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Program Appendix D:Transit Security Grant Program (TSGP) As a reminder, while this appendix contains TSGP-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the TSGP. Please be sure to read the main content of this Manual in addition to the program-specific appendices.TSGP grant recipients may only use TSGP grant funds for the purpose set forth in the Notice of Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity.TSGP Funding GuidelinesCosts charged to a TSGP award must be consistent with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, located at 2 C.F.R. Part 200. For more information on 2 C.F.R. Part 200, please see Information Bulletin (IB) 400implementation of these provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations, see 2 CFR Grants Management Policy Updates | FEMA.govand www.performance.gov/CAP/grants/.Pre-Award CostsPre-award costs are not allowable and will not be approved, with the exception of costs resulting from pre-award grant writing services provided by an independent contractor that shall not exceed $1,500.00. See below for more information on these costs.TSGP PrioritiesSee the annual TSGP NOFO.Security Plan RequirementsThe following information regarding security plan requirements is provided in 6 U.S.C. § 1134(c)(2):Security plans should include the following, as appropriate:that have not yet been addressed;A detailed list of any additional capital and operational improvements identified by DHS or the capacity for operating and maintaining any security equipment that may be identified in such list;Specific procedures to be implemented or used by the public transportation agency in response to a terrorist attack, including evacuation and passenger communication plans and appropriate evacuation and communication measures for the elderly and individuals with disabilities; TSGP Appendix | February 2021 Page D-2
A coordinated response plan that establishes procedures for appropriate interaction with state and local law enforcement agencies, emergency responders, and federal officials in order to coordinate security measures and plans for response in the event of a terrorist attack or other major incident;A strategy and timeline for conducting training under 49 C.F.R. § 1570.109(b) and 49 C.F.R. Part 1582;Plans for providing redundant and other appropriate backup systems necessary to ensure the continued operation of critical elements of the public transportation system in the event of a terrorist attack or other major incident;Plans for providing service capabilities throughout the system in the event of a terrorist attack or other major incident in the city or region which the public transportation system serves;Methods to mitigate damage within a public transportation system in case of an attack on the system, including a plan for communication and coordination with emergency responders; andOther actions or procedures as the Secretary of Homeland Security determines are appropriate to address the security of the public transportation system.Allowable Direct CostsSpecific investments made in support of the funding priorities in the annual TSGP NOFO generally fall into one of the following six allowable expense categories:PlanningOperational ActivitiesEquipment and Capital ProjectsTraining and Awareness CampaignsExercisesManagement and AdministrationThe following provides guidance on allowable costs within each of these areas:PlanningPlanning activities address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Planning Priorities.TSGP funds may be used for the following types of planning activities:Development and enhancement of system-wide security risk management plans, to include cyberDevelopment or further strengthening of continuity of operations plans, response plans, station action plans, risk assessments, and asset-specific remediation plansDevelopment or further strengthening of security assessments, including multi-agency and multi-jurisdictional partnerships and conferences to facilitate planning activitiesHiring of full or part-time staff and contractors or consultants to assist with planning activities only to the extent that such expenses are for the allowable activities within the scope of the grant (not for the purpose of hiring public safety personnel); hiring of contractors/consultants mustfollow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327.Materials required to conduct planning activitiesOther project planning activities with prior approval from FEMA TSGP Appendix | February 2021 Page D-3
Operational ActivitiesOperational Activities address the Soft Targets/Crowded Places; and Emergent Threat Priorities.FEMA encourages applicants to develop innovative operational approaches to enhance the security of transit systems. Projects that use visible, unpredictable deterrence, to include operational packages dealing with explosive detection canine teams, mobile screening teams, and anti-terrorism teams, directly support enhancing the protection of soft targets and crowded places. Implementation of one of the three Operational Package (OPack) models discussed below complements existing security systems and provides an appropriate, practical, and cost-effective means of protecting assets. Agencies may submit Investment Justifications (IJ) to fund transit security police forces/law enforcement providers for patrols and activities on overtime, such as directed patrols, additional canine teams, mobile screening teams, or anti-terrorism team patrols. These activities must be dedicated to the transit environment and must be anti-terrorism in nature. Agencies must identify the type of activity, length of operation (hours), number of personnel, and cost based on length of operation and personnel. Agencies should also provide a risk-based justification for the request, to include linkage to a known event, such as hosting a significant regional sporting or political event; or a period of heightened awareness, such as a national holiday. Three OPack types have been developed to support operational activities and are available for funding under the TSGP:Explosives Detection Canine Teams (EDCTs). When combined with the existing capability of a transit security/police force, the added value provided through the addition of an EDCT is significant. EDCTs are a proven, reliable resource to detect explosives and are a key component in a balanced counter-sabotage program. The TSGP will provide funds to establish dedicated security/police force canine teams. Each canine team will be composed of one dog and one handler.Anti-Terrorism Teams (ATTs). The ATT capability provided through TSGP funding is for uniformed, dedicated transit patrols on a normal operational basis, rather than using teams only for a surge capacity as provided by FEMA in the past. ATTs do not supersede other local transit security forces; rather, they augment current capabilities. Each ATT will consist of four individuals, including two overt elements (e.g.,uniformed transit sector law enforcement officer, canine team, mobile explosive screeners), and two discreet observer elements.Mobile Explosive Screening Teams (MESTs). The MEST OPack will allow recipients the flexibility to deploy combinations of certified explosive ordinance technicians with mobile explosive screening technologies, including during local National Special Security Events. This screening technology will be coupled with mobile explosive screening technologies. Each MEST should have a minimum of two members and one mobile explosive screening apparatus.Note: Funds for canine teams may not be used to fund drug detection and apprehension technique training. Only explosives detection training for the canine teams will be funded.
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Funding Availability for OPacksOPacks have the potential to be funded for up to a 36-month period from the award date. The monetary figures presented below are stated in terms of cost per period of performance (which indicates actual/complete funding for the 36-month period). Additionally, any OPack costs after the 36-month period of performance (including expenses related to the maintenance, personnel, equipment, etc.) are the responsibility of the applicable transit system. If these positions are not sustained, the public transportation agency may not be eligible for this personnel support in the future. The table belowidentifies the maximum funding available for the different OPack types.Available Funding for OPacksOperational PackageMaximum Funding per Year(12 months)Maximum Funding per Period of Performance (36 months)EDCT$150,000 per team$450,000 per teamATT$500,000 per team$1,500,000 per teamMEST$600,000 per team$1,800,000 per teamOPack RequirementsTSGP OPack funds may be used for new positions or to sustain existing capabilities/programs (e.g., canine teams) already supported by the recipient. Applicants submitting IJs for both new OPacks and sustainment funding for existing OPacks must clearly indicate which is their highest priority if funding is available for only one of the IJs. Additionally, applicants must provide the number of existing teams (EDCT, ATT, and MEST) already in place with either in-house funding or TSGP funding. The table below identifies specific OPack requirements.OPack RequirementsOperational PackageRequirementsExplosives Detection Canine TeamsPlease refer to the pages below for detailed informationregarding EDCTs under the TSGP Five-Year Security Capital Plan and Operational SustainmentApplicant requests for OPack funding must include the submission of a Five-Year Security Capital and Operational Sustainment Plan in ND Grants. This plan must include how the agency proposes to implement capital projects and demonstrate how the agency will sustain the operational investments (including officers hired with federal funding) and capabilities after grant funding has been expended.Requests for OPacks will not be funded if the applicant does not have a Security Capital and Operational Sustainment Plan.
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Operational PackageRequirementsAnti-Terrorism TeamsSpecific for the Canine Team within the ATT:Each canine team, composed of one dog and one handler, must be certified by an appropriate, qualified organizationCanines should receive an initial basic training course and also weekly maintenance training sessions thereafter to maintain the certificationThe basic training averages 10 weeks for the team, with weekly training and daily exercising(comparable training and certification standards, such as those promulgated by the Transportation Security Administration (TSA) ExplosiveDetection Canine Program), the National Police Canine Association (NPCA), the United States Police Canine Association (USPCA), or the International Explosive Detection Dog Association (IEDDA) may be used to meet this requirementThe individuals hired for the covert and overt elements must be properly trained law enforcement officersCertifications should be on file with the recipientand must be made available to FEMA upon requestMobile Explosives Screening TeamCertifications should be on file with the recipient and must be made available to FEMA upon requestAllowable Expenses for OPacksThe below table identifies allowable expenses for the various OPacks. Please see the inserted notes for clarification of certain allowable costs.Allowable Expenses for OPacksOperational Package1) EDCTc2) ATT3) MESTdaTravel costs associated with training for personnel, handlers, and canines are allowablebCanine costs include but are not limited to veterinary, housing, and feeding costscOne type of allowable training is training specific to the detection of common explosives odors.dEquipment and other costs can include but are not limited to explosives detection; stainless steel search tables; consumables such as gloves, swabs, and alcohol; and land mobile radiosSpecific Guidance on EDCTsEDCT Certification.Each EDCT, composed of one dog and one handler, must be certified by an appropriate, qualified organization. TSA-certified EDCTs will meet or exceed certification standards set by the TSA National Explosives Detection Canine Team Program (NEDCTP). Recipient EDCTs that do TSGP Appendix | February 2021 Page D-6
not participate in the NEDCTP will be required to certify annually under their respective agency, local and state regulations. The recipient (i.e., TSGP-grant supported) will maintain certification, utilization, and training data to show their compliance in meeting or exceeding those guidelines set forth by theScientific Working Group on Dog and Orthogonal Detection Guidelines (SWGDOG), as of September 14, 2007, in addition to requirements set forth in the NOFO.EDCT Submission Requirements1)The recipient will ensure that a written security procedure plan exists for the safekeeping of all explosive training aids, including safe transportation. The recipient will document the removal, use and return of explosive training aids used during training exercises or for any other reason. The plan and all documentation must be made available to FEMA upon request.2) The recipient will comply with requirements for the proper storage, handling and transportation of all explosive training aids in accordance with the Bureau of Alcohol, Tobacco, Firearms and on 5400.7 (ATF P 5400.7) (09/00), Federal Explosive Law and Regulation.3) The recipient will ensure that certified EDCTs are available to respond to situations 24 hours a day, seven days per week on an on-duty or off-duty on call basis. If TSGP-funded EDCTs are not available, other non-TSGP-funded EDCTs may be utilized for this response. The intent is to provide maximum coverage during peak operating hours and to maintain the ability to promptly respond to threats that affect public safety or mass transit operations.4) explosives only not . EDCTs must not have received previous training to detect any other substances.5) Recipient EDCTs will ensure that each EDCT receives on-site proficiency training at a minimum of four hours per week per duty cycle. This training shall include, but not be limited to mass transit passenger cars, terminal/platform, luggage, freight/warehouse, and vehicles. Complete, detailed, and accurate training records must be maintained for all proficiency training conducted by each EDCT. These records must be made available to FEMA upon request.6) The TSGP grant recipient will conduct appropriate training or other canine activities, within view of the public, to increase public awareness of EDCTs and provide a noticeable deterrent to acts which affect public safety or mass transit operations. Recipient EDCTs will also ensure that such activities include, over a period of time, a presence in operational areas of the mass transit system during peak and off-peak hours. The recipient agrees that EDCTs will be utilized in the field at least 80% of their duty time, annually.7) Recipient EDCTs will provide safe and sanitary kennel facilities for program canines, and these costs may be allowable with prior approval by FEMA. This applies to kenneling canines at the . Canines must not be left in makeshift accommodations or without proper supervision, protection and care. The recipient will ensure that canines are transported on-duty and off-duty in vehicles configured with adequate temperature control, padding and screening to ensure proper health, safety and security.8) Recipient EDCTs will ensure that adequate routine and emergency veterinary care are provided for all canines.Note:FEMA reserves the right to conduct an on-site operational and record review upon 48-hour notice to ensure compliance with applicable federal regulations.Equipment and Capital ProjectsEquipment and Capital Projects address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Equipment/Capital Projects Priorities.
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Priority projects include Top Transit Asset List (TTAL) risk remediation and protection of other high-risk, high-consequence areas or systems that have been identified through system-wide risk assessments. Projects related to physical security enhancements at rail and bus stations in Urban Area Security Initiative (UASI) jurisdictions including security cameras, security screening equipment for people and baggage, and access control (e.g., fences, gates, barriers, etc.). Projects related to cybersecurity of access control, sensors, security cameras, badge/ID readers, Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems, process monitors and controls, etc. or passenger/vehicle/cargo security screening equipment support. Cybersecurity assessments are allowable.Equipment Acquisition TSGP funds must comply withIB 426. TSGP funds may be used for the following categories of equipment. A comprehensive listing of allowable equipment categories and types is found in the DHS Authorized Equipment List (AEL).These costs include:Personal protection equipmentExplosive device mitigation and remediation equipmentChemical, biological, radiological, nuclear, and explosive (CBRNE) operational search and rescue equipment, logistical support equipment, reference materials, or incident response vehiclesInteroperable communications equipmentComponents or systems needed to address flaws in the computerized systems that control generators, switching stations, and electrical substations as well as other emerging threats to infrastructure critical to the U.S. economyDetection EquipmentPower equipmentTerrorism incident prevention equipmentPhysical security enhancement equipmentRecipients and subrecipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.Unless otherwise noted, equipment must be certified as meeting required regulatory and FEMA-adopted standards to be eligible for purchase using TSGP funds. Equipment must comply with the Occupational Safety and Health Actrequirement for certification of electrical equipment by a nationally recognized testing laboratory and demonstrate compliance with relevant FEMA-adopted standards through a Organization for Standardization/International Electro-technical Commission (ISO/IEC) 17050, Parts One and Two. Agencies must have all necessary certifications and licenses for the requested equipment, as appropriate, prior its purchase. DHS adopted standards are found at https://www.dhs.gov/dhs-implementation-statement-regarding-standard-terms-and-conditions-research-grants. In addition, recipients that are using TSGP funds to support emergency communications equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. This SAFECOM Guidancecan be found at https://www.cisa.gov/safecom.Equipment: Requirements for Small Unmanned Aircraft SystemsAll requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with IB 426and also TSGP Appendix | February 2021 Page D-8
privacy, civil rights, and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.Acquisition and Use of Technology to Mitigate UAS (Counter-UAS)In August 2020, FEMA alerted of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission: https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-technologies. The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS). The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially available product compliance with those laws. The advisory does not address state and local laws nor potential civil liability, which UAS detection and mitigation capabilities may also implicate. It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendorsrepresentations of the systemslegality or functionality. Please also see the DHS press release on this topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use-technology-detect-and-mitigate-unmanned-aircraft. Cybersecurity ProjectsTSGP funds may be used for projects that enhance the cybersecurity of:Access controls, sensors, security cameras, badge/ID readers, ICS/SCADA systems, process monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.)Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable)When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (the . The Framework gathers existing international standards and practices to help organizations understand, communicate, and manage their cyber risks. For organizations that do not know where to start with developing a cybersecurity program, the Framework provides initial guidance. For organizations with more advanced practices, the Framework offers a way to improve their programs, such as better communication with their leadership and suppliers about management of cyber risks.CISA) Critical Infrastructure Cyber Community C³ Voluntary Program also provides resources to critical infrastructure owners and operators to assist in adoption of the Framework and managing cyber risks. Additional information on the Critical Infrastructure Cyber Community C³ Voluntary Program can be found at http://www.cisa.gov/ccubedvp.Enhanced Cybersecurity Services (ECS) program is an example of a resource that assists in protecting U.S.-based public and private entities and combines key elements of capabilities under the unctions to deliver an impactful solution relative to the outcomes of the Cybersecurity Framework. Specifically, ECS offers intrusion prevention and analysis services that help TSGP Appendix | February 2021 Page D-9
U.S.-based companies and SLTT governments defend their computer systems against unauthorized access, exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat indicators from sensitive and classified Government Furnished Information (GFI). DHS then shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to . Groups interested in subscribing to ECS must contract directly with a CSP in order to receive services. Please visit http://www.cisa.gov/enhanced-cybersecurity-services for a current list of ECS CSP points of contact.Capital (Construction) Projects GuidanceRecipients must obtain written approval from FEMA prior to the use of any TSGP funds for construction or renovation projects. When applying for construction funds, including communications towers, at the time of application, recipients must submit evidence of approved zoning ordinances, architectural plans, and any other locally required planning permits. Additionally, recipients are required to submit a SF-424C and budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project.All construction and renovation projects require Environmental Planning and Historic Preservation (EHP)review. Recipients are also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects; compliance with all state and local EHP laws and requirements).Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1 and FEMA Instruction 108-1-1,instances must also be identified to the FEMA HQ Preparedness Officer within the first six months of the award, regardless of the period of performance. Completed EHP review materials for construction and communication tower projects must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form, can be found online at https://www.fema.gov/media-library/assets/documents/90195. EHP review materials should be sent to [email protected] and Awareness CampaignsTraining and Awareness Campaigns address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Training and Awareness Campaign Priorities. TrainingTSGP funds may be used for the following training activities:Training Topics. Priority topics include active shooter training, security training for employees, and public awareness/preparedness campaigns. Training Workshops. Grant funds may be used to plan and conduct training workshops to include costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and training plan development. Recipients are strongly encouraged to use free public space/locations/facilities, whenever available, prior to the rental of space/locations/facilities. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in an After-Action Report/Improvement Plan (AAR/IP) and addressed in the training cycle.
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Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff or contractors/consultants may be hired to support training-related activities. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Reimbursement of these costs should conform with the policies of the stateor local unit(s) of government or the awarding agency, whichever is applicable. Such costs must be included within the funding allowed for program management personnel expenses, which must not exceed 10% of the total allocation. Dual compensation is unallowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel, that are the direct result of attendance at FEMA and approved training courses and programs are allowable. Reimbursement of these costs should follow the policies of the state or local unit(s) of government or the awarding agency, whichever is applicable. In no case is dual compensation allowable.Travel. Domestic travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as expenses by employees who are on travel status for official business related, approved training, subject to the restrictions at 2 C.F.R. Part 200. International travel is not an allowable expense.Supplies. Supplies, items that are expended or consumed during the course of the planning and conduct of the training project(s) (e.g., gloves and non-sterile masks), are allowable expenses.Funds Used to Develop, Deliver, and Evaluate Training, including costs related to administering the training, planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment are allowable expenses. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the training cycle.Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation, andEvaluation (ADDIE) model of instruction design. Information on FEMA-approved training can found at http://www.firstrespondertraining.gov/.Awareness CampaignsTSGP funds may be used for the development and implementation of awareness campaigns to raise public awareness of indicators of terrorism and terrorism-related crime, and for associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. DHS currently sponsors or supports a number of awareness campaigns. Please review materials, strategies and resources at https://www.dhs.gov/dhs-campaignsbefore embarking on the development of an awareness campaign for local constituencies and stakeholders.Note: DHS requires that all public and private sector partners wanting to implement and/or expand the DHS If You See Something, Say Something®campaign using grant funds work directly with the DHS Office of Partnership and Engagement (OPE). This will help ensure that the awareness materials (e.g., videos, posters, tri-folds, etc.) remain consistent with messaging and strategy for the campaign and compliant with the initiatives trademark, which is licensed to DHS by the New York Metropolitan Transportation Authority. Coordination with OPE, through the Office ([email protected]), must be facilitated by the FEMA HQ Preparedness Officer.
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ExercisesExercise activities address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Exercises Priorities. TSGP funds may be used for the following exercise activities:Funds Used to Design, Develop, Conduct and Evaluate an Exercise. This includes costs related to planning, meeting space, and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low-risk setting. Any shortcoming or gap identified, including those for children and individuals with disabilities or access and functional needs, should be identified in an effective corrective action program that includes development of improvement plans that are dynamic documents, with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle.Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff may be hired to support exercise-related activities. In order to be eligible for reimbursement, the costs for hiring staff must conform to the policies of the non-federal entity and federal statutes, where applicable.See, e.g., 2 C.F.R. § 200.430(a). The costs for hiring contractors or consultants must comply with the applicable federal procurement standards at 2 C.F.R. §§ 200.317 200.327. The costs for hiring staff, consultants, or contractors to support exercise-related activities costs must be included within the funding allowed for program management personnel expenses, which must not exceed 10% of the total allocation. Dual compensation is never allowable, meaning, in other words, that an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though their work may benefit both entities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of time spent on the design, development and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or the awarding agency, whichever is applicable. Dual compensation is never allowable.Travel. Domestic travel costs are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of exercise project(s), subject to the restrictions at 2 C.F.R. Part 200. International travel is not an allowable expense.Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., gloves, non-sterile masks, and disposable protective equipment).Other Items. These costs include the rental of space/locations for exercise planning and executing, rental of equipment, etc. Recipients are encouraged to use free public space/locations/facilities, whenever available, prior to the rental of space/locations/facilities. These also include costs that may be associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children and adults with disabilities.Management and Administration (M&A)Management and administration costs are allowed under this program. M&A costs are activities directly related to managing and administering the award. Recipients may use up to 5% of the amount of the award for their M&A.
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Current fiscal year TSGP funds may be used for the following M&A costs:Hiring of full-time or part-time staff, including contractors and consultants, to execute the following:oManagement of the current fiscal year TSGP AwardoDesign and implementation of the current fiscal year TSGP submission meeting compliance with reporting/data collection requirements, including data callsoInformation collection and processing necessary to respond to FEMA data callsoDomestic-only travel expenses related to TSGP grant administration, in compliance with 2 C.F.R. Part 200Acquisition of authorized office equipment, including personal computers or laptops for TSGP M&A purposesAllowable Indirect CostsIndirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement.Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable.Unallowable CostsSpecific unallowable costs include:Grant funds must comply withIB 426and may not be used for the purchase of the following equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed. Additional prohibited equipment expenditures include items unrelated to grant allowable activities, such as general-use software, general-use computers and related equipment (other than for allowable M&A activities or otherwise associated preparedness or response functions), general-use vehicles, and licensing fees.Personnel costs (except as detailed above).Activities unrelated to the completion and implementation of the TSGP.Other items not in accordance with the AEL or not previously listed as allowable costs.Maintenance and Sustainment CostsThe use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty TSGP Appendix | February 2021 Page D-13
coverage, licenses and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well. Grant funds are intended to support the National Preparedness Goal and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Fundingallows for the expansion of eligible maintenance and sustainment costs that must be in (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars.Encouraged Use of Certain Products Produced in the United StatesStrengthening Buy-American Preferences for Infrastructure Projects-federal entities under this grant program to use, to the greatest extent practicable and consistent with the law, iron and aluminum as well as steel, cement, and other manufactured products produced in the United States, in projects funded by an award under this grant program affecting surface transportation, including roadways, bridges, railroads, and transit; aviation; ports, including navigational channels; water resources projects; energy production, generation, and storage, including from fossil-fuels, renewable, nuclear, and hydroelectric sources; electricity transmission; gas, oil, and propane storage and transmission; electric, oil, natural gas, and propane distribution systems; broadband internet; pipelines; stormwater and sewer infrastructure; drinking water infrastructure; and cybersecurity. Notwithstanding this encouragement, non-federal entities must take care that all procurements and contract actions are consistent with law, the Preparedness Grants Manual and federal procurement standards at 2 C.F.R. §§ 200.317-200.326.
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Program Appendix E:Intercity Bus Security Grant Program (IBSGP)As a reminder, while this appendix contains IBSGP-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the IBSGP. Please be sure to read the main content of this Manual in addition to the program-specific appendices.IBSGP grant recipients may only use IBSGP grant funds for the purpose set forth in the Notice of Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity.IBSGP Funding GuidelinesCosts charged to an IBSGP award must be consistent with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, located at 2 C.F.R. Part 200. For more information on 2 C.F.R. Part 200, please see Information Bulletin (IB) 400implementation of these provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations, see 2 CFR Grants Management Policy Updates | FEMA.govand www.performance.gov/CAP/grants/.IBSGP PrioritiesSee the annual IBSGP NOFO.Pre-Award CostsPre-award costs are not allowable and will not be approved, with the exception of costs resulting from pre-award grant writing services provided by an independent contractor that shall not exceed $1,500. See the IBSGP NOFO for more information.Allowable Direct CostsSpecific investments made in support of the funding priorities discussed in the annual IBSGP NOFOgenerally fall into one of the following six allowable expense categories:1. Planning2. Operational Activities3. Equipment and Capital Projects4. Training and Awareness Campaigns5. Exercises6. Management and AdministrationThe following provides guidance on allowable costs within each of these areas.
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PlanningPlanning activities should address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Planning Priorities.IBSGP funds may be used for the following types of planning activities:Development and enhancement of system-wide security risk management plans, to include cyberDevelopment or further strengthening of continuity of operations plans, response plans, station action plans, risk assessments, and asset-specific remediation plansDevelopment or further strengthening of security assessments, including multi-agency and multi-jurisdictional partnerships and conferences to facilitate planning activitiesHiring of full- or part-time staff and contractors or consultants to assist with planning activities only to the extent that such expenses are for the allowable activities within the scope of the grant (not for the purpose of hiring public safety personnel); hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327.Materials required to conduct planning activitiesOther project planning activities with prior approval from FEMAOperational ActivitiesOperational Activities should address the Soft Targets/Crowded Places; and Emergent Threat Priorities.FEMA encourages applicants to develop innovative operational approaches to enhance the security of transportation systems. Examples include:Establishing or improving emergency communication systems linking drivers and over-the-road buses to company operation centers, law enforcement agencies or emergency response personnelAcquiring and installing equipment or systems that collect, store or exchange passenger and/or driver information with established government databases for security purposesImplementing and operating established methodologies for screening passengers, their carry-onbaggage, and/or their checked baggage, for weapons and/or explosivesEquipment and Capital ProjectsEquipment and Capital Projects should address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Equipment/Capital Projects Priorities.Equipment Vehicle/Driver Security Enhancements Vehicle Security Enhancements focus on vehicle disabling and anti-theft devices, real-time bus inventory and inventory control, tracking, monitoring, and locating technologies. Driver security enhancements focus on protection for the bus driver to prevent would-be terrorists from immobilizing the driver and/or hijacking the bus. Applicants are discouraged from submitting projects that propose the use of closed-circuit television (CCTV) alone as an on-board deterrent to terrorism. Rather, any cameras should have the capability and protocols in place for incident-based real-time monitoring.CCTVSystems that are primarily archival, and do not clearly specify the ability for live monitoring in the Investment Justification (IJ) will not be funded.Capital Projects Facility Security EnhancementsProjects related to physical security enhancements at bus stations, or operator-owned facilities including but not limited to lighting, security cameras, security screening equipment for people and baggage, and access control (e.g., fences, gates, barriers).
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Projects related to cybersecurity of access control, sensors, security cameras, badge/ID readers, Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems, process monitors and controls, etc. or passenger/vehicle/cargo security screening equipment support. Cybersecurity assessments are allowable.Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff or contractors/consultants may be hired to support security enhancement-related activities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Hiring ofcontractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327.Note: All Capital and Vehicle/Driver security enhancement projects that include cameras, video surveillance, or alarm systems MUST either be live monitored 24/7 or have the capability for real-time incident-based monitoring. CCTVSystems that are primarily archival and do not clearly specify the ability for live monitoring in the IJ will not be funded.Equipment Acquisition IBSGP funds must comply with IB 426and may be used for the following categories of equipment. A comprehensive listing of allowable equipment categories and types is found in the DHS Authorized Equipment List (AEL). These costs include:Personal protection equipmentExplosive device mitigation and remediation equipmentChemical, biological, radiological, nuclear, and explosive (CBRNE) operational search and rescue equipment, or logistical support equipmentInteroperable emergency communications equipment Detection equipmentTerrorism incident prevention equipmentPhysical security enhancement equipmentRecipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.Unless otherwise noted, equipment must be certified as meeting required regulatory and DHS- adopted standards to be eligible for purchase using these funds. Equipment must comply with the Occupational Safety and Health Act requirement for certification of electrical equipment by a nationally recognized testing laboratory and demonstrate compliance with relevant DHS-declaration of conformity with appropriate supporting data and documentation per International Organization for Standardization/International Electro-technical Commission (ISO/IEC) 17050, Parts One and Two. Agencies must have all necessary certifications and licenses for the requested equipment, as appropriate, prior to the request. In addition, recipients that are using IBSGP funds to support emergency communications equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. SAFECOM Guidance can be found at: https://www.cisa.gov/safecom.Cybersecurity ProjectsIBSGP funds may be used for projects that enhance the cybersecurity of:Access controls; sensors; security cameras; badge/ID readers; ICS/SCADA systems; process monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.).
