A-21, Cost Principles for Educational Institutions. This Circular establishes principles for determining costs applicable to grants, contracts, and other agreements with educational institutions.
OMB Circular A-87, Cost Principles for State, Local and Indian Tribal Governments.
This Circular establishes principles and standards for determining costs for Federal awards carried out through grants, cost reimbursement contracts, and other agreements with State, local and Federally recognized Indian tribal governments.
OMB Circular A-122, Cost Principles for Non-Profit Organizations. This Circular establishes principles for determining costs of grants, contracts and other agreements with non-profit organizations. It does not apply to colleges and universities, which are covered by Office of Management and Budget (OMB) Circular A-21, "Cost Principles for Educational Institutions"; State, local, and Federally recognized Indian tribal governments, which are covered by OMB Circular A-87, "Cost Principles for State, Local, and Indian Tribal Governments"; or hospitals.
Code of Federal Regulations,Title 48 Federal Acquisition Regulations Systems, Chapter 1, Part 31, Contract Cost Principles and Procedures. This part is to be used by 2
commercial organizations and contains cost principles and procedures for cost analysis and the determination, negotiation and allowance of costs.
Audit Guidelines:
OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations. This Circular provides requirements regarding audits of State, local and tribal governments and non-profit organizations (the Single Audit Act), in addition to the circulars for cost principles. This Circular requires that non-Federal entities that expend $500,000 (effective January 1, 2004) or more of total Federal funds in their fiscal year shall have a single or program-specific audit conducted for that year. Guidance on determining Federal awards expended is provided in Section 205 of this Circular.
Unless prohibited by law, the costs of audits made in accordance with the provisions of this requirement are allowable charges to Federal awards. The charges may be considered a direct cost or an allocated indirect cost, as determined in accordance with the provisions of applicable OMB cost principles circulars, the Federal Acquisition Regulation (FAR) (48CFR parts 30 and 31), or other applicable cost principles or regulations.
For those organizations not subject to the A-133 requirements, records must still be available and complete for review or audit by appropriate officials or representatives of the Federal agency, pass-through entity, and Government Accountability Office (GAO).
These organizations shall have financial and compliance audits conducted by qualified individuals who are organizationally, personally, and externally independent from those who authorize the expenditure of Federal funds to ensure that there is no conflict of interest or appearance of conflict of interest.
The cost of auditing a non-Federal entity that has Federal awards expended of less than $500,000 per year and is thereby exempted under the A-133 requirement may not charge such costs to their Federal award(s).
Who is this Guide designed for?
This document is provided for the use of all recipients and their subrecipients of Federal award programs administered by G&T. This Guide is to serve as the primary reference for financial management and grants administration. Specific organizations and individuals that are to use this Guide include the following:
Direct Recipients:
Formula and discretionary recipients receiving funds directly from G&T.
Subrecipients:
An individual and/or organization that receives Federal financial or property assistance through the direct recipient of Federal funds. This may include entities receiving funds as a result of formula awards. Units of government and other organizations receiving Federal financial assistance from the State shall adhere to applicable State laws and procedures except where inconsistent with Federal statutes and guidelines. The 3
circulars and government-wide common rules specific to that organization-type also apply.
Individuals from the above organizations who may use this Guide include, but are not limited to: administrators, financial management specialists, grants management specialists, accountants, and auditors. These individuals are to use the Guide as a financial policy reference in executing their duties under agency-funded programs and projects. Additionally, the document is structured to serve as a training manual for new employees.
This Guide is not for the direct use of contractors. However, direct recipients should ensure that monitoring of organizations under contract to them is performed in a manner that will ensure compliance with their overall financial management requirements.
This Guide is intended to be used for fiscal year 2006 and future G&T awards.
Any awards made prior to October 1, 2005 must follow the legacy organization’s regulations as outlined in the recipient’s award terms and conditions.
Order of Precedence
In determining the relevant standards for the conduct of grant operations, grantees should consider the following, in precedential order:
• Public Laws
• Regulations
• Executive Orders
• OMB Circulars
• Department al Policy
• Award Terms and Conditions
4
Chapter 2: The Application Process
Highlights from this chapter:
• Notice of Funding Availability/Announcements
• Application Review
• Technical Review
• Cost Analysis
5
The Application Process
Notice of Funding Availability/Announcements
A compilation of available assistance programs may be found in the Catalog of Federal Domestic Assistance (CFDA) at www.cfda.gov. G&T grant program announcements can also be found at the DHS/G&T (http://www.ojp.usdoj.gov/odp/welcome.html) and Grants.Gov (www.grants.gov) websites or by contacting the Centralized Scheduling Information Desk (CSID) at 1-800-368-6498 or [email protected] . The websites will provide you, at minimum, a link to the full application kit and online application system.
The following kinds of information can be found in the program guidance/solicitation packages for each specific program:
• Authorizatio n
• Objectives
• Use and Restrictions
• Eligibility - Eligible applicants will be detailed in each program guidance/solicitation package released for funding. Formula funds are generally awarded to the State Administrative Agency (SAA), which may, in turn, subgrant funding to units of local government and nonprofit organizations, based upon statutory authority. (See appropriate specific program guidelines for eligibility.) Discretionary awards may also be awarded to States, units of local government, Indian tribes and tribal organizations, individuals, educational institutions, hospitals, and private nonprofit and private commercial organizations (if legislation allows) at the discretion of DHS/G&T.
• Match Requirements
• Program Description
• Funding Availability
• Program Specific Requirements
• Application Deadlines
• Application Requirements
• Application Forms
• Reporting Requirements
Application Review
SF 424 Analysis:
G&T examines information contained in the Application for Federal Assistance (SF 424) to ascertain the following information:
• Employer Identification Number (EIN). This number includes the Social Security Numbers (SSN) for individuals or employer identification numbers (EIN) for business entities, which are used to identify our customers. • Whether an applicant holds a Federal Debt obligation. The SF 424 includes a question about whether there is Federal debt. That question applies to the organization requesting the financial assistance, not the person who signs the 6
application as the authorized representative of the organization. This kind of debt is defined to include delinquent audit disallowances, loans, and taxes. • DUNS number: All grant applicants must have a Dun & Bradstreet (D&B) Data Universal Numbering System (DUNS) number in order to apply for Federal financial assistance. Organizations may receive a DUNS number at no cost by calling the toll-free DUNS Number request line at 1-866-705-5711. Individuals who apply for grant awards or cooperative agreements from the Federal government are exempt from this requirement.
Financial Capability and Fiscal Integrity:
Nongovernmental (non-profit and commercial) organizations that have not previously received DHS/G&T funds or have not had an active award within 3 years must complete the Accounting System and Financial Capability Questionnaire. This form is to be submitted as part of the application package. This Questionnaire may be obtained at http://www.ojp.usdoj.gov/forms.htm.
A preliminary assessment of the applicant’s financial capability, including the applicant’s accounting system and operations, will be completed to ensure that if Federal funds are awarded the funds will be expended in a judicious manner. Where a nongovernmental applicant (except public colleges, universities, and hospitals) has never received an award, the organization’s accounting system will be reviewed prior to award or within a reasonable time thereafter to assure its adequacy and acceptability. This review may also apply where known financial or management deficiencies appear to exist. The results of the review will determine the action to be taken by the awarding agency with regard to the award, i.e. additional reporting or monitoring requirements. Where an applicant has had prior awards, outstanding audit issues and delinquent audit, financial, or progress reports must be resolved prior to awarding additional discretionary funds.
The awarding agency will obtain credit reports before making awards to new recipients or to those recipients with poor past performance records. Also, the awarding agency may obtain credit reports on any applicant when there is reason to believe that performance is substandard or there is evidence of financial irregularities. If this preliminary assessment indicates that an applicant may be of higher risk, G&T may impose additional monitoring and/or reporting requirements.
G&T will also take the following information into account when considering the application for award: 1) past grant history, 2) audit reports, and 3) financial and performance report submission.
Technical Review
Awards that are made through a competitive review process will undergo a “peer review”. Applications that meet the minimum requirements identified in the program guidance will move forward and be reviewed by a panel(s) of subject matter experts.
The subject matter experts will then score and may rank the applications or make recommendations for funding to G&T.
7
Cost Analysis
G&T may conduct a cost analysis of each project application considered for funding.
This cost analysis includes obtaining cost breakdowns, verifying cost data, evaluating specific elements of costs, and examining data to determine the necessity, reasonableness, allowability, allocability, and appropriateness of the proposed cost. The form and extent of such an analysis will be determined by G&T based on the level and type of funding. Each program guidance package will specify when/if a cost analysis will be completed and the type of cost information required.
8
Chapter 3: The Award Process
.
Highlights from this chapter:
• The Award Document
• Acceptance of Award and Conditions
• Types of Financial Assistance: Grant or Cooperative Agreement • Planning and Implementing Award Programs
9
The Award Process
The Award Document
After completing the internal review process, project applications designated for approval are formally awarded through the issuance of an Award Document.
This document includes:
• Name and address of recipient;
• Date of award;
• Project/performance period;
• Vendor/recipient number;
• Amount of Federal funds;
• Award/agreement number;
• Method of payment; and
• Terms and conditions, as appropriate, that the recipient/subrecipient must meet if the award is accepted.
Notification of the award will be made electronically. Instructions will be provided on how to accept the award. All correspondence concerning the award should refer to the designated award/agreement number shown on the Award Document.
Acceptance of Award and Conditions
The Award Document constitutes the operative document obligating and reserving Federal funds for use by the recipient in executing the program or project covered by the award. Acceptance of a Federal award of funds means that the grantee agrees to abide by all applicable laws, regulations, program guidance and special conditions. This obligation may be voided without further cause if the recipient fails to accept the award in a timely manner.
All awards will include terms and conditions that include requirements concerning compliance with this Guide and compliance with the audit requirements. A number of other standard or special conditions may be attached to the award. Recipients are urged to carefully review and understand all terms and conditions of the award prior to award acceptance. Failure to comply with these terms and conditions may result in disallowance of costs and recovery of funds and/or suspension or termination of funds and/or award.
Commercial Award recipients receiving grant funding from G&T should be aware of the additional special conditions placed on these awards. Commercial organizations must agree not to make a profit as a result of an award and not to charge a management fee for the performance of an award. Also, commercial organizations must agree to comply with the Federal Acquisition Regulations (FAR) cost principles and the administrative requirements of OMB Circular A-110.
10
If a recipient materially fails to comply with the terms and conditions of an award, whether stated in a Federal statute, regulation, assurance, application, or notice of award, G&T may take one or more of the following actions, as appropriate in the circumstances. This authority also extends to the recipient agency.
1. Temporarily withhold cash payments pending correction of the deficiency by the recipient.
2. Disallow (that is, deny both use of funds and any applicable matching credit for) all or part of the cost of the activity or action not in compliance.
3. Wholly or partly suspend or terminate the current award.
4. Withhold further awards for the project or program.
5. Take other remedies that may be legally available.
Types of Financial Assistance: Grant or Cooperative Agreement Grants are awarded to States, units of local government, or private organizations at the discretion of the awarding agency or on the basis of a formula. Grants are used to support a public purpose.
Cooperative agreements are awarded to States, units of local government, or private organizations at the discretion of the awarding agency. Like grants, cooperative agreements are also used to support a public purpose. Cooperative agreements are utilized when substantial involvement is anticipated between the awarding agency and the recipient during performance of the contemplated activity.
Planning and Implementing Award Programs
Planning Prior to Award
Sound planning practices, both before and after grant awards, are critical to the progress and success of G&T program initiatives. Pre-planning strategies, such as the use of calendars and tickler files and their use through all planning phases, contribute towards program success.
It is imperative that G&T grant applicants not wait until they receive an award to start planning how funds will be spent. Many grant programs require state and local jurisdictions to develop Homeland Security Strategic Plans, as well as descriptions of firefighting and emergency response needs, to which all allocations of grant funds must be tied. (Refer to specific grant program guidelines for requirements.)
All grantees, including subrecipients, should employ pre-planning strategies, to include such activities as threat and vulnerability assessments, needs assessments, and gap analyses prior to making application for a grant award. Based upon the results of these activities, priorities for funding should then be established. Grantees should leverage all relevant funding and resources from multiple sources wherever possible that will support and sustain program efforts. Program budgets should be developed in a manner that maximizes all resources, not restrictive to Federal funding alone, avoids duplication of spending, will help achieve identified priorities, and will account for expenditures. 11
Chapter 4: Managing Federal Funds
Highlights from this chapter:
• Financial Management System Requirements
• Recipient and Subrecipient Accounting Responsibilities • Commingling of Funds
• Monitoring Project Performance
• Conflicts of Interest
• Supplanting
12
Managing Federal Funds
Financial Management System Requirements
All recipients are required to establish and maintain accounting systems and financial records to accurately account for funds awarded to them. These records shall include both Federal funds and all matching funds of State, local, and private organizations, when applicable. State recipients shall expend and account for grant funds in accordance with State laws and procedures for expending and accounting for their own funds. Subrecipients of States shall follow the financial management requirements imposed on them by States, which must comply with the requirements G&T has imposed on the States.
Funds specifically budgeted and/or received for one project may not be used to support another without prior written approval of the awarding agency. Where a recipient’s or subrecipient’s accounting system cannot comply with this requirement, the recipient or subrecipient shall establish a system to provide adequate fund accountability for each project it has been awarded.
Where the conduct of a program or one of its components is delegated to a subrecipient, the direct recipient is responsible for all aspects of the program, including proper accounting and financial recordkeeping by the subrecipient. Responsibilities include the accounting of receipts and expenditures, cash management, maintenance of adequate financial records, and refunding expenditures disallowed by audits.
Recipient and Subrecipient Accounting Responsibilities
• Reviewing Financial Operations - Direct recipients should be familiar with, and periodically monitor, their subrecipients’ financial operations, records, systems, and procedures. Particular attention should be directed to the maintenance of current financial data.
• Recording Financial Activities - The subrecipient’s award or contract obligation, as well as cash advances and other financial activities, should be recorded in the books of the recipient in summary form. Subrecipient expenditures should be recorded on the books of the recipient or evidenced by report forms duly filed by the subrecipient. Non-Federal contributions applied to programs or projects by subrecipients should likewise be recorded, as should any program income resulting from program operations. All financial records must validate expenditures related to the respective grant(s). • Budgeting and Budget Review - The recipient should ensure that each subrecipient prepares an adequate budget on which its award commitment will be based. The detail of each project budget should be maintained on file by the recipient.
• Accounting for Non-Federal Contributions - Recipients will ensure that the requirements, limitations, and regulations pertinent to non-Federal contributions are applied.
• Audit Requirements - Recipients must ensure that subrecipients have met the necessary audit requirements contained in this Guide.
13
• Reporting Irregularities - Recipients and their subrecipients shall promptly notify the awarding agency and the Federal cognizant audit agency of any illegal acts or irregularities and of proposed and actual actions, if any. Illegal acts and irregularities include conflicts of interest, falsification of records or reports, and misappropriation of funds or other assets. Should a recipient become aware of any criminal activity related to Federal assistance, these criminal acts should be reported to the appropriate law enforcement agency.
• Debarred and Suspended Organizations - Recipients and subrecipients must not award or permit any award at any level to any party that is debarred or suspended from participation in Federal assistance programs. • Bonding - The awarding agency may require adequate fidelity bond coverage where the recipient lacks sufficient coverage to protect the Federal government interest (see OMB Circular A-110, Subpart C, paragraph 21(c) and OMB Circular A-122). Where the conduct of a program or one of its components is delegated to a subrecipient, the direct recipient is responsible for all aspects of the program, including proper accounting and financial recordkeeping by the subrecipient.
Responsibilities include accounting for receipts and expenditures, cash management, maintaining adequate financial records, and refunding expenditures disallowed by audits.
Commingling of Funds
Federal agencies shall not require physical segregation of cash deposits or the establishment of any eligibility requirements for funds that are provided to a recipient.
However, the accounting systems of all recipients and subrecipients must ensure that agency funds are not commingled with funds from other awards or Federal agencies.
Each award must be accounted for separately. Recipients and subrecipients are prohibited from commingling funds on either a program-by-program or project-by-project basis without prior written approval of the awarding agency.
Monitoring Project Performance
Recipient Responsibilities:
A recipient has full responsibility for the conduct of the project or activity supported and for the results achieved. The recipient must monitor the performance of the project to assure adherence to performance goals, time schedules or other requirements as appropriate to the project or the terms of the agreement. The recipient is responsible for monitoring the activities of and pass-through requirements to any subrecipients.
Federal (DHS/G&T) Responsibilities:
It is DHS/G&T practice to limit involvement between itself and the recipient in the performance of a project to the minimum necessary to achieve program objectives and to ensure conformance with requirements of the grant. The Federal role is that of a partner, where the Government provides the financial assistance and the recipient carries out the project activities. In the case of a cooperative agreement, substantial involvement is expected between the Federal agency and the State, local government, or other recipient when carrying out the activity contemplated in the agreement.
14
Monitoring is a process whereby the programmatic progress and financial and business management aspects of a financial assistance award are reviewed by assessing information gathered from program and financial reports, site visits, teleconferences, and other means. DHS/G&T requires financial assistance recipients to have adequate management systems to ensure that project objectives are met and funds are spent and accounted for properly. To the extent possible, financial assistance award monitors rely on the management systems of the financial assistance recipients to meet project objectives, comply with award terms and conditions, and account for funds.
Conflicts of Interest
To avoid conflicts of interest, personnel and other officials connected with agency funded programs shall adhere to the following requirements:
No official or employee of a State or unit of local government or a non-governmental recipient/subrecipient shall participate personally through decisions, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise in any proceeding, application, request for a ruling or other determination, contract, award, cooperative agreement, claim, controversy, or other particular matter in which award funds (including program income or other funds generated by Federally funded activities) are used, where to his/her knowledge, he/she or his/her immediate family, partners, organization other than a public agency in which he/she is serving as an officer, director, trustee, partner, or employee, or any person or organization with whom he/she is negotiating or has any arrangement concerning prospective employment, has a financial interest, or has less than an arms-length transaction.
In the use of agency project funds, officials or employees of State or local units of government and non-governmental recipient/subrecipients shall avoid any action that might result in, or create the appearance of:
• Using his or her official position for private gain;
• Giving preferential treatment to any person;
• Losing complete independence or impartiality;
• Making an official decision outside official channels; or • Affecting adversely the confidence of the public in the integrity of the government or the program. For example, where a recipient of federal funds makes sub- awards under any competitive process and an actual conflict or an appearance of a conflict of interest exists, the person for whom the actual or apparent conflict of interest exists should recuse himself or herself not only from reviewing the application for which the conflict exists, but also from the evaluation of all competing applications.
Violations of the conflict of interest standards may result in criminal, civil, or administrative penalties.
Supplanting
Recipients of G&T funds shall not replace funding appropriated from State and local governments with their Federal grant funding. It is the purpose of these grants to increase the overall amount of resources available to any G&T funded organization in order to bolster preparedness and to increase services and opportunities. Current levels 15
of activities or programs funded by State, local or non-governmental entity resources should only be increased by receipt of Federal funding. Recipients therefore must ensure that they do not reduce the current overall level of funding support to preparedness missions, absent exigent circumstances.
For example, if a State pays the salaries of three intelligence analysts, it cannot begin to pay the salary of one of them with Federal grant funding. It could, however, hire a fourth analyst.
Potential supplanting will be the subject of application review, as well as pre-award review, post-award monitoring, and audit. If there is a potential presence of supplanting, the applicant or grantee will be required to supply documentation demonstrating that the reduction in non-Federal resources occurred for reasons other than the receipt or expected receipt of Federal funds.
A confirmation during the application process may be requested by the awarding agency or recipient agency stating that Federal funds will not be used to supplant State or local funds.
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Chapter 5: Payments
Highlights from this chapter:
• Request for Advance or Reimbursement
• Withholding of Funds
• Cash Management Improvement Act of 1990
• Interest
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Payments
The method used to request grant funds may be different depending on the grant program. Information on how to access grant funds is provided to grant recipients in the program guidance and/or post award instructions. For assistance in determining the method to be used for payment requests, please contact the Office of Grant Operations at 1-866-9ASK-OGO or [email protected].
Request for Advance/Reimbursement
Recipient organizations generally request funds based upon immediate disbursement requirements. Funds will not be paid in a lump sum, but rather disbursed over time as project costs are incurred or anticipated. Recipients should time their drawdown requests to ensure that Federal cash on hand is the minimum needed for disbursements to be made immediately or within a few days. Beginning with fiscal year 2005 funds, recipients may elect to drawdown funds up to 120 days prior to expenditure/disbursement. G&T strongly encourages recipients to draw down funds as close to expenditure as possible to avoid accruing interest.
Fund requests from subrecipients create a continuing cash demand on award balances of the State. The State should keep in mind that idle funds in the hands of subrecipients will impair the goals of sound cash management. All recipients must develop procedures for the disbursement of funds to ensure that Federal cash on hand is kept at a minimal balance.
Withholding of Funds
G&T may withhold payments to a recipient organization after proper notification or opportunity to remedy, by demonstrating any of the following:
1. Unwillingness or inability to attain program or project goals or to establish procedures that will minimize the time elapsing between cash drawdowns and expenditures;
2. Inability to adhere to guideline requirements or special conditions;
3. Improper award and administration of subawards or contracts; and
4. Inability to submit reliable and/or timely reports.
Cash Management Improvement Act of 1990
The Cash Management Improvement Act (CMIA) provides the general rules and procedures for the efficient transfer of Federal financial assistance between the Federal government and the States. Under this Act, States are no longer exempt from payment of interest to the Federal government resulting from drawing down funds prior to the need to pay off obligations incurred. States must pay interest in the event that the States draw down funds before the funds are needed to pay for program expenses.
Please note: Although recipients may draw down funds up to 120 days in advance of expenditure, State grantees are still subject to the interest requirements of the 18
CMIA and its implementing regulations at 31 C.F.R. Part 205. Interest under CMIA will accrue from the time Federal funds are credited to a State account until the time the State pays out the funds to a subgrantee or otherwise expends for program purposes.
Recipients should request funds based on an immediate cash needs basis.
Interest
Recipients and subrecipients shall minimize the time elapsing between the transfer and disbursement of funds.
1. A State, its subrecipient and any agency or instrumentality of a State, including State institutions of higher education and State hospitals, but not political subdivisions of a State (cities, towns, counties, and special districts created by State law) SHALL NOT be held accountable for interest earned on grant money pending its disbursement for program purposes. This refers to formula grant programs where subawards are made to local jurisdictions. Subrecipients under formula grant programs are held accountable for interest earned on advances.
2. Tribal organizations SHALL NOT be held accountable for interest earned pending their disbursement by such organizations.
3. All local units of government (political subdivisions of a State, including cities, towns, counties and special districts created by State law) shall account for interest earned on Federal funds. Local units of government may keep interest earned on Federal grant funds up to $100 PER FEDERAL FISCAL YEAR. This maximum limit is not per award; it is inclusive of all interest earned as a result of all Federal grant program funds received per year.
4. Nonprofit and commercial organizations shall account for interest earned on Federal funds. Nonprofit organizations may keep interest earned on Federal grant funds up to $250 PER FEDERAL FISCAL YEAR. This maximum limit is not per award; it is inclusive of all interest earned as a result of all Federal grant program funds received per year.
For G&T grants, interest earned, in excess of the amounts stated above, must be remitted to the United States Department of Health and Human Services, Division of Payment Management Services, P.O. Box 6021, Rockville, MD 20852.
For Assistance to Firefighters Grants (AFG) grants, interest should be remitted to the FEMA-Accounting Services Division, Disbursements and Receivables Branch, 500 C Street, S.W., Room 723, Washington, D.C. 20472.
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Chapter 6: Obligation and Expenditures
Highlights from this chapter:
• Obligation of Funds
• Period of Availability
• Expenditure of Funds
• Suspension and Termination
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Obligation and Expenditures
Obligation of Funds
Obligations are a legal liability to pay, under a grant, subgrant, and/or contract, determinable sums for services or goods incurred during the grant period. This includes, but is not limited to, amounts of orders placed, contracts and grants awarded, services received and similar transactions that require payment by the recipient during the same or a future period.
Period of Availability
The award period is the period of time when Federal funding is available for obligation by the recipient. The recipient may charge to the grant only allowable costs resulting from obligations incurred during the funding period and any pre-award costs authorized by G&T. An obligation occurs when funds are encumbered, such as in a valid purchase order or requisition to cover the cost of purchasing an authorized item on or after the begin date and up to the last day of the grant period in the award. Any funds not properly obligated by the recipient within the grant award period will lapse and revert to G&T. The obligation deadline is the last day of the grant award period unless otherwise stipulated.
The obligation period is the same as the award period listed on the award document. No additional obligations can be incurred after the end of the grant.
Example: If the award period is 10/1/04 to 9/30/05, the obligation deadline is 9/30/05.
Expenditure of Funds
Recipients who have properly obligated funds by the end of the award period will have 90 days in which to liquidate (expend) these funds. Any funds not liquidated at the end of the 90-day period will lapse and may revert to G&T, unless an adjustment extending the liquidation period has been approved. Refer to Chapter 8 for more information regarding extensions.
Example: If the award period is 10/1/2004 to 9/30/2005, then all funds obligated by 9/30/2005 must be liquidated/expended by 12/29/2005.
Suspension and Termination
G&T may terminate any project, in whole or in part, for the convenience of the Government or when a recipient materially fails to comply with the terms and conditions of an award. This includes unauthorized use of payment access codes by someone other than the grantee of record, or when the recipient and G&T agree to do so. In the event that the decision has been made to terminate a project, G&T will:
1. Notify the recipient in writing of its decision;
2. Specify the reason; and
3. Afford the recipient/subrecipient a reasonable time to offer a remedy or to terminate project operations.
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A project that is terminated will be subject to the same requirements regarding audit, recordkeeping, and submission of reports as a project that runs for the duration of the project period. Upon notification, no new obligations may be made against the award.
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Chapter 7: Grant Reporting
Highlights from this chapter:
• Financial Reporting
• Programmatic Reporting
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Grant Reporting
G&T requires award recipients to submit both financial and program reports. These reports describe the status of the funds, the status of the project, a comparison of actual accomplishments to the objectives, the reason(s) goals have not been met, and/or other pertinent information. The specific requirements, reporting periods and submission deadlines are detailed in the program guidance and/or terms and conditions of the award. Future awards, fund drawdowns, and modification approvals may be withheld if financial and program reports are delinquent.
Financial Reporting
Generally, G&T requires grant recipients to submit a quarterly Financial Status Report (SF 269a) for each active grant award. These reports are due 30 days after the end of the calendar quarter. Financial reporting requirements may vary for G&T grant programs; therefore, for specific reporting instructions on a given grant program, please refer to the program guidance for information regarding the report to be submitted, the frequency of reporting and the deadline for submission of the report.
For those recipients required to submit the SF269a quarterly Financial Status Report, this report must be submitted on-line using the Grants Management System. The link to submit this report is https://grants.ojp.usdoj.gov/. For assistance using this system, recipients may contact the OJP GMS Help Desk at 888-549-9901 or at [email protected]. As of January 1, 2006 paper copies of these forms will no longer be accepted.
Programmatic Reporting
All G&T grant programs require that the recipient report on the performance and progress of grant activities. Reporting requirements may vary in format and in time frame, so please refer to the specific guidance for each program for full details on the required program report(s).
For those recipients required to submit the semi-annual Categorical Assistance Progress Report (CAPR), this report must be submitted on-line using the Grants Management System. The link to submit this report is https://grants.ojp.usdoj.gov/. For assistance using this system, recipients may contact the OJP GMS Help Desk at 888-549-9901 or at [email protected]. As of January 1, 2006 paper copies of these reports will no longer be accepted.
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Chapter 8: Adjustments to Awards
Highlights from this chapter:
• Modifications and Revisions (including Grant Adjustment Notices) • Notification of Changes
• Types of Adjustments
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Adjustments to Awards
Modifications and Revisions (including Grant Adjustment Notices) All requests for programmatic and/or administrative changes must be submitted in a timely manner by the recipient/subrecipient. All requests for changes to the approved award shall be carefully reviewed by the applicable authority for both consistency with this Guide and their contribution to the project goals and objectives.
Notification of Changes
All recipients must give notification in writing to G&T of events or proposed changes that may require an adjustment/notification. In requesting an adjustment, the recipient must set forth the reasons and basis for the proposed change and any other data deemed helpful for G&T review. Recipient requests will be reviewed by G&T and approval of these changes, if granted, will be provided in writing. Requests for adjustments will be considered only if the reporting requirements are current and terms and conditions have been met at the time the request for the adjustment is made.
Types of Adjustments:
• Change of Address - Recipients are required to notify G&T of changes to their mailing address.
• Changes in Award Period - Recipients may request an extension of the award/obligation and expenditure period. Written requests should be at least 90 calendar days before the end date of the award. A narrative justification must be submitted with the project or program extension request on agency letterhead.
Complete details must be provided, including the justification and the extraordinary circumstances that require the proposed extension, and a certification that there are adequate funds remaining to support the extension.
Explain the effect of a denial of the request on the project or program. • Changes in Scope - Change in the scope of the programmatic activities or purpose of the project.
• Change in project site.
• Changes that increase or decrease the total cost of the project. • Change in approved budget categories in excess of 10 percent of the total award amount - Movement of dollars between approved budget categories is allowed up to 10 percent of the total budget cost (total award amount) as last approved by G&T, provided there is no change in project scope. When the cumulative changes exceed 10 percent of the total award amount (includes the initial award plus the supplements) or change the scope of the project, prior approval from G&T is required. This 10 percent rule applies to awards over $100,000; however, if the total award is equal to or less than $100,000, and the scope of the project doesn’t change, prior approval is not required unless otherwise required in the program guidance or award documents.
• Change in or temporary absence of the project manager/director. • Transfer of project.
• Successor in interest and name change agreements.
• Addition of an item to the project budget requiring prior approval. 26
• Retirement of special conditions, if required.
• Changes in key personnel, if any are specified by the special conditions. • Change of State Administrative Agency (SAA) - Should the Governor of a state elect to change the SAA during the grant period, the current SAA must close-out the grant(s) that are transferring to the new SAA prior to any funds being transferred to the newly designated SAA. The close-out information must include, at minimum, a final Financial Status Report (SF-269a) and a final program report. It is G&T policy that these funds will not be awarded to the newly designated SAA prior to close-out of the original award. States are responsible for working with their vendors and/or subrecipients to obtain final expenditure reports, invoices, payment requests, etc. in a timely manner in order to assist in the transfer of funds to the new SAA. Once the close-out information has been submitted to G&T, the newly designated SAA will be permitted to apply for the remaining funds through the Grants Management System.
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Chapter 9: Other Program Funds
Highlights from this chapter:
• Program Income
• Requirements for Match or Cost Sharing
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Other Program Funds
Program Income
Program income is gross income earned by the recipient that is directly generated by a supported activity or earned as a result of the program. Program income includes, but is not limited to, income from fees for services performed, the use or rental of real or personal property acquired under Federally funded projects, the sale of commodities or items fabricated under an award, license fees and royalties on patents and copyrights, and interest on loans made with award funds. For example, if the purpose of the grant is to conduct conferences, any training fees that are generated would be considered program income. Interest earned on advances of Federal funds is not program income.
Accounting for and Reporting Program Income
Program income earned during the project period shall be retained by the recipient and, in accordance with OMB regulations or the terms and conditions of the award, shall be used and accounted for in one or more of the following ways.
1. Added to funds committed to the project by the Federal awarding agency and recipient and used to further eligible project or program objectives.
2. Used to finance the non-Federal share of the project or program, if applicable.
3. Deducted from the total project or program allowable cost in determining the net allowable costs on which the Federal share of costs is based.
Program income may be used to supplement project costs or reduce project costs, or may be refunded to the Federal government. Program income may only be used for allowable program costs and must be expended prior to additional drawdowns.
Use and Disposition of Program Income
Unless specified by G&T, program income should be used as earned and expended as soon as possible. If the cost is allowable under the Federal grant program, then the cost would be allowable using program income. If program income earned on a discretionary grant during the grant period remains at the end of the grant period, the recipient should request a no-cost extension of the grant period to provide the recipient with ample time to expend the program income for allowable project purposes. If there is no special condition on the award concerning the accounting for program income earned after the funding period, then such program income can be used at the discretion of the recipient.
The Federal portion of program income must be accounted for up to the same ratio of Federal participation as funded in the project or program. For example:
1. A discretionary project funded with 100 percent Federal funds must account for and report on 100 percent of the total program income earned. If the total program income earned was $20,000, the recipient must account for and report the $20,000 as program income on the Financial Status Report.
2. If a recipient was funded by formula funds at 75 percent Federal funds and 25 percent non-Federal funds and the total program income earned by the grant 29
was $100,000, $75,000 must be accounted for and reported, by the recipient, as program income on the Financial Status Report.
Direct recipients of formula grants will be responsible for requiring subrecipients to comply with program income guidelines.
For additional information on Program Income please refer to the appropriate OMB Circular (A-102 or A-110)
Requirements for Matching or Cost Sharing
Funds provided for a match must be used to support a Federally funded project and must be in addition to, and therefore supplement, funds that would otherwise be made available for the stated program purpose. Match is restricted to the same use of funds as allowed for the Federal funds.
Matching contributions need not be applied at the exact time or in proportion to the obligation of the Federal funds unless stipulated by legislation. However, the full matching share must be obligated by the end of the period for which the Federal funds have been made available for obligation under an approved program or project.
Sources of the match can either be a cash match or an in-kind match unless specified in the program guidance, regulation or statute.
Cash Match includes cash spent for project-related costs. Allowable cash match must include those costs that are allowable with Federal funds with the exception of the acquisition of land, when applicable. Cash match may be applied from the following sources:
1. Funds from states and local units of government that have a binding commitment of matching funds for programs or projects, or
2. Funds from the following:
Housing and Community Development Act of 1974, 42 USC §5301, et seq. (subject to the applicable policies and restrictions of the Department of Housing and Urban Development).
Appalachian Regional Development Act of 1965, 40 USC §214. Equitable Sharing Program, 21 USC §881(e) (current guidelines developed by the DOJ Asset Forfeiture Office apply). Forfeited assets used as match from the Equitable Sharing Program would be adjudicated by a Federal court. Funds contributed from private sources.
3. Program income and the related interest earned on that program income generated from projects, provided they are identified and approved prior to making an award, or
4. Funds earned from seized assets and forfeitures (adjudicated by a State court, as State law permits), or
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5. Funds appropriated by Congress for the activities of any agency of a Tribal government or the Bureau of Indian Affairs performing law enforcement functions on Tribal lands, or
6. Sources otherwise authorized by law.
Except as noted above, Federal funds may not be used for match purposes.
In-kind Match includes, but is not limited to, the valuation of in-kind services. “In-kind” is the value of something received or provided that does not have a cost associated with it.
For example, if in-kind match is permitted by law, then the value of donated services could be used to comply with the match requirement.
Recordkeeping: Recipients and their subrecipients must maintain records that clearly support the source, the amount, and the timing of all matching contributions. In addition, if a program or project has included within its approved budget contributions that exceed the required matching portion, the recipient must maintain records of them in the same manner as it does the awarding agency funds and required matching shares. The direct recipient has primary responsibility for subrecipient compliance with requirements.
Waiver of Match Requirement: In accordance with 48 USC §1469a, congressional declaration of a policy regarding insular areas, the awarding agency, in its discretion, shall waive any requirement for matching funds otherwise required by law to be provided by the certain insular areas. This waiver applies to ALL awards made to American Samoa, Guam, the Virgin Islands, and Northern Mariana Islands. 31
Chapter 10: Costs and Expenditures
Highlights from this chapter:
• Allowable Costs
• Unallowable Costs
• Costs Requiring Prior Approval
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Costs and Expenditures
Allowable Costs
Allowable costs are those costs identified in the circulars, as noted below, and in the grant program’s authorizing legislation. In addition, costs must be reasonable, allocable, necessary to the project, and comply with the funding statute requirements. Recipients should refer to the program guidelines to determine what program costs are allowable for that specific program. It is important to note that costs that are allowable under one G&T program may be specifically prohibited under another. Additionally, allowable items may change from one fiscal year to another, so it is important to verify allowable costs with Program Guidance specific to the fiscal year funding.
Please note, grantees generally are not required to comport with the restrictions of the Buy American Act (41 U.S.C. 10a). However, grants authorized under the Stafford Act, including the Emergency Management Performance Grant, must follow these standards. The Buy American Act requires that all materials purchased be produced in the United States, unless such materials are not available, or such a purchase would not be in the public interest.
Applicable Cost Principles:
OMB Circular A-21 “Cost Principles for Educational Institutions” OMB Circular A-87 “Cost Principles for State, Local, and Indian Tribal Governments” OMB Circular A-122 “Cost Principles for Nonprofit Organizations” Code of Federal Regulations, Title 48 Federal Acquisition Regulations Systems, Part 31 “Contract Cost Principles and Procedures”
Equipment
For G&T programs that include the purchase of equipment, recipients are encouraged to review the Interagency Board’s (IAB) Standardized Equipment List (SEL) and the Authorized Equipment List (AEL). These lists maybe be found on the Responder Knowledge Base (RKB) website at http://www.rkb.mipt.org. If State agencies and/or local governments have questions concerning the eligibility of equipment not specifically addressed in the AEL, they should contact their Program Manager or Preparedness Officer for clarification.
Disposition or Recovery of Federally Owned Assets
A State will dispose of equipment acquired under a grant by the State in accordance with State laws and procedures. All other grantees and subgrantees shall dispose of equipment as follows:
1. Items of equipment with a current per unit fair market value of less than $5,000 may be retained, sold or otherwise disposed of with no further obligation to the awarding agency.
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2. Items of equipment with a current per unit fair market value greater than $5,000 may be retained or sold and the awarding agency shall have a right to an amount calculated by multiplying the current market value or proceeds from sale by the awarding agency's share of the equipment.
To remit payments, award recipients should contact the Office of Grant Operations ([email protected] or 1-866-9ASK-OGO) for further instructions.
Consultant Rates
Compensation for individual consultant services is to be reasonable and consistent with the amount paid for similar services in the market place. Consideration can be given to compensation, including fringe benefits, for those individuals whose employers do not provide the same. Time and effort reports are required for consultants. Competitive bidding for consultant services is encouraged.
State and Local Sales Taxes
State and local sales taxes are generally allowable costs, unless the tax is levied solely on Federal programs or Federal funding.
Indirect Costs
Indirect costs are costs of an organization that are not readily assignable to a particular project, but are necessary to the operation of the organization and the performance of the project. The cost of operating and maintaining facilities, depreciation, and administrative salaries are examples of the types of costs that are usually treated as indirect.
In order to be reimbursed for indirect costs, a recipient must first obtain an approved indirect cost rate. To do this, the recipient must prepare an indirect cost rate proposal and submit it to the cognizant Federal agency. The cognizant Federal agency is assigned by OMB or is determined based on the preponderance of Federal dollars received by the recipient, or which agency has awarded the most funds. If an indirect cost proposal for recovery of actual indirect costs is not submitted to the cognizant Federal agency within three months of the start of the award period, indirect costs will be irrevocably lost for all months prior to the month that the indirect cost proposal is received. This requirement is effective for all awards.
If a recipient has a Federally approved indirect cost rate agreement, G&T will accept any current indirect cost rate or allocation plan previously approved for a recipient by any Federal awarding agency on the basis of allocation methods substantially in accord with those set forth in the applicable cost circulars. Approving rates for subrecipients is the responsibility of the direct recipient. Per the OMB guidelines, G&T does not approve indirect cost rates beyond the direct recipient level. For information on how to obtain an approved indirect cost rate, direct recipients should contact the Office of Grant Operations at 1-866-9ASK-OGO or [email protected].
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Indirect Costs versus Management and Administrative (M&A) Costs
Indirect costs are defined as costs that are incurred for common or joint objectives and therefore cannot be identified readily and specifically with a particular award/project, but contribute to the ability of the recipient to support projects and programs and sustain the daily operations of the organization. Indirect costs are not incurred specifically from the actual performance of the activities under a particular award. Indirect costs are charged based on an approved rate and applicable base, which encompasses total organizational activity.
Indirect costs may include:
• Depreciatio n
• Rent
• Telephone
• Postage
• Printing
• Other expenses that benefit all programs and functions of an organization.
Management and Administrative costs are direct costs that are incurred to administer a particular program/award. M&A costs are identifiable and unique to each program/award and are charged based on the activity performed for that particular project.
M&A costs may include:
• Salaries of full-time or part-time staff or contractors/consultants to assist with the management of the program
• Hiring of full-time or part-time staff or contractors/consultants to assist with the implementation and administration of the program
• Travel expenses
• Meeting-related expenses
Food and Beverages
Food and/or beverage expenses provided by recipients are allowable costs if: (1) the food and/or beverages are provided to participants at training sessions, meetings, or conferences that are allowable activities under the particular G&T program guidelines; and (2) Expenses incurred for food and/or beverages and provided at training sessions, meetings, or conferences satisfy the following tests: (a) the cost of the food and/or beverages provided is considered to be reasonable; (b) the food and/or beverages provided are subject of a work-related event; (c) participation by all participants is mandatory; and (d) the food and/or beverages provided are not related directly to amusement and/or social events. (Any event where alcohol is being served is considered a social event; therefore, costs associated with that event are not allowable).
In the event food/meal(s) are being provided, the amount charged for per diem must be reduced accordingly.
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Software development
Software development costs are allowable and may be expended in the period incurred with no dollar limitation.
Maintenance contracts
The cost of an equipment maintenance agreement is allowable for the period of time that covers the grant project period. Any portion of the contract that extends beyond the grant period may not be charged to the grant award using Federal or matching funds. For example, if the grant project period is one year and the maintenance agreement is for three years, only the cost associated with the first year of the agreement would be allowable. The grantee would have to prorate the cost of the agreement to cover only the grant project period.
Warranty costs
Warranty costs (extensions) on equipment providing extended coverage for parts, labor and repair, above and beyond the term of the original manufacturer's warranty, are allowable if the cost of the warranty is included as part of the acquisition cost. Acquisition cost means the cost of the asset including the cost to put it in place. Acquisition cost for equipment, for example, means the net invoice price of the equipment, including the cost of any modifications, attachments, accessories, or auxiliary apparatus necessary to make it usable for the purpose for which it is acquired.
Unallowable Costs
In addition to the applicable OMB cost principles, recipients should refer to the program guidelines to determine what program costs are not allowed for that specific program.
Costs that are unallowable under one G&T program may be allowed under another.
Costs generally unallowable under Federal grants are as follows:
Land Acquisition
Land acquisition costs are unallowable unless otherwise noted in grant guidance.
Compensation of Federal Employees
Salary payments, consulting fees, or other compensation of full-time Federal employees are unallowable costs.
Travel of Federal Employees
Costs of transportation, lodging, subsistence, and related travel expenses of G&T employees are unallowable charges. Travel expenses of other Federal employees for advisory committees or other program or project duties or assistance are allowable if they have been:
1. Approved by the Federal employee’s Department or Agency; and 36
2. Included as an identifiable item in the funds budgeted for the project or subsequently submitted for approval.
Bonuses or Commissions
The recipient or subrecipient is prohibited from paying any bonus or commission to any individual or organization for the purpose of obtaining approval of an application for award assistance. Bonuses to officers or board members of profit or non-profit organizations are determined to be a profit or fee and are unallowable.