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CCTV Systems that are primarily archival, and do not clearly specify the ability for live monitoring in the IJ will not be funded.Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable).When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity onal Institute of Standards and Technology (NIST). The Framework gathers existing international standards and practices to help organizations understand, communicate, and manage their cyber risks. For organizations that do not know where to start with developing a cybersecurity program, the Framework provides initial guidance. For organizations with more advanced practices, the Framework offers a way to improve their programs, such as better communication with their leadership and suppliers about management of cyber risks.The Cybersecurity and InfrastructureCISA) Critical Infrastructure Cyber Community C³ Voluntary Program also provides resources to critical infrastructure owners and operators to assist in adoption of the Framework and managing cyber risks. Additional information on the Critical Infrastructure Cyber Community C³ Voluntary Program can be found at http://www.cisa.gov/ccubedvp.Enhanced Cybersecurity Services (ECS) program is an example of a resource that assists in protecting U.S.-based public and private entities and combines key elements of capabilities under the on relative to the outcomes of the Cybersecurity Framework. Specifically, ECS offers intrusion prevention and analysis services that help U.S.-based companies and state, local, tribal, and territorial (SLTT) governments defend their computer systems against unauthorized access, exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat indicators from sensitive and classified Government Furnished Information (GFI). DHS then shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in . Groups interested in subscribing to ECS must contract directly with a CSP in order to receive services. Please visit http://www.cisa.gov/enhanced-cybersecurity-servicesfor a current list of ECS CSP points of contact.Capital (Construction) Projects GuidanceRecipients must obtain written approval from FEMA prior to the use of any IBSGP funds for construction or renovation projects. When applying for construction funds, including communications towers, at the time of application, recipients must submit evidence of approved zoning ordinances, architectural plans, any other locally required planning permits. Additionally, recipients are required to submit a SF-424Cand budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project.All Capital (Construction) projects require Environmental Planning and Historic Preservation (EHP)review. Recipients are also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects; compliance with all state and EHP laws and requirements).Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1 and FEMA Instruction 108-1-1,instances must also be identified to the FEMA HQ Preparedness Officer within the first six months of the award. Completed EHP review materials for construction and communication tower projects must be submitted no later than 12 months before the end of the period of performance. EHP IBSGP Appendix | February 2021 Page E-5
policy guidance and the EHP Screening Form, can be found online at:https://www.fema.gov/media-library/assets/documents/90195. EHP review materials should be sent to [email protected] and Awareness CampaignsTraining and Awareness Campaigns address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Training and Awareness Campaign Priorities. TrainingIBSGP funds may be used for the following training activities:Training Topics. Priority topics include active shooter training, security training for employees, and public awareness/preparedness campaigns. The IJ narrative for Training should include: oA course syllabus, curriculum, or topic plan identifying the proposed course material and contents; andoProvide the total cost of the training course, the number of participants, and the cost per participant breakdown.Training Workshops. Grant funds may be used to plan and conduct training workshops or conferences including costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and training plan development.Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff may be hired to support training-related activities. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. The services of contractors/consultants may also be procured in the design, development, conduct, and evaluation of CBRNE training. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Overtime and Backfill Costs. Overtime and backfill costs associated with the design, development, and conduct of training are allowable expenses. Payment of overtime expenses will be for work performed by recipient or subrecipient employees in excess of the established work week related to the planning and conduct of the training project(s). Furthermore, overtime payments and backfill costs associated with sending personnel to training are allowable. Grant funds cannot be used for personnel or direct salary costs for employees to attend training sessions. Recipients seeking to claim overtime or backfill costs will be required to submit verification. Straight time costs are not eligible expenses.Travel. Domestic travel costs (e.g., airfare, mileage, per diem, hotel, etc.) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of the training project(s) or for attending courses. These costs must be in accordance with applicable state law and regulations as well as the principles at 2 C.F.R. Part 200. International travel is not an allowable cost under IBSGP.Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the training project(s) (e.g., copying paper, gloves, tape, and non-sterile masks).Funds Used to Develop, Deliver, and Evaluate Training, including costs related to administering the training, planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment are allowable expenses. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the training cycle.Developing New Courses. Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the IBSGP Appendix | February 2021 Page E-6
Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model of instructionaldesign. Information on FEMA-approved training can found at the following website Other Items. These costs include the rental of space/locations for planning and conducting training, badges, etc. Recipients are encouraged to use free public space/locations, whenever available, prior to the rental of space/locations.Awareness CampaignsIBSGP funds may be used for the development and implementation of awareness campaigns to raise public awareness of indicators of terrorism and terrorism-related crime, and associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. DHS currently sponsors or supports a number of awareness campaigns. Please review materials, strategies and resources at https://www.dhs.gov/dhs-campaignsbefore embarking on the development of an awareness campaign for your local constituencies and stakeholders.Note: DHS requires that all public and private sector partners wanting to implement and/or expand the DHS If You See Something, Say Something®campaign using grant funds work directly with the DHS Office of Partnership and Engagement (OPE). This will help ensure that the awareness materials (e.g., videos, posters, tri-folds, etc.) remain consistent with the Departments messaging and strategy for the campaign and compliant with the initiative's trademark, which is licensed to DHS by the New York Metropolitan Transportation Authority. Coordination with OPE, through the Campaigns Office ([email protected]), must be facilitated by the FEMA HQ Preparedness Officer.ExercisesExercise activities should address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Exercises Priorities. IBSGP funds may be used for the following exercise activities:Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. This includes costs related to planning, meeting space, and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low-risk setting. Any shortcoming or gap identified, including those for children and individuals with disabilities or access and functional needs, should be identified in an effective corrective action program that includes development of improvement plans that are dynamic documents, with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle.Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff may be hired to support exercise-related activities. The services of contractor/consultant staff may be procured to support exercise-related activities. The services of contractors/consultants may also be procured to support the design, development, conduct, and evaluation of terrorism exercises. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327.Overtime and Backfill Costs. Overtime and backfill costs associated with the design, development, and conduct of terrorism exercises are allowable expenses. Payment of overtime expenses will be for work performed in excess of the established work week related to the planning and conduct of the exercise project(s). Further, overtime payments and backfill costs associated with sending personnel to exercises are allowable, provided that the event being attended is a DHS sponsored exercise. For positions not funded by the grant award, grant funds cannot be used for personnel or straight salary costs for employees to attend exercises, meaning IBSGP Appendix | February 2021 Page E-7
straight time costs for non-grant funded employees to attend exercise are not allowable. Instead, for positions not funded by the grant award, only overtime and backfill costs will be allowable for those employees to attend exercises. Recipients seeking to claim overtime or backfill costs will be required to submit verification.Travel. Domestic travel costs (e.g., airfare, mileage, per diem, hotel, etc.) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of the exercise project(s). International travel is not allowable under this program.Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., gloves, non-sterile masks, and disposable protective equipment).Other Items. These costs include the rental of space/locations for exercise planning and executing, rental of equipment, etc. Recipients are encouraged to use free public space/locations/facilities, whenever available, prior to the rental of space/locations/facilities. These also include costs that may be associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children and adults with disabilities.Management and Administration (M&A)Management and administration costs are allowed under this program. M&A costs are activities directly related to managing and administering the award. Recipients may use up to 5% of the amount of the award for their M&A.Current fiscal year IBSGP funds may be used for the following M&A costs:Hiring of full-time or part-time staff including contractors and consultants, to execute the following:oManagement of the current fiscal year IBSGP awardoDesign and implementation of the current fiscal year IBSGP submission meeting compliance with reporting/data collection requirements, including data callsInformation collection and processing necessary to respond to FEMA data callsDomestic travel expenses related to IBSGP grant administrationIndirect Costs (Facilities and Administration [F&A])Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement.Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable.
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Unallowable CostsSpecific unallowable costs include:Grant funds must comply with IB 426and may not be used for the purchase of the following equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed.General-use facility expenditures, to include, but not limited to ordinary facility maintenance, contracts for maintenance, and specifically backup or emergency generators.General vehicle maintenance, service contracts, or warranties. This is different from maintenance and sustainment costs that are allowable, but only for projects funded under a grant award. For projects or equipment not funded by the grant award, general maintenance, service contracts, and warranties are not allowable.Expenditures for items such as general-use software (word processing, spreadsheet, graphics, etc.), general-use computers and related equipment (other than for allowable M&A activities, or otherwise associated preparedness or response functions), general-use vehicles, licensing fees, recurring operating costs (e.g., cell phone services, maintenance contracts).Organizational operating expenses.Personnel costs, to include, but not limited to, overtime and backfill (except as detailed above).Activities unrelated to the completion and implementation of the IBSGP.Other indirect costs (meaning property purchase, depreciation, or amortization expenses).Initiatives in which federal agencies are the beneficiary or that enhance federal property.Initiatives which study technology development.Proof-of-concept initiatives.Initiatives that duplicate capabilities being provided by the Federal Government.Other items not in accordance with the AEL, in accordance with IB 426, or not previously listed as allowable costs.Pre-award costs are not allowable and will not be approved, with the exception of costs resulting from pre-award grant writing services provided by an independent contractor that shall not exceed $1,500-and in the IBSGP NOFO.Other Allowable CostsMaintenance and Sustainment CostsThe use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well. Grant funds are intended to support the National Preparedness Goal (the Goal) and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Fundingallows for IBSGP Appendix | February 2021 Page E-9
the expansion of eligible maintenance and sustainment costs which must be in (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars.BondsFinancial markets are not always predictable, and commercial suppliers are not always reliable; but there are options to provide resource contingencies to support an IBSGP award. Prepayment Bond: Prepayment Bonds provide a measure of economic security for an organization that is going to advance funds to a vendor(s). The prepayment bond generally may be obtained through the vendor or bank. The prepayment bond protects funds in the event a vendor fails to perform (e.g., not finishing/delivering contracted service/equipment, or going out of business). Prepayment bonds are chargeable to an award.oEncouraged Prepayment Bond:Recipients are strongly recommended, but not required, to obtain a prepayment bond for awarded acquisition activities that exceed the Simplified Acquisition Threshold (SAT) (currently $250,000, but the applicable dollar threshold will be the SAT amount in place at the time of procurement) when recipients are contractually required to advance a down payment and when such advances contain no federal funds (only local funds).oRequired Prepayment Bond:Per 2 C.F.R. § 200.304(b), recipients are required to obtain a prepayment bond for awarded acquisition activities that exceed the SAT; a prepayment bond is required when recipients are contractually required to advance a down payment and when such advances contain only federal funds or a combination of federal and local funds.Fidelity Bond: Reasonable costs of fidelity bonds (or like insurance as provided for by applicable state or tribal laws) covering the maximum amount of IBSGP funds the officer, official, or employee handles at any given time for all personnel who disburse or approve disbursement of IBSGP funds may be allowable if required by the terms and conditions of the award or if generally required by the tribe in its generally operations. If a fidelity bond is required by a recipient in its general operations, those costs must be charged as indirect costs. See2 C.F.R. § 200.427.Encouraged Use of Certain Products Produced in the United StatesPursuant to Executive Order 13858 Strengthening Buy-American Preferences for Infrastructure Projects-federal entities under this grant program to use, to the greatest extent practicable and consistent with the law, iron and aluminum as well as steel, cement, and other manufactured products produced in the United States, in projects funded by an award under this grant program affecting surface transportation, including roadways, bridges, railroads, and transit; aviation; ports, including navigational channels; water resources projects; energy production, generation, and storage, including from fossil-fuels, renewable, nuclear, and hydroelectric sources; electricity transmission; gas, oil, and propane storage and transmission; electric, oil, natural gas, and propane distribution systems; broadband internet; pipelines; stormwater and sewer infrastructure; drinking water infrastructure; and cybersecurity. Notwithstanding this encouragement, non-federal entities must take care that all procurements and contract actions are consistent with law, this Manual and applicable appendices, standards at 2 C.F.R. §§ 200.317-200.326.
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Program Appendix F:Intercity Passenger Rail (IPR) Program As a reminder, while this appendix contains IPR-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the IPR. Please be sure to read the main content of this Manual in addition to the program-specific appendices.The IPR grant recipient may only use IPR grant funds for the purposes set forth in the Notice of Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity.IPR Funding GuidelinesCosts charged to a an IPR award must be consistent with the uniform administrative requirements and audit requirements for federal awards, located at 2 C.F.R. Part 200, Subparts A-D and F. For more information on 2 C.F.R. Part 200, please see Information Bulletin (IB) 400implementation of these provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations, see 2 CFR Grants Management Policy Updates | FEMA.govand www.performance.gov/CAP/grants/. Costs charged to an IPR award must also be consistent with the cost principles in the Federal Acquisition Regulation (FAR) Part 31.2 in lieu of 2 C.F.R. Part 200, Subpart E. Any conflicts between FAR 31.2 and 2 C.F.R. Part 200, Subpart E shall be resolved in favor of the applicable provision in FAR 31.2.IPR PrioritiesSee the annual IPR NOFO.Security Plan RequirementsThe following information regarding security plan requirements is provided in 6 U.S.C. § 1134(c)(2):Security plans should include the following, as appropriate:that have not yet been addressed;A detailed list of any additional capital and operational improvements identified by DHS or the capacity for operating and maintaining any security equipment that may be identified in such list;Specific procedures to be implemented or used by the public transportation agency in response to a terrorist attack, including evacuation and passenger communication plans and appropriate evacuation and communication measures for the elderly and individuals with disabilities;A coordinated response plan that establishes procedures for appropriate interaction with state and local law enforcement agencies, emergency responders, and federal officials in order to IPR Appendix | February 2021 Page F-2
coordinate security measures and plans for response in the event of a terrorist attack or other major incident;A strategy and timeline for conducting training under 49 C.F.R. § 1570.109(b) and 49 C.F.R. Part 1580;Plans for providing redundant and other appropriate backup systems necessary to ensure the continued operation of critical elements of the public transportation system in the event of a terrorist attack or other major incident;Plans for providing service capabilities throughout the system in the event of a terrorist attack or other major incident in the city or region which the public transportation system serves;Methods to mitigate damage within a public transportation system in case of an attack on the system, including a plan for communication and coordination with emergency responders; andOther actions or procedures as the Secretary of Homeland Security determines are appropriate to address the security of the system.Allowable CostsSpecific investments made in support of the funding priorities discussed in the annual IPR NOFO generally fall into one of the following six allowable expense categories:1) Planning2) Operational Activities3) Equipment and Capital Projects4) Training and Awareness Campaigns5) Exercises6) Management and AdministrationThe following provides guidance on allowable costs within each of these areas.PlanningPlanning activities that address the Soft Targets/Crowded Places; Cybersecurity; and Emergent Threats Priorities.IPR funds may be used for the following types of planning activities:Development and enhancement of system-wide security risk management plans, to include cyber;Development or further strengthening of continuity of operations plans, response plans, station action plans, risk assessments, and asset-specific remediation plans;Development or further strengthening of security assessments, including multi-agency and multi-jurisdictional partnerships and conferences to facilitate planning activities;Hiring of full or part-time staff and contractors or consultants to assist with planning activities only to the extent that such expenses are for the allowable activities within the scope of this grant (not for the purpose of hiring public safety personnel); hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327.Materials required to conduct planning activities; andOther project planning activities, with prior approval from FEMA.Operational ActivitiesOperational Activities that address the Soft Targets/Crowded Places; and Emergent Threat Priorities.
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FEMA encourages applicants to develop innovative operational approaches to enhance the security of transit systems. Projects that use visible, unpredictable deterrence, including operational packages dealing with explosive detection canine teams, mobile screening teams, and anti-terrorism teams, directly support enhancing the protection of soft targets and crowded places. Implementation of one of the three Operational Package (OPack) models discussed below complements existing security systems and provides an appropriate, practical, and cost-effective means of protecting assets. Agencies may submit IJs to fund transit security police forces/law enforcement providers for patrols and activities on overtime, such as directed patrols, additional canine teams, mobile screening teams, or anti-terrorism team patrols. These activities must be dedicated to the transit environment and must be anti-terrorism in nature. Agencies must identify the type of activity, length of operation (hours), number of personnel, and cost based on length of operation and personnel. Agencies should also provide a risk-based justification for the request, including linkage to a known event, such as hosting a significant regional sporting or political event; or a period of heightened awareness, such as a national holiday. Three OPack types have been developed to support operational activities and are available for funding under the IPR:Explosives Detection Canine Teams (EDCTs). When combined with the existing capability of a transit security/police force, the added value provided through the addition of an EDCT is significant. EDCTs are a proven, reliable resource to detect explosives and are a key component in a balanced counter-sabotage program. The TSGP will provide funds to establish dedicated security/police force canine teams. Each canine team will be composed of one dog and one handler.Anti-Terrorism Teams (ATTs). The ATT capability provided through TSGP funding is for uniformed, dedicated transit patrols on a normal operational basis, rather than using teams only for a surge capacity as provided by FEMA in the past. ATTs do not supersede other local transit security forces; rather, they augment current capabilities. Each ATT will consist of four individuals, including two overt elements (e.g.,uniformed transit sector law enforcement officer, canine team, mobile explosive screeners), and two discreet observer elements.Mobile Explosive Screening Teams (MESTs). The MEST OPack will allow recipients the flexibility to deploy combinations of certified explosive ordinance technicians with mobile explosive screening technologies, including during local National Special Security Events. This screening technology will be coupled with mobile explosive screening technologies. Each MEST should have a minimum of two members and one mobile explosive screening apparatus.Note: Funds for canine teams may not be used to fund drug detection and apprehension technique training. Only explosives detection training for the canine teams will be funded.Five-Year Security Capital Plan and Operational SustainmentApplicant requests for OPack funding must include the submission of a Five-Year Security Capital and Operational Sustainment Plan in ND Grants. This plan must include how the agency proposes to implement capital projects and demonstrate how the agency will sustain the operational investments (including officers hired with federal funding) and capabilities after grant funding has been expended. Requests for OPacks will not be funded if the applicant does not have and submit a Security Capital and Operational Sustainment Plan.
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Funding Availability for OPacksOPacks have the potential to be funded for up to a 36-month period from the award date. The monetary figures presented below are stated in terms of cost per period of performance (which indicates actual/complete funding for a 36-month period). Additionally, any OPack costs after the period of performance (including expenses related to the maintenance, personnel, equipment, etc.) are the responsibility of the applicable transit system. Additional funding may be applied for in future grant cycles to maintain this operational capability, but future funding is not guaranteed and requires approval.If these positions are not sustained, the public transportation agency may not be eligible for this personnel support in the future. The table below identifies the maximum funding available for the different OPacktypes.Available Funding for OPacksOperational PackageMaximum Funding per Year(12 months)Maximum Funding per Period of Performance (36 months)EDCT$150,000 per team$450,000 per teamATT$500,000 per team$1,500,000 per teamMEST$600,000 per team$1,800,000 per teamOPack RequirementsIPR OPack funds may be used for new positions or to sustain existing capabilities/programs (e.g., canine teams) already supported by the recipient. Applicants pursuing both new OPacks and sustainment funding for existing OPacks must indicate in their IJs which funding the higher priority for their agency is.Additionally, applicants must provide the number of existing teams (EDCT, ATT, and MEST) already in place, regardless of how they are funded. The below table identifies specific OPack requirements.OPack RequirementsOperational RequirementsEDCTPlease refer to the pages below for detailed information regarding EDCTs under the IPRATTSpecific for the Canine Team within the ATT:Each canine team, composed of one dog and one handler, must be certified by an appropriate, qualified organizationCanines should receive an initial basic training course and also weekly maintenance training sessions thereafter to maintain the certificationThe basic training averages 10 weeks for the team, with weekly training and daily exercising (comparable training and certification standards, such as those promulgated by the Transportation Security Administration (TSA)Explosive Detection Canine Program), the National Police Canine Association (NPCA), the United States Police Canine Association (USPCA), or the International Explosive Detection Dog Association (IEDDA) may be used to meet this requirementThe individuals hired for the covert and overt elements must be properly trained law enforcement officersCertifications should be on file with the recipient and must be made available to FEMA upon requestMESTCertifications should be on file with the recipient and must be made available to FEMA upon request IPR Appendix | February 2021 Page F-5
Allowable Expenses for OPacksThe table below identifies allowable expenses for the various OPacks. Please see the accompanying notes for clarification of certain allowable costs.Allowable Expenses for OPacksOperational Package1) EDCTc2) ATT3) MESTdaTravel costs associated with training for personnel, handlers, and canines are allowablebcOne type of allowable training is training specific to the detection of common explosives odors dEquipment and other costs can include but are not limited to explosives detection; stainless steel search tables; consumables such as gloves, swabs, and alcohol; and land mobile radiosSpecific Guidance on EDCTEDCT CertificationEach EDCT, composed of one dog and one handler, must be certified by an appropriate, qualified organization. TSA-certified EDCTs will meet or exceed certification standards set by the TSA National Explosives Detection Canine Team Program (NEDCTP). Recipient EDCTs that do not participate in the NEDCTP will be required to certify annually under their respective agency, local, and state regulations. The recipient will maintain certification, utilization, and training data to show compliance in meeting or exceeding those guidelines set forth by the Scientific Working Group on Dog and Orthogonal Detection Guidelines (SWGDOG), as of September 14, 2007, in addition to the requirements set forth in the NOFO.EDCT Submission Requirements1) The recipient will ensure that a written security procedure plan exists for the safekeeping of all explosive training aids, including safe transportation. The recipient will document the removal, use, and return of explosive training aids used during training exercises or for any other reason. The plan and all documentation must be made available to FEMA upon request.2) The recipient will comply with requirements for the proper storage, handling, and transportation of all explosive training aids in accordance with the Bureau of Alcohol, Tobacco, Firearms and Federal Explosive Law and Regulation.3) The recipient will ensure that certified EDCTs are available to respond to situations 24 hours a day, 7 days per week on an on-duty or off-duty on-call basis. If IPR-funded EDCTs are not available, other, non-IPR funded EDCTs may be utilized for this response. The intent is to provide maximum coverage during peak operating hours and to maintain the ability to promptly respond to threats that affect public safety or mass transit operations.
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4) EDCTs under this grant are single purpose and will be trained to det. EDCTs must not have received previous training to detect any other substances.5) The recipient will ensure that each EDCT receives on-site proficiency training at a minimum of 4hours per week per duty cycle. This training shall include, but not be limited to, mass transit passenger cars, terminals/platforms, luggage, freight/warehouses, and vehicles. Complete, detailed, and accurate training records must be maintained for all proficiency training conducted by each EDCT. These records must be made available to FEMA upon request.6) The recipient will conduct appropriate training or other canine activities, within view of the public, to increase public awareness of EDCTs and provide a noticeable deterrent to acts which affect public safety or mass transit operations. The recipient will also ensure that such activities include, over a period of time, a presence in operational areas of the mass transit system during peak and off-peak hours. The recipient agrees that EDCTs will be utilized in the field at least 80% of their duty time, annually.7) The recipient will provide safe and sanitary kennel facilities for program canines, and these costs may be allowable with prior approval by FEMA. This applies to kenneling canines at a mass . Canines must not be left in makeshift accommodations or without proper supervision, protection, and care. The recipient will ensure that canines are transported on-duty and off-duty in vehicles configured with adequate temperature control, padding, and screening to ensure proper health, safety, and security.8) The recipient will ensure that adequate routine and emergency veterinary care are provided for all canines.Note: FEMA reserves the right to conduct an on-site operational and record review upon 48-hour notice to ensure compliance with applicable federal regulations.Equipment and Capital ProjectsEquipment and Capital Projects that address the Soft Targets/Crowded Places; Cybersecurity; and Emergent Threats Priorities.Priority projects include Top Transit Asset List (TTAL) risk remediation and protection of other high-risk, high-consequence areas or systems that have been identified through system-wide risk assessments:Projects related to physical security enhancements at rail and bus stations in Urban Area Security Initiative (UASI) jurisdictions, including security cameras, security screening equipment for people and baggage, and access control (e.g., fences, gates, barriers, etc.).Projects related to cybersecurity of access control, sensors, security cameras, badge/ID readers, Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems, process monitors and controls, etc. or passenger/vehicle/cargo security screening equipment support. Cybersecurity assessments are allowable.Equipment Acquisition IPR funds may be used for the following categories of equipment. A comprehensive listing of allowable equipment categories and types is found in the DHS Authorized Equipment List (AEL).These costs include:Personal protection equipmentExplosive device mitigation and remediation equipmentChemical, biological, radiological, nuclear, and high explosive (CBRNE) operational search and rescue equipment, logistical support equipment, reference materials, or incident response vehiclesInteroperable communications equipment IPR Appendix | February 2021 Page F-7
Components or systems needed to address flaws in the computerized systems that control generators, switching stations, and electrical substations as well as other emerging threats to infrastructure critical to the U.S. economyDetection EquipmentPower equipmentTerrorism incident prevention equipmentPhysical security enhancement equipmentRecipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.Unless otherwise noted, equipment must be certified as meeting required regulatory and FEMA- adopted standards to be eligible for purchase using IPR funds. Equipment must comply with the Occupational Safety and Health Actrequirement for certification of electrical equipment by a nationally recognized testing laboratory and demonstrate compliance with relevant FEMA-adopted standards through a entation per International Organization for Standardization/International Electro-technical Commission (ISO/IEC) 17050, Parts One and Two. The recipient must have all necessary certifications and licenses for the requested equipment, as appropriate, prior its purchase. In addition, if the recipient is using IPR funds to support emergency communications equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. This SAFECOM Guidance can be found at: https://www.cisa.gov/safecom.Requirements for Small Unmanned Aircraft SystemsAll requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with IB 426and alsoprivacy, civil rights, and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.Acquisition and Use of Technology to Mitigate UAS (Counter-UAS)In August 2020, FEMA was alerted you of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission: https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-technologies. The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS). The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially available product compliance with those laws. The advisory does not address state and local laws nor potential civil liability, which UAS detection and mitigation capabilities may also implicate. It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendorsrepresentations of the systemslegality or functionality. Please also see the DHS press release on this IPR Appendix | February 2021 Page F-8
topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use-technology-detect-and-mitigate-unmanned-aircraft. Cybersecurity ProjectsIPR funds may be used for projects that enhance the cybersecurity of:Access controls, sensors; security cameras, badge/ID readers, ICS/SCADA systems, process monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.)Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable)When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (the . The Framework gathers existing international standards and practices to help organizations understand, communicate, and manage their cyber risks. For organizations that do not know where to start with developing a cybersecurity program, the Framework provides initial guidance. For organizations with more advanced practices, the Framework offers ways to improve their programs, such as through better communication with their leadership and suppliers about management of cyber risks.CISA) Critical Infrastructure Cyber Community C³ Voluntary Program also provides resources to critical infrastructure owners and operators to assist in adoption of the Framework and managing cyber risks. Additional information on the Critical Infrastructure Cyber Community C³ Voluntary Program can be found at www.cisa.gov/ccubedvp.protecting U.S.-based public and private entities and combines key elements of capabilities under the Framework. Specifically, ECS offers intrusion prevention and analysis services that help U.S.-based companies and SLTT governments defend their computer systems against unauthorized access, exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat indicators from sensitive and classified Government Furnished Information. DHS then shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to block certain . Groups interested in subscribing to ECS must contract directly with a CSP in order to receive services. Please visit http://www.cisa.gov/enhanced-cybersecurity-services for a current list of ECS CSP points of contact.Capital (Construction) Projects GuidanceThe recipient must obtain written approval from FEMA prior to the use of any IPR funds for construction or renovation projects. When applying for construction funds, including communications towers, the recipient must submit evidence of approved zoning ordinances, architectural plans, any other locally required planning permits. Additionally, the recipient is required to submit a SF-424C and budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project.All construction or renovation projects require Environmental Planning and Historic Preservation (EHP)review. The recipient is also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with the relevant Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects; compliance with all state and local EHP laws and requirements).
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Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, EHP Directive and Instruction, FEMA Directive 108-1, and FEMA Instruction 108-1-1,must also be identified to the FEMA HQ Preparedness Officer within the first six months of the award, regardless of the length of the period of performance. Completed EHP review materials for construction and communication tower projects must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form, can be found online at:https://www.fema.gov/media-library/assets/documents/90195. EHP review materials should be sent to [email protected] the recipient uses funds for construction projects, it must comply with the Davis-Bacon Act (codified as amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 1163(h) (cross-referencing 49 U.S.C. § 24312,which cross-referencesDavis-Bacon). It must ensure that its contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis-Bacon Act,including the Department of Labor (DOL) wage determinations, is available athttps://www.dol.gov/whd/govcontracts/dbra.htm.Training and Awareness CampaignsTraining and Awareness Campaigns that address the Soft Targets/Crowded Places; Cybersecurity; andEmergent Threats Priorities.TrainingIPR funds may be used for the following training activities:Training Topics. Priority topics include active shooter training, security training for employees, and public awareness/preparedness campaigns.Training Workshops. Grant funds may be used to plan and conduct training workshops, including costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and training plan development. The recipient is strongly encouraged to use free public space, locations, or facilities, whenever available, prior to the rental of space, locations, or facilities. Training should provide the opportunity to demonstrate and validate skills learned as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in an After-Action Report/Improvement Plan (AAR/IP) and addressed in the training cycle.Hiring of Full or Part-Time Staff or Contractors/Consultants.Full or part-time staff or contractors/consultants may be hired to support training-related activities. Reimbursement of these costs should conform with the policies of recipient, as well as any applicable federal andFEMA policies, rules, and regulations. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Dual compensation is unallowable, in other words, an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for allowable activities within the scope of the grant.Overtime and Backfill Costs.The entire amount of overtime costs, including payments related to backfilling personnel, that are the direct result of attendance at FEMA and approved training courses and programs are allowable. Reimbursement of these costs should follow the policies of IPR Appendix | February 2021 Page F-10
the recipient, as well as any applicable federal and FEMA policies, rules, and regulations. state. Dual compensation is never allowable.Travel. Domestic travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as expenses by employees who are on travel status for official business related, approved training, subject to the restrictions at 2 C.F.R. Part 200. International travel is not an allowable expense.Supplies. Supplies, items that are expended or consumed during the course of the planning and conduct of the training project(s) (e.g., gloves and non-sterile masks), are allowable expenses.Funds Used to Develop, Deliver, and Evaluate Training. Funds used to develop, deliver, and evaluate training, including costs related to administering the training, planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment are allowable expenses. Training should provide the opportunity to demonstrate and validate skills learned as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the training cycle.Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation, andEvaluation (ADDIE) model of instructional design. Information on FEMA-approved training can found at http://www.firstrespondertraining.gov/.Awareness CampaignsIPR funds may be used for the development and implementation of awareness campaigns to raise public awareness of indicators of terrorism and terrorism-related crime and for associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. DHS currently sponsors or supports a number of awareness campaigns. Please review materials, strategies, and resources at https://www.dhs.gov/dhs-campaignsbefore embarking on the development of an awareness campaign for local constituencies and stakeholders.Note: DHS requires that all public and private sector partners wanting to implement and/or expand the with the DHS Office of Partnership and Engagement (OPE). This will help ensure that the awareness materials (e.g., videos, posters, tri-Metropolitan Transportation Authority. Coordin([email protected]), must be facilitated by the FEMA Preparedness Officer. ExercisesExercise activities that address the Soft Targets/Crowded Places; Cybersecurity; and Emergent Threats Priorities. IPR funds may be used for the following exercise activities:Funds Used to Design, Develop, Conduct and Evaluate an Exercise. This includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low-risk setting. Any shortcomings or gaps identified, including those for children and individuals with disabilities or access and functional needs, should be identified in an effective corrective action program that includes development of improvement plans that are IPR Appendix | February 2021 Page F-11
dynamic documents, with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle.Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff may be hired to support exercise-related activities. Reimbursement of these costs should conform with the policies of the recipient, as well as any applicable federal and FEMA policies, rules, and regulations. Dual compensation is not allowable, meaning, in other words, that an employee of a unit of government may not receive compensation from their unit or agency of government andfrom an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though their work may benefit both entities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. The recipient must follow all applicable procurement regulations at 2 C.F.R. Part 200 when procuring contractor services.Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of time spent on designing, developing, and conducting exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the recipient and has the approval of the awarding agency, if applicable. Dual compensation is never allowable.Travel. Domestic travel costs are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of exercise project(s), subject to the restrictions at 2 C.F.R. Part 200. International travel costs are not allowable expenses.Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., gloves, non-sterile masks, and disposable protective equipment).Other Items. These costs include the rental of space or locations for exercise planning and executing, rental of equipment, etc. The recipient is encouraged to use free public space, locations, or facilities, whenever available, prior to the rental of space, locations, or facilities. These also include costs that may be associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children and adults with disabilities.Management and Administration (M&A)Management and administration costs are allowed under this program. M&A costs are activities directly related to managing and administering the award. The recipient may use up to 5% of the amount of the award for its M&A costs.Current fiscal year IPR funds may be used for the following M&A costs:Hiring of full-time or part-time staff, including contractors and consultants, to execute the following:oManagement of the current fiscal year IPR AwardoDesign and implementation of the current fiscal year IPR submission meeting compliance with reporting/data collection requirements, including data callsInformation collection and processing necessary to respond to FEMA data callsDomestic travel expenses related to IPR grant administration, in compliance with the Super Circular, 2 C.F.R. Part 200.Acquisition of authorized office equipment, including personal computers or laptops for IPR M&A purposes.