Lobbying
All recipients and subrecipients must comply with the provisions of the government-wide Common Rule on Restrictions on Lobbying, as appropriate.
Fund Raising
Costs of organized fund raising, including financial campaigns, endowment drives, solicitation of gifts and bequests, and similar expenses incurred solely to raise capital or obtain contributions, may not be charged either as direct or indirect costs against the award. Neither the salary of persons engaged in such activities nor indirect costs associated with those salaries may be charged to the award, except insofar as such persons perform other program related activities.
An organization may accept donations (i.e., goods, space, services) as long as the value of the donations is not charged as a direct or indirect cost to the award. The donation must be supported with source documentation.
A recipient may also expend funds, in accordance with approved award terms, to seek future funding sources to expand the project, but not for the purpose of raising funds to finance related or complementary project activities.
Nothing in this section should be read to prohibit a recipient from engaging in fund raising activities as long as such activities are not financed by the Federal or non- Federal portion of award funds.
Conferences and Workshops
Unallowable costs include:
• Entertainment;
• Sporting events;
• Visa fees;
• Passport charges;
• Tips;
• Bar charges/Alcoholic beverages;
• Laundry charges; and
• Lodging costs in excess of Federal per diem.
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Costs Requiring Prior Approval
Written approval is required for those costs specified in OMB Circulars A-21, A-87, and A-122 as “Costs Allowable With Approval of Awarding Agency” or costs that contain special limitations.
Where prior approval is required, G&T will be the approval authority for all discretionary recipients and for the State when it is the direct recipient. Where prior approval authority for subrecipients is required, it will be vested in the State unless specified as being “RETAINED BY THE FEDERAL AWARDING AGENCY,” as identified below.
Subrecipient requests for G&T approval should be submitted through the State for a formula award.
The intention of G&T is not to require approval of all changes within the listed cost categories, but only for those aspects or elements that specifically require prior approval.
Types of Costs Requiring Prior Approval
The following is a list of costs that require prior approval:
• Construction - The use of G&T funds for construction is generally prohibited, except as outlined in the specific program guidelines (see program specific guidelines for details). Written approval must be provided by G&T prior to the use of any G&T funds for construction or renovation.
• Preagreement Costs - Costs incurred prior to the start date of the award may be charged to the project only if the recipient receives prior approval from G&T.
Prior approval is required for costs incurred before the date of the subaward period and costs may be charged to the project only if the award or subaward application specifically requests support for preagreement costs. States may approve preagreement costs for subrecipients if incurred subsequent to the beginning of the Federal fiscal year of award.
• Proposal Costs - Unless specifically outlined in program guidance as allowable without prior approval, costs to projects for preparing proposals for potential Federal awards require PRIOR APPROVAL for: (1) the obligation or expenditure of funds; or (2) the performance or modification of an activity under an award/subaward project, where such approval is required. • Audit Costs - Audit costs for audits not required or performed in accordance with OMB Circular A-133 are unallowable. If the grantee did not expend $500,000 or more in Federal funds in its fiscal year, but contracted with a certified public accountant to perform an audit, these costs may not be charged to the grant. o Unless prohibited by law, the cost of audits made in accordance with the provisions of this requirement are allowable charges to Federal awards.
The charges may be considered a direct cost or an allocated indirect cost, as determined in accordance with the provisions of applicable OMB cost 38
principles circulars, the Federal Acquisition Regulation (FAR) (48CFR parts 30 and 31), or other applicable cost principles or regulations. o The cost of auditing a non-Federal entity which has Federal awards expended of less than $500,000 per year and is thereby exempted under the A-133 requirement may not charge such costs to their Federal award(s).
• Interest Expense - Interest on debt incurred for: (a) acquisition of equipment and buildings; (b) building construction; (c) fabrication; (d) reconstruction; and (e) remodeling is an allowable cost with prior approval. This interest applies only to buildings completed on or after 10/1/80 for State and local units of government and 9/29/95 for non-profit organizations.
• Foreign Travel - Direct charges for foreign travel costs are allowable only when the travel has prior approval of G&T. Foreign travel is defined as any travel outside of Canada and the United States and its territories and possessions.
However, for organizations located in foreign countries, the term “foreign travel” means travel outside that country.
Note: Indirect charges for foreign travel are allowable without prior approval of G&T when: (a) included as part of a Federally approved indirect cost rate; and (b) such costs have a beneficial relationship to the project. Each separate foreign trip must be approved.
Recipients must comply with the provisions of the Fly America Act (49 USC § 40118). The Fly America Act requires travelers performing U.S. Government- financed foreign air travel to use U.S. flag air carriers to the extent that such service is available. Foreign air carriers may be used only in specific instances, such as when a U.S. flag air carrier is unavailable, or use of U.S. flag air carrier service will not accomplish the mission. If a foreign air carrier is used for any part of foreign travel, the recipient must maintain supporting documentation in the grant files available and specifically identified for review during an audit.
Requests must be in writing and justified with an explanation to permit review of the allowability. They may be submitted:
1. Through inclusion in the budget or other components of an award or subaward application; or
2. As a separate written request to the appropriate authority as described above. 39
Chapter 11: Procurement
Highlights from this chapter:
• Procurement Standards
• Sole Source Procurement (Non-Competitive)
40
Procurement
There are times when it may be necessary to procure goods and/or services in order to accomplish the goals of a program. For example, it may be necessary to purchase equipment or subcontract for services that the recipient does not have the required in- house expertise to perform.
Procurement Standards
• General - A State shall follow the same policies and procedures it uses for procurement from its non-Federal funds. The State shall ensure that every purchase order or other contract includes any clauses required by Federal statutes and executive orders and their implementing regulations. Subrecipients of States shall follow the procurement requirements imposed upon them by the States. Other recipients and subrecipients will follow the appropriate OMB Circular (OMB Circular A-110 or OMB Circular A-102).
• Standards - Recipients and subrecipients shall use their own procurement procedures and regulations, provided that the procurement conforms to applicable Federal law and standards.
• Adequate Competition - All procurement transactions, whether negotiated or competitively bid and without regard to dollar value, shall be conducted in a manner so as to provide maximum open and free competition. All sole-source procurements in excess of $100,000 must receive prior written approval of the awarding agency. Interagency agreements between units of government are excluded from this provision.
• Non-competitive Practices - The recipient/subrecipient shall be alert to organizational conflicts of interest or non-competitive practices among contractors that may restrict or eliminate competition or otherwise restrain trade.
Contractors that develop or draft specifications, requirements, statements of work, and/or Requests for Proposals (RFP) for a proposed procurement shall be excluded from bidding or submitting a proposal to compete for the award of such procurement. Any request for exemption must be submitted in writing to the awarding agency.
Sole Source Procurement (Non-Competitive)
All non-state procurement transactions shall be conducted in such a manner that provides, to the maximum extent practical, open and free competition. However, should a recipient elect to award a contract without competition, sole source justification may be necessary. Justification must be provided for non-competitive procurement and should include a description of the program and what is being contracted for, an explanation of why it is necessary to contract noncompetitively, time constraints and any other pertinent information. G&T will approve sole-source procurements for direct recipients only.
Subrecipients must obtain approval from the primary recipient. If the primary recipient’s 41
regulations require approval at a lower dollar threshold than identified above, the subrecipient should abide by the primary recipient’s requirements.
42
Chapter 12: Audits
Highlights from this chapter:
• Audit Requirements for States, Local Governments, and Non-Profit Organizations
• Audits of Commercial/For-Profit Organizations
• Audits of Subrecipients
• Distribution of Reports
• Technical Assistance
43
Audits
Audit Requirements for States, Local Governments, and Non-Profit Organizations
Grantees and subrecipients are responsible for obtaining audits in accordance with OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations”.
States, local governments or private, non-profit organizations that expend $500,000 or more in Federal awards in a fiscal year are required to have an audit performed.
• The audits shall be completed by an independent auditor in accordance with generally accepted government auditing standards covering financial audits. • Audits are due no later than nine (9) months after the close of each fiscal year during the term of the award.
• Grantee audit reports will be distributed by the Federal Audit Clearinghouse to the organization’s Federal Cognizant Agency for review and resolution of any findings.
• Grantees are responsible for follow-up and corrective action on all audit findings.
Awards are subject to conditions of fiscal, program, and general administration to which the recipient expressly agrees. Accordingly, the audit objective is to review the recipient’s administration of funds and required non-Federal contributions for the purpose of determining whether the recipient has:
1. Established an accounting system integrated with adequate internal fiscal and management controls to provide full accountability for revenues, expenditures, assets, and liabilities. This system should provide reasonable assurance that the organization is managing Federal financial assistance programs in compliance with applicable laws and regulations.
2. Prepared financial statements that are presented fairly, in accordance with generally accepted accounting principles.
3. Submitted financial reports (which may include Financial Status Reports, Cash Reports, and Claims for Advances and Reimbursements), that contain accurate and reliable financial data, and are presented in accordance with the terms of applicable agreements.
4. Expended Federal funds in accordance with the terms of applicable agreements and those provisions of Federal law or regulations that could have a material effect on the financial statements or on the awards tested.
Independent auditors should follow the requirements prescribed in OMB Circular A-133.
If the auditor becomes aware of illegal acts or other irregularities, prompt notice shall be given to recipient management officials above the level of involvement. The recipient, in turn, shall promptly notify the cognizant Federal agency of the illegal acts or irregularities and of proposed and actual actions, if any.
44
Audits of Commercial/For-Profit Organizations
These organizations shall have financial and compliance audits conducted by qualified individuals who are organizationally, personally, and externally independent from those who authorize the expenditure of Federal funds. This audit must be performed in accordance with Government Auditing Standards, 1994 Revision. The purpose of this audit is to ascertain the effectiveness of the financial management systems and internal procedures that have been established to meet the terms and conditions of the award.
Usually, these audits shall be conducted annually, but not less frequently than every two years. The dollar threshold for audit reports established in OMB Circular A-133, as amended, applies.
Audits of Subrecipients
When subawards are made to another organization or organizations, the recipient shall require that subrecipients comply with the audit requirements set forth in OMB Circular A-133.
Recipients are responsible for ensuring that subrecipient audit reports are received and for resolving any audit findings. Known or suspected violations of any law encountered during audits, including fraud, theft, embezzlement, forgery, or other serious irregularities, must be communicated to the recipient and to DHS. Criminal violations must also be reported to the appropriate law enforcement agencies.
For subrecipients who are not required to have an audit as stipulated in OMB Circular A- 133, the recipient is still responsible for monitoring the subrecipients’ activities to provide reasonable assurance that the subrecipient administered Federal awards in compliance with Federal requirements.
Distribution of Reports
The submission of audit reports for all grantees shall be as follows:
1. State and Local Governments, Institutions of Higher Education, and Non- Profit Institutions - All completed audit reports for State and local governments, institutions of higher education, and non-profit institutions should be mailed to the Federal Audit Clearinghouse, Bureau of the Census, 1201 East 10th Street, Jeffersonville, IN 47132.
2. Commercial Organizations and Individuals - One copy of all audit reports for commercial organizations and individuals should be mailed to the Department of Homeland Security, Office of Grants and Training, Office of Grant Operations, 810 7th Street NW, Washington, DC 20531.
Technical Assistance
The DHS Office of the Inspector General is available to provide technical assistance to recipients in implementing the audit requirements when DHS is the assigned cognizant 45
agency or has oversight responsibilities because it provided the preponderance of direct Federal funding to the recipient. This assistance is available for areas such as:
1. Review of the audit arrangements and/or negotiations;
2. Review of the audit program or guide to be used for the conduct of the audit; and
3. On-site assistance in the performance of the audit, when deemed necessary, as a result of universal or complex problems that arise.
46
Chapter 13: Close Out
Highlights from this chapter:
• Close Out Process
• Retention and Maintenance of Records
• Access to Records
47
Close Out
Close Out Process
Within 90 days after the end date of the award or any approved extension thereof (revised end date), the recipient must submit the required close-out documents to G&T.
Prior to submission of these documents, the recipient should do the following:
1. Cash Reconciliation - The recipient should request reimbursement for any funds due to cover expenditures and obligations (incurred prior to the grant expiration date and liquidated within 90 days after the grant expiration date) at award closeout. The recipient expenditures (outlays) must be equal to or greater than the cash disbursements from G&T.
2. Drawdown of Funds – The recipient should request final payment for reimbursement of expenditures made within the approved period in conjunction with the final financial status report.
In order to close-out an award, the recipient must submit the following documents to G&T:
1. Final Financial Status Report - This final report of expenditures must have no unliquidated obligations and must indicate the exact balance of unobligated funds. Any unobligated/unexpended funds will be deobligated from the award amount by G&T.
2. Final Progress Report - This report should be prepared in accordance with instructions provided by G&T.
3. Invention or Patent Report - All inventions that were conceived or first actually reduced to practice during the course of work under the award project must be listed on this report before closeout. (if applicable)
4. Disposition or recovery of Federally owned assets.
5. Federally owned property report.
6. Any other documents as required by the program guidance or award terms and conditions.
If funds must be returned at award closeout, award recipients should remit their check with a cover letter indicating the grant award number, the unobligated balance, and the itemization of returned monies, e.g., excess payments, interest income, program income, questioned costs, payments to vendors, etc. Award recipients should contact the Office of Grant Operations ([email protected] or 1-866-9ASK-OGO) for further iinstructions.
Retention and Maintenance of Records
In accordance with the requirements set forth in the OMB administrative requirements circulars, all financial records, supporting documents, statistical records, and all other records pertinent to the award shall be retained by each organization for at least three years from the date of submission of the final expenditure report. In cases where litigation, a claim, or an audit is initiated prior to expiration of the three year period, 48
records must be retained until completion of the action and resolution of issues or the end of the three year period, whichever is later. Retention is required for purposes of Federal examination and audit. Records may be retained in an automated format. State or local governments may impose record retention and maintenance requirements in addition to those prescribed.
1. Coverage - The retention requirement extends to books of original entry, source documents supporting accounting transactions, the general ledger, subsidiary ledgers, personnel and payroll records, cancelled checks, and related documents and records. Source documents include copies of all awards, applications, and required recipient financial and narrative reports. Personnel and payroll records shall include the time and attendance reports for all individuals reimbursed under the award, whether they are employed fulltime or part-time. Time and effort reports are also required for consultants, as well as justification of consultant rates in accordance with market value.
2. Retention Period - The three year retention period starts from the date of submission of the final expenditure report. If any litigation, claim, negotiation, audit, or other action involving the records has been started before the expiration of the three year period, the records must be retained until completion of the action and resolution of all issues that arise from it or until the end of the regular three year period, whichever is later.
Recipients of funds are expected to see that records of different Federal fiscal periods are separately identified and maintained so that information desired may be readily located. Recipients are also obligated to protect records adequately against fire or other damage. When records are stored away from the recipient’s principal office, a written index of the location of records stored should be on hand and ready access should be assured.
Access to Records
G&T, DHS, the DHS Office of the Inspector General, the Comptroller General of the United States, or any of their authorized representatives, will have the right of access to any pertinent books, documents, papers, or other records of recipients that are pertinent to the award, in order to make audits, examinations, excerpts, and transcripts. The right of access must not be limited to the required retention period, but shall last as long as the records are retained.
However, only under extraordinary and rare circumstances would such access include review of the true name of confidential informants or victims of crime. When access to the true name of confidential informants or victims of crime is necessary, appropriate steps to protect this sensitive information must and will be taken by the recipient and G&T. Any such access, other than under a court order or subpoena pursuant to a bona fide confidential investigation, must be approved by G&T.
49
Appendix: Glossary of Terms
50
Glossary of Terms
Accrual Basis is the method of recording revenues in the period in which they are earned, regardless of when cash is received, and reporting expenses in the period when the charges are incurred, regardless of when payment is made.
Administrative Requirements are standards for consistency and uniformity in the administration of grants, cooperative agreements, and subawards.
Amusement/social event is an informal gathering that is not mandatory for all participants to attain the necessary information. An indicator of a social/amusement event is a cash bar.
Awarding agency is the Federal government or the next highest authority, i.e., the State agency administering the formula award or the Federal agency administering the discretionary award.
Awards may include funding mechanisms such as grants, cooperative agreements, interagency agreements, contracts, and/or other agreements.
Breaks are short pauses in an ongoing informational program at trainings, meetings, conferences, or retreats. Typically, an all-day event may include one break during a morning session and one break during an afternoon session.
Break foods consist of cookies, sodas, and fruits or other snack items, and may be served at a training program, a meeting, or a conference.
Budget Period is the period for which a budget is approved for an award. The budget period may be equal to or shorter than the project period for an award, but cannot be longer than the project period.
Cash Basis is the method of reporting revenues and expenses when cash is actually received or paid out.
Closeout is a process in which G&T determines that all applicable administrative actions and all required work of the award have been completed by the recipient and G&T.
Cognizant Federal agency is the Federal agency that generally provides the most Federal financial assistance to the recipient of funds. Cognizance is assigned by the Office of Management and Budget (OMB). Cognizant agency assignments for the largest cities and counties are published in the Federal Register. The most recent publication was dated January 6, 1986. The cognizant agency is generally the agency that will negotiate an organization’s indirect cost rate agreement. The cognizant agency is also responsible for resolution of A-133 audit findings.
Conference or meeting is a formal event involving topical matters of general interest (i.e., matters that will contribute to improved conduct, supervision, or management of the agency’s functions or activities) to Federal agency and non-Federal agency participants, rather than a routine business meeting primarily involving day-to-day agency operations 51
and concerns. “Meeting” includes other designations, such as a conference, congress, convention, seminar, symposium, training for grantees or contractors, and workshop.
Consultant is an individual who provides professional advice or services.
Continental breakfast means a light breakfast that may include a selection of coffees, teas, juices, fruits, and assorted pastries, and is allowable provided several hours of substantive material directly follows the continental breakfast. Grant recipients are reminded that the least expensive of the available selections should be chosen. If a meal is provided to the recipient, per diem must be reduced accordingly.
Contracts are entered into by the awarding agency, recipients or subrecipients, and commercial (profit making) and non-profit organizations. With the exception of a few justified sole source situations, contracts are awarded via competitive processes to procure a good or service.
Cooperative agreements are awarded to States, units of local government, or private organizations at the discretion of the awarding agency or as stipulated by law.
Cooperative agreements are utilized when substantial involvement is anticipated between the awarding agency and the recipient during performance of the contemplated activity.
Discretionary awards are made to States, units of local government, or private organizations at the discretion of the awarding agency or as stipulated by law. Most discretionary awards are competitive in nature in that there are limited funds available and a large number of potential recipients.
Domestic travel includes travel within and between Canada and the United States and its territories and possessions.
Equipment is tangible, nonexpendable, personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. A recipient/subrecipient may use its own definition of equipment provided that such definition would at least include all equipment defined above.
Federal contractor is a person or entity that contracts with the Federal government to provide supplies, services, or experimental, developmental, or research work. Entities may include commercial organizations, educational institutions, construction and architectural engineering companies, State and local governments, and non-profit organizations.
Federal employees are people employed in or under an agency of the United States Federal Government.
Federal grantee means the component of a State, local, or Federally recognized Indian tribal government, educational institution, hospital, or a for profit or non-profit organization that is responsible for the performance or administration of all or some part of a Federal award.
52
Focus group means a gathering of Federal government employees to discuss results and improvements of programs in the field. The focus group should follow a prepared agenda, be led by an expert in the subject matter, and serve to educate Federal employees.
Food and/or beverages retain their common meanings. Food or beverages are considered in the context of formal meals and in the context of refreshments served at short, intermittent breaks during an activity. Beverages do not include alcoholic drinks.
Foreign travel includes any travel outside of Canada and the United States and its territories and possessions. For an organization located in a foreign country, this means travel outside that country.
Formal agenda provides a list of all activities that shall occur during the event, using an hour-by-hour time line. It must specifically include the times during the event when food and beverages will be provided.
Formula awards are awarded to the States to provide assistance to State and local units of government for programs in accordance with legislative requirements.
Grants are awarded to States, units of local government, or private organizations at the discretion of the awarding agency or on the basis of a formula. Grants are used to support a public purpose of support or stimulation authorized by Federal statute.
High risk is a determination made by the awarding agency of a recipient’s ability to financially administer Federal project funds. Additional requirements, such as reporting and/or monitoring, may be imposed.
Incidental means relating to a formal event where full participation by participants mandates the provision of food and beverages.
Indirect costs are costs of an organization that are not readily assignable to a particular project, but are necessary to the operation of the organization and the performance of the project. The cost of operating and maintaining facilities, depreciation, and administrative salaries are examples of the types of costs that are usually treated as indirect.
Interagency agreements and purchase of service arrangements are usually entered into by two governmental units or agencies. Such funding arrangements are negotiated by the entities involved.
Match is the recipient share of the project cost. Match may either be “in-kind” or “cash.” In-kind match includes the value of donated services. Cash match includes actual cash spent by the recipient and must have a cost relationship to the Federal award that is being matched.
Nonexpendable personal property includes tangible personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. A recipient may use its own definition of nonexpendable personal property provided that the definition would at least include all tangible personal property. 53
Obligation means a legally binding liability to pay under a grant, subgrant, and/or contract determinable sums for services or goods incurred during the grant period.
Pass-through is an obligation on the part of the States to make funds available to units of local governments, combinations of local units, or other specified groups or organizations.
Personal property means property of any kind except real property. It may be tangible (having physical existence) or intangible (having no physical existence, such as patents, inventions, and copyrights).
Preagreement/Pre-award costs are defined as costs that are considered necessary to the project but occur prior to the starting date of the award period.
Prior approval means written approval by the authorized official (the next highest authority except for sole source) evidencing consent prior to a budgetary or programmatic change in the award.
Program income means gross income earned by the recipient during the funding period as a direct result of the award. Direct result is defined as a specific act or set of activities that are directly attributable to grant funds and that are directly related to the goals and objectives of the project. Determinations of “direct result” will be made by the awarding agency for discretionary grants and by the State for formula subawards. Fines/penalties are not considered program income. Program income may be used only for allowable program expenses.
Project Period is the period for which implementation of a project is authorized. The project period may be equal to or longer than the budget period for an award, but cannot be shorter than the budget period.
Real property means land, land improvements, structures, and appurtenances thereto, excluding movable machinery and equipment.
Reasonable costs are costs that a prudent person would have incurred under the circumstances prevailing at the time the decision to incur the cost was made. Costs to consider when making judgments about reasonableness include the cost of food and beverage, total cost of the event, and costs incurred relative to costs in the geographical area. The exception to this definition is lodging costs for events of 30 or more participants, when the event is funded with a G&T award. For these events, reasonable is defined as the Federal per diem rate for lodging.
Reception means an informal gathering that is not mandatory for all event participants to obtain necessary information. Indicators of a reception include a cash bar, inadequate seating for the entire group, food items from a reception menu (such as finger foods), and a longer break (than utilized throughout the day) between the substantive meetings and the reception. Receptions are expressly prohibited and are considered to be an unallowable cost with Federal funds.
Recipient is an individual and/or organization that receives Federal financial assistance directly from the Federal agency.
54
Social event is any event with alcoholic beverages served, available, or present. Social events are expressly prohibited and are considered to be an unallowable cost with Federal funds.
Stipend is an allowance for living expenses. Examples of these expenses include, but are not limited to, rent, utilities, incidentals, etc.
Subaward is an award of financial assistance in the form of money to an eligible subrecipient or a procurement contract made under an award by a recipient.
Subrecipient is an individual and/or organization that receives Federal financial assistance from the direct recipient of Federal funds. This may include entities receiving funds as a result of formula awards.
Supplanting is to deliberately reduce State or local funds because of the existence of Federal funds. For example, when State funds are appropriated for a stated purpose and Federal funds are awarded for that same purpose, the State replaces its State funds with Federal funds, thereby reducing the total amount available for the stated purpose.
Working dinner means a formal and mandatory dinner necessary for all participants to have full participation in the conference or event. A working dinner must include a formal agenda including a program or speakers that will impart necessary information important for full understanding of the subject matter of the conference. There should be several hours of informative sessions providing substantive information scheduled both before and after a working dinner. Indicators of a working dinner include seating for all participants. If a meal is provided to the recipient, per diem must be reduced accordingly.
Working lunch is a formal and mandatory lunch necessary for all participants to have full participation in the conference or event. A working lunch must include a formal agenda including a program or speakers that will impart necessary information important for full understanding of the subject matter of the conference. There should be several hours of informative sessions providing substantive information scheduled both before and after a working lunch (exhibits are not included). Indicators of a working lunch include seating for all participants. If a meal is provided to the recipient, per diem must be reduced accordingly.
Work-related event is a conference or meeting involving a topical matter of interest within the purview of the agency’s mission and function.
55
Index
56
Index
Access to Records, 6, 54, 56
Accounting Responsibilities, 5, 19, 20
Accounting System, 13
Accrual, 61
Adjustments to Awards, 5, 32, 33
Administrative Requirements, 8, 61
Audit, 6, 9, 21, 45, 50, 51, 52
Award Document, 5, 15, 16
Bonding, 21
Bonuses or Commissions, 43
Buy American Act, 40
Cash Management Improvement Act, 5, 24, 25
Close Out, 6, 54, 55
Commingling of Funds, 5, 19, 21
Compensation of Federal Employees, 43
Conflicts of Interest, 5, 19, 22
Construction or Renovation, 45
Consultant, 41, 62
Cooperative agreements, 17, 62
Cost Analysis, 5, 11, 14
Direct Recipients, 9
Drawdown, 55
Dun & Bradstreet (D&B), 13
DUNS, 13
Equipment, 40, 62
Financial Status Report, 31, 34, 36, 37, 55
Fly America Act, 46
Foreign Travel, 46
Fund Raising, 44
Grants, 1, 3, 4, 8, 12, 17, 26, 31, 34, 52, 58, 63
Indirect Costs, 41
Individuals, 10, 13, 52
Interest, 5, 24, 26, 36, 45
Lobbying, 44
Management and Administrative, 41, 42
Match, 12, 35, 37, 38, 63
Monitoring, 5, 19, 21, 22
Obligation of Funds, 5, 27, 28
OMB Circulars, 8, 9, 10, 17, 21, 37, 40, 44, 45, 48, 51, 52, 61 Payments, 5, 24, 25
Preagreement Costs, 45
Procurement, 6, 47, 48
Program Income, 6, 35, 36, 37
Reporting requirements, 31
Retention and Maintenance of Records, 6, 54, 55
Sole Source, 6, 48
Special Conditions, 8, 16, 25, 34
Subrecipients, 4, 6, 9,10, 17, 20, 21, 22, 25, 26, 34, 37, 38, 41, 44, 45, 48, 49, 50, 51, 52, 62 Supplanting, 5, 19, 23, 65
Suspension, 5, 27, 28
Termination, 5, 27, 28
Waiver of Match Requirement, 38
57
et
SAFECOM Guidance on
Emergency Communications
Grants
Fiscal Year 2023
U.S. Department of Homeland Security
Cybersecurity and Infrastructure Security Agency
FY 2023 SAFECOM Guidance on Emergency Communications Grants 2 A Message to Stakeholders
On behalf of the Cybersecurity and Infrastructure Security Agency (CISA), I am releasing the Fiscal Year 2023 SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance). This document is updated annually to provide current information on emergency communications policies, eligible costs, best practices, and technical standards for state, local, tribal, and territorial grant recipients investing federal funds in emergency communications projects.
This SAFECOM Guidance aligns with the National Emergency Communications Plan (NECP), which emphasizes the need to enhance governance structures, plans, and protocols that enable the emergency response community to communicate requisite information under all circumstances. Grant recipients are encouraged to support the guidelines within the NECP to maximize the use of voice, video, and data communications and to ensure the security of data and information exchange. The SAFECOM Guidance also addresses the rapidly evolving emergency communications ecosystem. Throughout the past year, the emergency communications community has been greatly affected by increasing cyber attacks on critical infrastructure and systems. Recognizing these challenges, CISA strongly encourages recipients to review the best practices and resources available in the SAFECOM Guidance to help navigate this shifting landscape.
The Administration, Office of Management and Budget, and federal grant program offices recognize the SAFECOM Guidance as the primary guidance on emergency communications grants. Since 2015, the Department of Homeland Security has required its grant recipients investing in emergency communications to comply with SAFECOM Guidance. All grant applicants are encouraged to coordinate with their statewide governance bodies and emergency communications leaders (e.g., Statewide Interoperability Coordinators) to ensure projects support the state, local, tribal, or territory’s strategy to improve interoperable emergency communications. In addition, grant applicants should work with public and private entities, and across jurisdictions and disciplines, to assess needs, plan projects, coordinate resources, and improve response through cross-training and joint exercises. These coordination efforts are important to ensure interoperability remains a top priority.
The SAFECOM Guidance encourages grant applicants to participate, support, and invest in planning activities that will help states, locals, tribes, or territories prepare for deployment of new emergency communications systems or technologies. Grant recipients should continue enhancing governance and leadership, developing plans and procedures, conducting training and exercises, and investing in standards- based equipment to sustain land mobile radio capabilities, while concurrently planning for the integration and deployment of new technologies. Grant recipients must also consider cybersecurity risks across all capabilities when planning operable, interoperable, and continuity of communications.
As in previous years, CISA developed the SAFECOM Guidance in partnership with SAFECOM and the National Council of Statewide Interoperability Coordinators. CISA also consulted federal partners and the Emergency Communications Preparedness Center to ensure emergency communications policies are coordinated and consistent across the federal government. Grant applicants are encouraged to reference this document when developing emergency communications investments for federal funding, and to direct any questions to [email protected].
Billy Bob Brown, Jr
Executive Assistant Director for Emergency Communications Cybersecurity and Infrastructure Security Agency
FY 2023 SAFECOM Guidance on Emergency Communications Grants 3 Contents
A Message to Stakeholders ............................................................................................................................ 2
Contents ......................................................................................................................................................... 3
1. Introduction ............................................................................................................................................. 4
1.1 Purpose of SAFECOM Guidance ..................................................................................................... 4
1.2 Report Methodology ......................................................................................................................... 5
1.3 Use of SAFECOM Guidance ........................................................................................................... 6
1.4 Key Changes and Updates ................................................................................................................ 8
2. Emergency Communications Priorities ................................................................................................... 9
2.1 Priority 1: Governance and Leadership ............................................................................................ 9
2.2 Priority 2: Planning and Procedures ............................................................................................... 10
2.3 Priority 3: Training, Exercises, and Evaluation .............................................................................. 12
2.4 Priority 4: Activities that Enhance Communications Coordination ............................................... 13
2.5 Priority 5: Standards-based Technology and Infrastructure ........................................................... 15
2.6 Priority 6: Cybersecurity................................................................................................................. 16
3. Before Applying .................................................................................................................................... 18
3.1 Review the NECP and SCIP ........................................................................................................... 18
3.2 Coordinate with Statewide Emergency Communications Leaders ................................................ 18
3.3 Recognize Changes in the Emergency Communications Ecosystem ............................................. 18
3.4 Understand Federal Grant Requirements and Restrictions ............................................................. 23
4. Eligible Activities .................................................................................................................................. 27
4.1 Personnel ........................................................................................................................................ 27
4.2 Planning and Organization ............................................................................................................. 28
4.3 Training .......................................................................................................................................... 31
4.4 Exercises ......................................................................................................................................... 33
4.5 Equipment ....................................................................................................................................... 34
5. Emergency Communications Systems and Capabilities ....................................................................... 39
6. Grants Management Best Practices ....................................................................................................... 40
7. Funding Sources .................................................................................................................................... 41 Appendix A – Acronym List .....................................................................................................................A-1 Appendix B – Technology and Equipment Standards and Resources ...................................................... B-1 Appendix C – Emergency Communications Resources ............................................................................ C-1 Appendix D – Compliance Requirements for DHS Grants .......................................................................D-1
FY 2023 SAFECOM Guidance on Emergency Communications Grants 4 1. Introduction
The Department of Homeland Security (DHS) is mandated by the Homeland Security Act, 6 U.S.C. § 571 to administer responsibilities and authorities relating to the SAFECOM Program.1 Within DHS, the Cybersecurity and Infrastructure Security Agency (CISA) is responsible for developing coordinated guidance for federal grant programs for public safety communications.2 As a result, CISA develops the annual SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance) as a reference guide for entities applying for federal financial assistance for emergency communications projects. While only entities funding emergency communications projects with DHS grant funding are required to comply with the SAFECOM Guidance (see Appendix D), all entities are highly encouraged to follow the recommendations within this document to ensure interoperable, resilient, and fully effective communications.
The SAFECOM Guidance provides general information on eligible activities, technical standards, and other terms and conditions that are common to most federal emergency communications grants.3 It aims to ensure that policies and standards across federal grant programs provide a consistent approach to improving emergency communications nationwide. The SAFECOM Guidance achieves this consistency by aligning recommendations with the National Emergency Communications Plan (NECP).4 SAFECOM is a public safety stakeholder-driven program sponsored by CISA, which develops policy, guidance, and future efforts by drawing on SAFECOM member expertise and recommendations. The DHS Science and Technology Directorate also supports SAFECOM-related research, development, testing, evaluation, as well as the acceleration of standards. SAFECOM works to build partnerships among all levels of government, linking the strategic planning, technical support, and implementation needs of the emergency response community with federal, state, local, tribal, and territorial governments, to improve communications.
Additionally, CISA consulted members of the Emergency Communications Preparedness Center (ECPC), which coordinates roles and activities of agencies across the federal government to improve interoperable public safety and emergency response communications. ECPC consists of 14 federal departments and agencies representing the government’s broad role in improving coordination of emergency communications efforts, including information sharing, planning, regulation, policy, operations, grants, and technical assistance. Together, SAFECOM members and federal partners coordinate emergency communications policy and standards to ensure projects are compatible, interoperable, and most importantly, meet the needs of end-users.
1.1 Purpose of SAFECOM Guidance
The SAFECOM Guidance provides insight to grant recipients5 about:
• Recommendations for planning, coordinating, and implementing projects • Emergency communications activities that can be funded through federal grants • Best practices, policies, and technical standards that help to improve interoperability • Resources to help grant recipients comply with technical standards and grant requirements
1 For more information on SAFECOM, see: cisa.gov/safecom. 2 6 U.S.C. § 571(c)(2) and 6 U.S.C. § 574.
3 Federal financial assistance includes grants, loans, cooperative agreements, and other funds provided by the federal government. For this document, these terms are used interchangeably unless otherwise indicated. 4 The NECP is the nation’s strategic plan for emergency communications and is available at: cisa.gov/necp. 5 In accordance with Title 2 of the Code of Federal Regulations (CFR) 200, the terms “recipient” and “sub-recipient” are defined as non-federal entities that receive federal awards directly from a federal awarding agency to carry out an activity under a federal program.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 5 The SAFECOM Guidance is designed to promote and align with the national vision established in the NECP. CISA published a second update to the NECP in September 2019 that builds upon revisions made in 2014, while also positioning the NECP to maintain its relevance in the future. Updates to the NECP goals and objectives aim to enhance emergency communications capabilities at all levels of government in coordination with the private sector, nongovernmental organizations, and communities across the Nation.
The plan’s success relies on the whole community embracing the NECP goals and objectives, and most importantly implementing them. Critical components for advancing emergency communications fall under three national priorities:
• Enhance effective governance across partners with a stake in emergency communications, embracing a shared responsibility of the whole community from traditional emergency responders and supporting entities to the citizens served
• Address interoperability challenges posed by rapid technology advancements and increased information sharing, ensuring the most critical information gets to the right people at the right time • Build resilient and secure emergency communications systems to reduce cybersecurity threats and vulnerabilities
Recommendations within the SAFECOM Guidance are intended to help state, local, tribal, and territorial stakeholders develop projects that meet critical emergency communications needs as defined in the NECP and their Statewide Communication Interoperability Plan (SCIP).6 Best practices and technical standards located within the SAFECOM Guidance help ensure federally-funded investments are interoperable, fully effective and reliable, and support national policies. However, not all guidance is applicable to all grant programs. Grants funding emergency communications are administered by numerous federal agencies and are subject to various statutory and programmatic requirements. As a result, grant applicants and recipients should review specific grant guidance carefully to ensure their proposed activities are eligible, and all standards, terms, and conditions required by the program are met.7
1.2 Report Methodology
CISA consults with federal, state, local, tribal, and territorial partners to develop the SAFECOM Guidance, including:
• ECPC Grants Focus Group8
• Federal Communications Commission (FCC), Public Safety and Homeland Security Bureau (PSHSB) • SAFECOM9 and the National Council of Statewide Interoperability Coordinators (NCSWIC) • U.S. Department of Commerce
o First Responder Network Authority (FirstNet Authority) o National Institute of Standards and Technology (NIST) o National Telecommunications and Information Administration (NTIA) • U.S. Department of Homeland Security
o Federal Emergency Management Agency (FEMA) Grant Programs Directorate and the Integrated Public Alert and Warning System (IPAWS) Program Management Office o Science and Technology Directorate, Office for Interoperability and Compatibility • U.S. Department of Justice, Office of Justice Programs • U.S. Department of Transportation, National Highway Traffic Safety Administration (NHTSA)
6 For information on SCIPs, see: cisa.gov/statewide-communication-interoperability-plans. 7 For the purposes of this document, “grant guidance” may include Notices of Funding Opportunity, Grant Notices, Grant Applications, and other formal notices of grants and federal financial assistance programs. 8 The ECPC Grants Focus Group is comprised of grant officers, program administrators, and communications experts representing the 14 federal agencies that participate in the ECPC. 9 For a list of SAFECOM members, see: cisa.gov/safecom/membership.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 6 1.3 Use of SAFECOM Guidance
The SAFECOM Guidance should be used during the planning, development, and implementation of emergency communications projects and in conjunction with other planning documents. Before proposing projects for funding, prospective applicants are encouraged to read the NECP, federal and state-specific preparedness documents (e.g., statewide plans and reports), and this SAFECOM Guidance to ensure projects support federal, state, local, tribal, and territorial plans for improving emergency communications.
Table 1 provides a list of essential resources available to recipients.
Table 1. Essential Resources for Emergency Communications Grant Recipients Resources Descriptions
National
Emergency
Communication
Plan
The NECP is the nation’s strategic plan to strengthen and enhance emergency communications capabilities. It provides guidance to those that plan for, coordinate, maintain, invest in, and use communications to support response and recovery operations. Grant applicants are encouraged to read the NECP to understand the national strategy, and to ensure investments support the goals and objectives. The NECP is available at: cisa.gov/necp.
Statewide
Communication
Interoperability
Plan
The SCIP contains the state, territory, or tribal government’s strategy to improve emergency communications. States and territories were required to develop and submit a SCIP to DHS by December 2008 and required to submit reports annually on the progress of the state or territory in implementing its SCIP. Many federal grants funding emergency communications require grant applicants to align projects to needs identified in SCIPs. Grant recipients and sub-recipients should review the SCIP for their state/territory and work with their Statewide Interoperability Coordinator (SWIC) to ensure investments support statewide plans to improve communications. To find your state’s SCIP, please contact your SWIC. Contact information for SWICs can be found on the NCSWIC membership page: cisa.gov/safecom/ncswic-membership.
SAFECOM
Website
The SAFECOM website provides information and resources for public safety agencies developing emergency communications projects. For the most recent SAFECOM Guidance and list of grants funding emergency communications, see the SAFECOM website at: cisa.gov/safecom.
IPAWS Website This website contains information on IPAWS capabilities, who can use IPAWS to send alerts, warnings, and notifications (AWN), how agencies can become Alerting Authorities, and the availability of IPAWS Technical Support Services. IPAWS is accessed through IPAWS-compatible software with the capability to draft an AWN in Common Alerting Protocol (CAP) 1.2 format, a requirement of IPAWS Open Platform for Emergency Networks (OPEN). While there is no cost to send messages through IPAWS, there are costs associated with acquiring IPAWS-compatible alert origination software. Grant recipients are encouraged to invest in alerting software. IPAWS is not mandatory and does not replace existing methods of alerting, but instead complements existing systems and offers new capabilities to deliver timely and actionable AWN. See the IPAWS website at: fema.gov/emergency-managers/practioners/integrated-public- alert-warning-system and information for Alerting Authorities at: fema.gov/emergency- managers/practitioners/integrated-public-alert-warning-system/public-safety- officials/alerting-authorities.
Office of
Management
and Budget
(OMB) Grants
Circulars
Federal awards must adhere to the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards regulations, available on the Electronic Code of Federal Regulations website at: ecfr.gov. Grant applicants should reference specific Notices of Funding Opportunity to determine applicable requirements at: grants.gov. Additional information is on the Chief Financial Officers Council website at: cfo.gov/financial-assistance.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 7 Resources Descriptions
Statewide
Interoperability
Coordinator
States, territories, and tribal governments are encouraged to designate a full-time SWIC who has the authority and resources to actively improve interoperability with emergency management and response agencies across all levels of government. Grant applicants are strongly encouraged to coordinate project proposals with the SWIC to ensure projects support statewide efforts to improve emergency communications. DHS/FEMA requires all states and territories that use Homeland Security Grant Program funds to designate a full-time SWIC who has the authority and resources to actively improve interoperability with emergency management and response agencies across all levels of government. cisa.gov/safecom/ncswic-membership.
State
Leadership
States and territories have designated leadership positions to assist with emergency communications projects and may include an individual or body. These leadership positions vary by area and may have resulted from grant program requirements to designate a single point of contact, such as a Broadband Coordinator.
The State Emergency Management Agency Director is responsible for ensuring the state or territory is prepared to deal with any type of emergency, as well as coordinating statewide incident response. This includes collaborating with appropriate statewide representatives for critical capabilities, such as emergency communications, statewide 911 communications, and public alerting.
State Information Technology and Security Officials, including a state or territory’s Chief Information Officer, Chief Technology Officer, and Chief Information Security Officer manage key information technology (IT) initiatives, including IT procurement, security, and IT planning and budgeting.
The 911 Administrator manages the state or territory’s 911 functions as determined by state legislation. The official title and role of this position may vary. Grant recipients are encouraged to coordinate 911 projects with the Administrator to ensure projects support state or territory 911 efforts. To find your Administrator, refer to the National Association of State 911 Administrators at: nasna911.org/contact-911.
The Homeland Security Director coordinates the planning, development, and coordination of statewide policies developed in support of public and private organizations responsible for preventing terrorism, raising awareness, reducing vulnerabilities, responding to, and recovering from terrorist acts. To locate your Director or office, refer to: dhs.gov/state-homeland-security-and-emergency-services.
State
Governance
The Statewide Interoperability Governing Body (SIGB) or State Interoperability Executive Committee (SIEC) serves as the primary steering group for the statewide interoperability strategy that seeks to improve emergency response communications across the State through enhanced data and voice communications interoperability.
SIGBs and SIECs include representatives from various jurisdictions and disciplines, as well as subject matter experts. To find the SIGB or SIEC for your state or territory, contact CISA at: [email protected].