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Indirect CostsIndirect costs are allowable under this program as described in the Federal Acquisition Regulations (FAR).Unallowable CostsSpecific unallowable costs include:Grant funds must comply with IB 426and may not be used for the purchase of the following prohibited equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed. Expenditures for items unrelated to grant allowable activities, such as general-use software, general-use computers and related equipment (other than for allowable M&A activities or for other associated preparedness or response functions), general-use vehicles, licensing fees, weapons systems, and ammunition are also prohibited.Personnel costs (except as detailed above or otherwise allowed by statute).Activities unrelated to the completion and implementation of the IPR program.Other items not in accordance with the AEL or not previously listed as allowable costs.Costs related to any matching or cost share requirement for any other federal awardCosts related to lobbying or intervention in federal regulatory proceedingsCosts related to suing the Federal Government or any other government entityPre-award costs, unless approved in writing by FEMA and included in the grant awardCosts that are not consistent with the Cost Principles located in FAR 31.2, as applicableMaintenance and Sustainment CostsThe use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well. Grant funds are intended to support the National Preparedness Goal and to fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients with the ability to meet this objective, the policy set forth originally in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Fundingallows for the expansion of eligible maintenance and sustainment costs that must be (1) in direct support of existing capabilities, (2) an otherwise allowable expenditure under the applicable grant program, and (3) tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars.
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Encouraged Use of Certain Products Produced in the United StatesStrengthening Buy-American Preferences for Infrastructure Projects-federal entities under this grant program to use, to the greatest extent practicable and consistent with the law, iron and aluminum as well as steel, cement, and other manufactured products produced in the United States, in projects funded by an award under this grant program affecting surface transportation, including roadways, bridges, railroads, and transit; aviation; ports, including navigational channels; water resources projects; energy production, generation, and storage, including from fossil-fuels, renewable, nuclear, and hydroelectric sources; electricity transmission; gas, oil, and propane storage and transmission; electric, oil, natural gas, and propane distribution systems; broadband internet; pipelines; stormwater and sewer infrastructure; drinking water infrastructure; and cybersecurity. Notwithstanding this encouragement, non-federal entities must take care that all procurements and contract actions are consistent with law, this Manual and applicable appendices, -200.326.
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Program Appendix G:Port Security Grant Program (PSGP) As a reminder, while this appendix contains PSGP-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the PSGP. Please be sure to read the main content of this Manual in addition to the program-specific appendices.PSGP grant recipients and subrecipients may only use PSGP grant funds for the purposes set forth in the Notice of Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award. These grant funds may not be used for matching funds for other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity.PSGP Funding GuidelinesCosts charged to a PSGP award must be consistent with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, located at 2 C.F.R. Part 200. For more information on 2 C.F.R. Part 200, please visitInformation Bulletin (IB) 400implementation of these provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations, see 2 CFR Grants Management Policy Updates | FEMA.govand www.performance.gov/CAP/grants/.PSGP PrioritiesSee the annual PSGP NOFO.Limitations on FundingAs part of the PSGP application process, applicants must complete the approved Investment Justification (IJ) templateprovided addressing each initiative being proposed for funding. A separate IJ should be submitted for each proposed project which should represent the complete scope of work and materials required to achieve a single overall capability. For example, a project could be to procure a boat specifically designed and equipped as chemical, biological, radiological, nuclear and explosives(CBRNE) detection, prevention, response, and/or recovery platform. The IJ for this example project should include the CBRNE equipment in the same IJ as the vessel.In accordance with 46 U.S.C. § 70107(b)(2), PSGP funding for projects for the cost of acquisition, operation, and maintenance of security equipment or facilities to be used for security monitoring and recording, security gates and fencing, marine barriers for designated security zones, security-related lighting systems, remote surveillance, concealed video systems, security vessels, and other security-related infrastructure or equipment that contributes to the overall security of passengers, cargo, or crewmembers cannot exceed $1 million federal share per project.The $1 million per project limitation applies only to those projects funded under 46 U.S.C. § 70107(b)(2) and does not apply to projects funded under other provisions of Section 70107.
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Allowable Direct CostsSpecific investments made in support of the funding priorities discussed in the annual PSGP NOFO generally fall into one of the following six allowable expense categories:PlanningOperational ActivitiesEquipment and Capital ProjectsTraining and Awareness CampaignsExercisesManagement and AdministrationThe following provides guidance on allowable costs within each of these areas.PlanningPlanning activities address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Planning Priorities.PSGP funds may be used for the following types of planning activities:Development or updating of port wide risk mitigation plan (PRMP), including the conduct of port security vulnerability assessments as necessary to support plan update/developmentDevelopment and enhancement of security plans and protocols within the Area Maritime Security Plan (AMSP), PRMP, and the Business Continuity and Resumption of Trade Plans (BCRTP) in support of maritime security and risk mitigation planningMaterials required to conduct planning activities noted in this sectionTravel and per diem related to the professional planning activities noted in this sectionCoordination and information sharing with fusion centersOther port wide maritime security project planning activities, which emphasize the ability to adapt to changing conditions and be prepared to withstand, and recover from, disruptions due to emergencies with prior approval from FEMABackfill, overtime, hiring of part-time temporary personnel, and contractors or consultants to assist with planning activities. Copies of PSGP-funded plans must be made available to FEMA and the U. S. Coast Guard (USCG) upon request.Operational ActivitiesOperational Activities address the Soft Targets/Crowded Places; and Emergent Threat Priorities.Explosive Detection Canine Teams (EDCTs)Use of canines (K-9) for explosive detection is one of the most effective solutions for the detection of vehicle-borne IEDs. When combined with the existing capability of a port or ferry security/police force, the added value provided through the addition of a canine team is significant. EDCTs are a proven, reliable resource to detect explosives and are a key component in a balanced counter-sabotage program.Eligibility for funding of EDCTs is restricted to:U.S. Ferry Systems regulated under 33 C.F.R. Parts 101, 103, 104, and the passenger terminals these specific ferries service under 33 C.F.R. Part 105Maritime Transportation Security Act (MTSA) regulated facilities PSGP Appendix | February 2021 Page G-3
Port authorities, port police, and local law enforcement agencies that provide direct layered security for these U. S. Ferry Systems and MTSA-regulated facilities, and are defined in an AMSP, Facility Security Plan (FSP), or Vessel Security Plan (VSP)Applicants may apply for up to $450,000 ($150,000/year for three years) per award to support this endeavor. At the end of the grant period (36 months), recipients will still be responsible for continuing the heightened level of capability provided by the EDCT. A sustainment plan must be submitted with the -month period beyond the period of performance of the award.Eligible EDCT CostsFunds for these EDCTs may not be used to fund drug detection and apprehension technique training. Only explosives detection training for EDCTs will be funded. The PSGP EDCT funds may only be used for new or expanded capabilities/programs and cannot be used to pay for existing K-9 teams, personnel,or K-9 training costs already supported by the port area. Repair and replacement of existing EDCT equipment is allowed. Eligible costs include:Contracted K-9 and handler providing services in accordance with PSGP guidanceSalary and fringe benefits of new full- or part-time K-9 handler positionsTraining and certifications (travel costs associated with training for new or expanded full or part time agency handlers, and canines are allowable)K-9 and handler equipment costsPurchase and train a new K-9 and handler for CBRNE detectionK-9 maintenance costs including but not limited to veterinary, housing, and feeding costsIneligible EDCT costs include, but are not limited to:Hiring costs, including costs associated with initial police academy training of new officersMeals and incidentals associated with travel for initial certificationVehicles modified to be used solely to transport caninesRepair or replacement of unallowable equipmentEDCT CertificationEach EDCT, composed of one dog and one handler, must be certified by an appropriate, qualified organization. K-9 and handler should receive an initial basic training course and weekly maintenance training sessions thereafter to maintain the certification. The basic training averages ten weeks for the canine team (K-9 and handler together) with weekly training and daily exercising. Comparable training and certification standards, such as those promulgated by the Transportation Security Administration (TSA) Explosive detection canine program, the National Police Canine Association (NPCA), the U.S. Police Canine Association (USPCA), or the International Explosive Detection Dog Association (IEDDA) may be used to meet this requirement. Certifications and training records will be kept on file with the recipient and made available to FEMA upon request.EDCT Submission RequirementsSuccessful applicants will be required to submit an amendment to their approved VSP or FSP per 33 C.F.R. Parts 104 and/or 105 detailing the inclusion of a K-9 explosive detection program into their security measures. The recipient will ensure that a written plan or standard operating procedures (SOPs)exist that describe EDCT deployment policy to include visible and unpredictable deterrent efforts and on-call EDCTs rapid. The plan or SOPs must be made available to FEMA and USCG upon request.
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The recipient will comply with requirements for the proper storage, handling and transportation of all explosive training aids inPublication 5400.7 (ATF P 5400.7) (09/00), Federal Explosive Law and Regulations.Additional EDCT Resources Available for K-9 CostsThe PSGP, while providing the ability to defray some start-up costs, does not cover any recurring costs associated with EDCT programs. FEMA strongly encourages applicants to investigate their eligibility under other programs, and potential exclusions, when developing their K-9 programs.Organization CostsAllowable organization-related costs are limited to those activities associated with new and ongoing maritime security operations essential to the national priorities. All such activities must be focused exclusively on maritime security and coordinated with the local Captain of the Port (COTP). PSGP funding used for organizational costs will only fund immediate needs for personnel that will be directly engaged in maritime security activities. Allowable organization personnel costs include:Backfill, Overtime, Hiring of Full or Part-Time Personnel or Contractors/Consultants. Full or part-time staff or contractors/consultants may be hired to support training-related and/or maritime-security-related activities conducted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Salary and fringe benefit payments must be in accordance with the policies of the state or unit(s) of local government and have the approval of the state or awarding agency. Dual compensation is not allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. Limitations may apply for grant related activities. See specific guidance provided within this Manual for additional details on allowable organization costs (i.e., Training Personnel costs are limited to backfill and overtime).Hiring new, full-time personnel to:oOperate maritime security patrol vessels (first response agencies only)oStaff a new or expanded interagency maritime security operation centeroSupport maritime security/counterterrorism efforts in the local Joint Terrorism Task Force (JTTF) and/or fusion centeroSupport credentialing access to a MTSA facilityBackfill and Overtime costs for existing personnel to:oOperate patrol vessels in support of pre-planned, mission critical activities, as identified by the local COTP (not including routine patrol)oAttend approved maritime security training coursesPersonnel or contracted costs to:oInstall, repair, and replace port security equipment acquired with FEMA preparedness grant funds. Note this does not include routine maintenance, such as oil changes and daily/weekly systems tests. oManagement and administration (M&A) of projects funded under this programContracted costs to: oProvide approved training coursesoProvide warranty, maintenance, and service agreements for equipment purchased under this grantOrganization costs will only be funded to address port (or facility) security needs as outlined in the NOFOand this appendix. PSGP funding for new permanent or part-time personnel will not exceed the 36-month PSGP Appendix | February 2021 Page G-5
period of performance. Applicants must provide reasonable assurance that personnel costs can be sustained beyond the 36-month award period. A sustainment plan must be submitted with the -month period beyond the period of performance of the award.Equipment and Capital ProjectsEquipment and Capital Projects address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Equipment/Capital Projects Priorities.Equipment AcquisitionPSGP funds must comply with IB 426. PSGP funds may be used for the following categories of equipment. A comprehensive listing of allowable equipment categories and types is found in the DHS Authorized Equipment List (AEL).Requests for vehicles of any type are subject to secondary review and approval by the National Review Panel. These costs include:Personal Protective Equipment (PPE) for maritime security providers, such as ballistic protective body armor (not including uniforms)CBRNE response and remediation equipment for maritime security providers CBRNE decontamination equipment for direct maritime security providers and MTSA-regulated industry CBRNE detection-equipped patrol vehicles (not including armored personnel carriers or tow trucks),provided they will be used exclusively for port/facility CBRNE detectionsecurity operations. A CBRNE detection equipped patrol vehicle must include specifically identified, permanently mounted detection equipment. Mobile Command Centersonly when validated by the COTP as essential to address a specifically required capability outlined in the approved AMSP.CBRNE detection equipped and patrol watercraft vessel/small boat used to directly support maritime security for a facility or within a Port Area on a routine basis (CBRNE detection equipment requested with the watercraft/small boat in the IJ must be listed and also detailed in the budget). However, a vessel is not required to be CBRNE equipped.Marine firefighting vessels, provided they are outfitted with CBRNE detection equipment and are designed and equipped to meet NFPA 1925: Standard on Marine Fire-Fighting VesselsFirefighting foam and Purple-K Powder (PKP) may be purchased by public fire departments thathave jurisdictions in a port area and would respond to an incident at an MTSA regulated facility. MTSA facilities may also receive funding for this purpose. Funding will be limited to a one-time purchase based on a worst-case incident at the facility or facilitiesInformation-sharing technology; components or equipment designed to share maritime security risk information and maritime all-hazards risk information with other agencies (equipment must be compatible with generally used equipment)Maritime security risk mitigation interoperable communications equipmentTerrorism incident prevention and response equipment for maritime security risk mitigationPhysical security enhancements, to include TWIC projects (e.g., card readers, fences, blast resistant glass, turnstiles, hardened doors and vehicle gates) at maritime facilitiesPortable fencing, closed-circuit televisions (CCTVs), passenger vans, mini-buses, etc. to support secure passage of vessel crewmembers through a MTSA regulated facilityEquipment in support of resiliency, such as interoperable communications, intrusion prevention/detection, physical security enhancements, and software and equipment needed to support essential functions during a continuity situation PSGP Appendix | February 2021 Page G-6
Generators with appropriate capability (size) to provide back-up power to systems and equipment that support Maritime Domain Awareness (not including routine operational capabilities):oAccess control equipment and systemsoDetection and security surveillance equipmentoEnhancement of Command and Control facilitiesEquipment for new personnel, such as personal protective equipment, is an allowable expense. Weapons and equipment associated with weapons maintenance/security (e.g., firearms, ammunition, and gun lockers) are not allowable.Recipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.Requirements for Small Unmanned Aircraft SystemsAll requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with IB 426and also include a description of the policies and procedures in place to safeguard indiviprivacy, civil rights, and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.Acquisition and Use of Technology to Mitigate UAS (Counter-UAS)In August 2020, FEMA was alerted of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission: https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-technologies. The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS). The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially available product compliance with those laws. The advisory does not address state and local laws nor potential civil liability, which UAS detection and mitigation capabilities may also implicate. It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendorsrepresentations of the systemslegality or functionality. Please also see the DHS press release on this topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use-technology-detect-and-mitigate-unmanned-aircraft. Sonar DevicesThe four types of allowable sonar devices are: imaging sonar, scanning sonar, side scan sonar, and three-dimensional sonar. These types of sonar devices are intended to support the detection of underwater improvised explosive devices and enhance maritime domain awareness. The eligible types of sonar, and short descriptions of their capabilities, are provided below:1)Imaging Sonar: A high--of view. The sonar system can be pole-mounted over the side of a craft or hand-carried by a diver.2)Scanning Sonar: Consists of smaller sonar systems that can be mounted on tripods and lowered to the bottom of the waterway. Scanning sonar produces a panoramic view of the surrounding area and can cover up to 360 degrees.
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3)Side Scan Sonar: Placed inside a shell and towed behind a vessel. Side scan sonar produces strip-like images from both sides of the device.4)Three-Dimensional Sonar: Produces 3-dimensional imagery of objects using an array receiver.Maritime Domain Awareness Maritime domain is defined as ll areas and things of, on, under, relating to, adjacent to, or bordering on a sea, ocean, or other navigable waterway, including all maritime-related activities, infrastructure, people, Homeland Security Presidential Directive-13 (NSPD-41/HSPD-13) (Maritime Security Policy, December 21, 2004). According to the National Plan to Achieve Maritime Domain Awareness for the National Strategy for Maritime Security (Oct. 2005), Maritime Domain Awareness (MDA) is the effective understanding of anything associated with the global maritime domain that could impact the security, safety, economy, or environment of the United States. MDA is a key component of an active, layered maritime defense in depth. It will be achieved by improving our ability to collect, fuse, analyze, display, and disseminate actionable information and intelligence to operational commanders.Id.at ii. Applicants are encouraged to familiarize themselves with this National Strategy.Improvised Explosive Device (IED) and CBRNE Prevention, Protection, Response, Recovery CapabilitiesPort areas should continue to enhance their capabilities to prevent, detect, respond to and recover from terrorist attacks employing IEDs, CBRNE devices, and other non-conventional weapons. Please refer to DHS Small Vessel Security Strategy (Apr. 2008).Physical SecurityPhysical security is security measures that are designed to deny unauthorized access to facilities, equipment, and resources and to protect personnel and property from damage or harm (such as espionage, theft, or terrorist attacks). Physical security involves the use of multiple layers of interdependent systems and techniques. Physical security has been a focus of PSGP since the programinception in 2002. Primarily, physical security is intended to harden MTSA-regulated facilities against attacks. Law enforcement may contribute to physical security through patrols; however, patrol vessels generally enhance multiple core capabilities with a focus on CBRNE detection, deterrence, and response. Funding through PSGP for physical security projects should be only directed toward those projects that address identified MTSA required activities and identified in the entity FSP and/or the port area AMSP. Some examples of funded projects include TWIC-related equipment, fencing, lighting, gates, and CCTV.Cybersecurity ProjectsPSGP funds may be used for projects that enhance the cybersecurity of:Access controls; Sensors; Security cameras; Badge/ID readers; Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems; Process monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.); andPassenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable).When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (the . The Framework PSGP Appendix | February 2021 Page G-8
gathers existing international standards and practices to help organizations understand, communicate, and manage their cyber risks. For organizations that do not know where to start with developing a cybersecurity program, the Framework provides initial guidance. For organizations with more advanced practices, the Framework offers a way to improve their programs, such as better communication with their leadership and suppliers about management of cyber risks.CISA) Critical Infrastructure Cyber Community C³ Voluntary Program also provides resources to critical infrastructure owners and operators to assist in adoption of the Framework and managing cyber risks. Additional information on the Critical Infrastructure Cyber Community C³ Voluntary Program can be found at www.cisa.gov/ccubedvp.DEnhanced Cybersecurity Services (ECS) program is an example of a resource that assists in protecting U.S.-Framework. Specifically, ECS offers intrusion prevention and analysis services that help U.S.-based companies and SLTT governments defend their computer systems against unauthorized access, exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat indicators from sensitive and classified Government Furnished Information (GFI). DHS then shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to block certain . Groups interested in subscribing to ECS must contract directly with a CSP in order to receive services. Please visit http://www.cisa.gov/enhanced-cybersecurity-services for a current list of ECS CSP points of contact.ybersecurity projects that span multiple eligible entities in multiple port areas. Such projects may be submitted within a primary Port Area for the project implementation. For example, an applicant in the Port of Houston may submit a hub and spoke project within the Houston/Galveston port area which includes system hardening throughout ti. Proportionally, costs associated with entities or subcomponents that are not covered under an AMSP and are not instrumental to enhancing maritime security must not be included in the detailed budget worksheet or investment justification and thereby prorating the cost of the project only to those facilities that are covered by the AMSP. Following the example noted above, the applicant may not include costs associated with cybersecurity of their non-maritime facilities, such as a non-MTSA regulated facility located in San Antonio. Hub and spoke projects are limited only to the enhancement of maritime security as outlined in this section and may not include non-maritime systems or facilities. Please clearly identify hub and spoke projects as such within your IJ and consult your COTP to verify project applicability to enhancing maritime security.Cybersecurity projects should address risks to the marine transportation system and/or Transportation Security Incidents (TSIs) outlined in the applicable AMSP or priorities prescribed under applicable FSP or VSP, as mandated under the MTSA or the PRMPs. At the port level, examples of cybersecurity projects include but are not limited to projects that enhance the cybersecurity of access control,sensors, security cameras, badge/ID readers, ICS/SCADA systems, process monitors and controls (such as those that monitor flow rates, valve positions, tank levels, etc.), security/safety of the ship-to-port-to-facility-to-intermodal interface, and systems that control vital cargo machinery at the ship/shore interface (such as cranes, manifolds, loading arms, etc.), and passenger/vehicle/cargo security screening equipment.Vulnerability assessments are generally not funded under PSGP. However, considering the evolving malicious cyber activity, the relative novelty of cybersecurity as a priority within the program, and the need to adopt best practices included in the voluntary Cybersecurity Framework, vulnerability PSGP Appendix | February 2021 Page G-9
assessments may be funded as contracted costs. Personnel costs (other than M&A) are not an allowable expense for conducting these assessments.CISA offers free resources to assist with initial assessments, please see https://www.cisa.gov/cyber-resource-hubfor additional information. Applicants are encouraged to utilize free resources prior to requesting funds under this program.Copies of completed cybersecurity assessments funded under PSGP that impact the maritime U.S.C. § 70101(6)), or are otherwise related to systems, personnel, and procedures addressed by the facility and vessel plan shall be made available to FEMA and/or the local COTP upon request. The results of these cybersecurity assessments may be designated as Sensitive Security Information (SSI) and may be used to inform national maritime cybersecurity assessments.Where a vulnerability assessment has been completed either through contracts or qualified personnel to identify existing gaps and required mitigation efforts, mitigating projects may be funded that include purchase of equipment, software, and infrastructure designed to harden cybersecurity. Specific questions on conducting vulnerability assessments should be referred to the respective FEMA Preparedness Officer.Capital (Construction) Projects GuidanceRecipients must obtain written approval from FEMA prior to the use of any PSGP funds for construction or renovation projects. Additionally, PSGP funding may not be used to construct buildings or other physical facilities that are not constructed under terms and conditions consistent with the requirements of section 611(j)(9) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. §5196(j)(9)) (the Stafford Act),3which requires compliance with the Davis-Bacon Act (codified as amended at 40 U.S.C. §§ 3141 et seq.) for PSGP funded projects. Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis-Bacon Act, including Department of Labor wage determinations, is available athttp://www.dol.gov/whd/govcontracts/dbra.htm.The following types of construction and renovation projects are allowable under PSGP, provided they address a specific vulnerability or need identified in AMSP or otherwise support the maintenance/sustainment of capabilities and equipment acquired through PSGP funding:Maritime Command and Control CentersInteragency Operations Centers (IOCs) for maritime securityPort Security Emergency Communications CentersBuildings to house generators that support maritime security risk mitigationMaritime security risk mitigation facilities (e.g., dock house, ramps, and docks for existing port security assets)Hardened security fences/barriers at access pointsAny other building or physical facility that enhances access control to the port/MTSA facility area3While theMaritime Transportation Security Act of 2002, as amended at 46 U.S.C. § 70107(b)(2), requires that suchactivities are carried out consistent with Section 611(j)(8) of theStafford Act, a subsequent amendment to theStaffordActby section 3 of Pub. L. No. 109-308 in 2006 redesignated the text of Section 611(j)(8) to 611(j)(9). The cross-reference in theMaritime Transportation Security Act of 2002has not been updated.
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PSGP funding may be used to purchase and/or upgrade a barge to support a staging area for maritime/port security patrols or maritime security risk mitigation responses. (Certain areas throughout the Nation may require a barge that can be permanently anchored or moored in certain areas to support maritime security risk mitigation activities.)To be considered eligible for funding, the construction of fusion centers, operations centers, or communications centers must offer a port wide benefit and support information sharing and operational coordination among regional interagency and other port security partners. Applicants are reminded that the period of performance is 36 months. Eligible costs for construction or renovation projects may not exceed $1 million (federal-share) per project, which may not exceed 10% of the total amount of the award, as stated in 46 U.S.C. § 70107(b)(2)(A) and (B) (Section 102 of the Maritime Transportation Security Act of 2002, Pub. L. 107-295, as amended). Grant recipients are not permitted to use PSGP funds for construction projects that are eligible for funding under other federal grant programs. PSGP funds may only be used for construction activities directly related to maritime security risk mitigation enhancements.All construction or renovation projects require Environmental Planning and Historic Preservation (EHP)review. The recipient is also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with the relevant Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects; compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, EHP Directive and Instruction, FEMA Directive 108-1, and FEMA Instruction 108-1-1,must also be identified to the FEMA HQ Preparedness Officer within the first six months of the award, regardless of the length of the period of performance. Completed EHP review materials for construction and renovation projects must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form, can be found online at:https://www.fema.gov/media-library/assets/documents/90195. EHP review materials should be sent to [email protected] and Awareness CampaignsTraining and Awareness Campaigns address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Training and Awareness Campaign Priorities. Training Port areas should assess their training and qualification requirements and coordinate training needs and qualification requirements of incident response personnel. Funding for personnel training is limited to those courses that are essential to enhance maritimesecurityand have been listed in the FEMA approved course catalog by the FEMA National Training and Education Division (NTED) or the USCG. Approved courses are listed in the following catalogs maintained by NTED: NTED Course Catalog,Federal Sponsored Course Catalog, and the State Sponsored Course Catalog. The catalogs may be viewed at http://www.firstrespondertraining.gov. A listing of courses that are currently approved for PSGP funding is included in the table below. Some training activities require EHP Review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training requirements and EHP review can be found online at: https://www.fema.gov/media-library/assets/documents/90195.Funding for training courses not listed in PSGP Appendix | February 2021 Page G-11
Table3may be permitted on a case-by-case basis depending on the specific maritime security risk mitigation training needs of the eligible PSGP applicant. In such cases, an applicant will be required to explain in the IJ why none of the approved courses referenced in Table3satisfy the identified training need and must submit detailed course information for review and consideration by the local COTP field review team and the Nation Review Panel. Further, in accordance with 46 U.S.C. § 70107(c)(2)(C), no cost share is required to train law enforcement agency personnel in the enforcement of security zones under section 46 U.S.C. § 70132 or assisting the enforcement of such security zones. Training denoted with an asterisk (*) in the table below is exempt from cost share only to train law enforcement agency personnel who enforce security zones. Additional training of law enforcement agency personnel may be exempt if specifically identified by the COTP as exempt and necessary for enforcement or the assistance of enforcement of security zones as specified by 46 U.S.C. § 70132. Requests that fail to include a cost share for training that is not exempt from cost share requirements as outlined in 46 U.S.C. § 70132 will not be considered for funded. Training for law enforcement agency personnel who do not provide enforcement of security zones are not exempt from cost share. Training rosters and certificates must be provided to FEMA upon request. Please consult your COTP prior to requesting cost share exempt training for enforcement of security zones. Refer to Section C.4 of the NOFO for moreworkshops with PSGP funding may be eligible for funding following the criteria set forth in the Table 3: Approved PSGP Training CoursesNational Training and Education DivisionCourse NumberCourse NameAWR-144Port and Vessel Security for Public Safety and Maritime PersonnelAWR-213Critical Infrastructure Security and Resilience AwarenessAWR-366-WDeveloping a Cyber Security Annex for Incident ResponseMGT-335Event Security Planning for Public ProfessionalsMGT-335-WEvent Security Planning for Public Professionals, Web BasedMGT-400Master of Arts Degree in Homeland SecurityMGT-425Homeland Security Executive Leaders Program (ELP)MGT-452Physical and Cybersecurity for Critical InfrastructureMGT-456Integration of Cybersecurity Personnel into the Emergency Management Operations Center for Cyber IncidentsPER-330The Surface Transportation Emergency Preparedness and Security for Mass Transit and Passenger Rail (STEPS-PT)PER-331Surface Transportation Emergency Preparedness and Security for Senior Officials or Administrators (STEPS Sr)Federal-SponsoredCourse NumberCourse NameDHS-006-PREVSeaport Security Anti-Terrorism Training Program (SSATP)DHS-011-PREVMaritime PRND Operations CourseDHS-016-PREVProtective Measures Training for Security Officers, Mid-Level Safety/Security Supervisors, and Property Managers*DHS-011-PROTNASBLA BOAT Tactical Operators Course*DHS-009-PROTBoat Operator's Anti-Terrorism Training PSGP Appendix | February 2021 Page G-12
DHS-126-RESP NASBLA BOAT Crew Member Course*DHS-128-RESP NASBLA - Pursuit and Stop CourseState-SponsoredCourse NumberCourse NameCA-006-PREV Maritime Company, Vessel, and Facility Security OfficerCA-007-PREV Basic Maritime Security AwarenessCA-008-PREV Basic First Responder Operational Maritime Security (FROMS)CA-015-RESP Maritime Facility Security OfficerCA-020-RESP WMD & Terrorism Awareness for Security ProfessionalsME-001-PROTMaritime Security Awareness for Military, First Responder and Law Enforcement PersonnelME-002-PROT Command Strategies and Tactics for Marine Emergencies*ME-003-PROT Tactical Boat Operations for Maritime Security and LE PersonnelME-002-RESP Emergency Medical Operations in the Maritime DomainNJ-003-PREV Government Agency Maritime Security Awareness Program (GAMSAP)NJ-015-PREV Security Awareness & Vigilance for EveryoneNY-001-PREV Maritime Infrastructure ProtectionNY-001-PROT Safe Boat Operators*NY-002-PREV Tactical Escorts and Security ZonesNY-002-PROT Pattern Line Search/Recovery CourseNY-004-RESP Vehicle Borne Improvised Explosive Device Security CheckpointExercisesExercise activities address the Soft Targets/Crowded Places; Cybersecurity; Emergent Threats; and Exercises Priorities. Exercises funded under the PSGP typically include Seminars, Workshops, Tabletop, Functional, Drills, and Full-Scale exercises. PSGP-funded exercises must have a maritime security focus and include applicable documentation, after action reports, and improvement plans. See below for additional information.Maritime entity training needs and qualification requirements of incident response personnel should be regularly tested through emergency exercises and drills. Exercises must test operational protocols that would be implemented in the event of a terrorist attack in the maritime environment in accordance with the Area Maritime Security Training Exercise Program (AMSTEP) or the TSA Intermodal Security Training Exercise Program (I-STEP) guidelines. AMSTEP or I-STEP exercises will follow the latest change in requirements contained in the Navigation and Inspection Circular (NVIC) 09-02. Exercises must be designed, developed and conducted consistent with the Homeland Security Exercise andEvaluation Program (HSEEP). Funding used for exercises will only be permitted for those exercises that are in direct support of a MTSA-regulated facility or a port aMTSA-required exercises (see33 C.F.R. § 105.220 for a facility and 33 C.F.R. § 103.515 for the AMSP). These exercises must be coordinated with the COTP and AMSC and be consistent with HSEEP. More information on HSEEP may be found athttps://www.fema.gov/emergency-managers/national-preparedness/exercises/hseep.Some exercise activities require EHP Review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training requirements and EHP review can be found online at https://www.fema.gov/media-library/assets/documents/90195.