A Broadband Working Group serves as the governing body for state or territory planning activities. Many states use their SIGB or SIEC for planning or have created an independent working group focused on public safety broadband and FirstNet-related planning activities. Grant recipients are encouraged to work with their respective group to ensure efforts do not conflict with the FirstNet Authority’s planning and implementation of the Nationwide Public Safety Broadband Network (NPSBN). To find the FirstNet Authority contact for your state or territory, go to: FirstNet.gov/public- safety/your-advisor.
The 911 Advisory Board works with the 911 Administrator to plan and coordinate state and local 911 efforts. The official title and role of this board vary. Grant applicants are encouraged to coordinate 911 projects with the appropriate board to ensure projects support broader state or territory 911 efforts. To find your 911 Advisory Board, refer to State 911 Contacts page of the National Association of State 911 Administrators at:
nasna911.org/contact-911.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 8 1.4 Key Changes and Updates
This section highlights key changes to the FY 2023 SAFECOM Guidance:
• Emergency Communications Priorities (Section 2). This section reviews stakeholder-driven priorities aligned to the NECP goals and recommendations, including: 1) Governance and Leadership; 2) Planning and Procedures; 3) Training, Exercises, and Evaluation; 4) Activities that Enhance Communications Coordination; 5) Standards-based Technology and Infrastructure; and 6) Cybersecurity. Based on lessons learned from federally-declared disasters, there is an urgent need to address communications survivability, resilience, and continuity. Rather than listing this as a separate priority, communications resilience and continuity should be viewed as critical components across all priorities.
• Before Applying (Section 3). This section provides an overview of national policies, laws, and issues affecting emergency communications grants and the broader emergency communications ecosystem, as well as federal requirements and restrictions on funding that applicants should consider before applying. Applicants are encouraged to review available supplemental funding and new federal financial assistance opportunities to support emergency communications projects. • Eligible Activities (Section 4). This section includes a review of eligible costs commonly funded by federal grants, as well as guidance for applicants to address NECP strategic goals and recommendations. Grant applicants seeking to improve interoperable emergency communications are encouraged to allocate grant funding to these activities. However, applicants must consult the specific grant guidance they are applying for to confirm allowable costs, as all activities listed in this section may not be eligible for funding under all federal grant programs. • Emergency Communications Systems and Capabilities (Section 5). This section provides an overview of emergency communications and the importance of deploying standards-based technology and equipment. Detailed guidance, technical standards, and resources for emergency communications equipment are included in Appendix B.
• Grants Management Best Practices (Section 6). This section provides best practices to ensure the effective implementation of grants and to establish the entity as a trusted steward of federal grant funding and a credible recipient of future grant funding. The grant lifecycle includes planning applications (Pre-Award), reviewing award agreements and funding (Award), implementing grant- funded projects (Post Award), and completing federal grant projects (Closeout). • Funding Sources (Section 7). This section offers recommendations on how applicants should consider multiple funding sources, including traditional grants and other sources that may partially fund emergency communications projects.
• Appendices. The appendices include an acronym list (Appendix A), technical standards for emergency communications equipment (Appendix B), and resources recipients can reference when developing emergency communications projects (Appendix C). In Appendix D, DHS has outlined specific requirements for DHS/FEMA recipients to comply with SAFECOM Guidance. These requirements are in accordance with the DHS Standard Terms and Conditions of preparedness grants.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 9 2. Emergency Communications Priorities
CISA is responsible for ensuring grant guidelines and priorities relating to interoperable emergency communications are coordinated and consistent with the NECP goals and recommendations. In support of this mandate, SAFECOM Guidance identifies six investment priorities of equal merit. These priorities were developed in coordination with stakeholders and federal partners, and are informed by the NECP, as well as other applicable Presidential Policy Directives, federal statutes, and regulations. Grant recipients are encouraged to target grant funding toward the following priorities:
• Priority 1: Governance and Leadership
• Priority 2: Planning and Procedures
• Priority 3: Training, Exercises, and Evaluation
• Priority 4: Activities that Enhance Communications Coordination • Priority 5: Standards-Based Technology and Infrastructure • Priority 6: Cybersecurity
2.1 Priority 1: Governance and Leadership
Strong governance and leadership structures are essential to effective decision-making, coordination, and planning for emergency communications. While the existence and growth in governance bodies is a significant accomplishment, many of these entities were originally established to address land mobile radio (LMR) interoperability issues. Evolving technology and rising expectations in emergency communications change the traditional roles and responsibilities within the public safety community, requiring strong, broader scopes and unified governing bodies. Fortunately, there is already a strong foundation for future progress. State, local, tribal, and territorial governments should focus on formalizing, expanding, and updating current structures, processes, and investments in governance and leadership.
In FY 2023, grant recipients are encouraged to invest in emergency communications governance and leadership structures for coordinating statewide and regional initiatives that reflect the evolving emergency communications environment.10 These investments are critical for assessing needs, conducting statewide planning, coordinating investments, ensuring projects support the SCIP, maintaining and improving communications systems, and planning for future communications improvements. Formal governance and leadership structures can also facilitate the development of operating procedures and planning mechanisms that establish priorities, objectives, strategies, and tactics during response and recovery operations.11
For regional, cross-border initiatives, grant recipients should coordinate projects with national level emergency communications coordination bodies, such as the NCSWIC and the Regional Emergency Communications Coordination Working Groups (RECCWGs). The NCSWIC promotes and coordinates state level activities designed to ensure the highest level of public safety communications access and availability across the nation. RECCWGs are congressionally-mandated planning and coordination bodies located in each FEMA Region and provide a collaborative forum to assess and address the survivability, sustainability, operability, and interoperability of emergency communications systems at all levels of government. Grant-funded investments that are coordinated with these bodies will help ensure that federally-funded emergency communications investments are interoperable and support national policies.
10 See the Emergency Communications Governance Guide for State, Local, Tribal, and Territorial Officials at:
cisa.gov/safecom/governance.
11 See the National Incident Management System Implementation Objectives at: fema.gov/emergency- managers/nims.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 10 To support this priority, grant recipients should target funding to:
• Develop/sustain the SIGB or SIEC activities and SWIC position or fully-staffed SWIC office o In accordance with DHS/FEMA requirements, all states and territories receiving Homeland Security Grant Program funds are required to designate a full-time SWIC with authority and resources to actively improve interoperability with emergency management and response agencies across all levels of government, to include establishing statewide plans, policies, and procedures, and coordinating decisions on communications investments • Formalize and adapt governance structures and processes to address the evolving operating environment to:
o Include and coordinate with emergency communications leaders (e.g., 911 leaders, IPAWS Program Management Office, RECCWGs, public utilities commissions) and representatives from multiple agencies, jurisdictions, disciplines, levels of government, tribes, rural areas, subject matter experts, and private industry when creating strategic and operational plans and policies, and during training and exercise development and execution o Identify and include information management, network infrastructure, and cybersecurity representatives in governance membership or through formalized coordination to undertake technology integration and migration initiatives (e.g., broadband, 911, alerts and warnings, information management, network infrastructure, cybersecurity), as well as identify and address legislative and regulatory issues associated with emerging technology o Review and update key operating documents for SIGB or SIEC (e.g., charters, agreements, policies, procedures) to ensure they are positioned to address new technology deployments and facilitate coordination with the SWIC
o Formalize and regularly review cross-jurisdictional, multi-state, or multi-organizational agreements (e.g., memoranda of understanding [MOU], mutual aid agreements) to account for changes to resources, capabilities, and information- or technology-sharing needs o Integrate emergency communications governance and leadership into broader statewide planning efforts (e.g., the operationalization, tactical integration, and continued buildout of FirstNet, 911 system migration, IT enhancements, commercial broadband, auxiliary communications) to ensure emergency communications needs are represented o Increase regional structures or processes to foster multi-state coordination and information sharing
o Conduct outreach and education to continually assess and address user needs o Develop governance that aids in the coordination of messaging within partnering IPAWS Alerting Authorities; improves the common operating picture and achieves greater situational awareness; and increases awareness of existing plans, policies, and procedures
2.2 Priority 2: Planning and Procedures
The public safety community benefits from a comprehensive and inclusive approach to emergency communications planning. The NECP recommends that response agencies seek to improve responders’ ability to communicate and share information with others through formal written strategies, plans, and standard operating procedures (SOPs) or guidelines that integrate the capabilities of all users and account for the entire system lifecycle. Through development and updating of their SCIPs, states, tribes, and territories engage multiple jurisdictions, disciplines, and levels of government in planning, incorporating all emergency communications needs. The SCIP serves as the primary strategic plan for emergency communications, while other plans outline specific operational coordination or tactical procedures, including Field Operations Guides, Tactical Interoperable Communications Plans (TICPs), and FEMA Regional Emergency Communications Plans (RECPs). Field Operations Guides are technical references for emergency communications planning and for technicians responsible for radios that will be used in emergency responses. TICPs are designed to allow urban areas, counties, regions, states/territories, tribes, or federal agencies to document interoperable communications governance structures, technology assets,
FY 2023 SAFECOM Guidance on Emergency Communications Grants 11 and usage policies and procedures. RECPs, along with their associated state, territorial, or tribal annexes, serve to identify emergency communications capability shortfalls and potential resource requirements.
Grant recipients are encouraged to leverage these planning resources as a source of input and reference for all emergency communications grant applications and investment justifications. Updating plans and SOPs to address emergency communications gaps, new technologies, and stakeholder needs help to improve emergency communications and response across the whole community. This continuous and comprehensive planning enables agencies to effectively identify, prioritize, and coordinate to ensure proposed investments support broader planning priorities.
In FY 2023, grant recipients should continue to target funding toward planning activities, including updates of local, regional, statewide, tribal, and territory plans, and ensure plans incorporate the capabilities and needs of all emergency communications systems throughout their lifecycles. The goal of this priority is to ensure emergency communications needs are continually assessed and integrated into risk assessments and preparedness plans, including continuity planning efforts. These planning activities must include analyzing threats and vulnerabilities that may affect communications resilience and sustainment, while developing investment plans and SOPs to mitigate identified risks. Stakeholders are encouraged to target funding toward planning, stakeholder outreach, assessment of user needs, and other activities that will help to engage the whole community in emergency communications planning initiatives.
To support this priority, grant recipients should target funding toward critical planning activities, including the following:
• Update SCIPs, other strategic plans, and procedures to:
o Reflect the NECP strategic goals and objectives into measurable goals, activities, and milestones o Incorporate whole community concepts12
o Integrate lifecycle planning to inform agency funding decisions o Address capabilities (e.g., voice, video, data), findings, and gaps identified in state-level preparedness reports, risk and vulnerability assessments, and After-Action Reports (AAR) from real-world incidents and planned exercises
o Identify and address FCC directives affecting current or planned public safety communications systems (e.g., spectrum, licensing, interference)
o Incorporate a multifaceted approach to ensure the security, confidentiality, integrity, reliability, and availability of fully interoperable data applications and services o Include all components of the emergency communications ecosystem (e.g., AWN, 911 systems, LMR, broadband networks, video networks, auxiliary communications) • Support statewide emergency communications and preparedness planning efforts through allocation of funding to the following planning activities:
o Conduct and attend planning meetings
o Engage the whole community in emergency communications planning, response, and risk identification and mitigation
12 Per the National Preparedness Goal, whole community is formally defined as, “A focus on enabling the participation in national preparedness activities of a wider range of players from the private and nonprofit sectors, including nongovernmental organizations and the general public, in conjunction with the participation of federal, state, and local governmental partners in order to foster better coordination and working relationships.”
FY 2023 SAFECOM Guidance on Emergency Communications Grants 12 o Plan and develop Shared Communication Systems and Infrastructure (SCSI)13 projects for improved utilization and integration of available communications assets with partners o Develop and perform risk, resiliency, and vulnerability assessments (e.g., cyber, Threat and Hazard Identification and Risk Assessment [THIRA], communications security [COMSEC]14) o Incorporate risk management strategies for cybersecurity, continuity, and recovery (e.g., National Risk Index [NRI]15)
o Integrate emergency communications assets and needs into state-level plans o Coordinate with SWIC, broadband coordinator, State Administrative Agency (SAA),16 and state- level planners (e.g., 911 planners, public utilities commissions) to ensure proposed investments align to statewide plans and comply with technical requirements o Establish a cybersecurity response plan including continuity of vulnerable communications components and implementing resilient network designs (e.g., segmenting essential functions, strong access controls, multi-factor authentication for staff logins) to limit the impact of cyber incidents
• Identify, review, establish, and improve communications SOPs or guidelines in coordination with response agencies at all levels of government to:
o Ensure federal, state, local, tribal, and territorial roles and responsibilities are clearly defined o Ensure communications assets and capabilities are integrated, deployed, and utilized to maximize interoperability
o Address threats, mitigate vulnerabilities, and identify contingencies for the continuity of critical communications
2.3 Priority 3: Training, Exercises, and Evaluation
Results from the SAFECOM Nationwide Survey, AARs, and similar assessments reveal that jurisdictions are better able to respond to emergencies due in part to regular training and exercises. Training, exercises, and evaluations help response personnel understand their communications roles and responsibilities during an emergency, as well as processes for working with other agencies. Further, as communications technologies continue to evolve, the need for training and exercises becomes even greater to ensure personnel are proficient in using existing and new technologies. The NECP recommends agecies involve traditional emergency responder disciplines from all levels of government, as well as other entities that share information during emergencies (e.g., medicial facilities, utilities, nongovernmental organizations, private citizens), to practice communications for a whole community response and approach. It also recommends agencies utilize all types of communication technologies and identify gaps and problems with technologies or protocols.
In FY 2023, grant recipients should continue to invest in communications-related training, exercises, and evaluations (in-person and virtual) to address gaps identified in response and recovery operations, which should include thoroughly testing resiliency and continuity of communications. Grant recipients are
13 SCSI projects focus on encouraging active resource sharing for organizations with national security, emergency preparedness, and public safety missions. CISA developed a SCSI 101 Fact Sheet, as well as a case study of SCSI Along the Southwest Border recommending opportunities and challenges of asset sharing for federal, state, local, and tribal public safety agencies in the region. For more information, see: cisa.gov/scsi. 14 COMSEC is a component of security that protects public safety wired and wireless transmissions from unauthorized access. When public safety transmissions include sensitive information related to tactical or investigative law enforcement operations, patient health, or logistics among agencies responding to incidents and disasters, the information may present a vulnerability if not protected. COMSEC provides the necessary structure of protections, ensuring the confidentiality and integrity of critical and sensitive communications. 15 FEMA developed the NRI as an online tool to help communities analyze risk factors when preparing grant applications. The NRI is available at: fema.gov/flood-maps/products-tools/national-risk-index. 16 Many federal grants are awarded to a designated SAA as the official recipient and administrator for the grant, responsible for sub-recipient oversight of grant-funded activities.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 13 encouraged to participate in training and exercises across all levels of government and with other entities that will better assist jurisdictions to prepare for disasters and identify, assess, and address capability gaps.
To support this priority, grant recipients should target funding toward certified training, exercises, and evaluation activities, including:
• Conduct National Incident Management System (NIMS)-compliant training (e.g., training in the Incident Command System [ICS] and the ICS Communications Unit such as Communications Unit Leader [COML], Communications Technician [COMT], Information Technology Service Unit Leader [ITSL], Radio Operator [RADO], Incident Tactical Dispatcher [INTD], Auxiliary Communications [AUXCOMM], and Incident Communication Center Manager [INCM])17 • Improve states’, tribes’, and territories’ ability to track and share trained Communications Unit personnel during response operations (e.g., include Communications Unit training plan within statewide plans such as the SCIP)
• Conduct frequent training and exercises involving personnel from all levels of government who are assigned to operate communications capabilities, to test communications systems and personnel proficiency (e.g., include emerging technologies and system failure), and utilize third- party evaluators with communications expertise
• Incorporate human factors in training and exercises to address the demands that voice, video, and data information place on personnel, to ensure that responders effectively use and are not overloaded by available information
• Perform exercises that support and demonstrate the adoption, implementation, and use of the NIMS concepts and principles
• Hold cross-training and state, regional, or national level exercises to validate plans and procedures to include tribes, nongovernmental organizations, and private sector communications stakeholders • Provide training and exercises on new and existing systems, equipment, and SOPs • Develop or update training and exercise programs to address new technologies, data interoperability, cybersecurity, encryption, use of dedicated federal, state, local, and national interoperability channels, personally identifiable information, and continuity of communications • Test communications survivability, resilience, and continuity of communications, to include validation of continuity procedures and operational testing of secondary and backup systems and equipment • Develop and support instructor cadres to expand training for communications-support personnel • Assess and update training curriculums and exercise criteria to reflect changes in the operating environment and plain language protocols
• Identify opportunities to integrate private and public sector communications stakeholders into training and exercises, as well as cost-effective approaches (e.g., distance learning) • Offer cybersecurity training and education on the proper use and security of devices and applications, phishing, malware, other potential threats, and how to guard against attacks • Provide regular training and exercises for Alerting Authorities incorporating the use of IPAWS
2.4 Priority 4: Activities that Enhance Communications Coordination There has been significant improvement in capabilities at state, local, tribal, and territorial levels resulting in the ability of jurisdictions to more effectively coordinate communications resources and services during emergency incidents and planned events. This includes the integration of capabilities, resources, and personnel across the whole community. As incidents escalate and evolve, communications resources must be able to expand rapidly to meet responders’ needs. This requires agencies to track communications
17 Regular training on NIMS/ICS concepts is needed to ensure new and existing staff are proficient in NIMS/ICS concepts. For NIMS-compliant training, see: fema.gov/emergency-managers/nims/implementation-training.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 14 resources they own or can access, then follow appropriate procedures to request and deploy resources to locations when needed.
In FY 2023, grant recipients are encouraged to update inventories of communications assets and share information within their state, tribe, or territory and region (e.g., neighboring jurisdictions, states, tribes, or territories) that are most likely to request support during emergencies or events. This can be achieved by working with SWICs to update inputs to the Communication Assets Survey and Mapping (CASM) Tool— a web-based tool that assists public safety agencies to collect and visualize data, and assess inter-agency interoperability based on communications assets and interoperability methods.18 Similarly, to assist in coordinating the use of 700 and 800 megahertz (MHz) public safety frequencies, agencies should use the Computer Assisted Pre-Coordination Resource and Database (CAPRAD) system and work with the 700 and 800 MHz Regional Planning Committees.19 Grant applicants and recipients should identify gaps in capabilities and target funding toward those gaps.
In addition, grant recipients must continue to implement NIMS ICS principles during all incidents and planned events. Grant applicants and recipients are also encouraged to actively engage neighboring jurisdictions—both internal and external to the state, local, tribe, or territory—to coordinate response planning and seek mutual aid agreements for large-scale responses. Agencies should also collaborate and encourage alerting practices between levels of government, including installing resilient communications to coordinate the distribution of alerts.
To support this priority, grant recipients should target funding to:
• Promote projects that confirm NIMS implementation, continued use of ICS, and information sharing:
o Establish or enhance primary, secondary, and backup communications capabilities and share appropriate ICS forms and information illustrating the status of an agency’s capabilities o Assess and improve the timeliness of notification, activation, and response of communications systems providers to support the Incident Commander and Incident Management Team(s) requirements at incidents and planned events • Enhance the coordination and effective usage of communications resources o Ensure inventories of emergency communications resources are updated and comprehensive, and readily share information about features, functionality, and capabilities of operable and interoperable communication resources with partners
o Promote assessment of communications assets, asset coordination, and resource sharing o Implement projects that promote regional, intra- and inter-state collaboration o Support initiatives that engage the whole community, including commercial and non- traditional communications partners (e.g., auxiliary communications, volunteers, utilities) • Develop or update operational protocols and procedures o Develop, integrate, or implement NIMS-aligned SOPs or job aides to facilitate the integration, deployment, and use of communications assets or loaned devices o Test communications capabilities and personnel proficiency through training, exercises, and real-world events and address needs identified in statewide plans, AARs, or assessments through comprehensive action plans
o Review the operationalization of FirstNet and other broadband capabilities to ensure SOPs govern the technologies’ use, training, and testing
18 CISA hosts public safety software tools on the SAFECOM website at: cisa.gov/safecom/resources. Tools include the CASM Resource Finder, the electronic National Interoperability Field Operations Guide 2.0 (eNIFOG), and electronic Auxiliary Communications Field Operations Guide (eAUXFOG) mobile applications. Users may request online training from CISA Technical Assistance at: cisa.gov/safecom/ictapscip-resources. 19 DHS Science and Technology Directorate sponsors the CAPRAD system at: caprad.org.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 15 o Develop recommended SOPs or guidelines regarding the use of personal communications devices (e.g., bring your own device) for official duties based on applicable laws and regulations o Review usage of Priority Telecommunications Services (e.g., Government Emergency Telecommunications Service, Wireless Priority Service, and Telecommunications Service Priority), and ensure SOPs govern the programs’ use and testing o Plan for Alerting Authorities to ensure the highest state of readiness of existing capabilities for resilient and interoperable alerts, warnings, messaging, and notifications using current local, county, state, and federal systems, and when applicable, the IPAWS o Review uses of the NPSBN, also known as FirstNet, and other public safety broadband capabilities, and ensure SOPs govern the programs’ use and testing o Develop guidelines regarding the use of auxiliary communications devices (e.g., amateur radio, military radio, citizens band radio) for official duties based on applicable laws and regulations20
• Strengthen resilience and continuity of communications o Inventory and typing of resources and other activities that provide backup communications solutions (e.g., strategic technology reserves, radio caches, cell on wheels [COWs]) o Establish testing and usage observations of primary, secondary, and backup communications o Address system and staffing for continuity of operations planning
2.5 Priority 5: Standards-based Technology and Infrastructure Public safety agencies continue to maintain and evolve LMR infrastructure for mission critical voice capabilities, including the pursuit of shared Project 25 (P25) radio systems and infrastructure. With acknowledgment of the need for enhanced data capabilities, many public safety organizations have implemented broadband solutions. In addition, Next Generation 911 (NG911) systems are being deployed and continue to mature. The public safety community continues to develop strategies and technology roadmaps for implementing standards-based, vendor-neutral devices and applications that can sustain the unique public safety operating environment and provide mission critical communications. In addition, public safety agencies must address operability, interoperability, security, and resiliency challenges posed by rapid technology advancements (e.g., artificial intelligence, 5G, 6G, Internet of Things, identity management, geographic information systems) and increased information sharing, ensuring the most critical information gets to the right people at the right time.
In FY 2023, grant recipients should continue to invest in accredited technical standards-based infrastructure to enable interoperability between agencies and jurisdictions, regardless of vendor. Grant recipients should include technical specifications in procurement agreements with vendors and obtain sufficient documentation and testing results to verify infrastructure is compliant with applicable standards and that features, functions, and services provide the expected and required interoperability. Grant recipients are strongly encouraged to invest in equipment that will sustain and maintain current capabilities while planning for new technologies and capabilities that may not have fully defined standards. As emergency communications capabilities continue to evolve, recipients should participate in community outreach and planning to ensure new capabilities are interoperable and all user requirements are incorporated.
To support this priority, grant recipients should target funding to:
• Sustain and maintain current LMR capabilities based on mission requirements
20 For more information on auxiliary communications guidelines and the SHAred RESources (SHARES) High Frequency Radio program, see: cisa.gov/shared-resources-shares-high-frequency-hf-radio-program.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 16 • Purchase and use P25-compliant LMR equipment (see P25 Compliance Assessment Program [CAP] approved equipment list) for mission critical voice communications21 • Support rapid and far-ranging deployment of the NPSBN and use of FirstNet-approved devices and applications dedicated for public safety using multi-layered, proven cybersecurity and network security solutions22
• Transition towards NG911 capabilities in compliance with NG911 standards23 • Transition LMR encryption capabilities to full P25 Advanced Encrypted Standard (AES) for all systems including encrypted interoperability where applicable • Support standards that allow for alerts, warnings, and notifications across different systems • Secure and protect equipment, information, and capabilities from physical and cyber threats • Acquire, sustain, and maintain Common Alerting Protocol-compliant software that meets IPAWS requirements
• Employ standards-based information exchange models and data sharing solutions • Secure standards-based interconnectivity gateway subsystems • Sustain and ensure critical communication systems connectivity and resiliency, including backup solutions, among key government leadership, internal elements, other supporting organizations, and the public under all conditions
• Support standards and practices that enhance survivability and resilience to electromagnetic effects • Ensure all communications systems and networks are traced from end-to-end to identify all Single Points of Failure, including redundancy at critical infrastructure facilities, and:
o Sustain availability of backup systems (e.g., backup power, portable repeaters, satellite phones, High Frequency [HF] radios, auxiliary communications gateway equipment) o Ensure diversity of network element components and routing o Plan for geographic separation of primary and alternate transmission media o Maintain spares for designated critical communication systems o Work with commercial suppliers to remediate single points of failure o Maintain communications capabilities to ensure their readiness when needed
2.6 Priority 6: Cybersecurity
As cyber threats and vulnerabilities grow in complexity and sophistication, incidents become more numerous and severe against emergency communications systems. Therefore, it is critical that public safety organizations take proactive measures to carefully manage their cybersecurity risks. To prepare for cyber incidents, the public safety community must continually identify risks and evolve security requirements in coordination with partners. Cybersecurity is a shared mission across all levels of government, the private sector, nongovernmental organizations, public safety communications end-users, and the public.
In FY 2023, grant recipients should invest in solutions that enhance their cybersecurity posture.
Cybersecurity must be addressed through planning, governance, and technology solutions that secure networks. Recipients should ensure cybersecurity planning is comprehensive and maintained throughout the lifecycle of all network components. Cybersecurity risk management should also include updates to non-technology support activities, such as mutual aid agreements, SOPs, policy development, and training and education. Personnel should be trained on the latest security, resiliency, continuity and operational
21 For more information on P25 requirements, see: project25.org. For a list of P25 CAP approved equipment, see:
dhs.gov/science-and-technology/approved-grant-eligible-equipment. 22 Applicants interested in broadband investments should consult with the FirstNet Authority to ensure investments meet all technical requirements to operate on the network. Refer to the Authority’s contact information at: firstnet.gov. 23 For more information, see the NG911 Standards Compendium:
911.gov/project_standardsforenhancedandnextgeneration911.html.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 17 practices and maintain in-service training as new technology and methods are made available. Personnel should also be educated in cyber hygiene and best practices to prevent, detect, and deter cybersecurity risks whether they are natural or technological in nature, accidental or intentional.
To support this priority, grant recipients should target funding to:
• Develop and maintain cybersecurity risk management
• Implement the CISA Cyber Essentials Toolkits24
• Implement the NIST Framework for Improving Critical Infrastructure Cybersecurity25 (Cybersecurity Framework) to complement an existing risk management process or to develop a credible program if one does not exist. The NIST Cybersecurity Framework establishes five functions to integrate cybersecurity into mission functions and operations, including:
1) Identify, evaluate, and prioritize risks;
2) Protect against identified risks;
3) Detect risks to the network as they arise;
4) Deploy response capabilities to mitigate risks; and
5) Establish recovery protocols to ensure the resiliency and continuity of communications • Employ the Cyber Resiliency Resources available for public safety26 • Reference CISA’s cybersecurity resources for NG911 projects27 • Identify and implement standards for cybersecurity that fit system and mission needs while maintaining operability and interoperability
• Develop incident response plans, recovery plans, resiliency plans, and continuity of operations plans in anticipation of physical or cybersecurity incidents • Mitigate cybersecurity vulnerabilities with consideration of the potential impacts of cybersecurity risk management on interoperability with the broader community • Identify and mitigate equipment and protocol vulnerabilities • Plan and deploy AES encryption capabilities for all LMR systems including link layer authentication and encryption (when available)
• Implement the Communications Security Reliability and Interoperability Council (CSRIC) cybersecurity best practices for public safety entities28 • Implement Phishing Resistant Multi-Factor Authentication (MFA)29
24 CISA Cyber Essential Toolkits are available at: cisa.gov/publication/cyber-essentials-toolkits. 25 NIST released the Framework for Improving Critical Infrastructure Cybersecurity, which is a voluntary risk- based approach to cybersecurity that uses industry guidelines to help organizations manage cyber risks to critical infrastructure. For more information, see: nist.gov/cyberframework. 26 CISA Cyber Resiliency Resources are available at: cisa.gov/communications-resiliency. 27 CISA cybersecurity resources for NG911 projects are available at: cisa.gov/safecom/next-generation-911. 28 CSRIC is an advisory committee of the FCC that provides recommendations to ensure the security, reliability, and interoperability of communications systems. The CSRIC cybersecurity best practices for public safety entities are available using the search tool opendata.fcc.gov/Public-Safety/CSRIC-Best-Practices/qb45-rw2t/data after selecting 'Public Safety' in Industry Role(s) filter and 'Cyber Security' in Keywords filter. 29 Phishinig resistant MFA requirements are available within NIST 800-63-4. For general MFA information, see CISA resources at: cisa.gov/resources-tools/resources/multi-factor-authentication-mfa.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 18 3. Before Applying
Before applying for federal funds for emergency communications, applicants should:
• Review the NECP and SCIP
• Coordinate with statewide emergency communications leaders • Recognize changes in the emergency communications ecosystem • Understand federal grant requirements and restrictions
3.1 Review the NECP and SCIP
Grant applicants should read the NECP to understand the national emergency communications strategy and ensure proposed projects support national goals and objectives. Similarly, grant recipients should review their state or territory’s SCIP (and other applicable plans) to ensure proposals support statewide plans to improve communications across all emergency communications systems and capabilities. Some federal grants (e.g., Homeland Security Grant Program) require applicants to align project activities to their SCIP, so it is a best practice for all applicants to describe how proposed projects align with the needs identified in their strategic plans and performance measures.
3.2 Coordinate with Statewide Emergency Communications Leaders To ensure projects are compatible, interoperable, and support statewide plans and strategies, grant applicants should consult the appropriate statewide leaders or entities prior to developing projects for funding. Some federal programs require or encourage coordination of grant submissions with the SWIC and other statewide leaders (e.g., Emergency Management Agency Director, 911 Administrator, Homeland Security Director, Statewide/Regional Communications System Owners/Operators), as well as require applicants to attach a letter of project support from these leaders. Grant applicants should also consult the SIGB or SIEC, as they serve as the primary steering group for the statewide interoperability strategy. Additionally, grant recipients should consult any subject matter experts serving on governance bodies such as broadband experts, chief information officers, representatives from utilities, or legal and financial experts when developing proposals.
3.3 Recognize Changes in the Emergency Communications Ecosystem Grant recipients should understand the more complex and interdependent ecosystem that has emerged due to evolving technologies, risks, stakeholders, and policies impacting many facets of emergency communications including planning, operations, equipment, and training. Key issues impacting federal emergency communications grants include developments in technologies, national policies and laws, spectrum issues, and the reduction and streamlining of grant programs.
Developments in Technologies
Traditionally, LMR systems are the primary capabilities the public safety community used to achieve mission critical voice communications in the field. To augment their LMR capabilities, emergency response agencies are increasingly using Broadband Push-To-Talk voice services available over the NPSBN/FirstNet, and in some cases, commercial broadband public safety services. Internet Protocol (IP)- enabled networks stand to transform how public officials will communicate by providing unparalleled connectivity and bandwidth that enhance situational awareness and information sharing. Communication network modernization is also occurring with the migration of the nation’s 911 infrastructure to NG911, an IP-based model that will enable increased resilience and redundancy in call routing and information sharing. Also, the deployment of a nationwide public alerting system is using traditional media, such as broadcast and cable, as well as IP-based technologies to transmit alerts to mobile phones and other devices.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 19 Public safety IT systems include sensitive data, such as law enforcement information and electronic medical records, which create new security considerations including storage, access, and authentication.
While electronic access to this data enables more effective response operations, it also poses risks including system failures, lack of user or server connections, ineffective or lack of cyber protections, and vulnerability to attacks by malicious hackers. As the community adopts new technologies and applications, it too must increase understanding and planning for the security risks associated with the increasingly-interconnected architecture and vast complexity of IP-based technologies and services.
To protect against phishing, malware, and other potential threats, a multifaceted cybersecurity risk management approach is needed to ensure the confidentiality, availability, and integrity of the communication system and sensitive data. For example, comprehensive cybersecurity training and education on the proper use and security of devices, services, and applications will be required. In addition, planning must match user needs against bandwidth requirements and the options for network resiliency. Critical cybersecurity controls such as phishing resistant MFA should also be implemented.
Assessments of cyber risks and strategies to mitigate vulnerabilities must be conducted before the deployment of IP-based networks occurs to ensure mission requirements can be met securely and reliably from the outset.
The convergence of technologies and risks in this evolving ecosystem shows the importance of ongoing planning for emergency communications. Grant recipients and their respective governance and leadership must consider all components that support LMR, broadband, cyber, and IP-based technologies as they update strategic plans and common operational protocols that ensure the operability, interoperability, and continuity of emergency communications systems. Additionally, grant recipients should prioritize maintaining LMR systems and other emergency communications capabilities gained in recent years as they gradually adopt and deploy IP-based technologies and services.
National Policies and Laws
In addition to technological developments, the nation is evolving its approach to preparing for and responding to incidents through the National Preparedness Goal, which promotes a shared responsibility across all levels of government, private and nonprofit sectors, and the general public. Applicable plans, laws, and policies include the Infrastructure Investment and Jobs Act, American Rescue Plan Act, Coronavirus Aid, Relief, and Economic Security (CARES) Act, NECP, the Middle Class Tax Relief and Job Creation Act of 2012 (Public Law 112-96; 47 U.S.C. 1401), the IPAWS Modernization Act of 2015, and the Presidential Policy Directive (PPD)–8, National Preparedness:
• Infrastructure Investment and Jobs Act. Signed into law on November 15, 2021, the Infrastructure Investment and Jobs Act provided over $1.2 trillion in broadband, public works, and transportation infrastructure funding. Specifically, the Act authorized several new grant programs and policies that may be relevant to the public safety community. Grant applicants are encouraged to review these federal financial assistance opportunities for applicability to emergency communications projects, as they become available.30
• American Rescue Plan Act. Signed into law on March 11, 2021, the American Rescue Plan Act provided funding for state, local, tribal, and territorial governments to mitigate the effects of the COVID-19 pandemic.31 Additional appropriations included supplemental funding for existing federal emergency management grant programs. Grant applicants are encouraged to review funding opportunities for emergency communications projects, as authorized through this Act.
30 For more information on the Infrastructure Investment and Jobs Act, see: congress.gov/bill/117th-congress/house-bill/3684. 31 For more information on the American Rescue Plan Act, see: congress.gov/bill/117th-congress/house-bill/1319.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 20 • CARES Act. Signed into law on March 27, 2020, the CARES Act provided emergency assistance and healthcare response for individuals, families, and businesses affected by the 2020 public health crisis.32 The Act included over $2.2 trillion in economic relief, split across the public and private sectors. Division B: Emergency Appropriations for Coronavirus Health Response and Agency Operations, provided supplemental funding to federal departments and agencies, as well as additional funding allocated to existing federal grant programs. Grant applicants are encouraged to review the federal financial assistance opportunities available through the Act to support emergency communications investments.
• National Emergency Communications Plan. The NECP establishes a vision to enable the nation’s emergency response community to communicate and share information securely across communications technologies in real time, including all levels of government, jurisdictions, disciplines, organizations, and citizens impacted by any threats or hazards event. Its focus is to ensure the public safety community and citizens are collectively driving toward a common end- state for communications. The NECP provides guidance to those that plan for, coordinate, maintain, invest in, and use communications to support response and recovery operations.33 Grant recipients should read the NECP to understand the national emergency communications strategy, and to ensure proposed investments support the goals, objectives, and recommendations of the Plan. In addition, grant applicants are encouraged to review NECP supplemental materials such as assessments, annual progress reports, and implementation documents. Additionally, grant applicants should work with the SWIC to ensure alignment of the SCIP and other emergency communications plans to the NECP.
• Middle Class Tax Relief and Job Creation Act of 2012. Signed into law on February 22, 2012, the Act established the FirstNet Authority, an independent authority within NTIA, and directed it to ensure the establishment of the NPSBN.34 The Act reallocated and designated 700 MHz D Block spectrum for public safety use, and instructed the FCC to grant an exclusive license to the FirstNet Authority for the D Block spectrum and adjacent existing public safety broadband spectrum (collectively referred to as Band 14).35 The FirstNet Authority engaged in comprehensive outreach and consultation with public safety entities in federal, state, local, tribal, and territory jurisdictions to plan for the network. The FirstNet Authority actively sought input from federal, tribal, state, and territorial governments; paid and volunteer first responders and other public safety personnel; industry; and other stakeholders on what the network should offer, how it should function, and how to meet the technical objectives of the network. The FirstNet Authority conducted an open, competitive procurement for an industry partner to deploy the network. The agency selected AT&T as its network contractor and launched network deployment in 2018 after consulting with all states, territories, and Washington, D.C. to develop network plans. The resulting FirstNet network solution is operational in all 56 states, territories, and Washington, D.C., and is based on a single, national network architecture that evolves with technological advances and consists of a physical, separate evolved packet core (EPC) network and radio access networks (RANs).36 FirstNet competes as a services-based business where eligible users choose to subscribe to a level of service that aligns with their mission needs. The principal responsibilities of federal, state, local, tribal, and territorial public safety entities are the acquisition of authorized and compatible
32 For more information on the CARES Act, see: congress.gov/bill/116th-congress/house-bill/748. 33 For more information on the NECP, see: cisa.gov/necp. 34 For more information on the Act, see: ntia.doc.gov/category/public-safety. 35 47 U.S.C.§ 1421(a).
36 For more information on the FirstNet Core, see:
about.att.com/story/nationwide_launch_of_firstnet_dedicated_core_network.html.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 21 devices and applications that operate on the network and determination of connectivity of proprietary databases that could support public safety operations. Infrastructure and maintenance costs of FirstNet-owned EPC, RANs, and NPSBN deployable assets (e.g., COWs, Cell on Light Trucks [COLTs], Satellite COLTs, Flying Cell on Wings, aerostat) will be borne by the FirstNet Authority and its NPSBN contractor.
At this time, only after receiving further guidance from the FirstNet Authority on the technical requirements of and compatibility with the network should grant recipients acquire long-term evolution (LTE) devices or network equipment.37 Additional outreach and planning activities (e.g., community engagement and education, documenting user needs) that support the arrival of public safety broadband technologies should be done in consultation with the FirstNet Authority.
Applicants interested in investing federal funds in broadband-related projects should consult with the FirstNet Authority and the federal granting agency to understand all requirements impacting broadband investments. The FirstNet Authority is the sole nationwide licensee for Band 14 spectrum and does not anticipate entering into any other spectrum agreements. Applicants should work closely with the SWIC, statewide emergency communications leaders, and the federal granting agency to ensure projects remain in compliance with programmatic and technical requirements.
In addition to the duties of the FirstNet Authority, the Act also charged NTIA with establishing grant programs to assist state, regional, tribal, and local jurisdictions with planning activities to support the implementation of the NPSBN and improve 911 services. These grants are now closed.
Grant applicants should continue to monitor current federal actions affecting broadband and 911 programs funded through the Act.38
• IPAWS Modernization Act of 2015. Signed into law in April 2016, Public Law 114-143 calls for the modernization of IPAWS to ensure that under all conditions, the President, federal agencies, and state, local, and tribal governments can alert and warn the civilian population in areas endangered by natural disasters, acts of terrorism, and other man-made disasters or threats to public safety.
The Modernization Act requires IPAWS to be designed to adapt to and incorporate future technologies for communicating directly with the public, provide alerts to the largest portion of the affected population feasible, and improve the ability of remote areas to receive alerts; promote local and regional public and private partnerships to enhance community preparedness and response; provide redundant alert mechanisms; and protect individual privacy.39 Additionally, the Modernization Act established the IPAWS Subcommittee to develop and submit recommendations for the National Advisory Council (NAC). The NAC provided a report to the FEMA Administrator in February 2019. The FEMA Administrator’s Response to the NAC was signed in September 2019, prioritizing recommendations, highlighting current plans, and identifying areas where more resources are required.
• PPD–8, National Preparedness. Signed by the President in March 2011, this directive is aimed at strengthening the security and resilience of the United States through systematic preparation for the threats that pose the greatest risk to the security of the nation. It consists of four main components: National Preparedness Goal; National Preparedness System; National
37 For more information on LTE network equipment, see: nist.gov/ctl/pscr/process-document-nist-list-certified-devices. 38 For more information on the 911 Grant Program, visit: 911.gov/project_911grantprogram.html. 39 For more information on the IPAWS Modernization Act, see: congress.gov/bill/114th-congress/senate-bill/1180.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 22 Preparedness Report; and the Campaign to Build and Sustain Preparedness. The directive emphasizes national preparedness is the shared responsibility of the whole community.40 As a result, many grants that fund emergency communications now require grant applicants to engage the whole community in planning. FY 2022 federal grant programs require applicants to demonstrate how a whole community approach to project planning was used and explain how core capabilities were improved. Applicants are encouraged to engage their community early in project development to ensure they can provide evidence of community involvement in applications, which in turn improves preparedness and response.
Spectrum Issues
The FCC authorizes state, local, and some tribal public safety entities to use specific spectrum bands to operate emergency communications systems. By statute, the FirstNet Authority holds the FCC license for the 700 MHz public safety broadband spectrum to deploy the NPSBN. Grant applicants seeking federal funds for emergency communications projects should be aware of initiatives and actions affecting spectrum use for public safety entities. Applicants should review the following spectrum issues, confirm their proposed projects are consistent with regulatory requirements and initiatives, and consult the appropriate coordinator (e.g., Frequency Coordinator,41 SWIC), the FCC, and/or the FirstNet Authority early in the project development process to determine whether the grant applicant will have authority to operate in the desired spectrum, once complete. Key spectrum-related issues are described below:
• Very High Frequency (VHF)/Ultra-High Frequency (UHF) Narrowbanding.42 The FCC mandated all non-federal LMR licensees operating between 150 and 512 MHz and using 25 kilohertz (kHz) bandwidth voice channels to migrate to 12.5 kHz bandwidth or equivalent efficiency by January 1, 2013. Grant applicants should ensure existing LMR systems are compliant with these narrowbanding requirements and consult with the SWIC and the FCC on any non-compliance issues to avoid admonishment, monetary fines, or loss of license. Grant applicants that have not complied with the FCC narrowband mandate may face limitations on their eligibility for federal funding.43
• 4.9 gigahertz (GHz). The FCC mandated that all incumbent licensees operating in the 4.9 GHz band as of January 18, 2023, submit granular technical data on their existing operations into the FCC’s Universal Licensing System (ULS). Licensees are given at least one year from the publication date of the FCC’s order in the Federal Register to submit the data.44 In general, grant applicants should consult with the regulatory agency and appropriate state-level points of contact when developing public safety projects to ensure entities are in compliance with federal spectrum initiatives and regulations, and projects will have authority to operate in the designated spectrum.45 To
40 For more information on PPD-8, see: dhs.gov/presidential-policy-directive-8-national-preparedness. 41 For more information on frequency coordinators, see: fcc.gov/general/public-safety-frequency-coordinators. 42 For more information on narrowbanding, see: fcc.gov/narrowbanding-overview. 43 See “Guidance for licensees for FCC’s narrowband operation requirement” at: fcc.gov/document/guidance-licensees- fccs-narrowband-operation-requirement. Grant applicants with questions on narrowbanding may contact the FCC at ULS support: 1-877-480-3201.