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Recipients are required to submit an After-Action Report/Improvement Plan (AAR/IP) for each PSGP-funded exercise to [email protected], and the appropriate local COTP no later than 90 days after completion of the exercise conducted within the PSGP period of performance (POP). Recipients are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. Recipients are required to use the HSEEP AAR/IP template located athttps://preptoolkit.fema.gov/web/hseep-resources/improvement-planning.PSGP funds may be used for the following exercise activities:Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. This includes costs related to planning, meeting space, and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low-risk setting. Any shortcoming or gap identified, including those for children and individuals with disabilities or access and functional needs, should be identified in an effective corrective action program that includes development of improvement plans that are dynamic documents, with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle.Hiring of Full- or Part-Time Staff or Contractors/Consultants. Full- or part-time staff may be hired to support exercise-related activities. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Such costs must be included within the funding allowed for program management personnel expenses, which must not exceed 10% of the total allocation. Dual compensation is never allowable, meaning, in other words, that an employee of a unit of government may not receive compensation from his or her unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both entities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel that are the direct result of time spent on the design, development and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or the awarding agency, whichever is more restrictive. Dual compensation is never allowable.Travel. Domestic travel costs are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of exercise project(s). International travel costs are not permitted.Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., gloves, non-sterile masks, and disposable protective equipment).Other Items. These costs include the rental of space/locations for exercise planning and executing, rental of equipment, etc. Recipients are encouraged to use free public space, locations, or facilities, whenever available, prior to the rental of space, locations, or facilities. These also include costs that may be associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children and adults with disabilities.The National Exercise Program (NEP) serves as the principal exercise mechanism for examining national preparedness and measuring readiness. Recipients are strongly encouraged to nominate exercises into the NEP. For additional information on the NEP, please refer to http://www.fema.gov/national-exercise-program.
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Management and Administration (M&A)M&A costs are allowed under this program. M&A costs are activities directly related to managing and administering the award. Recipients may use up to 5% of the amount of the award for their M&A. PSGP funds may be used for the following M&A costs:Hiring full-time or part-time staff, including contractors and consultants, to execute the following:oManagement of PSGP award; oDesign and implementation of the PSGP submission meeting compliance with reporting/data collection requirements, including data calls;oInformation collection and processing necessary to respond to FEMA data calls;oTravel expenses related to PSGP grant administration; andoAcquisition of authorized office equipment, including personal computers or laptops for PSGP M&A purposes.Allowable Indirect CostsIndirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement.Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable.Unallowable CostsProjects that do not provide a compelling maritime security benefit or have a direct nexus toward maritime security risk mitigation are not permitted. For example, projects that are primarily for economic or safety benefit (as opposed to having a direct maritime security risk mitigation benefit) are ineligible for PSGP funding. In addition, projects that provide a broad homeland security benefit (e.g., a communication system or fusion center for an entire city, county, state, etc.) as opposed to providing primary benefit to the port are ineligible for PSGP funding since these projects should be eligible for funding through other preparedness grant programs. The following projects and costs are considered ineligible for award consideration:Grant funds must comply with IB 426and may not be used for the purchase of the following equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed; Projects in which federal agencies are the primary beneficiary or that enhance federal property, including sub-components of a federal agency; PSGP Appendix | February 2021 Page G-15
Projects that study technology development for security of national or international cargo supply chains (e.g., e-seals, smart containers, container tracking or container intrusion detection devices);Proof-of-concept projects;Development of training;Projects that duplicate capabilities being provided by the Federal Government (e.g., vessel traffic systems);Business operating expenses (certain security-related operational and maintenance costs are allowableseeTransportation Worker Identification Credential (TWIC) card fees;Reimbursement of pre-award security expenses;Outfitting facilities, vessels, or other structures with equipment or items providing a benefit rather than a direct security benefit. Examples of such equipment or items include but are not limited tooffice furniture, CD players, DVD players, AM/FM radios, TVs, stereos, entertainment satellite systems, entertainment cable systems and other such entertainment media, unless sufficient justification is provided. This includes weapons and associated equipment (i.e., holsters, optical sights, and scopes), including but not limited to, non-lethal or less-than-lethal weaponry including firearms, ammunition, and weapons affixed to facilities, vessels, or other structures;Expenditures for items such as general-use software, general-use computers, and related equipment (other than for allowable M&A activities, or otherwise associated) preparedness or response functions), general-use vehicles and licensing fees;Land acquisitions and right of way purchases;Funding for standard operations vehicles utilized for routine duties, such as patrol cars and fire trucks;Fuel costs (except as permitted for training and exercises);Exercise(s) that do not support maritime security preparedness efforts;Patrol vehicles and firefighting apparatus, other than those CBRNE detection equipped vehicles for port area and/or facility patrol or response purposes;Specialty vehicles such as trucks for towing boat trailers and armored personnel carriers;Providing protection training to public police agencies or private security services to support protecting VIPs or dignitaries;Aircraft pilot training, including aircraft operations such as aircraft ditch training;Post incident investigation training;Basic or advanced dive training (except marine unit CBRNE detection/response dive training);Training for personnel not primarily assigned to maritime security activities or MTSA required security personnel (e.g., vessel patrol officers, facility security officers); andReimbursement for the maintenance and wear and tear costs of general use vehicles (e.g., construction vehicles) and emergency response apparatus (e.g., fire trucks, ambulances, repair or cleaning of Personal Protective Equipment (PPE), etc.).Maintenance and Sustainment CostsThe use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased PSGP Appendix | February 2021 Page G-16
may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well. Grant funds are intended to support the National Preparedness Goal and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Fundingallows for the expansion of eligible maintenance and sustainment costs that must be in (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars.Port-Wide Risk Management PlansPort areas with existing PRMPs are encouraged to maintain their PRMPs and use them to identify projects that will serve to address remaining maritime security vulnerabilities. These ports are also encouraged to develop or maintain a BCRTP. For purposes of regional strategic and tactical planning, these plans must take into consideration all port areas covered by their AMSP, align with the port areas AMSP, consider the entire port system strategically as a whole, and identify actions designed to resources. Additional Port Security ResourcesU.S. Department of rants for National Infrastructure Investments may include funding to support roads, bridges, transit, rail, ports or intermodal transportation, see https://www.transportation.gov/BUILDgrantsCybersecurity assessments may be available via CISA, see https://www.cisa.gov/cyber-resource-hubSample Memorandum of Understanding/Agreement (MOU/MOA)The sample MOU/MOA below demonstrates all of the elements required in the PSGP NOFO for acceptance for review as part of a grant application from a state or local agency providing security services to MTSA-regulated entities.
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Memorandum of [Understanding / Agreement] Between [provider of layered security] and [recipient of layered security] 1.PARTIES. The parties to this Agreement are the [Provider of Layered Security] and the [Recipient of security service]. 2.AUTHORITY. This Agreement is authorized under the provisions of [applicable Area Maritime Security Committee (AMSC) authorities and/or other authorities]. 3.PURPOSE. The purpose of this Agreement is to set forth terms by which [Provider of security service] shall expend Port Security Grant Program project funding in providing security service to [Recipient of security service]. Under requested PSGP grant, the [Provider of security service] must provide layered security to [Recipient of security service] consistent with the approach described in an approved grant application. 4.RESPONSIBILITIES: The security roles and responsibilities of each party are understood as follows: (1) [Recipient of security service] Roles and responsibilities in providing its own security at each MARSEC level (2) [Provider of security service] [-An acknowledgement by the facility that the applicant is part of their facility security plan.] [-The nature of the security that the applicant agrees to supply to the regulated facility (waterside surveillance, increased screening, etc.).] [-Roles and responsibilities in providing security to [Recipient of security service] at each MARSEC level.]5.POINTS OF CONTACT. [Identify the POCs for all applicable organizations under the Agreement; including addresses and phone numbers (fax number, e-mail, or internet addresses can also be included).] 6.OTHER PROVISIONS. Nothing in this Agreement is intended to conflict with current laws or regulations of [applicable State] or [applicable local Government]. If a term of this agreement is inconsistent with such authority, then that term shall be invalid, but the remaining terms and conditions of this agreement shall remain in full force and effect. 7.EFFECTIVE DATE. The terms of this agreement will become effective on [EFFECTIVE DATE]. 8.MODIFICATION. This agreement may be modified upon the mutual written consent of the parties. 9.TERMINATION. The terms of this agreement, as modified with the consent of both parties, will remain in other party may terminate this agreement. APPROVED BY: Organization and Title EMPG Program Appendix | February 2021 Page H-1
Program Appendix H:Emergency Management Performance Grant ProgramAs a reminder, although this appendix contains Emergency Management Performance Grant (EMPG)Program-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the EMPG Program. Please be sure to read the main content of this Manual in addition to the program-specific appendices.Alignment of the EMPG Program to the National Preparedness SystemThe EMPG Program contributes to the implementation of the National Preparedness System by supporting the building, sustaining, and delivery of core capabilities. Core capabilities are essential for the execution of critical tasks for each of the five mission areas outlined in the National Preparedness Goal (the Goal). The EMPG Programre capabilities across the Prevention, Protection, Mitigation, Response, and Recovery mission areas described in the Goal. FEMA requires recipients to prioritize grant funding to demonstrate how EMPG Program-funded investments support closing capability gaps or sustaining capabilities identified in the Threat and Hazard Identification and Risk Assessment (THIRA)/Stakeholder Preparedness Review (SPR) process and other relevant information sources, such as: 1) after-action reports (AARs) following exercises or real-world events; 2) audit and monitoring findings; 3) Hazard Mitigation Plans; and/or 4) other deliberate planning products. In advance of issuing the FY 2021 EMPG Program awards, FEMA Regional Administrators will identify regional priorities based on theirmanagement needs and will share those priorities with the states and territories within their region. The final priorities will be identified and mutually agreed to by the state or territory and Regional Administratorthrough a collaborative negotiation process. Ideally, all EMPG Program-funded projects, as outlined in the approved FY 2021 EMPG Program Work Plan, will support the priorities identified through thiscollaborative approach. See EMPG Program Work Plansection for additional guidance.FEMA continues to emphasize capabilities that address the greatest risks to the security and resilience of the United States. When applicable, funding should support deployable assets that can be used anywhere in the Nation through automatic assistance and mutual aid agreements, including, but not limited to, the Emergency Management Assistance Compact (EMAC). The EMPG Program supports investments that improve the ability of jurisdictions nationwide to: Prevent a threatened or an actual act of terrorism;Protect our citizens, residents, visitors, and assets against the greatest threats and hazards;Mitigate the loss of life and property by lessening the impact of future disasters;Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; orRecover through a focus on the timely restoration, strengthening, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by a catastrophic incident.
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The core capabilities contained in the Goal are highly interdependent and require the use of existing preparedness networks and activities to improve training and exercise programs, innovation, and appropriate administrative, finance, and logistics systems.Implementation of the National Preparedness SystemIdentifying and Assessing Risk and Estimating Capability RequirementsBy December 31, 2021, recipients are required to complete a THIRA/SPR that addresses all 32 core capabilities and is compliant with Comprehensive Preparedness Guide (CPG) 201, Third Edition. Specific guidance on the requirements for each core capability will be forthcoming in 2021, as some core capabilities have fewer reporting requirements than others. Building on the requirement implemented in 2020, recipients must respond to a series of planning-related questions as part of the THIRA/SPR process. Recipients are required to submit a THIRA every three years to establish a consistent baseline for assessment. Although the THIRA will be only required every three years, recipients will continue to be required to submit an SPR annually. For additional guidance on the THIRA/SPR, please refer toComprehensive Preparedness Guide (CPG) 201, Third Edition. Reporting:In each EMPG Program Biannual Strategy Implementation Report (BSIR), as part of programmatic monitoring, the recipient is required to describe how expenditures support closing capability gaps or sustaining capabilities identified in the THIRA/SPR process. EMPG Program recipients will, on a project-by-project basis, check one of the following:oBuilding a capability with EMPG Program funding; oroSustaining a capability with EMPG Program funding.Building and Sustaining Core CapabilitiesRecipients must describe how proposed EMPG Program-funded projects will close capability gaps or sustain capabilities identified through the THIRA/SPR process or other relevant information sources that identify capability needs. See EMPG Program Work Plansection for additional guidance and requirements.National Incident Management System (NIMS) ImplementationEMPG Program recipients and subrecipients are required to implement NIMS. EMPG Program funds may be used to meet the requirements described in the NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions. This document should be used as a guide for both identifying NIMS implementation objectives and needs and as a tool for evaluating NIMS compliance. NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness System. EMPG Program recipients must use standardized resource management concepts for resource typing, credentialing, and an inventory to facilitate the effective identification, dispatch, deployment, tracking, and recovery of resources.National Qualification System (NQS)EMPG Program recipients are strongly encouraged to implement components of the NQS and may use theirEMPG Program funds to support NQS implementation efforts. Beginning in FY 2022, FEMA intends to EMPG Program Appendix | February 2021 Page H-3
make the implementation of NQS a requirement of award for EMPG Program funding. Jurisdictions should achieve, or work toward achieving, each of the activities listed below. The activities that support NQSimplementation include:Ensuring that incident personnel qualifying for a position meet the minimum training requirements from the Job Title/Position Qualification for that position. All of the NIMS resource typing definitions and job title/position qualifications can be downloaded from the Resource Typing Library Tool(RTLT).Developing organizational qualification procedures in alignment with the NIMS Guideline for the National Qualification System (NQS). These procedures include:oQualification, certification, and credentialing processes for incident management and emergency management personnel. oQualification review board, or equivalent review processes for incident management and emergency management personnel qualifications.oIndividual and team coach and evaluation processes for incident management and emergency management personnel qualifications.Conducting exercises in accordance with the Homeland Security Exercise and Evaluation Program.Data collection methods of the implementation of the NQS include the following:Ways that the NIC is tracking collecting data on NQS:NIMS SurveyUnified Reporting Tool questionsNIMS Regional Coordinator Program Guide that allows NIMS Regional Coordinators to review state NIMS programsReporting:Recipients will answer questions in the applicable secondary NIMS assessment portion of the Unified Reporting Tool (URT) as part of a juriss THIRA/SPR submission. This involves reporting on the status of the qualification system used within the jurisdiction and sub-jurisdictions, as outlined in the EMPG Program Notice of Funding Opportunity (NOFO).Reporting will also be through a review by the FEMA Regional NIMS Coordinators during annual technical assistance visits with the states, tribes, and territories within their regions.Logistics PlanningDistribution Management PlansContinuing the mandate from 2020, EMPG Program recipients are required to develop and maintain a Distribution Management (DM) plan as an annex to their existing Emergency Operations Plan (EOP). Comprehensive Preparedness Guide (CPG) 101provides guidance on the fundamentals of planning and development of Emergency Operations Plans. The FEMA Distribution Management Plan Guide (August 2019)provides information on how to develop the DM plan annex, key DM plan components, how to review and update a DM plan, and how FEMA reviews and evaluates the plans.The DM plan must be reviewed by recipients on an annual basis and updated as necessary by September 30of each year. A question in the URT under the CPG 101 captures whether a jurisdiction has developed and incorporated a DM plan in its EOP.The DM plan should focus on the distribution of commodities and supplies such as food, water, generators and tarps to survivors following a disaster EMPG Program Appendix | February 2021 Page H-4
The DM plan should address strategies/plans for the following:oRequirements DefiningoResource OrderingoDistribution MethodsoInventory ManagementoStaging AreasoTransportationoDemobilizationFEMA Regional Logistics Branch will work with EMPG Program recipients to provide technical assistance during the development and maintenance of their DM plans, and to ensure all recipients have effective DMplans capable of integrating with federal, NGOs, private sector, and state, local, tribal, and territorialstakeholders during major disasters. Recipients should refer to the following for additional guidance:Information Bulletin (IB) 442,Guidance on Distribution Management Plans for the Fiscal Year2019 Emergency Management Performance Grants ProgramAdditional Logistics Planning ResourcesFEMA recommends that EMPG Program recipients use the following resources in developing their DM plan. To learn more about these programs and documents, or for any questions, please contact the Logistics Section Chief from your FEMA Region.The Logistics Capability Assessment Tool 2 (LCAT2) Flyer:The LCAT2 Flyer provides anoverview of the LCAT2, how it is beneficial, how the LCAT process works, and how to obtain anLCAT2.Points of Distribution (PODs) Training: FEMA Logistics developed a comprehensive PODtraining to assist states in developing actionable emergency distribution plans and understandingassociated challenges. Additional information, including an explanatory DVD, POD guide, andhttps://training.fema.gov/is/courseoverview.aspx?code=IS-26.Interagency Logistics (IL) Training: This basic IL training course familiarizes participants withthe IL concepts of planning and response. The course also provides an overview of IL Partnerdisaster response organizations, discusses parameters for logistics support coordination, and createsa whole community forum to exchange the best logistics practices. Recipients may find moreinformation on the course by visiting: https://training.fema.gov/emigrams/2018/1439%20-%20training%20opportunity%20-%20l8540%20basic%20interagency%20logistics%20fy19.pdf?d=10/2/2018.Other Logistics Planning Resources: Recipients will find additional planning guidance at:Planning Guides | FEMA.gov. Specific to logistics planning, Comprehensive Preparedness Guide(CPG) 101, Version 2.0provides guidance on how to incorporate logistics into EOPs. Additionally,the Supply Chain Resilience Guideprovides emergency managers with recommendations and bestpractices on how to analyze local supply chains and work with the private sector to enhance supplychain resilience using a five-phased approach.Funding for Critical Emergency Supplies Critical emergency suppliessuch as shelf stable products, water, and basic medical suppliesare an allowable expense under the EMPG Program. Each state-year viable inventory management plan prior to allocating grant funds for stockpiling purposes. The inventory EMPG Program Appendix | February 2021 Page H-5
management five-year plan should include a distribution strategy and related sustainment costs if the grant expenditure is more than $100,000.ReportingAnnual DM plan reviews will be reported in the Periodic Performance Report (PPR) for the quarter ending September 30 of the most recently awarded EMPG Program. Reviews that result in an update must be submitted to the regional grants division director or EMPG Program manager for review by regional logistics staff. The Regional Logistics Staff will review and rate the plans using the FEMA Distribution Management Plan Guide, August 2019.Evacuation PlanningEMPG Program recipients should review and update their EOP at least once every two years in accordance with Comprehensive Preparedness Guide (CPG) 101 v2, Developing and Maintaining Emergency Operations Plans. Recipients are highly encouraged to include an evacuation plan or annex as part of their EOP as well as plans to exercise and validate the evacuation plan and capabilities. At a minimum, recipients considerations, and other FEMA documents related to evacuation planning, when developing their own Evacuation Plan or Annex. See National Response Framework(NRF), Third Edition (June 2016) and NRF Mass Evacuation Incident Annex(June 2008). Additional National Preparedness resources are available at: National Preparedness | FEMA.govand Planning Guides | FEMA.gov. Specific to evacuation planning, the Evacuation and Shelter in Place Guidanceidentifies relevant concepts, considerations, and principles that can inform jurisdictions in planning for evacuation and/or shelter-in-place protective actions.Disaster Housing PlanningState-Led Disaster Housing Task Force Based on lessons learned from recent disasters, FEMA strongly encourages EMPG Program recipients to establish a State-Led Disaster Housing Task Force (SLDHTF) plan as part of their EOP or as a standalone document and update their plan at least once every two years. SLDHTFs lead and coordinate state, local, private sector, and community-based actions to assess housing impacts, identify appropriate post-disaster housing options, and establish processes for expediting post-disaster housing delivery. SLDHTF plans should clearly identify the roles, responsibilities, composition, and mobilization procedures for the SLDHTF, and how the SLDHTF integrates into the incident command structure. To have a successful SLDHTF plan, FEMA encourages recipients to:Complete the State Housing Strategy Template; and Establish a State Disaster Recovery Coordinator.State Housing Strategy TemplateEMPG Program recipients are strongly encouraged to update their State Housing Strategy using the State Housing Strategy Template provided by FEMA Individual Assistance (IA) as part of their EOP or as a standalone document. In addition to the State Housing Strategy Template, recipients are encouraged to define and emphasize sheltering, short term, and permanent housing planning.The State Housing Strategy Template helps states identify priorities and document critical, jurisdiction-specific processes and procedures to promote an efficient disaster housing mission. The template walks recipients through the following planning considerations as seen in the table below.
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Table 4: State Housing Template Sections and Planning ConsiderationsTemplate SectionPlanning ConsiderationsSLDHTF Plan OrganizationParticipant inclusion, approaches for various types of housing disasters, available materials, available assistance programs, and sources for surge staffingHousing BackgroundIdentifying a challenges, and known risksSheltering Phase StrategyIdentifying planning leads, current resources, timeline, key partners, cross-jurisdictional agreements, and other risksInterim Housing StrategyIdentifying planning leads, current resources and capabilities, known areas of difficulty, key partners, relocation strategies, and risksPermanent Housing StrategyIdentifying planning leads, long-term housing needs and prioritizations, current resources and capabilities, known areas of implementation challenges, relocation strategies, and risksPre-Disaster ActivitiesCreating communication plans, survivor transition plans, mitigation plans, and program closeout goalsPost-Disaster ActivitiesPrioritizing disaster housing recovery activities, creating timelines for project completion, documenting planned actions for assessing the availability of affordable housing resources and expediting the delivery of housing by expediting permitting and waiver processes, establishing an information sharing method, creating an Environmental and Historical Preservation (EHP) strategy, identifying potential locations for Manufactured Housing Units and Recreational Vehicles, and identifying available federal disaster housing assistanceState-Administered Direct Housing Implementation FEMA encourages states to develop the capacity to administer FEMA Direct Housing Assistance through a reimbursable Inter-Governmental Service Agreement (IGSA). Under this arrangement, FEMA determines ing options and makes all determinations regarding of approved Direct Housing Options to ensure compliance with federal environmental, historic preservation, and floodplain management requirements as well as program conditions specified within the IGSA. States that choose to administer Direct Housing Assistance through an IGSA are required to develop a Direct Housing Administrative Plan and are encouraged to establish pre-placed contract to support the delivery of direct housing. Any pre-placed contract would need to comply with applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. For more information, regarding Direct Housing Assistance, please refer to the Individuals and Households Unified Guidance available at https://www.fema.gov/assistance/individual/program-policy-guide. Disaster Housing ExercisesRecipients are encouraged to exercise and validate their long-term sheltering and housing stabilization plans as part of an existing exercise program. This includes:Validating the organizational structure of the Housing Task Force and internal readiness capabilities to address post-disaster housing recovery issues or administer FEMA Direct Housing Assistance under an IGSAValidating disaster housing communication plans and procedures that coordinate and integrate the activities and information generated by internal/external partners EMPG Program Appendix | February 2021 Page H-7
Validating data systems, security, and exchange protocolsValidating planned actions and milestones transitioning from emergency sheltering to temporary housing to permanent housing and long-term recoveryAdditional Disaster Housing Planning ResourcesRecipients are encouraged to review the planning guidance available at Planning Guides | FEMA.gov. The Planning Guides page includes: Planning Considerations: Disaster Housing Guidance for State, Local, Tribal and Territorial Partners (May 2020), which supplements Comprehensive Preparedness Guide (CPG) 101: Developing and Maintaining Emergency Operations Plans. It provides guidance on national housing priorities, types of housing, key considerations and housing-specific planning recommendations for state,local, tribal and territorial (SLTT) jurisdictions to use, in conjunction with the Six-Step Planning Process described in CPG 101, to develop or improve disaster housing plans.State Disaster Recovery Coordinator ThePre-Disaster Recovery Planning Guidehelps states prepare for recovery by developing pre-disasterrecovery plans that follow a process to engage members of the whole community, develop recovery capabilities, and create an organizational framework for recovery efforts. FEMA strongly recommends that EMPG Program recipients include pre-disaster recovery planning as part of their State Readiness and Preparedness efforts by establishing a State Disaster Recovery Coordinator (SDRC). An effective pre-disaster recovery plan and process is crucial to help recipients prepare for major disaster incidents and recover effectively. Recipients are encouraged to use the Pre-Disaster Recovery Planning Guideto help inform their identification and establishment of a SDRC. The SDRC position should be included in the State Administrative Plan with the following responsibilities:Develop the pre-disaster recovery plan, including state-level leadership and structure, formation of communication channels, multi-agency coordination, and building whole-community partnerships to support recovery efforts.Set the stage for necessary strategic, operational, and tactical post-disaster planning, actions, and processes.Maximize impact of federal, private sector, and nongovernmental dollars to enable recovery and resilience.Accelerate the delivery of resources, including funding and technical assistance, to disaster-impacted communities.Enable state leadershiDisaster Financial Management Policies and ProceduresLessons learned from recent hurricane seasons and wildfires demonstrate the need for impacted jurisdictions to improve their ability to immediately track and account for disaster costs. Disaster financial management includes policies and procedures that work to recover expenses pertaining to damage, emergency protective measures, and debris management during and after a disaster. These policies and procedures include, but are not limited to, those supporting eligible contract costs and force account labor, materials, and equipment.State Administrative PlanFEMA strongly recommends that EMPG Program recipients include disaster financial management planning as part of their State Administrative Plan. An effective disaster financial management plan and process is crucial to help recipients prepare for declarations of emergencies or major disasters and plan for EMPG Program Appendix | February 2021 Page H-8
reimbursement. Table 5 details the processes that should be included in the State Administrative Plan and recommendations on where they should be placed.Table 5: State Administrative Plan GuidanceState Administrative Plan Section RecommendationsProcessesSection V Part D: Project Funding and ReimbursementSection V Part G: Records and ReportsA process to ensure subrecipients are tracking and documenting disaster costs necessary for federalreimbursement, such as receipts, invoices, procurement documents, contracts, and insurance coverage/claimsSection V Part D: Project Funding and ReimbursementSection V Part G: Records and ReportsA process to document disaster cost operations such as labor, equipment, and materials that are allowable under federalrequirementsSection V Part D: Project Funding and ReimbursementA process to ensure that subrecipients are not receiving a duplication in benefitsSection IV Part B: Organization and StaffingA process to ensure pre-disaster contracts and procurement strategies are in place, if necessaryAdditionally, recipients are encouraged to use EMPG Program funds for training that develops, delivers, and exercises disaster financial management procedures. Disaster Financial Management ResourcesRecipients are encouraged to use the following resources to inform their disaster financial management planning efforts:State Administrative Plan Template:Recipients are recommended to use the State Administrative Plan templateplanning efforts. The template includes example structure and content as a model for states to create own Administrative Plan. Public Assistance Program and Policy Guide: The Public Assistance Program and Policy Guide (PAPPG)is a comprehensive, consolidated policy document for the Public Assistance program provides an overview of the Public Assistance program implementation process.Public Assistance Frequently Asked Questions and Guidance: Recipients are encouraged to view the Public Assistance Frequently Asked Questions and guidance found on the Public Assistance webpage to assist with disaster financial management planning efforts. The webpage provides information pertaining to documentation, Public Assistance grant funding eligibility, and hazard mitigation and can be found at https://www.fema.gov/assistance/public/policy-guidance-fact-sheets/job-aids-faqs.OIG Audit Tips:Recipients are recommended to consult the DHS OIG report, Audit Tips for Managing Disaster-Related Project Costs (OIG-17-120-D)for further assistance in documenting and accounting for disaster-related costs. This report is informed by OIG audit findings and can assist recipients in addressing issues that are frequent findings in disaster-related audits. Disaster Financial Management Guide:TheDisaster Financial Management Guideprovides guidance for state, local, tribal, and territorial partners on establishing and implementing sound disaster financial management practices.