44 For more information on the FCC updates to 4.9 GHz band rules, see: fcc.gov/document/fcc-updates-49-ghz- band-rules-seeks-further-comment.
45 Contact the FCC’s Public Safety Homeland Security Bureau at [email protected] and the FirstNet Authority at [email protected].
FY 2023 SAFECOM Guidance on Emergency Communications Grants 23 assist state, local, tribal, and territorial levels of government, many grants that fund interoperable communications equipment allow grant funds to be used for spectrum-related activities,46 including:
• Identification, assessment, coordination, and licensing of new spectrum resources • Development and execution of spectrum migration plans • Assessment of current communications assets, services, and capabilities • Training associated with systems migration to new spectrum allocations • Replacement of non-compliant communications equipment and services • Acquiring/upgrading tower sites and facilities needed to comply with spectrum migration47 • Reprogramming existing equipment to comply with spectrum migration Reduction and Streamlining of Grants
Over the past decade, the fluctuation of grants funding emergency communications (e.g., elimination of dedicated funding streams in favor of consolidated programs, required spending on federal priorities) has increased competition for funding. Understanding that grants are in high demand, emergency communications leaders and agencies are strongly encouraged to work with other jurisdictions and disciplines to coordinate resources and projects, facilitate asset-sharing, and avoid duplication of activities. Additionally, when developing funding proposals, grant applicants are advised to work with state-level planning offices to incorporate emergency communications needs into statewide plans and to ensure communications projects are prioritized by states and territories. Applicants are encouraged to:
• Coordinate projects with the SWIC, neighboring jurisdictions, and multiple agencies • Develop regional, multi-jurisdictional, multi-disciplinary, and cross-border projects to not only promote greater interoperability across agencies, but also to pool grant resources, facilitate asset- sharing, and eliminate duplicate purchases48
• Leverage assessment data to develop strong statements of need that can be shared with state leaders responsible for prioritizing projects for funding49 • Identify additional sources of funding for emergency communications improvements50
3.4 Understand Federal Grant Requirements and Restrictions Federal Grant Requirements
Emergency communications grants are administered by numerous federal agencies in accordance with various statutory, programmatic, and departmental requirements. Grant applicants are encouraged to carefully review grant guidance to ensure applications meet all grant requirements, including:
• Program goals
46 While federal licensing fees are generally not allowable under most federal grants, public safety entities are often exempt from FCC filing fees. For more information, see: fcc.gov/licensing-databases/fees. 47 Consult the grant officer as some federal grants do not allow construction or ground-disturbing activities. 48 Applicants should work with SWICs and the FCC to ensure projects do not interfere with the 800 MHz rebanding effort occurring along the U.S.-Canada and U.S.-Mexico borders. For more information on the rebanding process, see: fcc.gov/general/800-mhz-spectrum. Federal funding may not be allocated to international entities, unless authorized by law, and placement of federally-funded equipment on international property may be subject to special terms and conditions. Recipients should work closely with grant officers on these projects. 49 Applicants are encouraged to use AARs and similar assessments to demonstrate where there are gaps in emergency communications, and to appeal to state-level leaders for funding to address those gaps. 50 For additional sources of funding, see the List of Federal Financial Assistance Programs Funding for Emergency Communications or the Funding Mechanisms Guide for Public Safety Communications, posted to the SAFECOM website at: cisa.gov/safecom/funding.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 24 • Eligibility requirements
• Application requirements (e.g., due dates, submission dates, matching requirements) • Allowable costs and restrictions on allowable costs
• Accredited technical standards preferred, required, or allowed under each program, if applicable • Reporting requirements
Additionally, recipients should be aware of common requirements for grants funding emergency communications,51 including:
• Environmental Planning and Historic Preservation (EHP) Compliance. Recipients must comply with all applicable EHP laws, regulations, Executive Orders, and agency guidance.
Recipients are strongly encouraged to discuss projects with federal grant program officers to understand EHP restrictions, requirements, and review processes prior to starting the project. • NIMS. Homeland Security Presidential Directive 5 (HSPD-5), Management of Domestic Incidents, requires the adoption of NIMS to strengthen and standardize preparedness response, and to receive preparedness grant funding. State, local, tribal, and territorial recipients should ensure that they meet, or are working to meet, the most recent NIMS implementation and reporting requirements as described in the applicable Notice of Funding Opportunity and NIMS Implementation Objectives published by FEMA.52
• Stakeholder Preparedness Review (SPR) Submittal. The Stakeholder Preparedness Review replaces the State Preparedness Report. Section 652(c) of the Post-Katrina Emergency Management Reform Act of 2006 (Public Law 109-295), 6 U.S.C. §752(c), and requires any state, territory, urban area, or tribe that receives federal preparedness assistance administered by DHS to submit an annual SPR to FEMA. The SPR is a self-assessment of a jurisdiction’s current capability levels against the targets identified in the THIRA. Jurisdictions use the SPR to estimate their current preparedness capabilities and compare those to their THIRA results to identify gaps. They also use the SPR to identify potential approaches for addressing those capability gaps. • Threat and Hazard Identification and Risk Assessment. Since 2019, DHS/FEMA has required Homeland Security Grant Program (State Homeland Security Program and Urban Area Security Initiative), Tribal Homeland Security Grant Program, and Emergency Management Performance Grant Program recipients to complete a THIRA report every three years (previously, a THIRA was required annually). Grant recipients are also required to submit an SPR annually.
Communities use the THIRA process to better understand their risks and determine the level of capabilities needed to address those risks. Through the THIRA process, communities set goals for building and sustaining their capabilities. It results in whole community-informed capability targets and resource requirements necessary to address anticipated and unanticipated risks.53 Developing and updating an effective THIRA/SPR requires active involvement from the whole community. This can result in more complete, accurate, and actionable assessments and planning efforts. Therefore, recipients should actively engage a wide variety of stakeholders in the
51 While these are common requirements that affect many emergency communications grants, they may not apply to all grants; applicants should consult their grant guidance and grant officer for specific questions on grant requirements. 52 The NIMS Implementation Objectives reflect the concepts and principles contained in NIMS and clarify the NIMS implementation requirements in FEMA preparedness grant Notices of Funding Opportunity. As recipients and subrecipients of federal preparedness (non-disaster) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. Additional NIMS implementation guidance can be found at: fema.gov/emergency-managers/nims/implementation-training. 53 For additional information on the THIRA process, see: fema.gov/emergency-managers/risk-management/risk- capability-assessment.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 25 THIRA/SPR process. Emergency communications subject matter experts should be involved in the THIRA/SPR process and provide input as appropriate, including but not exclusive to the potential impacts of threats and hazards on emergency communications. For additional information, refer to each grant program’s Notice of Funding Opportunity or the Preparedness Grants Manual54 for reporting requirements, including the THIRA/SPR. Grant recipients participating in risk assessments are strongly encouraged to:
o Analyze communications gaps, excesses, and deficiencies within the state regularly o Utilize THIRA to identify communications-specific threats and hazards and set core capability targets identified in the National Preparedness Goal o Ensure THIRA updates include outcomes as stated in program guidance o Assist with the development of the SPR
• Nationwide Cybersecurity Review. Recipients and subrecipients of State Homeland Security Program and Urban Area Security Initiative awards are required to complete the Nationwide Cybersecurity Review, enabling agencies to benchmark and measure progress of improving their cybersecurity posture. The Chief Information Officer (CIO), Chief Information Security Officer (CISO), or equivalent of each recipient and subrecipient should complete the Nationwide Cybersecurity Review. If there is no CIO, CISO, or equivalent, the most senior cybersecurity professional should complete the assessment.55
• Reporting. Federal agencies are improving how they demonstrate impact and effectiveness of federal grant programs. As a result, recipients may be required to report project-level information, performance measurement data, detailed financial reports, and progress reports.
Recipients are encouraged to use existing documentation and data (e.g., SCIPs, AARs, assessments) to measure performance and demonstrate how gaps in capabilities will be/were addressed through federal grant funding. Recipients are strongly encouraged to:
o Develop performance measures at the start of the grant o Include interval performance measures and milestones to gauge project progress o Track performance and report the impact of funds on emergency communications o Include metrics on improvements in interval and final grant reports Recipients should ensure all grant requirements are met and that they can implement the project as proposed and within the grant period of performance; properly manage grant funding; fulfill grant reporting requirements; and comply with federal grant restrictions.
Federal Grant Restrictions
Recipients should be aware of common restrictions on federal grant funding and should consult the grant officer with any questions, particularly as requirements vary by program. • Commingling or Duplication of Funds. Since multiple agencies are involved in communications projects, projects are often funded with multiple grant programs, creating a risk of commingling and duplication. Recipients must ensure federal funds are used for purposes that were proposed and approved and have financial systems in place to properly manage grant funds. Recipients cannot commingle federal sources of funding. The accounting systems of all recipients and sub-recipients must ensure federal funds are not commingled with funds from other awards or federal agencies.
54 DHS/FEMA developed a Preparedness Grants Manual to guide grant applicants and recipients on how to manage their grants and other resources, available at: fema.gov/grants/preparedness/manual. 55 The Nationwide Cybersecurity Review is completed on the Multi-State Information Sharing and Analysis Center.
For more information, visit cisecurity.org/ms-isac/services/ncsr or email [email protected].
FY 2023 SAFECOM Guidance on Emergency Communications Grants 26 • Cost Sharing/Matching Funds. Recipients must meet all matching requirements prescribed by the grant. If matching funds are required, grant recipients must provide matching funds or in-kind goods and services that must be:
Allowable under the program and associated with the investment Applied only to one federal grant program
Valued at a cost that is verifiable and reasonable
Contributed from non-federal sources
Treated as part of the grant budget
Documented the same way as federal funds in a formal accounting system • Funding and Sustaining Personnel. In general, the use of federal grant funding to pay for staff regular time is considered personnel and may be allowable. Recipients are encouraged to refer to the applicable grant program guidance and develop a plan to sustain critical communications positions in the event federal funds are not available to support the position in future years. • Supplanting. Most grant funds cannot supplant (or replace) funds previously funded or budgeted for the same purpose. Most federal grants funding emergency communications restrict recipients from hiring personnel for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities. Review applicable grant program guidance for specific rules on supplanting.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 27 4. Eligible Activities
The following section details eligible emergency communications activities commonly funded by federal grants, including Personnel and the four common cost categories: Planning and Organization, Training, Exercises, and Equipment.56 Grant applicants seeking to improve interoperable emergency communications are encouraged to allocate grant funding to these activities but must consult the specific grant guidance for allowable costs.
The intent of this section is to raise awareness as to the types of costs that can be covered under most federal grants funding emergency communications. However, applicants should note all activities listed in this section may not be eligible for funding under all grant programs. Applicants should read each grant program’s guidance and related information carefully to ensure activities proposed are eligible under the program before developing or submitting applications.
4.1 Personnel
Many federal grants allow recipients to hire full- or part-time staff, contractor staff, or consultants to assist with emergency communications planning, training, and exercise activities.57 Allocating funding toward personnel helps ensure grants and grant-funded projects are managed, state-level planning meetings are attended, emergency communications needs are represented, and plans are completed.
Personnel can be hired to develop and conduct training and exercises, and to complete AARs.
Eligible Personnel Costs
• Personnel to assist with planning. Full- or part-time staff, contractors, or consultants may be hired to support emergency communications planning activities, including:
Statewide, local, tribal, territorial, or regional interoperability coordinator(s) Project manager(s)
Program director(s)
Emergency communications specialists (e.g., frequency planners, radio technicians, cybersecurity technologists)
• Personnel to assist with training. Full- or part-time staff, contractors, or consultants may be hired to support emergency communications training activities, including personnel who can:
Assess training needs
Develop training curriculum
Train the trainers
Train emergency responders
Promote cross-training and continuous training to address changes in the workforce Ensure personnel are proficient in using existing and new technologies Develop exercises to test training
Support training conferences
Develop and implement a curriculum covering technical issues raised by broadband and other technologies
Address continuity of operations planning requirements
56 The general cost categories for grants include: Planning, Organization, Equipment, Training, and Exercises (POETE). Some grants do not provide a category for Organizational costs, but allow organizational costs to be included under the Planning cost category. Applicants should be aware that emergency communications personnel, planning, and organizational costs are often allowable under the Planning cost category for grants. 57 Typically, the use of federal grant funding to pay for staff or contractor regular time is considered personnel.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 28 Serve as subject matter experts (e.g., environmental engineers, grant administrators, financial analysts, accountants, attorneys)
• Personnel to assist with exercises. Full- or part-time staff, contractors, or consultants may be hired to support exercises. This includes personnel who will:
Assess immediate needs and future requirements
Plan and conduct in-person or virtual exercises in accordance with NIMS and the Homeland Security Exercise and Evaluation Program (HSEEP) Implement NECP goals, objectives, and success indicators Lead After Action Conferences and prepare AARs
Additional Requirements and Recommendations for Personnel Activities Grant recipients should be aware of common restrictions on federal grant funding for emergency communications personnel.
• Sustaining Grant-Funded Positions. Recipients should ensure funding for critical communications positions is sustained after the grant period of performance has ended and core capabilities are maintained.
• Overtime. Some federal grants permit the use of funds for overtime related to training. These expenses are limited to additional costs that result from personnel working more than 40 hours per week as a direct result of their attendance at approved activities (e.g., emergency communications training and exercises).
• Backfill-related Overtime. Some federal grants allow funds to be used for backfill-related overtime. These expenses are limited to personnel who work overtime to perform duties of other personnel who are temporarily assigned to grant-funded activities (e.g., to attend approved, grant- funded emergency communications training or exercises). These costs are calculated by subtracting the non-overtime compensation, including fringe benefits of the temporarily assigned personnel, from the total costs for backfilling the position. Recipients should ensure grant funds can be used for overtime and consult their grant officer to correctly calculate overtime expenses.
4.2 Planning and Organization
Allocating grant funding for planning helps entities identify and prioritize needs, define capabilities, update preparedness strategies, refine communications plans, identify where resources are needed most, and deliver preparedness programs across multiple jurisdictions, disciplines, and levels of government.
Grant recipients are strongly encouraged to assess needs before planning projects, and to carefully plan projects before purchasing equipment.
Eligible Planning and Organization Costs
• Development or enhancement of interoperable emergency communications plans. Grant funds may be used to develop or enhance interoperable communications plans and align plans to the strategic goals, objectives, and recommendations set forth in the NECP. Examples of emergency communications plans include:
Plans to implement and measure the NECP
SCIPs
TICPs, FEMA RECPs, or other tactical or regional communications plans Disaster emergency communications plans
FY 2023 SAFECOM Guidance on Emergency Communications Grants 29 Communications system lifecycle planning, including migration planning and use of the Emergency Communications System Lifecycle Planning Guide58 Plans for narrowband conversion and compliance
Plans for broadband integration with broader communications capabilities Planning for SCSI projects to share communications and infrastructure resources with partners Stakeholder statements of need and concept of operations (CONOPS) As-is and proposed enterprise architectures
System engineering requirements
Acquisition planning for the procurement of systems or equipment Planning for continuity of communications, including backup solutions, if primary systems or equipment fail (e.g., contingency and strategic planning) Planning for training and exercises
Identifying physical and cyber security measures for communications networks and systems Planning activities for the transition of 911 to NG911 (e.g., NG911 Self-Assessment Tool59) Planning for transitions to comprehensive AES encryption implementation for LMR services Planning for cross jurisdictional alerting
Plans for issuing alerts, warnings, and notifications (e.g., Wireless Emergency Alerts) • Engagement of federal, state, local, tribal, territorial, private, and public sector entities in planning. Many federal grants require engagement of the whole community in planning to adequately assess and address needs and to implement the National Preparedness System. The National Preparedness Goal and the National Preparedness System concepts, as described in PPD– 8, recognize the development and sustainment of core capabilities are not exclusive to any single level of government or organization, but rather require combined efforts of the whole community.60 Coordination and planning benefit from including a variety of traditional and non-traditional entities supporting public safety, such as tribes, medical facilities, alerting authorities, nongovernmental organizations, public works, utilities, forestry services, military, private sector, and the American Red Cross. Including these under-represented organizations or sectors will assist with the development of strategic, operational, and contingency plans. As a result, the following activities are often supported through federal grants funding emergency communications:
Conducting conferences and workshops to receive input on plans Meeting expenses related to planning
Public education and outreach on planning
Travel and supplies related to planning or coordination meetings Attending planning or educational meetings on emergency communications • Establishment or enhancement of interoperability governing bodies. Strong governance structures and leadership are essential to effective decision-making, coordination, planning, and managing of emergency communications initiatives. Grant funds may be used to establish, update, or enhance statewide, regional (e.g., multi-state, multi-urban area), or local governing bodies. Eligible activities may include:
Developing MOUs and Memoranda of Agreement (MOA) to facilitate participation in planning and governance activities
58 For guidance on emergency communications system lifecycle planning, see: cisa.gov/safecom/funding. 59 SAFECOM/NCSWIC developed a dynamic NG911 Self-Assessment Tool for use by state, regional, and local emergency communications centers (ECCs)/public safety answering points (PSAPs) personnel. For more information or to download this tool, see: 911.gov/project_ng911tool.html. 60 Core capabilities include Prevention, Protection, Mitigation, Response, and Recovery, and are further defined in the National Preparedness Goal on the FEMA website at: fema.gov/emergency-managers/national-preparedness/goal.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 30 Meeting or workshop expenses associated with receiving input on plans or supporting a funded activity
Increasing participation in governing bodies through public education and outreach Travel and supplies for governing body meetings
Attending planning or educational meetings on emergency communications Developing SOPs or templates to provide access to and use of resources Continued broadband planning and coordination efforts Ensuring coordination between traditional governance programs and other decision- making offices, bodies, and individuals that oversee new technology deployments in states, territories, localities, and tribes
• Development of emergency communications assessments and inventories. Grant recipients are encouraged to allocate grant funding to planning activities, such as assessments of:
Technology capabilities, infrastructure, and equipment (e.g., updating the CASM Tool, creating LMR and LTE fleet maps, NG911 Self-Assessment Tool) SOPs, coordination of interoperability channels, and regional response plans Training and exercises
Spectrum regulatory compliance assessments and system coverage analysis Cost maintenance modeling for equipment and usage
Implementation and maintenance of identity, credential, and access management (ICAM) capabilities, including phishing resistant MFA solutions • Development or enhancement of interoperable emergency communications protocols. Funds may be used to enhance multi-jurisdictional and multi-disciplinary common planning and operational protocols, including the development or update of:
SOPs, shared channels and talk groups, and the elimination of coded substitutions (i.e., developing and implementing common language protocols)
Partnership agreements, MOUs, and cross-state border agreements Plans to integrate SOPs across disciplines, jurisdictions, levels of government, and with private entities, as appropriate, and into mutual aid agreements Response plans to specific disaster or emergency scenarios Field Operations Guides and templates for Field Operations Guides • Planning activities for emerging technologies. Grant funds may be used to plan for the operationalization of NPSBN/FirstNet, other public safety broadband capabilities, and technologies.
Activities may include:
Defining users’ immediate needs and future requirements Updating SCIPs to incorporate high-level goals and initiatives Developing plans to optimize broadband use in support of public safety operations Continued collection of broadband usage data, use cases, and needs analyses Developing agreed-upon standards for the use of common applications to promote enhanced level of situational awareness
Preliminary planning for implementation, operations, policy, acquisition, and tactical integration of technologies
Conducting assessments of cyber risks and strategies to mitigate vulnerabilities before the deployment of IP-based networks
FY 2023 SAFECOM Guidance on Emergency Communications Grants 31 Implementing ICAM solutions to address growing data management, interoperability, and cybersecurity challenges, with consideration for federated solutions, such as the Trustmark Framework61
Collecting and reporting granular 4.9 GHz technical and licensing data per the FCC’s rules • Use of priority service programs. Grant funds may be used to assist priority service planning and engineering, and to facilitate participation in federal priority service programs,62 including:
Government Emergency Telecommunications Service (GETS) Wireless Priority Service (WPS)
Telecommunications Service Priority (TSP)
• Use of alerts, warnings, and notifications. Grant funds may be used to acquire mass notification alert systems that include IPAWS63:
Emergency Alert System (EAS)
Wireless Emergency Alerts (WEA)
National Oceanic and Atmospheric Administration (NOAA) Non-Weather Emergency Messages via National Weather Service All Hazards Weather Radio Internet-based services
Unique and local alerting systems
In addition to distributing AWNs through EAS, WEA, and NOAA Weather Radio, IPAWS supports Internet-based products and services that redistribute alerts via the IPAWS All Hazards Information Feed. Examples include digital signage, wireless device applications, desktop alerting, assistive devices, and siren systems.
Additional Requirements and Recommendations for Planning Activities Additional activities in support of federal planning initiatives include updating and submitting a SPR, THIRA, and SCIP, as well as demonstrating NIMS implementation.64
4.3 Training
Eligible Training Costs
Recipients are encouraged to allocate federal grant funds to support emergency communications and incident response training. Communications-specific training activities should be incorporated into statewide training and exercise plans and be reflected in SCIPs. Recipients should continue to train and improve efficiency on LMR systems as it is necessary to ensure public safety officials can achieve mission critical voice communications. As public safety agencies integrate other communications technologies into operations, the need for training becomes even more critical to ensure response personnel are maximizing all capabilities. Training projects should be consistent with the NECP priorities and address gaps identified through SCIPs, TICPs, AARs, and other assessments. Training reinforces SOPs and proper equipment use and proficiency by personnel. Grant recipients are strongly encouraged to include training in projects that involve new SOPs or equipment purchases.