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Training and ExercisesIntegrated Preparedness Plan (IPP)Recipients are expected to engage senior leaders and other whole community stakeholders to identifypreparedness priorities specific to training and exercise needs, which will guide development of a state/territory multi-year IPP. Similar to the EMPG Program Work Plan development process, these priorities should be informed by various factors, including jurisdiction-specific threats and hazards (i.e., the THIRA); areas for improvement identified by real-world events and exercises (i.e. AARs); external requirements such as state or national preparedness reports (i.e. SPRs), homeland security policy, and industry reports; and accreditation standards, regulations, or legislative requirements. Recipients mustdocument these priorities, in conjunction with the Work Plan development process, and use them to deploya schedule of preparedness events and activities in the IPP. Information related to IPPs and Integrated Preparedness Planning Workshops (IPPWs) can be found on the FEMA website at https://www.fema.gov/emergency-managers/national-preparedness/exercises/hseepandhttps://preptoolkit.fema.gov/.Recipients shall ensure that their EMPG Program Work Plans and IPPs align with and are complementary to one another and are used in tandem to support shared priorities for building and sustaining the capabilities. Recipients should use the same shared set of priorities in both their IPP and EMPG Program Work Plan, so that EMPG Program investments and projects help recipients implement the planning, training, and exercise activities in their IPPs and advance their IPP priorities. Tothis end, recipients should develop their IPPs and EMPG Program Work Plans together to create a planned, organized, and methodical approach for closing capability gaps over multiple years. This will help ensure that priorities for both the IPP and EMPG Program Work Plan are based on closing capability gaps documented in their THIRA/SPR and other relevant sources of information. For example, if a recipient selects Logistics and Distribution Management, Resilient Communications, and Housing as its priorities for its EMPG Program Work Plan, those should also be priorities in its IPP. Additionally, IPPs should include all planning, training, and exercise activities funded by the EMPG Program and included in EMPG Program Work Plans, as well as activities funded by other sources. This will ensure that recprojects, investments, and activities are concentrated, focused, and oriented towards closing gaps related to their top priorities, regardless of funding source.Validating Capabilities through ExercisesAll recipients are required to develop and maintain a progressive exercise program consistent with Homeland Security Exercise and Evaluation Program (HSEEP) guidance in support of the National Exercise Program (NEP). The NEP serves as the principal exercise mechanism for examining national preparedness and measuring readiness. The NEP is a two-year cycle of exercises across the nation that validates capabilities in all preparedness mission areas. The two-Strategic Priorities, established by the National Security Council, and informed by preparedness data from jurisdictions across the Nation. See Exercises | FEMA.govfor additional information.Although there are no minimum exercise requirements, FEMA Regional Administrators and State Emergency Management Directors will negotiate an exercise program that addresses the priorities and capability gaps identified through the collaborative work plan development process. These exercises must be included in the FY 2021 EMPG Program Work Plan submitted for regional approval and should also be included in the state/territoryIPP. See the EMPG Program Work Plansection for additional guidance.The NEP provides exercise sponsors the opportunity to receive exercise design and delivery assistance, tools and resources, enhanced coordination, and the ability to directly influence and inform policy and EMPG Program Appendix | February 2021 Page H-10
preparedness programs. If you have any questions or would like to request assistance through the NEP, please visit the NEP websiteor reach out to the NEP directly at [email protected] EMPG Program-funded exercise activities must be captured in the approved EMPG Program Work Plan.Recipients must have a current multi-year IPP that identifies preparedness priorities and activities. The current multi-year IPP must be submitted to [email protected] the regional EMPG Program manager before January 31stof each year. Recipients are encouraged to enter their exercise information into the Preparedness Toolkit at https://preptoolkit.fema.gov/. Recipients must submit AAR/IPs to [email protected] copy their regional EMPG Program f applicable). AAR/IPs must be submitted no later than December 31stof each year. For exercises conducted during the final quarter of a calendar year, submission of AAR/IPs must occur within 90 days of exercise completion. Regardless of conduct date, recipients are encouraged to submit AAR/IPs within 90 days after completion of the single exercise or progressive series. oRecipients are encouraged to submit AAR/IPs reflecting tabletop exercises that validate critical plans or those reflecting large-scale functional or full-scale exercises that took place at the state, territorial, tribal, or UASI level. Recipients are discouraged from submitting AAR/IPs specific to local jurisdictions which reflect drills.oIf a state, territory, or local jurisdiction has experienced a major disaster and they would like to request exemptions for a scheduled exercise, the recipient should send this request to its assigned FEMA Regional EMPG Program manager through the Quarterly Performance Progress Report. Exemptions will be reviewed on a case-by-case basis by the regional EMPG Program manager.oRecipients can access a sample AAR/IP template at https://preptoolkit.fema.gov/web/hseep-resources/improvement-planning. TrainingSimilar to the exercise guidance above, training activities should align to a current, Multi-Year IPP developed through an annual IPPW and build from training gaps identified in the THIRA/SPR and work plan development process. Further guidance concerning the IPP and the IPPW can be found at https://preptoolkit.fema.gov/web/hseep-resources/home. Training should foster the development of a community-oriented approach to emergency management that emphasizes engagement at the community level, strengthens best practices, and provides a path toward building sustainable resilience, all of which is included in the curriculum of the EMI Basic Academy. The EMI Basic Academy provides a foundational education in emergency management as a way for emergency managers to begin or advance their career. The goal of the Basic Academy is to support the early careers of emergency managers through a training experience combining knowledge of all fundamental systems, concepts, and practices of cutting-edge emergency management. EMPG Program funds used for training should support the nationwide implementation of NIMS. The NIMS Training Program establishes a national curriculum for NIMS and provides information on NIMS courses. Recipients are encouraged to place emphasis on the core competencies as defined in the NIMS Training Program. NIMS is also included in the curriculum of the EMI Basic Academy. The NIMS Training Program can be found at https://www.fema.gov/emergency-managers/nims/implementation-training.
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NIMS implementation requires jurisdictions to ensure that their incident personnel receive pertinent NIMS training in alignment with the NIMS Training Program. Jurisdictions report their NIMS implementation status of their jurisdiction and sub-jurisdictions, including the training of personnel, using the 2021 SPR.All EMPG Program-funded personnel are expected to be trained emergency managers. All EMPG Program-funded personnel shall complete eitherthe Independent Study courses identified in the Professional Development Series orthe National Emergency Management Basic Academy delivered either by EMI or at a sponsored state, local, tribal, territorial, regional or other designated location. Further information on the National Emergency Management Basic Academy and the Emergency Management Professional Program can be found at: https://training.fema.gov/empp/. A complete list of Independent Study Program Courses may be found at http://training.fema.gov/is.In addition to training activities aligned to and addressed in the IPP, all EMPG Program-funded personnel (including full- and part-time state, local, tribal, and territorial [SLTT] recipients and subrecipients) shall complete the following training requirements and record proof of completion:1)NIMS Training, Independent Study (IS)-100 (any version), IS-200 (any version), IS-700 (any version), and IS-800 (any version)4, AND;2)Professional Development Series (PDS) OR the Emergency Management Professionals Program (EMPP) Basic Academy listed in the chart below.Professional Development Series or Basic AcademyPDSProfessional Development SeriesBasic AcademyBasic Academy Pre-requisites and CoursesIS-120.a: An Introduction to ExercisesORIS-100 (any version): Introduction to theIncident Command SystemIS-230.d: Fundamentals of EmergencyManagementIS-700 (any version): National IncidentManagement System (NIMS)-An IntroductionIS-235.b: Emergency Planning IS-800 (any version): National ResponseFramework, An IntroductionIS-240.b: Leadership and Influence IS-230.d: Fundamentals of EmergencyManagementIS-241.b: Decision Making andProblem SolvingE/L101: Foundations of EmergencyManagementIS-242.b: Effective Communication E/L102: Science of DisastersIS-244.b: Developing and Managing VolunteersE/L103: Planning Emergency OperationsE/L104: Exercise DesignE/L105: Public Information & WarningThe EMI Basic Academyprovides this foundational Emergency Management education. To ensure the professional development of the emergency management workforce, the recipients must ensure a routine capabilities assessment is accomplished and an IPP is developed and implemented.4NIMS training courses IS-100, IS-200, IS-700, and IS-800 only need to be taken once to fulfill requirements. Also, previous versions of the IS courses are still considered as meeting the NIMS training requirement.
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Additional Training InformationPer FEMA Grant Programs Directorate Information Bulletin 432, Review and Approval Requirements for Training Courses Funded Through Preparedness Grants, issued on July 19, 2018, states, territories, tribal entities, and high-risk urban areas are no longer required to request approval from FEMA for personnel to attend non-DHS FEMA training as long as the training is coordinated with and approved by the state, territory, tribal, or high-risk urban area Training Point of Contact (TPOC) and falls within the FEMA FEMA will conduct periodic reviews of all state, territory, and urban area training funded by FEMA. These reviews may include requests for all course materials and physical observation of, or participation in, the funded training. If these reviews determine that courses are outside the scope of this guidance, recipients will be asked to repay grant funds expended in support of those efforts.For further information on developing courses using the instructional design methodology and tools that can facilitate the process, SAAs and TPOCs are encouraged to review the NTED Training Resource and Development Center (TRDC) website at https://www.firstrespondertraining.gov/frts/trdc/state. This online searchable catalog features a compilation of courses managed by the three primary FEMA training organizations: the CDP, EMI, and NTED. The catalog features a wide range of course topics in multiple delivery modes FEMA for federal, state, local, territorial, and tribal audiences. The catalog is located at http://www.firstrespondertraining.gov. ReportingAll EMPG Program-funded training activities must be captured in the approved EMPG Program Work Plan and should be included in the IPP. This includes training for which the only expenses are for overtime and/or backfill costs associated with emergency management personnel attending the training.Recipients must report their NIMS implementation status of their jurisdiction and sub-jurisdictions, including the training of personnel, in the applicable secondary NIMS assessment portion of the URT as part of their THIRA/SPR submission.Recipients must maintain proof of completion of training requirements.Trai: Web Forms is an electronic data management system built to assist SAA TPOCs and federal agencies to submit non-NTED training courses for inclusion in the State/Federal-Sponsored Course Catalog. The information collected is used in a two-step review process to ensure that the training programs adhere to the EMPG Programintent and the course content is sound and current. While reporting training activities through Web Forms is not required under the EMPG Program, the system remains available and can be accessed through the FEMA Toolkitto support recipients in their own tracking of training deliveries. Reviewing and Updating Planning Productsan annual basis to determine if they remain relevant or need to be updated. This review should be based on a current THIRA/SPR and utilize information gathered during the capability validation process. These reviews will provide a means to determine priorities, direct preparedness actions, and calibrate goals and objectives.
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Additional ConsiderationsStrengthening Governance IntegrationFEMA preparedness grant programs are intended to support the core capabilities across the five mission areas of Prevention, Protection, Mitigation, Response, and Recovery that are necessary to prepare for incidents that pose the greatest risk to the Nationto build and sustain an integrated network of national capabilities across all levels of government and the whole community. Disparate governance structures must be integrated and refined to ensure resources are targeted to support the most critical needs of a community based on risk-driven, capabilities-based planning. Strong and inclusive governance systems better ensure that disparate funding streams are coordinated and applied for maximum impact.FEMA requires that all governance processes that guide the allocation of preparedness grant funds adhere to the following guiding principles:Coordination of Investments: Resources must be allocated to address the most critical capability needs as identified in the SPR and coordinated among affected preparedness stakeholders.Transparency: Stakeholders must be provided visibility on how preparedness grant funds are allocated and distributed, and for what purpose. Substantive Local Involvement: The tools and processes that are used to inform the critical priorities, which FEMA grants support, must include local government representatives. At the state and regional levels, local risk assessments must be included in the overarching analysis to ensure that all threats and hazards are accounted for. Accountability: FEMA recognizes that unique preparedness gaps exist at the local level. Grant recipients are responsible for ensuring the effective use of funds to address those gaps and for maintaining and sustaining existing capabilities.Support of Regional Coordination: Inter/intra-state partnerships and dependencies at the state and regional levels, including those within metropolitan areas, must be recognized.Program Performance Reporting RequirementsPerformance Progress Reports (PPR)Recipients are responsible for providing performance reports to FEMA on a quarterly basis. As explained in the Standardized Programmatic Reportingsection below, the Quarterly PPRs must be based on the approved EMPG Program Work Plan and are due no later than 30 days after the end of the quarter.Although not mandatory, recipients are encouraged to use the updated EMPG Program Work Plan Template specifically the Grant Activities Outline to report on the status of planned project activities, any risks that may affect project progress or success, and updates to project schedules. The PPR (in the form of an updated Work Plan) shall be submitted in ND Grants. SeeEMPG Program Work Plansection for additional guidance.Programmatic Reporting Periods and Due DatesThe following reporting periods and due dates apply for the PPR:Reporting PeriodReport Due DateOctober 1 December 31 January 30 January 1 March 31 April 30 April 1 June 30 July 30 July 1 September 30 October 30 EMPG Program Appendix | February 2021 Page H-14
Standardized Programmatic Reporting for the EMPG ProgramThe EMPG Program Work Plan Template has been modified to standardize data collection, which enables improved analysis and reporting. The EMPG Program Work Plan includes eight components: (1) Grant Investment Strategy, (2) Budget Overview, (3) Grant Activities Outline, (4) Project Activities Outline, (5) Personnel Data Table, (6) Training Data Table, (7) Exercise Data Table, and (8) Detailed Budget. Baseline data on personnel, training, and exercises, as well as the Grant Activities Outline and Project Activities Outline, must be provided in the EMPG Program Work Plan at the time of application and will form the basis of the Quarterly PPR submissions.
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EMPG Program Funding GuidelinesAllowable CostsManagement and Administration (M&A)M&A activities are those defined as directly relating to the management and administration of EMPG Program funds, such as financial management and monitoring. It should be noted that salaries of state and local emergency managers are not typically categorized as M&A, unless the state or local EMA chooses to assign personnel to specific M&A activities.If the SAA is not the EMA, the SAA is not eligible to retain funds for M&A. M&A costs are allowable for both state and local-level EMAs. The state EMA may use up to 5% of the EMPG Program award for M&A purposes. In addition, local EMAs may retain and use up to 5% of the amount received from the state for local M&A purposes.Allowable Indirect CostsIndirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement.Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable. Whole Community Preparedness EMPG Program funds may be used to foster whole community preparedness for disasters and emergencies as stated in the 2018 2022 FEMA Strategic Plan, particularly Objective 1.3, Help People Prepare for Disasters. Recipients, and FEMA must learn from and work with a broad and inclusive base of stakeholders to understand the circumstances and challenges different groups of people face, particularly those who may have the hardest time in the aftermath of a disaster, such as the aging population and those with access and functional needs. By engaging these stakeholders, EMPG Program recipients can help FEMA develop and promote a suite of well-targeted solutions for individuals and communities to adopt. Recipients should coordinate preparedness initiatives with FEMA and whole community partners to efficiently apply federal funding to reach the goal of individual and community resilience. PlanningPlanning spans all five mission areas of the Goal and provides a methodical way to engage the whole community in the development of a strategic, operational, and/or community-based approach to preparedness. EMPG Program funds may be used to develop or enhance emergency management planning activities. Some examples include:
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Emergency Operations PlanMaintaining a current EOP that is aligned with guidelines set out in Comprehensive Preparedness Guide (CPG) 101: Developing and Maintaining Emergency Operations PlansModifying existing incident management and emergency operations plans Developing/enhancing large-scale and catastrophic event incident plansCommunications PlansDeveloping and updating Statewide Communication Interoperability Plans Developing and updating Tactical Interoperability Communications Plans Administrative PlansDeveloping/enhancing financial and administrative procedures for use before, during, and after disaster events in support of a comprehensive emergency management programWhole Community Engagement/PlanningDeveloping or enhancing mutual aid agreements/compacts, including required membership in EMACDeveloping/enhancing emergency operations plans to integrate citizen/volunteer and other NGOresources and participation Integrating program design and delivery practices that ensure representation and services for under-represented, diverse populations that may be more impacted by disasters, including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populationsResource Management PlanningDeveloping/enhancing logistics and resource management plansDeveloping/enhancing volunteer and/or donations management plansShelter and Evacuation PlanningDeveloping/enhancing sheltering and evacuation plans, including plans for alerts/warning, crisis communications, pre-positioning of equipment for areas potentially impacted by mass evacuations, and re-entryRecovery PlanningDisaster housing planning, such as creating/supporting a state disaster housing task force and developing/enhancing state disaster housing plansPre-event response, recovery, and mitigation plans in coordination with state, local, and tribal governmentsDeveloping/enhancing other response and recovery plansDeveloping recovery plans and preparedness programs consistent with the principles and guidance in the National Disaster Recovery Framework (NDRF) that will provide the foundation for recovery programs and whole community partnerships. Preparedness and pre-disaster planning were given special attention within the NDRF with specific guidance: Planning for a Successful Disaster Recovery(pages 63-70). For more information on the NDRF see National Disaster Recovery Framework | FEMA.gov.
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Continuity PlanningContinuity planning and operations are an inherent element of each core capability. Continuity operations increase resilience and the probability that organizations can perform essential functions. FEMA develops and promulgates Federal Continuity Directives (FCDs) to establish continuity program and planning requirements for executive departments and agencies and Continuity Guidance Circulars (CGCs) for SLTT governments, non-governmental organizations, and private sector critical infrastructure owners and operators. This direction and guidance assist in developing capabilities for continuing the essential functions of federal, state, local, tribal, territorial governmental entities as well as the public/private critical infrastructure owners, operators, and regulators enabling them.Presidential Policy 40, FCD 1, FCD 2, CGC 1, and CGC 2 outline the overarching continuity requirements and guidance for organizations and provide guidance, methodology, and checklists. For additional information on continuity programs, guidance, and directives, visit http://www.fema.gov/guidance-directivesandhttps://www.fema.gov/about/offices/continuity.Allowable continuity planning activities include the development of the following:Continuity of Operations (COOP) and Continuity of Government (COG) planning products for the continuance of essential functions and associated leadership;Risk-based needs assessments based on the THIRA to inform risk mitigation efforts to ensure the continuity of essential functions and associated leadership; andPublic and private sector outreach and messaging regarding continuity resilience benefits and strategies.OrganizationPer the Robert T. Stafford Disaster Relief and Emergency Assistance Act, Pub. L. No. 93-288, as amended, (42 U.S.C. §§ 5121-5207), EMPG Program funds may be used for all-hazards emergency management operations, staffing, and other day-to-day activities in support of emergency management, including hazard mitigation staffing of the State Hazard Mitigation Officer (SHMO) position; staffing CERT and Citizen Corps positions at the state and local levels to promote whole community engagement in all phases of emergency management; performing closeout activities on FEMA Disaster Assistance grants; staffing , and territorial levels; and supporting fusion center analysts who are directly involved in all-hazards preparedness activities as defined by the Stafford Act. Proposed staffing activities should be linked to accomplishing the activities outlined in the EMPG Program Work Plan. Recipients are encouraged to fund at least one dedicated Planner, Training Officer, and Exercise Officer. Personnel costs, including salary, overtime, compensatory time off, and associated fringe benefits, are allowable EMPG Program costs and must comply with 2 C.F.R. Part 200, Subpart E Cost Principles. Federal (and Mutual Aid) Emergency Response Official (F/ERO) Credentialing and ValidationThe following costs related to F/ERO credentialing and validation are allowable under the EMPG Program:Working group meetings and conferences relating to emergency responder credentialing and validation;Compiling data to enter into an emergency responder repository;Coordinating with other state, local, territorial, and tribal partners to ensure interoperability among existing and planned credentialing and validation systems and equipment; and EMPG Program Appendix | February 2021 Page H-18
Planning to incorporate emergency responder identity and credential validation into training and exercises.EquipmentAllowable equipment categories for the EMPG Program are listed in the Authorized Equipment List (AEL).Unless otherwise stated, equipment must meet all mandatory regulatory and/or FEMA-adopted standards to be eligible for purchase using these funds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Allowable equipment includes equipment from the following AEL categories:Personal Protective Equipment (PPE) (Category 1)Information Technology (Category 4)Cybersecurity Enhancement Equipment (Category 5)Interoperable Communications Equipment (Category 6)Detection Equipment (Category 7)Power Equipment (Category 10)Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Reference Materials (Category 11)CBRNE Incident Response Vehicles (Category 12)Physical Security Enhancement Equipment (Category 14)CBRNE Logistical Support Equipment (Category 19)Other Authorized Equipment (Category 21)In addition to the above, general purpose vehicles may be procured in order to carry out the responsibilities of the EMPG Program. If recipients have questions concerning the eligibility of equipment not specifically addressed in the AEL, they should contact their regional EMPG Program manager for clarification. Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, please reference 2 C.F.R. Part 200, including 2 C.F.R. §§ 200.310, 200.313, and 200.316. Also see 2 C.F.R. §§ 200.216, 200.471, and FEMA Policy #405-143-1regarding prohibitions on covered telecommunications equipment or services.In general, with exception of critical emergency supplies and the associated inventory management plan, equipment included in the AEL may be purchased without separate approval from FEMA. However, as with all grant-funded activities, the equipment purchase must be well justified and reasonable. Furthermore, the purchase must be supported by the approved Work Plan. If the equipment is not clearly supported by the approved work plan, the recipient must seek advance approval from the applicable FEMA Regional Grant Program Officeprior to purchasing the equipment, and an updated Work Plan may be required.FEMA will consider requests to purchase equipment that is not listed in the AEL on a case-by-case basis. Such requests should be submitted in writing to the applicable FEMA Regional Grant Program Office.and GPD program staff to ensure nationwide consistency in the decision-making process and to support any necessary updates to the AEL.Requirements for Small Unmanned Aircraft SystemsAll requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with IB 426a EMPG Program Appendix | February 2021 Page H-19
privacy, civil rights, and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment. Acquisition and Use of Technology to Mitigate UAS (Counter-UAS)In August 2020, FEMA alerted of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission: https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-technologies. The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS). The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially available product compliance with those laws. The advisorydoes not address state and local laws nor potential civil liability, which UAS detection and mitigation capabilities may also implicate. It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendorsrepresentations of the systemslegality or functionality. Please also see the DHS press release on this topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use-technology-detect-and-mitigate-unmanned-aircraft. Funding for Critical Emergency SuppliesCritical emergency suppliessuch as shelf stable products, water, and basic medical suppliesare an allowable expense under the EMPG Program-year viable inventory management plan prior to allocating grant funds for stockpiling purposes. The five-year plan should include a distribution strategy and related sustainment costs if the grant expenditure is over $100,000.TrainingEMPG Program funds may be used for a range of emergency management-related training activities to enhance the capabilities of state and local emergency management personnel through the establishment, support, conduct, and attendance of training. Training activities should align to a current, multi-year IPP developed through an annual IPPW and build from training gaps identified in the THIRA/SPR process. Further guidance concerning the IPP and the IPPW can be found at https://preptoolkit.fema.gov/web/hseep-resources/program-management. EMPG Program funds may be used for emergency management-related training activities to enhance the capabilities of state and local emergency management personnel. Training activities should align to a current, Multi-Year IPP developed through an annual Integrated Preparedness Planning Workshop (IPPW) and build from training gaps identified in the THIRA/SPR process. Further guidance concerning the IPP and the IPPW can be found at https://preptoolkit.fema.gov/web/hseep-resources/program-management. Training should:Foster the development of a community-oriented approach to emergency management that emphasizes engagement at the community level;Strengthen best practices; and, EMPG Program Appendix | February 2021 Page H-20
Provide a path toward building sustainable resilience. Allowable training-related costs include the following:Funds Used to Develop, Deliver, and Evaluate Training: Includes costs related to administering training, such as planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the Multi-Year IPP and addressed in the training cycle. States are encouraged to use existing training rather than developing new courses. When developing new courses, states are encouraged to apply the Analyze, Design, Develop, Implement, and Evaluate (ADDIE) model for instruction design. More information is available at https://www.firstrespondertraining.gov. Overtime and Backfill: Overtime costs, including payments related to backfilling personnel, that are the direct result of attendance at FEMA and/or approved training courses and programs are allowable. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or FEMA, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government andfrom an award for a single period of time (e.g., 1 p.m. to 5 p.m.), even though such work may benefit both activities.Travel:Travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as expenses by employees who are on travel status for official business related to approved training. International travel is not an allowable cost under this program unless approved in advance by FEMA.Hiring of Full- or Part-Time Staff or Contractors/Consultants: Full- or part-time staff or contractors/consultants may be hired to support direct training-related activities. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Payment of salaries and fringe benefits must be in accordance with the policies of the state or unit(s) of local government and have the approval of the state or FEMA, whichever is applicable.Certification/Recertification of Instructors: Costs associated with the certification and re-certification of instructors are allowed. States are encouraged to follow the FEMA Instructor Quality Assurance Program to ensure a minimum level of competency and corresponding levels of evaluation of student learning. This is particularly important for those courses that involve training of trainers.Additional types of allowable training or training-related activities include, but are not limited to: Developing/enhancing systems to monitor training programsConducting all-hazards emergency management trainingAttending EMI training or delivering EMI train-the-trainer coursesAttending other FEMA-approved emergency management trainingState-approved, locally sponsored CERT trainingMass evacuation training at local, state, territorial and tribal levelsExercisesAllowable exercise-related costs include:
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Funds Used to Design, Develop, Conduct and Evaluate Preparedness Exercises: This includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Recipients are encouraged to use free public space/locations/facilities whenever available prior to the rental of space/locations/facilities. Exercises should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Gaps identified during an exercise, including those for children and individuals with disabilities or access and functional needs, should be included in the AAR/IP and addressed in the exercise cycle. Hiring of Full- or Part-Time Staff or Contractors/Consultants: Full- or part-time staff may be hired to support direct exercise activities. Payment of salaries and fringe benefits must be in accordance with the policies of the state or unit(s) of local government and have the approval of the state or FEMA, whichever is applicable. The services of contractors/consultants may also be procured to support the design, development, conduct, and evaluation of exercises. Hiring of contractors/consultants mustfollow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327.Overtime and Backfill: The entire amount of overtime costs, including payments related to backfilling personnel, that are the direct result of time spent on the design, development and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or FEMA, whichever is applicable. Dual compensation is never allowable, meaning, in other words, that an employee of a unit of government may not receive compensation from their unit or agency of government andfrom an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though their work may benefit both entities.Travel: Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of the exercise activities.Supplies: Supplies are items that are expended or consumed while planning and conducting the exercise activities (e.g., gloves, non-sterile masks, and disposable protective equipment).HSEEP Implementation: This refers to costs related to developing and maintaining an exercise program consistent with HSEEP. Other Items:These costs are limited to items consumed in direct support of exercise activities, such as space/locations rentals for planning and conducting an exercise, equipment rentals (e.g. portable toilets, tents), food/refreshments, and the procurement of other essential nondurable goods. Costs associated with inclusive practices and the provision of reasonable accommodations and modifications that facilitate full access for children and adults with disabilities are allowable.Unauthorized exercise-related costs include:Reimbursement for maintenance and/or wear and tear costs of general use vehicles (e.g., construction vehicles) and emergency response apparatus (e.g., fire trucks, ambulances). The only vehicle costs that are reimbursable are fuel/gasoline or mileage.Equipment that is purchased for permanent installation and/or use beyond the scope of exercise conduct (e.g., electronic messaging signs)Durable and nondurable goods purchased for installation and/or use beyond the scope of exercise conductConstruction and RenovationEmergency Operations Center (EOC), as defined by the SAA are allowable under the EMPG Program.
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FEMA must provide written approval prior to the use of any EMPG Program funds for construction or renovation. Requests for EMPG Program funds for construction of an EOC must be accompanied by an EOC Investment Justification (located in the Related Documents tab of the EMPG ProgramGrants.govposting) to their regional EMPG Program manager for review. Additionally, recipients are required to submit a SF-424C Form and Budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project.The above examples are not intended to exclude other construction projects as potentially allowable costs. For example, construction of a facility for the storage of critical emergency supplies, as a Point of Distribution (POD) for emergency distribution, and/or to serve as a staging area for deployment of emergency response resources is potentially an allowable expense. Other construction or renovation projects, such as a secondary or local EOC, will be considered on a case-by-case basis, as described below in the guidance regarding advance written approval. EHP ComplianceRecipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures, and facilities, new construction including replacement of facilities, and some training activities, must participate in the FEMA EHP review process.Recipients and subrecipients are also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01,Revision 01,FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the regional EMPG Program manager within six months of the award, and completed EHP review materials must be submitted at least 12 months before the end of the period of performance. EHP review packets should be sent to [email protected]. Please refer to the EHP section of this Manual for additional information on EHP requirements.Advance Approval RequirementRecipients must receive advance written approval from FEMA prior to the use of any annual EMPG Program funds for construction or renovation, including such activities at the sub-recipient level. Such costs Plan may be required. Such requests should be submitted in writing to the applicable FEMA Regional Grant Program OfficeGrant Programs Directorate.Real Property Use and Disposition RequirementsReal property improved under a federal award falls under the 2 C.F.R. Part 200 guidance for real property. In accordance with 2 C.F.R. § 200.311, a recipient or subrecipient may only use real property acquired or improved under a federal award for the originally authorized purpose, as long as it is needed for that purpose, during which time the recipient or subrecipient must not dispose of or encumber its title or other interests. However, upon the end of that period where it needs the property for the originally authorized purpose (i.e., the functional use of the property for which FEMA awarded the grant), the recipient or subrecipient will then dispose of the property in keeping with the requirements set forth in 2 C.F.R. § 200.311.
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When a grant-funded property is no longer needed for the originally authorized purpose, the recipient or subrecipient (through the pass-through entity) must obtain disposition instructions from the cognizant FEMA Regional Administrator or the pass-through entity.Construction of Communication TowersWhen applying for funds to construct communication towers, recipients and subrecipients must submit completed and submit all documentation resulting from that review to FEMA prior to submitting materials for EHP review. Davis-Bacon Act ComplianceEMPG Program recipients using funds for construction projects must comply with the Davis-Bacon Act andsubsequent legislation (40 U.S.C. §§ 3141 et seq.). See42 U.S.C. § 5196(j)(9). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis-Bacon Act, including Department of Labor (DOL) wage determinations, is available at https://www.dol.gov/whd/govcontracts/dbra.htm.Acquisition of Real PropertyAcquisition of real property is permissible if such property is needed to support other allowable program costs or activities. Advance Approval RequirementConsistent with the requirements outlined above regarding construction activities, recipients and subrecipients (through the pass-through entity) must obtain advance written approval from the cognizant FEMA Regional Administrator prior to obligating annual EMPG Program funds for acquisition of real property. Additionally, in cases of acquisition or improving real property, recipients are required to submit a SF-429-B, Real Property Status Report, Attachment B providing details of the relevant property to be acquired.Property Use, Reporting, and Disposition Requirements The acquisition, use, and disposition of real property shall be subject to the provisions of 2 C.F.R. Part 200. In accordance with 2 C.F.R. Part 200, recipients and subrecipients are required to report on the status of the acquired property on an annual basis using SF-429-AReal Property Status Report, Attachment A (General Reporting). Such reporting shall continue as long as the property is being used for the originally authorized purpose. Please refer to IB 458afor additional guidance on disposition requirements.Leasing of Real PropertyLeasing of real property is permissible if the property is needed to support other allowable annual EMPG Program activities. Advance Approval RequirementRecipients and subrecipients (through the pass-through entity) must obtain advance written approval from the cognizant FEMA Regional Administrator prior to obligating annual EMPG Program funds for the leasing of real property.
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Allowable Period of Lease ExpensesIn cases where a property will be leased and the lease will be paid in full or in part EMPG Program funds, any costs associated with the lease that are charged to an EMPG Program award must occur within the period of performance of the associated award(s). Real property lease costs must also comply with 2 C.F.R. Part 200.Maintenance and SustainmentUse of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active grant awards, unless otherwise noted. EMPG Program funds are intended to support the Goal and fund activities and projects that build and sustain the capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats and hazards that pose the greatest risk to the security of the Nation. To assist recipients in meeting this objective, the policy set forth inIB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Fundingallows for the expansion of eligible maintenance and sustainment costs, which must be: 1) In direct support of existing capabilities; 2) An otherwise allowable expenditure under the applicable grant program; 3) Tied to one of the core capabilities in the five mission areas contained within the Goal, and; 4) Shareable through the EMAC. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant funding or any other source of funding other than FEMA preparedness grant program dollars. Unallowable CostsGrant funds may not be used for:Unallowable Equipment: Grant funds must comply with IB 426and may not be used for the purchase of firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed Expenditures for weapons systems and ammunitionCosts to support hiring sworn public safety officers for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilitiesActivities and projects unrelated to the completion and implementation of the EMPG ProgramRecipients should consult with their regional EMPG Program manager prior to making any investment that does not clearly meet the allowable expense criteria established in this Manual and the EMPG Program NOFO.
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EMPG Program Work PlanSubmission of an EMPG Program Work Plan is mandatory, as it is a required component of the EMPGProgram application. The Work Plan outlinesenhancement efforts, including new and ongoing activities and projects, that are driven by identified preparedness priorities and proposed for the EMPG Program period of performance. An EMPG Program Work Plan Template (available on the Grants.govEMPG Program application page and on the Fema.gov website at https://www.fema.gov/grants/preparedness/emergency-management-performance)is provided to facilitate the work plan development process. The submitted Work Plan must address all the information requirements included in the Work Plan Template and in the supplemental guidance included in this section. Therefore, EMPG Program applicants are strongly encouraged to use the provided EMPG Program Work Plan Template.Prior to submission of the EMPG Program Work Plan, the applicant must work with the Regional Administrator or designated regional FEMA program manager to identify three to five priority areas which will serve as the focus for EMPG Program-funded investments. The priorities must be mutually agreed to by the applicant and Regional Administrator and should be primarily driven by the THIRA/SPR processspecifically, the outputs from the THIRA/SPR process and other relevant information sources. Priorities should also reflect those included in each recipient's IPP so that recipients are focusing all investments, projects, and other resources on a common set of priorities. As they select priorities, recipients should consider which capability gaps would be most operationally consequential, must be closed most urgently, and could be meaningfully addressed within the period of performance. Applicants should refer to the EMPG Program NOFO for further guidance on the priority identification process.Applicants must set at least one performance goal for each priority area that achieves a specific outcome.Each goal must be specific; measurable; achievable within the period of performance; relevant to the priority area; and have a target date for completion. Applicants must describe how achieving each goal or objective will impact the priority area it supports by the end of the period of performance. Each goal must include an estimate quantifying the extent to which the supporting investments will close capability gaps -term housing within 1 year of an incident byThe new EMPG Program Work Plan Template includes instructions and examples to help guide this process, so that recipients can develop goals that focus on achieving specific outcomes. The Regional Administrator or designated FEMA Regional Program Manager will ensure that the mutually agreed priorities are fully addressed in the EMPG Program Work Plan. In addition, the EMPG Program Regional Administrator must approve final Work Plans before states may draw down EMPG Program funds.Following work plan approval, regional EMPG Program managers will work closely with recipients to monitor progress against the Work Plans during the performance period and may request further documentation from the recipients to clarify the projected Work Plan. Further, in accordance with 2 C.F.R.§ 200.308Revision of budget and program plans, any changes to the approved Work Plan including changes in project scope and budget changes within any direct cost category exceeding 10 percent of the total award amount will require advance approval from the Regional Administrator or designated regional FEMA program manager.
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EMPG Program Work Plan InstructionsThe EMPG Program Work Plan Template has been updated to support the collection of objective information and quantitative data that will allow FEMA to more effectively measure program effectiveness and investment impacts. This also enables compliance with 2 C.F.R. § 200.301, which requires federal awarding agencies to measure recipient performance to show achievement of program goals and objectives, share lessons learned, improve program outcomes, and foster adoption of promising practices. To this end, the new EMPG Program Guidance and Work Plan requires recipients to link EMPG Program-funded investments to THIRA/SPR results and other relevant materials that inform capability priorities and needs and to include specific performance measures that will allow FEMA to measure the impact of those investments based on the core capabilities that are addressed.The new EMPG Program Work Plan Template largely complements the THIRA/SPR process outlined in Comprehensive Preparedness Guide (CPG) 201, Third Edition(CPG 201, v3). As noted in CPG 201, v3, a coordinated approach to track investments, and understanding the return on investment, can help improve the investment effectiveness. Tracking how EMPG Program-funded investments result in specific, quantitative changes in capabilities can help inform resource allocation decisions that will maximize effectiveness in building or sustaining capabilities.Therefore, applicants are encouraged to refer to CPG 201, v3, along with their most recent THIRA and SPR, when developing their EMPG Program Work Plan. The Work Plan Template consists of a Grant Investment Strategy; Budget Overview; Grant Activities Outline; Project Activities Outline; Personnel Data Table; Training Data Table; Exercise Data Table; and Detailed Budget. As explained above, the focus of the updates is on improving data collection to better enable measurement of grant outcomes. Therefore, the narrative content is minimized and many of the cells include dropdowns for selecting applicable data. This approach also helps to simplify the Work Plan development process.Instructions for each Work Plan section are provided below. Additional guidance and instructions are provided in the EMPG Program Work Plan Template.Grant Investment StrategyThe intent of the Grant Investment Strategy tab of the Work Plan Template is to provide an overview of the state/territory's preparedness investment strategy. It should serve as the foundation for completing the remainder of the Work Plan. It includes separate sections to explain:The most recent THIRA/SPR results; Significant risks and capability gaps that currently exist; Resulting preparedness priorities; The performance goals associated with each priority area; and,The anticipated impact of the proposed EMPG Program-funded investments on the identified preparedness priorities.For the priorities/performance goals section, the applicant should identify the three to five priorities that were mutually agreed to and approved between the Regional Administrator and the state/territory. Thereference materials used to identify the priorities should be cited and their relevance explained in this section.
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At least one performance goal should be identified for each priority area. Each goal must be specific,measurable, achievable within the period of performance, relevant to the priority area, and have a target date for completion (i.e., SMART goal). It should describe how achieving each goal will impact the priority area it supports by the end of the period of performance.Budget OverviewThe Budget Overview tab is auto populated based on data entered in the Detailed Budget tab. No data is entered directly into the Budget Overview tab; rather, it summarizes the overall EMPG Program budget entered on the Detailed Budget tab into the standard cost categories, mission areas, and core capabilities, along with the federal and non-federal share for each.Grant Activities OutlineThe Grant Activities Outline is used to capture the proposed EMPG Program-funded projects and link them to the identified priorities, performance goals, and gaps or needs. Coupled with the Project Activities Outline, the Grant Activities Outline supports identification and tracking of EMPG Program-funded project outcomes, which will enable better understanding of the impacts of those investments relative to the performance goals and the associated core capabilities.The worksheet includes sections that allow the applicant to identify the performance goals that are supported by each project and the milestones that are critical to accomplishing each goal. Additional guidance on performance goals and milestones, including specific examples of each, are provided below.The worksheet also requires the applicant to explain the objective and anticipated impact of each project relative to the associated priorities, performance goals, and related core capabilities:project will address the identified gap or need and how it supports one or more of the identified performance goals. ould explain the expected project outcome relative to the associated priorities and performance goals. The impact statement should include a quantitative estimate of the degree to which the project will contribute to achieving the identified performance goal (see hierarchy example below).Effective completion of the Grant Activities Outline requires an understanding of the established planning hierarchy. Priorities are at the top of the hierarchy, followed by performance goals that define a clear outcome or end-state and provide the basis for addressing each priority. Project proposals should be identified based on the performance goals. High priority capability gaps or needs identified through the THIRA/SPR process and other assessments are also used to inform project selection and to identify specific project objectives. Project objectives, and accompanying impact statements, should complement the performance goals by including similar outcome-focused metrics, as explained above. Lastly, project activities are identified. Project activities are key components and/or milestones that are critical to successful completion of the project. An example of this hierarchy is provided below:Priority: Logistics and Supply Chain ManagementPerformance Goal: Within three years, the [state/territory] will have the capability to identify and mobilize life-sustaining commodities, resources, and services to 10,000 people requiring shelter and 100,000 people requiring food and water, within 24 hours of an incident, and to maintain the distribution system for at least 30 days.
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Project: Update State Logistics and Distribution Management Plan, and qualify 40 additional personnel for logistics operations in NQS. oProject Objective/Impact: Increase capacity to identify and mobilize life-sustaining commodities, resources, and services to people requiring shelter, food, and water by 50%, allowing the state to do so for 7,500 people requiring shelter and 75,000 requiring food and water within 24 hours of an incident and maintain that distribution system for at least 30 days. Activity/Milestone: Convene cross-discipline working group meeting on May 30, 2021 to review current State Logistics and Distribution Management PlanAll EMPG Program-funded investments must be accounted for in the Grant Activities Outline. However, recognizing that some sustainment activities, such as funding of emergency manager salaries, may not align to a specific priority or performance goal, applicants are not required to identify priorities and performance goals for such investments. However, all other portions of the Grant Activities Outline must be completed as a means to justify the applicable sustainment costs.The various elements of the Grant Activities Outline tab are outlined below, along with basic instructions for completing the required entries. Supplemental guidance and instructions are included in the EMPG Program Work Plan Template.Project Name: Provide a descriptive name for each planned project. Examples include Individuals with DisaBrief Project Description:Provide further details on the project, particularly where the project name does not sufficiently describe the project.Gap or Need Addressed: Briefly describe the specific gap or need addressed by the project.Project Objective: Explain how the project addresses the identified gap or need, and how it supports the identified priorities and performance goals.Anticipated Project Impact:Provide a quantitative estimate of the degree to which the project will contribute to achieving the identified performance goal.Build or Sustain:Select whether the project will build or maintain/sustain the identified core capability(ies).Mission Area:Select the appropriate preparedness mission area supported by the project: Prevention, Protection, Mitigation, Response, or Recovery. Multiple mission areas can be selected to accommodate projects that span multiple mission areas. For example, some plans and exercises may involve multiple mission areas.RA Agreed Upon Priority Area:The applicant selects from a drop-down list that includes the 32 core capabilities, the National Priority Areas identified in the NOFO, and other priorities identified in the latest version of the National Preparedness Report.Emergency Management Functions:This field is optional. It is made available to those states/territories that are Emergency Management Accreditation Program (EMAP) accredited and want to continue tracking their investments by Emergency Management Function (EMF). Select from a drop-down list the EMFs supported by the project.Core Capabilities:Select up to three (primary, secondary, and tertiary) core capabilities supported by the project.POETE Category:Select whether the project relates to Planning, Organization, Equipment, Training, or Exercises. Multiple POETE categories can be selected to accommodate projects that EMPG Program Appendix | February 2021 Page H-29
span multiple categories. For example, building capability often involves a combination of planning, training, and exercise activities.Performance Goals: List the performance goals supported by the project. As explained in the Grant Investment Strategy section above, each goal must be specific, measurable, achievable within the period of performance, relevant to the priority area, and have a target date for completion (i.e., SMART goal).Milestones:Identify key project activities and other deliverables or outputs that are critical to accomplishing the identified performance goal and can be tracked to demonstrate progress toward achieving the performance goal.Project Activities OutlineThe Project Activities Outline tab includes the basic elements of a project management plan. It is used to capture key project activities to include both EMPG Program-funded activities that are critical to accomplishing the project objectives as identified in the Grant Activities Outline, as well as activities that are essential to effective project management. Thus, this product can be used as a basic project management tool to plan and track the progress of key project activities. Key project activities should Outline.The Project Activities Outline enables the applicant to identify key project activities by year/quarter, the associated project management step (Initiate, Plan, Execute, Control, or Closeout), and challenges or risks that may affect successful completion of the activity as planned. It also allows for the tracking of project progress by including estimated and actual completion dates for each activity and the ability to enter quarterly accomplishments relating to the activity.Personnel Data TableTo facilitate consistent data reporting and performance measures collection, the EMPG Program Work Plan Template includes a Personnel Data Table to provide an accounting of state, local, tribal, and territory personnel supported with EMPG Program funds. This will assist in documenting the extent to which EMPGProgram funding supports personnel at the state level. This should be submitted with the EMPG Program Work Plan and a roster of EMPG Program-funded personnel. The roster of EMPG Program-funded personnel should be updated only if numbers change more than 10 percent during the award period of performance.Personnel Data Table Template Personnel MetricsDataEMPG Program funds (federal and match) allocated towards state/territory emergency management personnelEMPG Program funds (federal and match) allocated towards non-state emergency management personnel (local, tribal)Total Number of state/territory emergency management full-time equivalent (FTE) personnel (including those supported and not supported by the EMPG Program)Number of state/territory emergency management FTE personnel supported (fully or partially) by the EMPG ProgramTotal number of state/territory, local, and tribal emergency management personnel supported (fully or partially) by the EMPG Program EMPG Program Appendix | February 2021 Page H-30
Personnel Data Table DefinitionsLine 1 The total of all EMPG Program funds (federal and match) allocated for state/territory emergency management personnel. This should exclude local and tribal personnel. Line 2 All EMPG Program funds (federal and match) allocated towards non-state/territory emergency management personnel (i.e., local, tribal personnel). This excludes state/territory personnel. Line 3 Total number of state emergency management full-time equivalent (FTE) personnel (including those supported and not supported by the EMPG Program). This should include only funded positions. Vacant positions should be excluded. Line 4 Number of state/territory emergency management FTE personnel supported by the EMPGProgram. This excludes local and tribal personnel.Line 5 Total number of state, territory, local, and tribal emergency management personnel funded (fully or partially) by the EMPG Program. This number provides the "Universe" number for the training and exercise templates.Training Data TableTo facilitate consistent data reporting and performance measures collection, the EMPG Program Work Plan Template includes a Training Data Table. This table should reflect training activities outlined in the multi-year IPP and completion of required EMPG Program training courses. The data requirements are defined in the section below. Upon entering the project name or number in the template, the cells located to the right of the main Training Data Table will auto-populate the associated priority, mission area, capabilities, and functional areas based on the project data included in the Grant Activities Outline.Training Data Table TemplateTraining Data Table DefinitionsColumn 1 Project Name from the Grant Activities OutlineColumn 2 Project Number from the Grant Activities OutlineColumn 3Name of training courseColumn 4Is the course required of EMPG Program-funded personnel?Column 5Number of personnel trainedColumn 6Total number of SLTT EMPG Program-funded personnel (Universe)Column 7Total number of SLTT EMPG Program-funded personnel that completed the courseColumn 8 Is the training identified in the multi-year IPP?Project NameProject NumberName of TrainingEMPGProgramRequired Training? (Y/N)Number of Personnel TrainedTotal Number of SLTT EMPGProgramFunded PersonnelTotal Number of SLTT EMPGProgramFunded Personnel that completed the CourseTraining Identified in IPP(Y/N) EMPG Program Appendix | February 2021 Page H-31
Exercise Data TableTo facilitate consistent data reporting and performance measure collection, an Exercise Data Table should be completed for any exercises that meet EMPG Program requirements and/or exercises conducted in whole or part with EMPG Program funds. The data requirements are defined in the section below. Upon entering the project name or number in the template, the cells located to the right of the main Exercise Data Table will auto-populate the associated priority, mission area, capabilities, and functional areas based on the project data included in the Grant Activities Outline.Exercise Data Table TemplateExercise Data Table Definitions:Column 1 Project Name from the Grant Activities OutlineColumn 2 Project Number from the Grant Activities OutlineColumn 3 Exercise NameColumn 4 Date of exerciseColumn 5 Type of exercise (e.g., seminar, workshop, tabletop, games, drills, functional, and/or full-scale)Column 6 Is the exercise part of a progressive exercise series? Column 7 Total number of SLTT EMPG Program Funded PersonnelColumn 8 Total number of SLTT EMPG Program Funded Personnel Participating in ExerciseColumn 9 Is exercise identified in the multi-year IPP?Column 10When was the AAR submitted to FEMA?Detailed BudgetThe Detailed Budget tab enables a full accounting of all project activity costs. It also enables a breakdown of the full EMPG Program budget into various categories, including: Mission Area, Core Capabilities, National Priority Area, RA Agreed Upon Priority, EMF, and POETE Category. The cells for each of these categories are automatically populated based on the project number as identified in the Grant Activities Outline.Project Management Lifecycle StepsDescriptionProcessInitiateThe authorization to begin work or resume work on any particular activity.Involves preparing for, assembling resources and getting work started. May apply to any Project NameProject NumberName of ExerciseScheduled DateType of ExerciseExercise Fulfills Progressive Exercise Requirement (Y/N)Total Number of SLTT EMPG ProgramFunded PersonnelNumber of SLTT EMPGProgramFunded Personnel that Participated Exercise Identified in IPP(Y/N)Date AAR submitted to FEMA EMPG Program Appendix | February 2021 Page H-32
StepsDescriptionProcesslevel, e.g. program, project, phase, activity, task.PlanThe purposes of establishing, at an early date, the parameters of the project that is going to be worked on as well as to try to delineate any specifics and/or any peculiarities to the project as a whole and/or any specific phases of the project.Involves working out and extending the theoretical, practical, and/or useful application of an idea, concept, or preliminary design. This also involves a plan for moving a project concept to a viable project.ExecuteThe period within the project lifecycle during which the actual work of creating Involves directing, accomplishing, managing, and completing all phases and aspects of work for a given project.ControlA mechanism which reacts to the current project status in order to ensure accomplishment of project objectives. This involves planning, measuring, monitoring, and taking corrective action based on the results of the monitoring.Involves exercising corrective action as necessary to yield a required outcome consequent upon monitoring performance. Or, the process of comparing actual performance with planned performance, analyzing variances, evaluating possible alternatives, and taking appropriate correct action as needed.Close OutThe completion of all work on a project. Can also refer to completion of a phase of the project.Involves formally terminating and concluding all tasks, activities, and component parts of a particular project, or phase of a project. 1 Subaward Agreement Regarding FY 2021 State Homeland Security Grant Programs Funding for Equipment, Planning, Administration, Training and Exercises THIS AGREEMENT is entered into by and between the County of Tulare (“COUNTY”) and City of Visalia (“SUBRECIPIENT”), referred to individually herein as “Party” or collectively as “Parties,” on the following terms and conditions: WHEREAS, the Fiscal Year 2021 (“FY 2021”) California State Homeland Security Grant Program (“SHSGP”) provides funding through Federal grants from the Department of Homeland Security to enhance the capabilities of state and local first responders by allowing the purchase of advanced types of equipment, as well as addressing other critical homeland security needs, including administration, planning, training, and exercise-related costs; WHEREAS, COUNTY applied to the California Governor’s Office of Emergency Services (“CalOES”) for a FY 2021 SHSGP grant; WHEREAS, as part of its grant application, COUNTY requested sufficient funds to support certain activity(ies) or program(s) planned by SUBRECIPIENT that may be eligible for SHSGP grant funds; WHEREAS, COUNTY was awarded FY 2021 SHSGP grant funding; and COUNTY, upon recommendation of the local Approval Authority designated in the SHSGP Guidelines, determined to allocate some of this funding to support SUBRECIPIENT’S eligible program(s) or activity(ies). NOW, THEREFORE, for good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, and intending to be legally bound hereby, COUNTY and SUBRECIPIENT hereby agree as follows: 1.GRANT SUBAWARD. Subject to the terms, conditions, and other limitations specified herein, COUNTY intends to subaward to SUBRECIPIENT a portion of its FY 2021 SHSGP Grant for the following program and/or activity: Department/Agency: City of Visalia Fire DepartmentProgram/Activity: (6) Thermal Imagers with XT Charger Base and 2 Batteries Details about the specific program or activity authorized, the amounts allocated to the specified program or activity, and the anticipated performance and disbursement timelines shall be confirmed by subsequent award letter(s) from COUNTY (“Award Letter(s)”) in accordance with this Agreement. SUBRECIPIENT agrees not to expend any anticipated FY 2021 SHSGP grant funds until after it has received [an] Award Letter(s) authorizing the specific activity or program, and confirming the award amount. Award Letter(s) may include attachments, which are considered to be integral parts of the Award Letter(s). Unless SUBRECIPIENT notifies COUNTY before it begins spending the funds authorized in a FY 2021 SHSGP Award Letter that it declines some or all of the program, activity, and/or funds outlined in the Award Letter, SUBRECIPIENT will be deemed to have accepted all of the terms and conditions specified in the Award Letter(s), including any applicable attachments. COUNTY reserves the exclusive right to determine the method and timing of disbursement of SHSGP funds to SUBRECIPIENT. Furthermore, and in addition to all other rights provided to COUNTY under 2 this Agreement or the law, COUNTY reserves the right to, issue revised Award Letter(s) to modify SUBRECIPIENT’s authorized program, activity, award amounts, and/or performance periods, in accordance with the recommendations of the Local Approval Authority, the changing needs of SUBRECIPIENT and/or the likelihood of SUBRECIPIENT expending its subaward; however, such modifications will only be made after consultation with SUBRECIPIENT, and in accordance with the recommendations of the Local Approval Authority. 2.PERFORMANCE PERIOD. SUBRECIPIENT’s Performance Period for all activities covered by the terms of this Agreement shall commence on October 1, 2021. Unless COUNTY specifies otherwise in SUBRECIPIENT’s Award Letter(s), SUBRECIPIENT’s Performance Period for all activities covered by the terms of this Agreement shall continue until whichever of the following dates or events occurs first: (i) April 30, 2023, or (ii) until otherwise terminated under the provisions of this Agreement. Only activities performed during the County-specified FY 2021 SHSGP Performance Period are eligible for funding/reimbursement pursuant to this Agreement. 3.GRANT REQUIREMENTS AND ASSURANCES. The SUBRECIPIENT hereby agrees to review, adhere to, and comply with all COUNTY, state, and federal grant award requirements. SUBRECIPIENT acknowledges that COUNTY was required to accept and agree to the “CalOES Standard Assurances” (attached as Exhibit A, and incorporated by reference herein), and that COUNTY may be required to impose some or all of these assurances on all of its subrecipients, at all levels. Accordingly, SUBRECIPIENT specifically accepts, agrees to, and will abide by the CalOES Standard Assurances, with the understanding that everywhere it references “Applicant” or “subrecipient” in Exhibit A shall be read to refer to SUBRECIPIENT. The CalOES Standard Assurances shall be binding on the SUBRECIPIENT, as well as its successors, transferees, contractors, consultants, etc. SUBRECIPIENT acknowledges that failure to comply with any of the assurances may result in suspension, termination, or reduction of grant funds. Some of the requirements that SUBRECIPIENT hereby agrees to comply with appear in the following documents: (a)Applicable Federal Regulations, including: (i) Title 2, Part 200 of the Code of Federal Regulations (CFR) (which contains, among other items, Government cost principles, uniform administrative requirements and audit requirements for Federal grant programs), and (ii) updates issued by the Office of Management and Budget (OMB) on http://www.whitehouse.gov/omb/; (b)Federal Program Notice of Funding Opportunity (NOFO); (c)California Supplement to the NOFO; and(d)Federal and State Grant Program Guidelines. By signing this Agreement, SUBRECIPIENT specifically makes the applicable certifications in Exhibit A, including the Lobbying and Political Activities and Debarment and Suspension Certifications (Paragraphs 3 and 4 of Exhibit A, respectively), as evidenced by the signature of SUBRECIPIENT’s authorized agent. 4.FEDERALLY-FUNDED SERVICES. Because this grant subaward involves the provision of federal funds to SUBRECIPIENT, the terms and conditions outlined and incorporated in Exhibit B, “Federally-Funded Services,” will apply to this Agreement, and are incorporated herein by reference. 5.DISPOSAL OR DISPOSITION OF PROPERTY. SUBRECIPIENT acknowledges that pursuant to 2 CFR section 200.316, any real property, equipment, and intangible property that are acquired or improved 3 with any SHSGP award must be held in trust by SUBRECIPIENT as trustee for the beneficiaries of the project or program under which the property was acquired or improved. SUBRECIPIENT may be required by COUNTY, CalOES, or the federal government to record liens or other appropriate notices of record to indicate that personal or real property has been acquired or improved with the SHSGP award and that use and disposition conditions apply to the property. Furthermore, SUBRECIPIENT agrees that when the equipment or supplies acquired with funds from this subaward are no longer needed for the original activity or program, or for other SUBRECIPIENT activities supported by the Department of Homeland Security (DHS)/ Federal Emergency Management Agency (FEMA), SUBRECIPIENT must notify COUNTY to request instructions on proper disposition of the equipment or supplies. SUBRECIPIENT is not permitted to sell, assign, or otherwise transfer title to (or any other interest in) equipment or supplies purchased with SHSGP funds except as permitted by 2 CFR Part 200. Furthermore, SUBRECIPIENT must obtain the express written permission of COUNTY for disposition of property that may have a current per unit fair market value of $5,000 or more. Though not exclusive or exhaustive, additional information regarding disposition of property acquired with SHSGP funds can be found at 2 CFR Part 200, sections 200.313 through 200.316. 6.SUBAWARDS AND CONTRACTS. With the understanding that not all provisions may be applicable to subawardees, SUBRECIPIENT agrees to include all of the commitments specified in Exhibit A, and any other commitments or requirements included in this Agreement that expressly so designate, in the award documents it issues for all subawards at all tiers, including contracts under grants and cooperative agreements and subcontracts. SUBRECIPIENT further agrees that it will include the commitments in Exhibit A in all contracts paid for in full or part with FY 2021 SGHSGP funds. 7.DESIGNATED COUNTY AUTHORIZED AGENT. Only those individuals designated by resolution of the Tulare County Board of Supervisors as Authorized Agents for FY 2021 SHSGP (“COUNTY Authorized Agents”) are authorized to sign FY 2021 SHSGP Award Letters on behalf of COUNTY, or to suspend performance in accordance with Paragraph 16(d), below. All other notices from COUNTY may come from other COUNTY personnel. 8.PROOF OF SUBRECIPIENT AUTHORITY. Before this Agreement will be approved by COUNTY, SUBRECIPIENT must provide to COUNTY written authorization (in the form of a resolution, or some other format specifically authorized by COUNTY) from the city council, governing board, or authorized body in support of this project. This written authorization must specify that the SUBRECIPIENT and the city council, governing board, or authorized body agree: (a) To provide all matching funds required for the grant project and that any cash match will be appropriated as required; (b) Any liability arising out of performance of this Agreement shall be the responsibility of the SUBRECIPIENT and the city council, governing board, or authorized body; (c) Grant funds shall not be used to supplant expenditures controlled by the city council, governing board, or authorized body; (d) SUBRECIPIENT is authorized by the city council, governing board, or authorized body to apply for federal assistance, and the institutional, managerial, and financial capability (including funds sufficient to pay the non-federal share of project cost, if any_ to ensure proper planning, management, and completion of the project described in this application; and (e) Official executing this Agreement is authorized by the SUBRECIPIENT. 4 9.DISALLOWANCE AND OFFSET. If, pursuant to this Agreement, SUBRECIPIENT requests or receives payment from COUNTY for programs, activities, or equipment, the reimbursement for which is later disallowed by the State of California or the United States Government, SUBRECIPIENT shall promptly refund the disallowed amount to COUNTY upon COUNTY’s request. At its option, and to the fullest extent permitted by law, COUNTY may offset the amount disallowed from any payment due or to become due to SUBRECIPIENT under this Agreement or any other agreement between SUBRECIPIENT or COUNTY. Furthermore, if any of COUNTY’s FY 2021 SHSGP grant funding is reduced, modified, or eliminated for any reason, COUNTY reserves the right to reduce, modify, or eliminate any or all of this FY 2021 SHSGP grant subaward to SUBRECIPIENT. SUBRECIPIENT agrees to promptly return any amounts requested by COUNTY in accordance with this provision. At its option, COUNTY may offset the amount to be returned by SUBRECIPIENT from any payment due or to become due to SUBRECIPIENT under this Agreement or any other agreement between SUBRECIPIENT and COUNTY. 10. MONITORING AND REPORTS. SUBRECIPIENT is responsible for oversight of the operations of the FY 2021 SHSGP supported activities. SUBRECPIENT must monitor its activities to ensure compliance with applicable Federal requirements and achievement of specific performance expectations. SUBRECIPIENT’s monitoring must cover each program, function or activity supported by FY 2021 SHSGP funding. SUBRECIPIENT agrees to provide ongoing performance and financial reports regarding any and all of SUBRECIPIENT’s programs and activities funded with FY 2021 SHSGP funding. At a minimum, these reports will be due on an annual basis, but COUNTY reserves the right to request more frequent reporting. Within 90 days of completion or termination of FY 2021 SHSGP funded subawards, SUBRECIPIENT is also expected to provide a final performance report and a final expenditure report in a format acceptable to COUNTY, State, and the Federal government. SUBRECIPIENT will be notified of any additional required reports by separate Award Letter(s) or notice(s) from COUNTY. 