61 For more information on ICAM and the Trustmark Framework, see: cisa.gov/safecom/icam-resources. 62 For more information on priority services, see: cisa.gov/priority-telecommunications-services. 63 For more information on IPAWS, see: fema.gov/emergency-managers/practitioners/integrated-public-alert- warning-system.
64 For more information on the Preparedness Grants Manual, see: fema.gov/grants/preparedness/manual.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 32 • Development, delivery, attendance, and evaluation of training.65 Grant funds may be used to plan, attend, and conduct communications-specific training workshops or meetings to include costs related to planning, meeting space, and other logistics costs, facilitation, travel, and training development. Communications-specific training should focus on the following:
Use of SOPs and other established operational protocols (e.g., common language) NIMS/ICS training
Any ICS Communications Unit position-specific training (e.g., COML, COMT, ITSL,
RADO, INTD, AUXCOMM, INCM)
Information for elected officials and decision-makers to understand public safety communications and requirements
Use of equipment and advanced data capabilities (e.g., voice, video, text) Disaster preparedness
Peer-to-peer training
Regional (e.g., multi-state, multi-urban area) operations Population or updates of CASM Tool
Integration of technologies (e.g., NG911, broadband, AWN capabilities, 5G) into public safety operations
Cybersecurity and physical security education
• Expenses related to training. Many federal grants allow expenses related to training, including:
Travel
Public education and outreach on training opportunities Supplies related to training (e.g., signs, badges, materials) Software programs and applications to enable remote learning Additional Requirements and Recommendations for Training Activities Recipients should target funding toward certified emergency communications activities, including:
• NIMS Implementation.66 State, local, tribal, and territorial entities must adopt NIMS as a condition of many federal grants. Given that implementation of NIMS requires certain training courses, recipients may target funding towards NIMS-compliant training. • Completion of Communications Unit Leader and other ICS Communications Unit Training.
CISA, in partnership with FEMA’s National Integration Center, the DHS Science and Technology Directorate, and practitioners from across the country, developed performance and training standards for the All-Hazards COML and formulated a curriculum and comprehensive All-Hazards COML Course. Recipients should target grant funding toward this training to improve on-site communications during emergencies, as well as satisfy NIMS training requirements. • Recommended 911 Minimum Training for Telecommunicators. The National 911 Program facilitated a project to establish universally accepted minimum training guidelines to be used for aspiring and current 911 telecommunicators, and to provide the foundation for ongoing professional
65 DHS training catalogs are available at: dhs.gov/training-technical-assistance. CISA Service Catalog is available at: cisa.gov/publication/cisa-services-catalog. The federal-sponsored and state-sponsored course catalogs can be found at: firstrespondertraining.gov/frts/.
66 NIMS is a national framework for response that requires state, local, tribal, and territorial stakeholders to adopt a national ICS, complete certified training, and integrate the framework into state and local protocols. For more information on NIMS training, see: fema.gov/emergency-managers/nims.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 33 development. The Recommended Minimum Training Guidelines identify the minimum topics to be included in any telecommunicator training program.
4.4 Exercises
Exercises should be used to demonstrate and validate skills learned in training and to identify gaps in capabilities. To the extent possible, exercises should include participants from multiple jurisdictions, disciplines, and levels of government and include emergency management, emergency medical services, fire services, law enforcement, public safety telecommunicators, interoperability coordinators, key information technology and cybersecurity personnel, public health officials, hospital officials, officials from colleges and universities, and other disciplines and private sector entities, as appropriate. Findings from exercises can be used to update programs to address gaps in emergency communications and emerging technologies, policies, and partners. Recipients are encouraged to increase awareness and availability of emergency communications exercise opportunities across all levels of government.
Eligible Exercise Costs
• Design, development, execution, and evaluation of exercises. Grant funds may be used to design, develop, conduct, and evaluate interoperable emergency communications exercises, including tabletop and functional exercises. Activities should focus on:
Use of new or established operational protocols, SOPs, and equipment Regional (e.g., multi-state, multi-jurisdictional) participation Integration of broadband services, devices, and applications into public safety operations67 • Expenses related to exercises. Many federal grants allow for expenses related to exercises, including:
Meeting expenses for planning or conducting exercises Public education and outreach
Travel and supplies
Additional Requirements and Recommendations for Exercise Activities Recipients should target funding toward federal exercise initiatives, including participation in the communications components of the National Level Exercises and the following:
• Management and execution of exercises in accordance with HSEEP. The HSEEP library provides guidance for exercise design, development, conduct, and evaluation of exercises, as well as sample exercise materials.68
• Implementation of NIMS. HSPD-5 requires all federal departments and agencies to adopt NIMS and use it in their individual incident management programs and activities, including all preparedness grants for state, local, tribal, and territorial recipients. DHS/FEMA recipients should review NIMS implementation criteria at: fema.gov/emergency-managers/nims, and ensure all federally-funded training and exercise activities align with NIMS standards.
67 The FirstNet Authority developed the Broadband Exercise Inject Catalog, providing realistic, consistent, and accurate exercise questions and injects to promote integrating wireless broadband capabilities into public safety training opportunities. The catalog is compatible with HSEEP Master Scenario Events List templates, easily searchable, and can be used for both discussion-based and operations-based exercises. Email the FirstNet Authority at [email protected] to receive the latest version of the Broadband Exercise Inject Catalog. 68 HSEEP resources are available at: fema.gov/emergency-managers/national-preparedness/exercises/hseep.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 34 • Coordination with state-level partners. Communications-specific exercise activities should be coordinated with the SIGB or SIEC and SWIC to facilitate participation by appropriate entities (e.g., public safety, utilities, private sector, federal agencies) and resources (e.g., deployable assets).
4.5 Equipment
Emergency management and response providers must regularly maintain communications systems and equipment to ensure effective operation, as well as upgrade their systems when appropriate. Grant recipients are strongly encouraged to invest in accredited technical standards-based equipment that supports statewide plans for improving emergency communications and interoperability among systems.
Eligible Expenses69
• Design, construction,70 implementation, enhancement, replacement, maintenance, and disposition of emergency communications systems and equipment, including:
System engineering requirements
As-is and proposed enterprise architectures
Interoperability feature, function, and capability verification and validation testing plans System lifecycle plans
Migration to approved, open architecture, accredited standards-based technologies (e.g., P25 AES)
Integration of existing capabilities and advanced technologies (e.g., multi-band/multi-mode capable radio, Internet of Things devices, Artificial Intelligence, Machine Intelligence, and data science solutions)
Integration of cybersecurity tools and services (e.g., cyber appliance insertion, taps and probes, firewalls, security information and event management, malware protection, two- factor authentication, web application firewalls, hardware and software implementation) Analysis and monitoring of cybersecurity and physical security risks Project management costs associated with systems and equipment Procurement of technical assistance services for management, implementation, and maintenance of communications systems and equipment
Reimbursement of cellular and satellite user fees when used for backup communications • Use of narrowband equipment. The FCC mandated all non-federal LMR licensees operating between 150 and 174 MHz, 421–470 MHz, and using 25 kHz bandwidth voice channels to migrate to 12.5 kHz bandwidth or equivalent efficiency by January 1, 2013. Recipients should ensure existing systems are compliant and prioritize grant funding, where allowable, toward the following:
Replacing non-compliant equipment
Acquiring/upgrading additional tower sites to maintain coverage after conversion Reprogramming existing equipment to operate in compliance with the FCC’s rule • Site upgrades for emergency communications systems.
Installing or expanding battery backup, generators, solar panels, fuel systems, or grounding systems
69 While activities listed are generally allowable for traditional LMR investments, these activities may be restricted for broadband-related investments. Applicants are strongly encouraged to consult their federal granting agency before developing broadband proposals for funding to determine if those activities are allowable under the grant. 70 Not all federal grants permit construction-related activities. Consult the grant officer to determine whether construction activities are allowed. For grants that support construction-related activities, see applicable EHP requirements to select construction-related activities in this guidance.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 35 Evaluating existing shelter space for new communications equipment Conducting tower loading analysis to determine feasibility of supporting new antennas and equipment
Analyzing site power and grounding systems to determine upgrades needed for additional communications equipment
Analyzing physical site security provisions for upgrades and enhancements (e.g., fences, lighting, alarm systems, surveillance cameras, shelter access hardening, protective measures, monitoring, smart cards, biometrics or keyless entry systems) Evaluating and upgrading Public Safety Answering Points, Emergency Communications Centers, and other 911 infrastructure sites to determine requirements and deploy hardware and software upgrades
• Upgrading connectivity capabilities for emergency communications systems. Documenting existing wireline and wireless backhaul resources to determine used and excess capacity (e.g., connectivity type of either fiber, wireless, or cable at communications sites and existing public safety facilities) Analyzing existing IP backbone to determine gaps in supporting high bandwidth public safety communications systems access, connectivity, and applications Planning and modeling network capacity to ensure backhaul links and aggregation points are appropriately provisioned
Upgrading existing backbone to support advanced Quality of Service capabilities Installing fiber optic connections and microwave connectivity to support enhanced communications, networking capabilities, and redundancy requirements Ensuring robust cybersecurity protocols and physical security protections are in place Assessing and documenting usage of wireless communications capabilities including:
− Mobile data systems facilitated through government-owned or commercial services − Applications
− Devices or platforms supported
− Speed/capacity
− Accessible data
− Redundancy and resiliency of systems or services
− Cost of services and systems
− Existing gaps in capabilities, connectivity, coverage, or application support − Standards-based mission critical solutions, including voice, video, and data • Purchase of:
o Standards-based interoperable communications equipment listed on the Authorized Equipment List (AEL)71
o P25 standards-compliant radio equipment listed on the P25 CAP Approved (Grant- Eligible) Equipment List72
o Broadband user equipment on the NIST List of Certified Devices73 o Broadband applications, services, and equipment that meet appropriate protocols and standards for access to, use of, or compatibility with the NPSBN/FirstNet74
71 For a list of equipment typically allowed by DHS/FEMA grants, see: fema.gov/grants/guidance-tools/authorized- equipment-list. The AEL consists of 21 equipment categories further divided into sub-categories and individual items. 72 For a list of P25 compliant radio equipment, see: dhs.gov/science-and-technology/approved-grant-eligible-equipment. 73 For a list of NIST certified devices, see: nist.gov/ctl/pscr/process-document-nist-list-certified-devices. 74 For a full list of broadband applications, services, and equipment that meet appropriate protocols and standards for access to, use of, or compatibility with the NPSBN/FirstNet, go to FirstNet.com or contact the FirstNet Authority at [email protected].
FY 2023 SAFECOM Guidance on Emergency Communications Grants 36 o Broadband data and voice cache communications capabilities (e.g., in-vehicle routers, Wi-Fi hotspots, private 5G, multi-access edge computing, and other devices) that augment network access and enable operations in areas where network coverage is challenging or there is an increased need for access and throughput Ancillary equipment to facilitate planning and implementation of interoperable public safety grade communications systems and capabilities (e.g., radio frequency and network test equipment including handheld spectrum analyzers, cable testers) Software that is IPAWS-compliant to issue alerts, warnings, and notifications to the public Physical security equipment (e.g., biometric accesses control systems, door locks) Cybersecurity equipment (e.g., cyber appliances, taps and probes, phishing resistant hardware authenticators)
Auxiliary communications equipment (e.g., amateur radios, SHARES radios and gateways, satellite phones)
Additional Requirements and Recommendations for Equipment Purchases Recipients should anticipate additional requirements when purchasing equipment with federal grant funds, including:
• Assignment of full-time Statewide Interoperability Coordinator. DHS/FEMA requires all states and territories that use Homeland Security Grant Program funds to designate a full-time SWIC who has the authority and resources to actively improve interoperability with emergency management and response agencies across all levels of government. Responsibilities include establishing and maintaining statewide plans, policies, and procedures, and coordinating decisions on communications investments funded through federal grants. SWIC status information will be maintained by CISA and verified by FEMA through programmatic monitoring activities for DHS/FEMA grant recipients.
• Coordination with statewide emergency communications leaders. Recipients are strongly encouraged to coordinate with the SWIC, other emergency communications governance bodies and leadership, and appropriate state, local, tribal, and territorial partners to ensure consistency with statewide plans, and compatibility among existing and proposed emergency communications systems. • Compliance with technical standards. DHS/FEMA recipients must ensure all grant-funded equipment complies with technical standards in the SAFECOM Guidance Appendix B, unless otherwise noted in a program’s grant guidance.75 Other federal grants require recipients to explain how their procurements will comply with applicable technical standards for LMR, IP-based systems, and alert and warning systems or provide compelling reasons for using non-standards-based solutions.
Recipients should document all purchases and evidence of compliance with standards-based requirements and verify compliance and interoperability through comprehensive testing.
75 Technical standards and requirements vary among federal grant programs (especially grants funding research and testing). Applicants should review grant guidance to ensure specific standards, terms, and conditions are met.
DHS/FEMA grant recipients must adhere to compliance requirements specified in SAFECOM Guidance Appendix D.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 37 • Compliance with FCC Requirements. Applicants are encouraged to consult with the FCC during application development to determine whether projects will be able to access the appropriate spectrum for planned operations or if a waiver is needed. Contact the FCC at [email protected]. • Compliance with federal EHP laws and policies. Recipients must ensure federally-funded projects comply with relevant EHP laws. Construction and installation of communications towers and other ground-disturbing activities frequently require EHP review. Each agency (and sometimes each program) has its own EHP compliance process. Recipients should discuss proposed construction- related activities with federal granting agencies before beginning work to determine whether proposed activities are allowed, and to determine if proposed activities are subject to EHP review.76 • Adoption of new technologies. Recipients are encouraged to migrate to approved, open architecture, accredited standards-based systems and to integrate existing and other advanced technologies, applications, and software (e.g., multi-band/multi-mode capable radio) to expand disaster communications capabilities among emergency response providers. • Sustainment of current LMR capabilities. Grant recipients are strongly encouraged to sustain current LMR capabilities for mission critical voice capabilities so that systems continue to deliver reliable communications.
• Compliance with federal procurement requirements. As a condition of funding, recipients agree to comply with federal procurement requirements. Recipients are responsible for ensuring open and competitive procurements, subject to the specific programmatic requirements of the grant, and applicable state or local procurement requirements. Recipients are required to have written procurement policies in place, are encouraged to follow the same policies and procedures it uses for procurement from its non-federal funds, and should include any clauses required by the federal government. The following are key procurement tenets when using federal funds:
o Procurement transactions should be conducted to ensure open and free competition o Recipients/sub-recipients may not supplant, or replace, non-federal funds that are already budgeted or funded for a project
o Recipients/sub-recipients should avoid non-competitive practices (e.g., contractors that developed the specifications for a project should be excluded from bidding) • Compliance with covered telecommunications restrictions. Grant recipients should be aware of restrictions on the procurement and use of certain covered telecommunications equipment as a result of the John S. McCain National Defense Authorization Act of 2019 and subsequent legislation. In compliance with the Act, federal grant funds obligated by executive agencies may not be used to procure or obtain, extend or renew, or enter into a contract with certain covered telecommunications providers. The FCC maintains the list of communications equipment and service providers deemed threats to U.S. national security at fcc.gov/supplychain/coveredlist. • Promotion of regional capabilities. Grant recipients should coordinate and collaborate with agencies from neighboring states and regions to facilitate regional operable and interoperable solutions, including shared solutions.
• Development of communications system lifecycle plans. Emergency responders must upgrade and maintain communications systems to ensure effective operation. Some programs require
76 To learn more about federal EHP requirements, see the Council on Environmental Quality Regulations, 40 CFR Part 1500-1508, or the U.S. Department of Energy website at: energy.gov/nepa/downloads/40-cfr-1500-1508-ceq- regulations-implementing-procedural-provisions-nepa-ceq-1978.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 38 recipients to submit system lifecycle plans for equipment purchased with federal grant funds. As a result, recipients should develop a system lifecycle plan for any communications system. • Understanding of cost share. Federal grants often require recipients to provide a percentage of the total costs allocated to equipment. Federal funds cannot be matched with other federal funds, but can be matched through state, local, tribal, or territory cash and in-kind contributions. Match requirements are often waived for ancillary territories. Grant recipients should refer to the applicable grant guidance and consult the awarding agency with any questions regarding cost share requirements.
FY 2023 SAFECOM Guidance on Emergency Communications Grants 39 5. Emergency Communications Systems and Capabilities Emergency communications are accomplished through many technologies, each with varying capabilities, standards, and features. As the public safety community adopts new technologies, LMR will remain an important tool for mission critical voice communications for emergency responders in the field for many years to come. Successful future planning requires a multi-path approach in maintaining LMR systems’ operability and interoperability while planning and deploying new emergency communications technologies. As such, grant recipients should invest in sustaining LMR capabilities while also planning for new technologies.
As LMR and IP-based technologies continue to become integrated with one another, interoperability and cybersecurity become increasingly important. When procuring equipment or software for emergency communications systems, grant recipients are strongly encouraged to purchase standards-based technologies to facilitate interoperability and security among jurisdictions and disciplines at all levels of government. Table 2 provides best practices for promoting interoperability and security in several types of emergency communications capabilities. For detailed standards and resources for each system type, refer to Appendix B.
Table 2. Best Practices when Purchasing Emergency Communications Capabilities Systems Best Practices
Land Mobile
Radio
• Review P25 accredited technical standards for LMR and the P25 Steering Committee Approved List of Standards
• Select P25 Compliance Assessment Program (P25 CAP) approved equipment • Obtain documented evidence of P25 CAP compliance; in the absence of testing information on the P25 Compliance Assessment Bulletins, entities should request results of applicable test procedures identified in the P25 standards list • Ensure additional features purchased are P25 compliant (e.g., AES 256 encryption) • Avoid non-standard and proprietary features, but if necessary, ensure features are identified and understand impacts on operability and interoperability • Provide written justification for non-compliant P25 purchases Public Safety
Broadband
• Seek guidance from the FirstNet Authority on how to best incorporate broadband communications into a public safety entity’s communications ecosystem Alerts,
Warnings, and
Notifications
• Read the IPAWS Best Practices Guide and consult with IPAWS Program Management Office for compatible alert origination software tools • Reference the IPAWS Program Planning Toolkit
• Review the IPAWS list of critical capabilities and recommended features of an alert origination software tool
• Ensure software tool compliance with the IPAWS CAP Profile and support of a testing environment
• Complete the IPAWS Memorandum of Agreement process
911 Systems • Discover standards through the NG911 Standards Identification and Review • Use the NG911 Self-Assessment Tool to determine NG911 maturity state • Consider SAFECOM and NCSWIC NG911 transition guidance for next steps • Select IP-enabled, standards-based 911 equipment and software Data Exchange
and Information
Sharing
Environment
• Evaluate data information sharing needs and standards based on existing systems, users, and the type of information being exchanged • Read the Organization for the Advancement of Structured Information Standards (OASIS) Emergency Data eXchange Language (EDXL) and National Information Exchange Model (NIEM) resources on data messaging standards • Read the SAFECOM/NCSWIC guidance and best practices provided by the Approach for Developing an Interoperable Information Sharing Framework
FY 2023 SAFECOM Guidance on Emergency Communications Grants 40 6. Grants Management Best Practices
Proper management of grants enables recipients to effectively implement projects and access grant funds.
It also can establish the entity as a trusted and capable steward of federal funding that is able to manage additional funds in the future. This section provides guidance and best practices for recipients to use throughout the grant lifecycle. Table 3 provides best practices during the four major phases of the grant:
• Planning grant applications (Pre-Award)
• Reviewing award agreements and funding (Award)
• Implementing grant-funded projects (Post Award)
• Completing federal grant projects (Closeout)
Table 3. Suggested Actions and Best Practices to Use during Grant Cycle Phases Phases Suggested Actions / Best Practices
Pre-
Award
• Review and understand the NECP, SCIP, and other applicable plans • Coordinate with the SWIC and other key governance bodies and leadership to document needs, align projects to plans, and identify funding options77 • Work with SAA to include projects in state preparedness plans and to secure funding • Review program requirements included in grant guidance • Consult the federal granting agency, spectrum authority (i.e., FCC or FirstNet Authority), and SAFECOM Guidance when developing projects
• Align projects to federal and state-level plans and initiatives • Include coordination efforts with the whole community in applications • Identify staff to manage financial reporting and programmatic compliance requirements • Develop project and budget milestones to ensure timely completion • Identify performance measures and metrics that will help demonstrate impact • Consider potential impacts of EHP requirements on implementation timelines • Ensure proper mechanisms are in place to avoid commingling and supplanting of funds • Evaluate the ability of sub-recipients to manage federal funding • Consider how the project will be sustained after grant funding has ended Award • Review award agreement to identify special conditions, budget modifications, restrictions on funding, pass-through and reporting requirements, and reimbursement instructions • Update the proposed budget to reflect changes made during review and award • Inform sub-recipients of the award and fulfill any pass-through requirements Post
Award
• Establish repository for grant file and related data to be collected and retained from award through closeout, including correspondences, financial and performance reports, project metrics, documentation of compliance with EHP requirements and technology standards • Ensure fair and competitive procurement process for all grant-funded purchases • Understand the process for obtaining approval for changes in scope and budget • Adhere to proposed timeline for project and budget milestones; document and justify any delays impacting progress or spending
• Leverage federal resources, best practices, and technical assistance • Complete financial and performance reports on time
• Draw down federal funds as planned in budget milestones or in regular intervals • Complete projects within grant period of performance
Closeout • Ensure all projects are complete
• Maintain and retain data as required by the award terms and conditions • File closeout reports; report on final performance
77 Stakeholders can also contact their respective CISA Emergency Communications Coordinator for guidance.