11. MANDATORY DISCLOSURES. Pursuant to 2 CFR section 200.113, SUBRECIPIENT must disclose, in a timely manner, and in writing to COUNTY and ultimately to the federal awarding agency, all violations of Federal criminal law involving fraud, bribery, or gratuity violations potentially affecting this subaward. Pursuant to the terms and conditions outlined in Appendix XII to 2 CFR Part 200 (“Award Term and Condition for Recipient Integrity and Performance Matters”), SUBRECIPIENT may also be also required to report certain civil, criminal, or administrative proceedings to SAM. Failure to make required disclosures can result in any of the remedies described in 2 CFR section 200.338, “Remedies for noncompliance,” including suspension or debarment. 12. SUBMITTING FALSE CLAIMS. Under applicable federal and state law, if SUBRECIPIENT submits a false claim to COUNTY under this Agreement, then SUBRECIPIENT will be liable to COUNTY for the statutory penalties set forth in those statutes, including, but not limited to statutory fines, treble damages, costs, and attorneys’ fees. SUBRECIPIENT will be deemed to have submitted a false claim to COUNTY if SUBRECIPIENT: (a) Knowingly presents or causes to be presented to COUNTY a false claim or request for payment or approval; (b)Knowingly makes, uses, or causes to be made or used a false record or statement to get a false claim paid or approved by COUNTY; (c)Conspires to defraud COUNTY, State, or the Federal Government by getting a false claim 5 allowed or paid by COUNTY; (d)Knowingly makes, uses, or causes to be made or used a false record or statement to conceal, avoid, or decrease an obligation to pay or transmit money or property to COUNTY; or (e)Is a beneficiary of an inadvertent submission of a false claim to COUNTY, later discovers the falsity of the claim, and fails to disclose the false claim to COUNTY within a reasonable time after discovery of the false claim. 13.INSURANCE. SUBRECIPIENT certifies it is insured or self-insured for general liability exposures with limits of no less than $1 million per occurrence. SUBRECIPIENT certifies it is insured or self-insured for workers’ compensation and maintains statutory limits. SUBRECIPIENT agrees that coverage limits specified within the Agreement will not be used to reduce limits of coverage from SUBRECIPIENT’S full policy limits. Insurance Policies will not be used to limit liability or to limit the indemnification provisions and requirements of this Agreement or act in any way to reduce available coverage and limits from the insurer. Failure to maintain or renew coverage may be a material breach of this Agreement. 14. LIABILITY OF COUNTY. COUNTY’s payment obligations to SUBRECIPIENT for FY 2021 SHSGP funds are limited by all provisions and other requirements specified in this Agreement. Notwithstanding any other provision of this Agreement, in no event shall COUNTY be liable, regardless of whether any claim is based on contract or tort, for any special, consequential, indirect, or incidental damages arising out of or in connection with this Agreement, including, but not limited to, lost profits, equipment purchased, or activities performed in connection with this Agreement. 15. HOLD HARMLESS, INDEMNIFICATION, AND DEFENSE. (a) To the fullest extent permitted by law, SUBRECIPIENT must indemnify, defend (at SUBRECIPIENT'S sole cost and expense and with legal counsel approved by COUNTY, which approval may not be unreasonably withheld), protect, and hold harmless COUNTY, all subsidiaries, divisions and affiliated agencies of COUNTY, and all of their representatives, partners, designees, officers, directors, employees, consultants, agents, successors and assigns, (each, an “Indemnified Party” and collectively, the "Indemnified Parties"), from and against all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorneys' fees, disbursements and court costs, and all other professional expert or consultants' fees and costs and COUNTY general and administrative expenses) of every kind and nature whatsoever (individually, a "Claim"; collectively, "Claims") which may arise out of, pertain to, or relate (directly or indirectly) to the negligence, recklessness, or misconduct of SUBRECIPIENT with respect to any activities and/or programs performed, training provided, or items purchased or used under or in relation to this Agreement (including, without limitation, the acts, errors, and/or omissions of SUBRECIPIENT, its principals, officers, agents, employees, vendors, suppliers, consultants, sub-consultants, contractors, anyone employed directly or indirectly by any of them, or for whose acts they may be liable, or any or all of them). SUBRECIPIENT’S obligation to indemnify applies unless it is finally adjudicated that the liability was caused by the sole active negligence or sole willful misconduct of an Indemnified Party. If it is finally adjudicated that liability is caused by the comparative active negligence or willful misconduct of an Indemnified Party, then SUBRECIPIENT’S indemnification obligation shall be reduced in proportion to the established comparative liability. (b)The duty to defend is a separate and distinct obligation from SUBRECIPIENT’S duty to indemnify. SUBRECIPIENT shall be obligated to defend, in all legal, equitable, administrative, or special proceedings, the Indemnified Parties immediately upon tender to SUBRECIPIENT of the Claim in any form 6 or at any stage of an action or proceeding, whether or not liability is established. Payment to SUBRECIPIENT by any Indemnified Party or the payment or advance of defense costs by any Indemnified Party cannot be a condition precedent to enforcing the Indemnified Party's rights to defense or indemnification under this Agreement. An allegation or determination that persons other than SUBRECIPIENT are responsible for the Claim does not relieve SUBRECIPIENT from its separate and distinct obligation to defend under this section. The obligation to defend extends through final judgment, including exhaustion of any appeals. The defense obligation includes an obligation to provide independent defense counsel if SUBRECIPIENT asserts that liability is caused in whole or in part by the negligence or willful misconduct of an Indemnified Party. If it is finally adjudicated that liability was caused by the comparative active negligence or willful misconduct of an Indemnified Party, then SUBRECIPIENT may submit a claim to the COUNTY for reimbursement of reasonable attorneys’ fees and defense costs in proportion to the established comparative liability of the Indemnified Party. SUBRECIPIENT'S indemnification obligations under this Agreement will survive the expiration or earlier termination of this Agreement until action against the Indemnified Parties for the matter indemnified is fully and finally barred by the applicable statute of limitations or statute of repose. SUBRECIPIENT'S liability for indemnification under this Agreement is in addition to any liability SUBRECIPIENT may have to COUNTY for a breach by SUBRECIPIENT of any of the provisions of this Agreement. Under no circumstances may the insurance requirements and limits set forth in this Agreement be construed to limit SUBRECIPIENT'S indemnification obligation or other liability under this Agreement. The terms of this Agreement are contractual and the result of negotiation between the Parties. (c)SUBRECIPIENT must indemnify and hold COUNTY harmless from all loss and liability, including attorneys’ fees, court costs and all other litigation expenses, for any infringement of the patent rights, copyright, trade secret or any other proprietary right or trademark, and all other intellectual property claims of any person or persons in consequence of the use by COUNTY, or any of its officers or agents, of articles or services to be supplied in the performance of this Agreement. 16. TERMINATION (a) Without Cause (For Convenience): Either Party may terminate this Agreement for convenience by giving thirty (30) days’ prior written notice to the other Party of its intention to terminate pursuant to this provision, specifying the date of termination. COUNTY will not pay lost anticipated profits or other economic loss resulting from termination of this Agreement. After receiving a notice of termination for convenience from SUBRECIPIENT, and prior to the effective date of termination, COUNTY may, in its sole discretion, continue to disburse grant funding to SUBRECIPIENT for the programs or activities permitted under this Agreement and specified in the effective Award Letter(s); however, COUNTY specifically reserves the right to cancel or modify some of the programs or activities specified in the Award Letter if it seems infeasible for SUBRECIPIENT to complete its work before the termination of the contract. Any funding disbursed to SUBRECIPIENT but not yet spent at the time the Agreement is terminated must be returned to COUNTY. All such disbursements continue to be subject to the restrictions otherwise provided in this Agreement or by law. COUNTY will not impose sanctions on SUBRECIPIENT for a termination for convenience. (b)With Cause: Either party may terminate this Agreement immediately, by written notice to the other Party, should the other Party: (1)be adjudged a bankrupt, or(2)become insolvent or have a receiver appointed, or (3)make a general assignment for the benefit of creditors, or 7 (4)suffer any judgment which remains unsatisfied for 30 days, and which would substantively impair the ability of the judgment debtor to perform under this Agreement. COUNTY also reserves the right to immediately suspend and/or to terminate this Agreement, for cause, upon discovery of a material breach by SUBRECIPIENT. A material breach includes, but is not limited to, (i) SUBRECIPIENT’s failure to comply with the terms and conditions of this Agreement or of any Award Letter(s) issued by COUNTY; (ii) a material misrepresentation by SUBRECIPIENT to COUNTY in relation to this grant program; or (iii) failure to comply with all applicable laws or regulations. COUNTY will provide written notice of the material breach and its determination to either suspend or terminate the contract, specifying the date of termination. At COUNTY’s sole discretion, COUNTY may provide SUBRECIPIENT with a reasonable period of time to cure the breach. If COUNTY terminates this Agreement for cause, COUNTY reserves the right to reduce, modify, or eliminate any or all of this subaward and any other outstanding SHSGP subawards to SUBRECIPIENT. Upon demand by COUNTY, SUBRECIPIENT agrees to immediately return FY 2021 SHSGP funding that has been disbursed to SUBRECIPIENT and which remains in SUBRECIPIENT’s possession at the time this Agreement is terminated. In addition, the payment of any grant funds that have yet to be disbursed for work already completed by SUBRECIPIENT under this Agreement remains subject to the restrictions on payments otherwise provided in this Agreement and by law, and is further conditioned on COUNTY’s confirmation of SUBRECIPIENT’s satisfactory completion of the activities or programs specified in this Agreement and any related Award Letter(s). COUNTY will not pay lost anticipated profits or other economic loss, nor will the County pay compensation or make reimbursement to cure any breach arising out of or resulting from such termination for cause. If this Agreement is terminated for cause, COUNTY may impose sanctions, including possible rejection of future proposals based on specific causes of non-performance. Furthermore, if this Agreement is terminated for SUBRECIPIENT’s failure to comply with applicable federal statutes or regulations, including those specifically incorporated into this Agreement by reference, SUBRECIPIENT is advised that the COUNTY’s termination decision may be considered in evaluating future applications for federal grant awards. (c)Effects of Completion or Termination: Expiration, completion, or termination of this Agreement shall not terminate any of SUBRECIPIENT’s obligations to indemnify, defend, or hold harmless; to maintain and make available any records pertaining to the Agreement; to cooperate with any audit; to be subject to offset; to make any reports of pre-termination contract activities; to honor its obligations related to the disposal or disposition of property purchased with SHSGP funding; to comply with the continuing applicable obligations contained in Exhibit A; or to comply with any other continuing or closeout obligations required by this Agreement or by federal or state law or regulation, including those specified in 2 CFR Part 200. Where SUBRECIPIENT’s activities or programs have been terminated by the COUNTY for cause, said termination will not affect any rights of the COUNTY to recover damages from or against SUBRECIPIENT. (d)Suspension of Performance: Independent of any right to terminate this Agreement, COUNTY Authorized Agents may immediately suspend performance by SUBRECIPIENT, in whole or in part, in response to health, safety or financial emergency, a change in SHSGP grant funding to COUNTY, or a failure or refusal by SUBRECIPIENT to comply with the provisions of this Agreement, until such time as the cause for suspension is resolved, or a notice of termination becomes effective. 17. RECORDS. SUBRECIPIENT shall maintain complete and accurate records with respect to the activities, programs, and/or purchases funded by or related to FY 2021 SHSGP funding and/or this Agreement, including all records relating to procurement of goods and services. In addition, 8 SUBRECIPIENT shall maintain complete and accurate records with respect to any payments to employees, subawardees, contractors, or subcontractors. All such records shall be prepared in accordance with generally accepted accounting procedures and any applicable procedures required by the COUNTY or the federal or state government. All applicable records shall be clearly identified, maintained on site, and be kept readily accessible. SUBRECIPIENT further agrees to make all such records available to federal, state, and COUNTY government representatives, as further specified in Exhibit A, Paragraph 9 and Exhibit B, Paragraph 10. SUBRECIPIENT shall ensure that members of the public also have access to such records upon request, in accordance with the Freedom of Information Act and the California Public Records Act. SUBRECIPIENT specifically agrees to require any subrecipients, contractors, successors, transferees, and assignees to acknowledge and agree to comply with all of these record keeping and access requirements. Failure to comply with these requirements may result in suspension of payments under the grant, termination of the grant, or both. SUBRECIPIENT may be ineligible for award of any future grants if COUNTY or Cal OES determines that any of the following has occurred: (1) the recipient has made false certification, or (2) violates the certification by failing to carry out the requirements as noted above. 18. NOTICES. Except as may be otherwise required by law, any notice to be given must be written and must be either personally delivered, sent by facsimile transmission, or sent by first class mail, postage prepaid and addressed as follows: COUNTY: With a Copy To:Andrew Lockman Emergency Services Manager Tulare County HHSA/Office of Emergency Services COUNTY ADMINISTRATIVE OFFICER 2800 W. Burrel Ave. Visalia, CA 93291 5957 S Mooney Blvd Visalia, CA 93277 Phone No.: (559) 624-7498 Fax No.: (559) 624-7499 Phone No.: (559) 636-5005 Fax No.: (559) 733-6318 SUBRECIPIENT: Dan Griswold Fire Chief 420 N. Burke St Visalia, CA 93292 Phone No.: (559) 713-4266 Fax No.: (559) 713-4808 Notice personally delivered is effective when delivered. Notice sent by facsimile transmission is deemed to be received upon successful transmission. Notice sent by first class mail shall be deemed received on the fifth (5th) day after the date of mailing. Either party may change the above address by giving written notice pursuant to this paragraph. 19. CONFLICTS WITH LAWS OR REGULATIONS/ SEVERABILITY. This Agreement is subject to all applicable laws and regulations. If any provision of this Agreement is found by any court or other legal authority, or is agreed by the parties, to be in conflict with any code or regulation governing its subject, 9 the conflicting provision shall be considered null and void. If the effect of nullifying any conflicting provision is such that a material benefit of the Agreement to either party is lost, the Agreement may be terminated at the option of the affected party, and some or all of the grant money may need to be returned to COUNTY. Such a termination will be treated as a termination for cause, in accordance with Paragraph 16 above. In all other cases, the remainder of the Agreement shall continue in full force and effect. 20.MODIFICATION. No part of this Agreement may be modified without the written consent of both Parties. 21. EXHIBITS AND RECITALS. The Recitals and the Exhibits to this Agreement are fully incorporated into and are integral parts of this Agreement. 22. GOVERNING LAW. This Agreement shall be interpreted and governed under the laws of the State of California without reference to California conflicts of law principles. The Parties agree that this contract is made in and shall be performed in Tulare County, California. 23. FURTHER ASSURANCES. Each Party will execute any additional documents and perform any further acts which may be reasonably required to effect the purposes of this Agreement. 24. NO THIRD PARTY BENEFICIARIES. Unless specifically set forth, the Parties to this Agreement do not intend to provide any other party with any benefit or enforceable legal or equitable right or remedy. 25. WAIVERS. The failure of either Party to insist on strict compliance with any provision of this Agreement shall not be considered a waiver of any right to do so, whether for that breach or any subsequent breach. The acceptance by either Party of either performance or payment shall not be considered to be a waiver of any preceding breach of the Agreement by the other Party. 26. HEADINGS. Section headings are provided for organizational purposes only and do not in any manner affect the scope, meaning or intent of the provisions under the headings. 27. ORDER OF PRECEDENCE. In the event of any conflict or inconsistency between or among the body of the Agreement and any Award Letter or other communication between COUNTY and SUBRECIPIENT, then the terms and conditions of the body of this Agreement shall prevail. 28. ASSIGNMENT. This Agreement is entered into by COUNTY in reliance on the identity and representations made by SUBRECIPIENT, and no part of this Agreement or this subaward (including any equipment purchased with the subaward) may be assigned, transferred, or sold by SUBRECIPIENT without the prior written consent of COUNTY, which consent COUNTY may grant, delay, deny, or condition in its absolute discretion. Any FY 2021 SHSGP funds provided to SUBRECIPIENT and not yet expended at the time of any attempted unauthorized assignment or transfer will be forfeit to COUNTY at the time of attempted assignment or transfer. Furthermore, the voluntary or involuntary assignment of this Agreement to a receiver or trustee in bankruptcy, will constitute a material breach and will automatically terminate this Agreement without advance notice or opportunity to cure. 29. COMPLIANCE WITH LAWS. SUBRECIPIENT shall comply with all applicable laws, ordinances, rules, and regulations and obtain and keep current all permits, licenses and/or approvals required by law 10 to perform the activities or services, or to purchase any equipment, specified in this Agreement. 30. CONFLICT OF INTEREST (a) SUBRECIPIENT agrees to, at all times during the performance of this Agreement, comply with the law of the State of California regarding conflicts of interests and appearance of conflicts of interests, including, but not limited to Government Code Section 1090 et seq., and the Political Reform Act, Government Code Section 81000 et seq. and regulations promulgated pursuant thereto by the California Fair Political Practices Commission. The statutes, regulations and laws previously referenced include, but are not limited to, prohibitions against any public officer or employee, including SUBRECIPIENT, from making any decision on behalf of COUNTY in which such officer, employee or consultant/contractor has a direct or indirect financial interest. A violation can occur if the public officer, employee, or consultant/contractor participates in or influences any COUNTY decision which has the potential to confer any pecuniary benefit on SUBRECIPIENT or any business firm in which SUBRECIPIENT has an interest, with certain narrow exceptions. (b)SUBRECIPIENT agrees that if any facts come to its attention which raise any questions as to the applicability of conflicts of interest laws, it will immediately inform the COUNTY designated representative and provide all information needed for resolution of this question. 31. COUNTERPARTS. The Parties may sign this Agreement in counterparts, each of which is an original and all of which taken together form one single document. 32. CERTIFICATION AND ACKNOWLEDGEMENT: The undersigned represents that he/she is authorized to enter into this Agreement for and on behalf of the SUBRECIPIENT. As the duly authorized representative of the SUBRECIPIENT, the undersigned hereby certifies that the SUBRECIPIENT has the legal authority to apply for County, State, and Federal assistance, and the institutional, managerial, and financial capability (including funds sufficient to pay any non-Federal share of project cost) to ensure proper planning, management and completion of the project described in the FY 2021 SHSGP application, within the prescribed timelines. The undersigned further acknowledges that the SUBRECIPIENT is responsible for reviewing and adhering to all COUNTY, state, and federal grant award requirements. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] 11 IN WITNESS WHEREOF, the Parties have executed this Agreement as of the day and year signed by the last Party below. SUBRECIPIENTATTEST: By:________________________________ Approved as to form: By: _______________________________ By: ________________________________ [Title] Date: ______________________________ COUNTY OF TULAREATTEST: JASON T. BRITT County Administrative Officer/ Clerk of the Board of Supervisors By:________________________________ Deputy Approved as to form: County Counsel By: _______________________________ Deputy, Matter No. 2021506. By: ________________________________ Chairman, Board of Supervisors Date: ______________________________
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Federally-Funded Services(Pursuant to Appendix II, 2 CFR Part 200)(1) Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, if this Agreement meets the definition of ‘‘federally assisted construction contract’’ in 41 CFR Part 60–1.3, then during the performance of this Agreement, the SUBRECIPIENT agrees as follows: (1) The SUBRECIPIENT will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The SUBRECIPIENT will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, or national origin. Such action shall include, but not be limited to the following: Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.(2) The SUBRECIPIENT will, in all solicitations or advertisements for employees placed by or on behalf of the SUBRECIPIENT, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, or national origin.(3) The SUBRECIPIENT will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the SUBRECIPIENT’S legal duty to furnish information.(4) The SUBRECIPIENT will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the SUBRECIPIENT’S commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.(5) The SUBRECIPIENT will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.(6) The SUBRECIPIENT will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.(7) In the event of the SUBRECIPIENT’S noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this Agreement may be canceled, terminated, or suspended in whole or in part and the SUBRECIPIENT may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law.(8) The SUBRECIPIENT will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (8) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The SUBRECIPIENT will take such action with respect to any subcontract or purchase order as the COUNTY may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, that in the event SUBRECIPIENT becomes involved in, or is threatened with, litigation with a sub-contractor or vendor as a result of such direction
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by the COUNTY, then the SUBRECIPIENT may request the United States to enter into such litigation to protect the interests of the United States. The COUNTY further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work. The COUNTY agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing compliance. The COUNTY further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction contracts pursuant to the Executive Order and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive Order. In addition, the COUNTY agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this grant (contract, loan, insurance, guarantee); refrain from extending any further assistance to the COUNTY under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from the COUNTY; and refer the case to the Department of Justice for appropriate legal proceedings. The SUBRECIPIENT and each of its subcontractors shall include this equal opportunity clause in each of its subcontracts. (2) Davis-Bacon Act, as amended (40 U.S.C. 3141–3148). If this Agreement involves payment for construction services in excess of $2,000, then the SUBRECIPIENT must comply with the Davis-Bacon Act (40 U.S.C. 3141–3144, and 3146–3148) as supplemented by Department of Labor regulations (29 CFR Part 5, ‘‘Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction’’). In accordance with the Davis-Bacon Act, the SUBRECIPIENT is required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the U.S. Secretary of Labor. In addition, the SUBRECIPIENT is required to pay wages not less than once a week. The COUNTY must provide SUBRECIPIENT with a copy of the current prevailing wage determination issued by the U.S. Department of Labor with respect to the services to be provided under the subject Agreement. The SUBRECIPIENT’S execution of the subject Agreement constitutes the SUBRECIPIENT’S acceptance of the wage determination. The COUNTY must report all suspected or reported violations to the Federal awarding agency. (3) Copeland ‘‘Anti- Kickback’’ Act (40 U.S.C. 3145). SUBRECIPIENT must comply with the Copeland ‘‘Anti- Kickback’’ Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 CFR Part 3, ‘‘Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States’’). Under the Copeland ‘‘Anti- Kickback’’ Act, the SUBRECIPIENT and all subcontractors are prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The COUNTY must report all suspected or reported violations to the Federal awarding agency. (4) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701–3708). If this Agreement
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involves payments for services in excess of $100,000 that include the employment of mechanics or laborers, then the SUBRECIPIENT must comply with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, the SUBRECIPIENT is required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous, or dangerous. These requirements do not apply to the purchases of supplies, materials, or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence. (5) Rights to Inventions Made Under a Contract or Agreement. If the Federal award supporting payments for services under this Agreement meets the definition of ‘‘funding agreement’’ under 37 CFR § 401.2 (a) and the Agreement is with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that ‘‘funding agreement,’’ then the COUNTY and the SUBRECIPIENT must comply with the requirements of 37 CFR Part 401, ‘‘Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements,’’ and any implementing regulations issued by the awarding agency. (6) Clean Air Act (42 U.S.C. 7401–7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251–1387), as amended. If this Agreement involves payments for services in excess of $150,000, then the SUBRECIPIENT must comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401–7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251–1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA). (7) Debarment and Suspension (Executive Orders 12549 and 12689). By execution of this Agreement, SUBRECIPIENT certifies to the COUNTY that it is not a party listed on the government-wide exclusions list in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), ‘‘Debarment and Suspension,’’ and is not debarred, suspended, or otherwise excluded from the award of a federally-supported contract under statutory or regulatory authority other than Executive Order 12549. (8) Byrd Anti-Lobbying Amendment (31 U.S.C. 1352). If this Agreement involves payments for services in excess of $100,000, then by execution of this Agreement, the SUBRECIPIENT certifies to the COUNTY that it will not and has not used Federally-appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. The SUBRECIPIENT must also disclose to the COUNTY in writing any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award. (9) Procurement of recovered materials. Pursuant to 2 CFR § 200.322, COUNTY and SUBRECIPIENT must comply with section 6002 of the Federal Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR part 247 that
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contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines. (10) Records Retention and Access. Pursuant to 2 CFR §§ 200.333 through 200.337, the following provisions regarding Records Retention and Access will apply to this Agreement: (a)Retention requirements for records. SUBRECIPIENT must retain all financial records, supporting documents, statistical records, and all other of its records pertinent to this Agreement for a period of three years from the date of submission of the final expenditure report or, for Federal awards that are renewed quarterly or annually, from the date of the submission of the quarterly or annual financial report, respectively, as reported to the Federal awarding agency or COUNTY. The only exceptions to the 3 year limit are the following: (i)If any litigation, claim, or audit is started before the expiration of the 3-year period, then the records must be retained until all litigation, claims, or audit findings involving the records have been resolved and final action taken. (ii) When the SUBRECIPIENT is notified in writing by the COUNTY or Federal awarding agency, cognizant agency for audit, oversight agency for audit, or cognizant agency for indirect costs to extend the retention period. (iii)Records for real property and equipment acquired with Federal funds must be retained for 3 years after final disposition. (iv)When records are transferred to or maintained by the COUNTY, or Federal awarding agency, the 3-year retention requirement is not applicable to the SUBRECIPIENT. (v) Records for program income transactions after the period of performance. In some cases recipients must report program income after the period of performance. Where there is such a requirement, the retention period for the records pertaining to the earning of the program income starts from the end of the SUBRECIPIENT’S fiscal year in which the program income is earned. (vi)Indirect cost rate proposals and cost allocations plans. This paragraph applies to the following types of documents and their supporting records: indirect cost rate computations or proposals, cost allocation plans, and any similar accounting computations of the rate at which a particular group of costs is chargeable (such as computer usage chargeback rates or composite fringe benefit rates). 1.If submitted for negotiation. If the proposal, plan, or other computation is required to be submitted to the COUNTY or the Federal Government to form the basis for negotiation of the rate, then the 3-year retention period for its supporting records starts from the date of such submission. 2.If not submitted for negotiation. If the proposal, plan, or other computation is not required to be submitted to the COUNTY or Federal Government for negotiation purposes, then the 3- year retention period for the proposal, plan, or computation and its supporting records starts from the end of the fiscal year (or other accounting period) covered by the proposal, plan, or other computation. (b) Methods for collection, transmission, and storage of information. In accordance with the May 2013 Executive Order on Making Open and Machine Readable the New Default for Government Information, the Federal awarding agency and the SUBRECIPIENT should, whenever practicable, collect, transmit, and store Federal award-related information in open and machine readable formats rather than in closed formats or on paper. The Federal awarding agency or COUNTY must always provide or accept paper versions of Federal award-related information to and from the SUBRECIPIENT upon request. If paper copies are submitted, the Federal awarding agency or COUNTY must not require more than an
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original and two copies. When original records are electronic and cannot be altered, there is no need to create and retain paper copies. When original records are paper, electronic versions may be substituted through the use of duplication or other forms of electronic media provided that they are subject to periodic quality control reviews, provide reasonable safeguards against alteration, and remain readable. (c) Access to records. (i)Records of SUBRECIPIENT. The Federal awarding agency, Inspectors General, the Comptroller General of the United States, the State of California, and the COUNTY, or any of their authorized representatives, must have the right of access to any documents, papers, or other records of the SUBRECIPIENT which are pertinent to the Federal award, in order to make audits, examinations, excerpts, and transcripts. The right also includes timely and reasonable access to the SUBRECIPIENT’S personnel for the purpose of interview and discussion related to such documents. (ii) Only under extraordinary and rare circumstances would such access include review of the true name of victims of a crime. Routine monitoring cannot be considered extraordinary and rare circumstances that would necessitate access to this information. When access to the true name of victims of a crime is necessary, appropriate steps to protect this sensitive information must be taken by both the SUBRECIPIENT and the Federal awarding agency or COUNTY. Any such access, other than under a court order or subpoena pursuant to a bona fide confidential investigation, must be approved by the head of the Federal awarding agency or delegate. (iii)Expiration of right of access. The rights of access in this section are not limited to the required retention period but last as long as the records are retained. Federal awarding agencies and COUNTY must not impose any other access requirements upon SUBRECIPIENT. 8592.5. (a) Except as provided in subdivision (c), a state department that purchases public safety radio communication equipment shall ensure that the equipment purchased complies with applicable provisions of the following: (1) The common system standards for digital public safety radio communications commonly referred to as the "Project 25 Standard," as that standard may be amended, revised, or added to in the future jointly by the Associated Public-Safety Communications Officials, Inc., National Association of State Telecommunications Directors and agencies of the federal government, commonly referred to as "APCO/NASTD/FED." (2) The operational and functional requirements delineated in the Statement of Requirements for Public Safety Wireless Communications and Interoperability developed by the SAFECOM Program under the United States Department of Homeland Security. (b) Except as provided in subdivision (c), a local first response agency that purchases public safety radio communication equipment, in whole or in part, with state funds or federal funds administered by the state, shall ensure that the equipment purchased complies with paragraphs (1) and (2) of subdivision (a). (c) Subdivision (a) or (b) shall not apply to either of the following: (1) Purchases of equipment to operate with existing state or local communications systems where the latest applicable standard will not be compatible, as verified by the Telecommunications Division of the Department of General Services. (2) Purchases of equipment for existing statewide low-band public safety communications systems. (d) This section may not be construed to require an affected state or local governmental agency to compromise its immediate mission or ability to function and carry out its existing responsibilities.
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SAFECOM Guidance on Emergency Communications Grants Fiscal Year 2021 U.S. Department of Homeland SecurityCybersecurity and Infrastructure Security Agency
FY 2021 SAFECOM Guidance on Emergency Communications Grants 2 A Message to StakeholdersOn behalf of the Cybersecurity and Infrastructure Security Agency (CISA), I am releasing the Fiscal Year 2021 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), updated in 2019, 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 the national public health crisis and ongoing geopolitical tensions. 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, 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 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 ................................................................................................................................... 17 3.1 Review the NECP and SCIP .......................................................................................................... 17 3.2 Coordinate with Statewide Emergency Communications Leaders ................................................ 17 3.3 Recognize Changes in the Emergency Communications Ecosystem ............................................ 17 3.4 Understand Federal Grant Requirements and Restrictions ............................................................ 23 4. Eligible Activities ................................................................................................................................. 26 4.1 Personnel ........................................................................................................................................ 26 4.2 Planning and Organization ............................................................................................................. 27 4.3 Training .......................................................................................................................................... 30 4.4 Exercises ........................................................................................................................................ 32 4.5 Equipment ...................................................................................................................................... 33 5. Emergency Communications Systems and Capabilities ...................................................................... 376. Grants Management Best Practices ...................................................................................................... 387. Funding Sources ................................................................................................................................... 39Appendix A – Acronym List ..................................................................................................................... A-1Appendix 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 4 1. IntroductionThe 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. Within DHS, the Cybersecurity and Infrastructure Security Agency (CISA) is responsible for developing coordinated guidance for federal grant programs for public safety communications.1 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.2It 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).3SAFECOM is a public safety-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 on emergency communications policy and standards to ensure projects are compatible, interoperable, and most importantly, meet needs of end-users. 1.1 Purpose of SAFECOM Guidance The SAFECOM Guidance provides guidance to grant recipients4 on: 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 6 U.S.C. § 571(c)(2) and 6 U.S.C. § 574. 2 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. 3 The NECP is the nation’s strategic plan for emergency communications. For more information on the NECP, see: cisa.gov/necp. 4 In accordance with Title 2 of the Code of Federal Regulations (CFR) 200, the terms “recipient” and “sub-recipient” are defined as a non-federal entities that receive federal awards directly from a federal awarding agency to carry out an activity under a federal program. 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 relevance into 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 defined in the NECP and their Statewide Communication Interoperability Plan (SCIP).5 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.61.2 Report Methodology CISA consulted with local, state, and federal partners to develop the SAFECOM Guidance, including: ECPC Grants Focus Group7 Federal Communications Commission (FCC), Public Safety and Homeland Security Bureau (PSHSB) SAFECOM8 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) 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) 5 For information on SCIPs, see: cisa.gov/statewide-communication-interoperability-plans. 6 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. 7 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. 8 For a list of SAFECOM members, see: cisa.gov/safecom/membership. 6 1.3 Use of SAFECOM Guidance The SAFECOM Guidance should be used during 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 the 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 NECPis the Nation’s strategic plan that promotes communication and information sharing across all levels of government, jurisdictions, disciplines, and organizations for all threats and hazards, as needed and when authorized. It provides information and guidance to those that plan for, coordinate, invest in, and use communications to support response 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 SCIPcontains 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/funding. IPAWS Website Thiswebsite contains information on IPAWS’s capabilities, who can use IPAWS to send alerts and warnings, and how organizations can connect to IPAWS to become Alerting Authorities. IPAWS is accessed through software that meets IPAWS system requirements. There is no cost to send messages through IPAWS, although there may be costs associated with acquiring Common Alerting Protocol compliant 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 alerts. 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. 7 Resources Descriptions Statewide Interoperability Coordinator States, territories, and tribal governments are encouraged to designate a full-time SWICwho 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 As required as a condition of the State and Local Implementation Grant Program 2.0, each State and Territory Governor designated an individual or body to serve as coordinator of implementation of the grant funds known as the Single Point of Contact. Grant recipients are encouraged to consult with the appropriate point of contact or governance body for their state or territory when engaging in public safety broadband activities.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-contacts. 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]. ABroadband Working Group serves as the governing body for state or territory planning activities for the FirstNet Authority. Many states are using their SIGB or SIEC for planning or have created an independent working group focused on public safety broadband. 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). The 911 Advisory Boardworks 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 Board to ensure projects support 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/state-911-contacts. 8 1.4 Key Changes and Updates This section highlights key changes to the FY 2021 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 a critical component 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. New this year, this section includes information on the Coronavirus Aid, Relief, and Economic Security (CARES) Act. Applicants are encouraged to review available supplemental funding and new federal financial assistance opportunities to support emergency communications projects. Congress also repealed the future auction of the 470–512 megahertz (MHz) ultra-high frequency band, referred to as the T-Band. Instead, public safety will continue to use this spectrum. 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. New this year, this section highlights restrictions on certain covered telecommunications procurements, as a result of the John S. McCain National Defense Authorization Act of 2019. Specifically, applicants should review new regulations for equipment and services purchased with federal grant funding. 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. 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. 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. 9 2. Emergency Communications PrioritiesCISA 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. 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 2021, 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.9These 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 operations.10 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 across the Nation. RECCWGs are congressionally-mandated planning and coordination bodies located in each FEMA Regionand 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. 9 See the Emergency Communications Governance Guide for State, Local, Tribal, and Territorial Officials at: cisa.gov/safecom/governance. 10See the National Incident Management System Implementation Objectives at: fema.gov/national-incident-management-system. 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 In accordance with DHS/FEMA requirements, all states and territories receiving Homeland Security Grant Program funds are required 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, 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, including: Include and coordinate with emergency communications leaders (e.g., 911 leaders, IPAWS Program Management Office, RECCWGs, utilities commissions) and representatives from multiple agencies, jurisdictions, disciplines, levels of government, tribes, rural areas, subject matter experts, and private industry when developing strategic and operational plans and policies, and during training and exercises 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 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 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 Integrate emergency communications governance and leadership into broader statewide planning efforts (e.g., FirstNet deployment and radio access network buildout, 911 system migration, IT enhancements) to ensure emergency communications needs are represented Increase regional structures or processes to foster multi-state coordination and information sharing Conduct outreach and education to continually assess and address user needs Develop governance to aid in coordination of messaging within partnering IPAWS Alerting Authorities; improve the common operating picture; and create awareness of existing plans, policies, and procedures 2.2 Priority 2: Planning and Procedures The emergency communications community benefits from a comprehensive and inclusive approach to 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) 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 Tactical Interoperable Communications Plans (TICPs) and FEMA Regional Emergency Communications Plans (RECPs). TICPs are designed to allow urban areas, counties, regions, states/territories, tribes, or federal agencies to document interoperable communications governance structures, technology assets, 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. 11 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 helps 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 statewide, tribal-wide, and territory-wide planning priorities. In FY 2021, grant recipients should continue to target funding toward planning activities, including updates of statewide, tribal-wide, and territory-wide 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 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: Reflect the NECP strategic goals and objectives into measurable goals, activities, and milestones Incorporate whole community concepts11 Integrate lifecycle planning to inform agency funding decisions 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 Identify and address FCC directives affecting current or planned public safety communications systems (e.g., narrowbanding, systems operating in the 700 MHz public safety broadband spectrum, 800 MHz rebanding) Incorporate a multifaceted approach to ensure the confidentiality, integrity, reliability, and availability of fully interoperable data applications and services Include all components of the emergency communications ecosystem (e.g., alerts, warnings, and notifications, 911 systems) Support statewide emergency communications and preparedness planning efforts through allocation of funding to the following planning activities: Conduct and attend planning meetings Engage the whole community in emergency communications planning, response, and risk identification Develop and perform risk, resiliency, and vulnerability assessments (e.g., cyber, Threat and Hazard Identification and Risk Assessment [THIRA], communications security [COMSEC]12) 11Per 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.” 12COMSEC 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. 12 Incorporate risk management strategies for cybersecurity, continuity, and recovery (e.g., National Risk Index [NRI]13) Integrate emergency communications assets and needs into state-level plans Coordinate with SWIC, State Administrative Agency (SAA),14 and state-level planners (e.g., 911 planners, utilities commissions) to ensure proposed investments align to statewide plans and comply with technical requirements Establish a cybersecurity response plan including continuity of vulnerable communications components and implementing resilient network designs (e.g., segmenting essential functions, strong access controls, two-factor authentication for staff logins) to limit the impact of cyber incidents Identify, review, establish, and improve SOPs in coordination with response agencies at all levels of government to: Ensure federal, state, local, tribal, and territorial roles and responsibilities are clearly defined Ensure communications assets and capabilities are integrated, deployed, and utilized to maximize interoperability Address threats, mitigate vulnerabilities, and identify contingencies for the continuity of critical communications 2.3 Priority 3: Training, Exercises, and Evaluation NECP Goal Demonstrations, 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 agencies involve responders from all levels of government, as well as non-governmental stakeholders, to practice a whole community response. It also recommends agencies utilize all types of communication technologies and identify gaps and problems with technologies or protocols. In FY 2021, grant recipients should continue to invest in communications-related training, exercises, and evaluations to address gaps identified in response and recovery operations, which should include thoroughly testing resiliency and continuity of communications. Grant recipients are 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 Incident Command System [ICS] and the ICS Communications Unit such as Communications Unit Leader [COML], Communications Technician [COMT], Radio Operator [RADO], Incident Tactical Dispatcher [INTD], Auxiliary Communications [AUXCOMM], and Incident Communication Center Manager [INCM])15 13FEMA 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. 14Many 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. 15Regular 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/nims-training. 13 Improve states’, tribes’, and territories’ ability to track and share trained Communications Unitpersonnel during response operations (e.g., include Communications Unit training plan withinstatewide plans such as the SCIP)Conduct frequent training and exercises involving personnel from all levels of government whoare assigned to operate communications capabilities, to test communications systems andpersonnel proficiency (e.g., include emerging technologies and system failure), and utilize third-party evaluators with communications expertiseIncorporate human factors in training and exercises to address the demands that voice, video, anddata information place on personnel, to ensure that responders effectively use and are notoverloaded by available informationPerform exercises that support and demonstrate the adoption, implementation, and use of theNIMS concepts and principlesHold cross-training and state, regional, or national level exercises to validate plans andprocedures to include tribes, nongovernmental organizations, and public sector communicationsstakeholdersProvide training and exercises on new and existing systems, equipment, and SOPsDevelop or update training and exercise programs to address new technologies, datainteroperability, cybersecurity, use of federal and national interoperability channels, personallyidentifiable information, and continuity of communicationsTest communications survivability, resilience, and continuity of communications, to includevalidation of continuity procedures and operational testing of backup systems and equipmentDevelop and support instructor cadres to expand training for communications-support personnelAssess and update training curriculums and exercise criteria to reflect changes in the operatingenvironment and plain language protocolsIdentify opportunities to integrate private and public sector communications stakeholders intotraining 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 andapplications, phishing, malware, other potential threats, and how to guard against attacksProvide regular training and exercises for Alerting Authorities incorporating the use of IPAWS2.4 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 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 resources they own or can access, then follow appropriate procedures to request and deploy resources to locations when needed. In FY 2021, grant recipients are encouraged to update inventories of communications assets and share information within their state, tribe, or territory and region (e.g., neighboring 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.16 Similarly, to assist in coordinating the use 16CISA hosts Public Safety Software Tools on the SAFECOM website at: cisa.gov/safecom/public-safety-software-tools. Tools include the CASM Resource Finder, the electronic National Interoperability Field Operations Guide (eNIFOG), and electronic Auxiliary Communications Field Operations Guide (eAUXFOG) mobile applications. Users may request online training from CISA Technical Assistance at: cisa.gov/ictapscip-resources. 14 of 700 and 800 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.17Grant 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: Establish or enhance primary, secondary, and backup communications capabilities and shareappropriate ICS forms and information illustrating the status of an agency’s capabilities Assess and improve the timeliness of notification, activation, and response ofcommunications 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 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 Promote assessment of communications assets, asset coordination, and resource sharing Implement projects that promote regional, intra- and inter-state collaboration 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 Develop, integrate, or implement NIMS aligned SOPs to facilitate the integration, deployment, and use of communications assets 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 Develop recommended guidelines regarding the use of personal communications devices (e.g., bring your own device) for official duties based on applicable laws and regulations Review usage of Priority Telecommunications Services (e.g., Government Emergency Telecommunications Service, Wireless Priority Service, and Telecommunications Service Priority), and and ensure SOPs govern the programs’ use, execution, and testing 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 Review uses of the NPSBN, also known as FirstNet, and other public safety broadband capabilities, and ensure SOPs govern the programs’ use, execution, and testing Strengthen resilience and continuity of communications Inventory and typing of resources and other activities that strengthen resilience and provide backup communications solutions (e.g., radio caches, cell on wheels [COWs]) Establish testing and usage observations of primary, secondary, and backup communications Address system and staffing for continuity of operations planning 17DHS Science and Technology Directorate sponsors the CAPRAD system at: caprad.org. 15 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 acknowledgement 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 2021, grant recipients should continue to invest in infrastructure that is accredited technical standards-based 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 to verify infrastructure is compliant to applicable standards. 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 requirementsPurchase and use P25 compliant LMR equipment (see P25 Compliance Assessment Program [CAP]approved equipment list) for mission critical voice communications18Support rapid and far-ranging deployment of the NPSBN and use of FirstNet devices and applicationsdedicated for public safety using multi-layered, proven cybersecurity and network security solutions19Transition towards NG911 capabilities in compliance with NG911 standardsSupport standards that allow for alerts, warnings, and notifications across different systemsSecure and protect equipment, information, and capabilities from physical and virtual threatsAcquire, sustain, and maintain Common Alerting Protocol compliant software that meets IPAWSsystem requirementsEmploy standards-based information exchange models and data sharing solutionsSecure standards-based interconnectivity gateway subsystemsSustain and ensure critical communication systems connectivity and resiliency, including backupsolutions, among key government leadership, internal elements, other supporting organizations,and the public under all conditionsSupport standards and practices that enhance survivability and resilience to electromagnetic effectsEnsure all communications systems and networks are traced from end-to-end to identify allSingle Points of Failure, including redundancy at critical infrastructure facilities, and: Sustain availability of backup systems (e.g., backup power, portable repeaters, satellite phones,High Frequency [HF] radios) Ensure diversity of network element components and routing18For 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. 19Applicants 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. 16 Plan for geographic separation of primary and alternate transmission media Maintain spares for designated critical communication systems Work with commercial suppliers to remediate single points of failure 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, and the public. In FY 2021, 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, and policy development. Personnel should be trained on the latest security, resiliency, continuity and operational practices and maintain in-service training as new technology and methods are made available. To support this priority, grant recipients should target funding to: Develop and maintain cybersecurity risk managementImplement the CISA Cyber Essentials Toolkits20Implement the NIST Framework for Improving Critical Infrastructure Cybersecurity21(Cybersecurity Framework) to complement an existing risk management process or to develop acredible program if one does not exist. The NIST Cybersecurity Framework establishes fivefunctions to integrate cybersecurity into mission functions and operations, including: Identify, evaluate, and prioritize risks Protect against identified risks Detect risks to the network as they arise Deploy response capabilities to mitigate risks Establish recovery protocols to ensure the resiliency and continuity of communications Perform a Cyber Resilience Review22Employ the Cyber Resiliency Resources available for public safety23Identify and implement standards for cybersecurity that fit system and mission needs whilemaintaining operability and interoperabilityDevelop incident response plans, recovery plans, resiliency plans, and continuity of operationsplans in anticipation of physical or cybersecurity incidentsMitigate cybersecurity vulnerabilities with consideration of potential impacts of cybersecurityrisk management on interoperability with the broader communityIdentify and mitigate equipment and protocol vulnerabilities20CISA Cyber Essential Toolkits are available at: cisa.gov/publication/cyber-essentials-toolkits. 21NIST 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. 22CISA helps organizations use the NIST Cybersecurity Framework to improve cyber resilience. For more information, see: us-cert.gov/resources/cybersecurity-framework. 23CISA Cyber Resiliency Resources are available at: cisa.gov/publication/communications-resiliency. 17 3. Before ApplyingBefore applying for federal funds for emergency communications, applicants should: Review the NECP and SCIPCoordinate with statewide emergency communications leadersRecognize changes in the emergency communications ecosystemUnderstand federal grant requirements and restrictions3.1 Review the NECP and SCIP Grant applicants should read the NECP to understand the national emergency communications strategy, and to 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 to 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 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 the NPSBN/FirstNet, or commercial wireless broadband services, and in some cases, procuring dedicated broadband networks for voice and/or data communications. 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. 18 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 hostile 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. 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 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: CARES Act. Signed into law on March 27, 2020, the CARES Act provided emergency assistanceand healthcare response for individuals, families, and businesses affected by the 2020 publichealth crisis.24 The Act included over $2.2 trillion in economic relief, split across the public andprivate sector. Division B: Emergency Appropriations for Coronavirus Health Response andAgency Operations, provided supplemental funding to federal departments and agencies, as wellas additional funding allocated to existing federal grant programs. Grant applicants areencouraged to review the federal financial assistance opportunities available through the Act tosupport emergency communications investments.National Emergency Communications Plan. Updated in September 2019, the focus of this Planis to ensure strategies, resource decisions, and investments for emergency communications keeppace with the evolving environment, and the emergency response community is collectivelydriving toward a common end-state for communications. The NECP provides information andguidance to those that plan for, coordinate, invest in, and use communications to support responseand recovery operations.2524For more information on the CARES Act, see: congress.gov/bill/116th-congress/house-bill/748. 25For more information on the NECP, see: cisa.gov/necp. 19 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, theAct established the FirstNet Authority, an independent authority within NTIA, and directed it toensure the establishment of the NPSBN.26 The Act reallocated and designated 700 MHz D Blockspectrum for public safety use, and instructed the FCC to grant an exclusive license to the FirstNetAuthority for the D Block spectrum and adjacent existing public safety broadband spectrum(collectively referred to as Band 14).27 The Authority engaged in comprehensive outreach andconsultation with public safety entities in federal, state, local, tribal, and territory jurisdictions toplan for the network. The Authority actively sought input from federal, tribal, state, and territorialgovernments; paid and volunteer first responders and other public safety personnel; industry; andother stakeholders on what the network should offer, how it should function, and how to meet thetechnical objectives of the network. The resulting FirstNet network solution is based on a single,national network architecture that evolves with technological advances and consists of a physicallyseparate evolved packet core (EPC) network and radio access networks (RANs).28FirstNet competes as a services-based business where eligible users choose to subscribe to a levelof 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 compatibledevices and applications that operate on the network and determination of connectivity ofproprietary databases that could support public safety operations. Infrastructure and maintenancecosts of the network’s EPC, RANs, and NPSBN deployable assets (e.g., COWs, Cell on LightTrucks [COLTs], Satellite COLTs, Flying Cell on Wings, aerostat) will be borne by the FirstNetAuthority and its NPSBN contractor.Per the Act, the FirstNet Authority delivered final state plans to governors to make an opt-in/opt-outdecision. All 50 states, five territories, and the District of Columbia opted into the FirstNet Authority-proposed deployment and will have a FirstNet network presence consistent with their state plan.At this time, only after receiving further guidance from the FirstNet Authority on the technicalrequirements of and compatibility with the network should grant recipients acquire long-termevolution (LTE) devices or network equipment. Additional outreach and planning activities (e.g.,community engagement and education, documenting user needs) that support the arrival of publicsafety broadband technologies should be done in consultation with the FirstNet Authority.Applicants interested in investing federal funds in broadband-related projects should consult withthe FirstNet Authority and the federal granting agency to understand all requirements impactingbroadband investments. The FirstNet Authority is the sole nationwide licensee for Band 14spectrum and does not anticipate entering into any other spectrum agreements. Applicants shouldwork closely with the SWIC, statewide emergency communications leaders, and the federalgranting agency to ensure projects remain in compliance with programmatic and technicalrequirements.26For more information on the Act, see: ntia.doc.gov/category/public-safety. 2747 U.S.C.§ 1421(a). 28For more information on the FirstNet Core, see: about.att.com/story/nationwide_launch_of_firstnet_dedicated_core_network.html. 20 In addition to the duties of the FirstNet Authority, the Act also charged NTIA with establishing a grant program, the State and Local Implementation Grant Program (SLIGP), to assist state, regional, tribal, and local jurisdictions with planning activities to support the implementation of the NPSBN. As required by the Act, NTIA consulted with the FirstNet Authority in establishing the programmatic requirements for SLIGP. NTIA awarded $116.5 million in grant funds to 54 state and territorial recipients between July 2013 and June 2014. The first round of grants (SLIGP 1.0) expired February 28, 2018. Many recipients expended their grant funds at a lower rate of spending than NTIA anticipated. NTIA used the unspent funds from SLIGP 1.0 to award a new grant program, SLIGP 2.0, in March 2018. SLIGP 2.0 grants, totaling $33.3 million, were awarded to 46 states and territories for planning activities to support implementation of the NPSBN. The original SLIGP period of performance had the grant awards end February 29, 2020, but all grants received a no-cost extension to extend the awards to the end by March 31, 2021, at the latest. Additionally, the Act provides the NHTSA and NTIA with $115 million for grants to improve 911 services. In August 2019, the agencies awarded 36 grants to states and two tribal grant recipients totaling $109,250,000. The period of performance for the grant program ends on March 31, 2022. Grant applicants should continue to monitor current federal actions affecting broadband and 911 programs funded through the Act.29IPAWS Modernization Act of 2015. Signed into law in April 2016, Public Law 114-143 calls for themodernization of IPAWS to ensure that under all conditions, the President, federal agencies, andstate, local, and tribal governments can alert and warn the civilian population in areas endangered bynatural 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 futuretechnologies for communicating directly with the public, provide alerts to the largest portion of theaffected population feasible, and improve the ability of remote areas to receive alerts; promotelocal and regional public and private partnerships to enhance community preparedness andresponse; provide redundant alert mechanisms; and protect individual privacy.30Additionally, the Modernization Act established the IPAWS Subcommittee to develop and submitrecommendations for the National Advisory Council (NAC). The NAC provided a report to theFEMA Administrator in February 2019. The FEMA Administrator’s Response to the NAC wassigned in September 2019, prioritizing recommendations, highlighting what is currently planned,and identified areas where more resources are required.Presidential Policy Directive–8, National Preparedness. Signed by the President in March 2011,this directive is aimed at strengthening the security and resilience of the United States throughsystematic preparation for the threats that pose the greatest risk to the security of the Nation. Itconsists of four main components: National Preparedness Goal; National Preparedness System;National Preparedness Report; and the Campaign to Build and Sustain Preparedness. Thedirective emphasizes national preparedness is the shared responsibility of the whole community.31As a result, many grants that fund emergency communications now require grant applicants toengage the whole community in planning. FY 2021 federal grant programs require applicants todemonstrate how a whole community approach to project planning was used and explain howcore capabilities were improved. Applicants are encouraged to engage their community early in29For more information on the 911 Grant Program, visit: 911.gov/project_911grantprogram.html. 30 For more information on the IPAWS Modernization Act, see: congress.gov/bill/114th-congress/senate-bill/1180. 31For more information on PPD-8, see: dhs.gov/presidential-policy-directive-8-national-preparedness. 21 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,32 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: Ultra-High Frequency (UHF)/Very High Frequency (VHF) Narrowbanding.33The FCCmandated all non-federal LMR licensees operating between 150 and 512 MHz and using 25kilohertz (kHz) bandwidth voice channels to migrate to 12.5 kHz bandwidth or equivalentefficiency by January 1, 2013. Grant applicants should ensure existing LMR systems arecompliant with these narrowbanding requirements and consult with the SWIC and the FCC onany non-compliance issues to avoid admonishment, monetary fines, or loss of license. Grantapplicants that have not complied with the FCC narrowband mandate may face limitations ontheir eligibility for federal funding.34800 MHz Reconfiguration (Rebanding).35 In 2004, the FCC ordered the reconfiguration ofportions of the 800 MHz band to separate public safety systems from commercial cellularnetworks and thereby reduce harmful interference. 800 MHz rebanding is complete in most areasof the U.S. but remains to be completed in the U.S.-Mexico border region. Public safety entitiescontemplating communication projects in areas still undergoing rebanding should consult theirSWIC, the FCC, and the 800 MHz Transition Administrator, which is responsible for overseeingthe rebanding process and providing technical assistance to affected licensees.T-Band Migration and Auction Repealed. In the Consolidated Appropriations Act, 2021,Congress repealed provisions in the Middle Class Tax Relief and Job Creation Act of 2012,which required the future auction of the 470–512 MHz (T-Band) spectrum currently licensed topublic safety entities. As a result, the FCC will neither auction the T-Band nor require T-Bandpublic safety licensees to relocate from the T-Band.700 MHz Public Safety Broadband Spectrum.36The Middle Class Tax Relief and Job CreationAct of 2012 authorized the establishment of the NPSBN, dedicated 20 MHz of spectrum (Band 14)for this purpose, and made the FirstNet Authority the single licensee for Band 14.32For more information on frequency coordinators, see: fcc.gov/general/public-safety-frequency-coordinators. 33For more information on narrowbanding, see: fcc.gov/narrowbanding-overview. 34See “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: [email protected]. 35For more information on 800 MHz reconfiguration, see: 800ta.org. 36The public safety broadband spectrum band is 758–768 MHz and 788–798 MHz. 22 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.37To 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,38 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 migration39 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 purchases40Leverage assessment data to develop strong statements of need that can be shared with state leaders responsible for prioritizing projects for funding41 Identify additional sources of funding for emergency communications improvements42 37Contact the FCC’s Public Safety Homeland Security Bureau at [email protected] the FirstNet Authority at [email protected]. 38Generally, federal licensing fees are not allowable under most federal grants; however, applicants should not anticipate having such expenses as public safety entities are exempt from FCC filing fees. For more information, see: fcc.gov/licensing-databases/fees. 39Consult the grant officer as some federal grants do not allow construction or ground-disturbing activities. 40Applicants 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. 41Applicants 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. 42For 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. 23 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 goalsEligibility requirementsApplication requirements (e.g., due dates, submission dates, matching requirements)Allowable costs and restrictions on allowable costsTechnical standards preferred, required, or allowed under each program, if applicableReporting requirementsAdditionally, recipients should be aware of common requirements for grants funding emergency communications,43 including: Environmental Planning and Historic Preservation (EHP) Compliance. Recipients mustcomply with all applicable EHP laws, regulations, Executive Orders, and agency guidance.Recipients are strongly encouraged to discuss projects with federal grant program officers tounderstand 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 receivepreparedness 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 asdescribed in the applicable Notice of Funding Opportunity and NIMS Implementation Objectivespublished by FEMA.44Stakeholder Preparedness Review (SPR) Submittal. The Stakeholder Preparedness Reviewreplaces the State Preparedness Report. Section 652(c) of the Post-Katrina Emergency ManagementReform Act of 2006 (Public Law 109-295), 6 U.S.C. §752(c), and requires any state, territory, urbanarea, or tribe that receives federal preparedness assistance administered by DHS to submit an annualSPR to FEMA. The SPR is a self-assessment of a jurisdiction’s current capability levels against thetargets identified in the Threat and Hazard Identification and Risk Assessment (THIRA).Jurisdictions use the SPR to estimate their current preparedness capabilities and compare those totheir THIRA results to identify gaps. They also use the SPR to identify potential approaches foraddressing those capability gaps.Threat and Hazard Identification and Risk Assessment. Since 2019, DHS/FEMA requireHomeland Security Grant Program (State Homeland Security Program and Urban Area SecurityInitiative), Tribal Homeland Security Grant Program, and Emergency Management PerformanceGrant Program recipients to complete a THIRA report every three years (previously, a THIRA43 While these are common requirements that affect many emergency communications grants, they may not apply to all grants; therefore, applicants should consult their grant guidance and grant officer for specific questions on grant requirements. 44The 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/implementation-guidance-and-reporting. 24 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.45Developing 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 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 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.46 Authority to Operate. In establishing requirements for the NPSBN and providing 20 MHz of the upper 700 MHz spectrum to the FirstNet Authority, Congress directed the Authority to ensure the building, operation, and maintenance of a wireless, nationwide interoperable public safety broadband network based on a single national network architecture. The Authority holds the single nationwide FCC license for the 20 MHz of combined Public Safety Broadband Spectrum (758-768 MHz and 788-798 MHz), commonly referred to as Band 14. The FirstNet Authority license also incorporates two one-MHz guard bands at 769 and 799 MHz. Subscription to the NPSBN and use of approved NPSBN devices enables prioritized access to Band 14 spectrum for public safety entities. 45For additional information on the THIRA process, see: fema.gov/emergency-managers/national-preparedness/risk-capability-assessment. 46The 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]. 25 Reporting. Federal agencies are improving how they demonstrate impact and effectiveness offederal grant programs. As a result, recipients may be required to report project-levelinformation, 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/wereaddressed through federal grant funding. Recipients are strongly encouraged to:oDevelop performance measures at the start of the grantoInclude interval performance measures and milestones to gauge project progressoTrack performance and report the impact of funds on emergency communicationsoInclude metrics on improvements in interval and final grant reportsRecipients 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 communicationsprojects, projects are often funded with multiple grant programs, creating a risk of comminglingand duplication. Recipients must ensure federal funds are used for purposes that were proposed andapproved and have financial systems in place to properly manage grant funds. Recipients cannotcommingle federal sources of funding. The accounting systems of all recipients and sub-recipientsmust ensure federal funds are not commingled with funds from other awards or federal agencies.Cost Sharing/Matching Funds. Recipients must meet all matching requirements prescribed bythe grant. If matching funds are required, grant recipients must provide matching funds or in-kindgoods 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 staffregular time is considered personnel and may be allowable. Recipients are encouraged to refer tothe applicable grant program guidance and develop a plan to sustain critical communicationspositions 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 budgetedfor the same purpose. Most federal grants funding emergency communications restrict recipientsfrom hiring personnel for the purposes of fulfilling traditional public safety duties or to supplanttraditional public safety positions and responsibilities. Review applicable grant program guidancefor specific rules on supplanting. 26 4. Eligible ActivitiesThe 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.47Grant 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.48Allocating 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 behired 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 behired 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 47 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. 48Typically, the use of federal grant funding to pay for staff or contractor regular time is considered personnel. 27 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 behired to support exercises. This includes personnel that will: Assess needs Plan and conduct exercises in accordance with NIMS and the Homeland Security Exercise and Evaluation Program (HSEEP) Implement NECP goal measurements and assessments 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 criticalcommunications positions is sustained after the grant period of performance has ended and corecapabilities are maintained.Overtime. Some federal grants permit the use of funds for overtime related to training. Theseexpenses are limited to additional costs that result from personnel working more than 40 hoursper week as a direct result of their attendance at approved activities (e.g., emergencycommunications training and exercises).Backfill-related Overtime. Some federal grants allow funds to be used for backfill-relatedovertime. These expenses are limited to costs of personnel who work overtime to perform duties ofother 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 bysubtracting the non-overtime compensation, including fringe benefits of the temporarily assignedpersonnel, from the total costs for backfilling the position. Recipients should ensure grant funds canbe used for overtime and consult their grant officer to correctly calculate overtime costs.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. Grantfunds may be used to develop or enhance interoperable communications plans and align plans tothe strategic goals, objectives, and recommendations set forth in the NECP. Examples ofemergency 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 28 Communications system lifecycle planning, including migration planning and use of the 2018 Emergency Communications System Lifecycle Planning Guide and Lifecycle Planning Tool Plans for narrowband conversion and compliance Plans for broadband integration with broader communications capabilities 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 Tool) Planning for cross jurisdictional alerting Plans for issuing Wireless Emergency Alerts Engagement of federal, state, local, tribal, territorial, private, and public sector entities inplanning. Many federal grants require engagement of the whole community in planning toadequately assess and address needs and to implement the National Preparedness System. TheNational Preparedness Goal and the National Preparedness System concepts, as described inPPD–8, recognize the development and sustainment of core capabilities are not exclusive to anysingle level of government or organization, but rather require combined efforts of the wholecommunity.51 Coordination and planning benefit from including a variety of traditional andnon-traditional entities supporting public safety, such as tribes, medical facilities, alertingauthorities, nongovernmental organizations, public works, utilities, forestry services, military,private sector, and the American Red Cross. Including these under-represented organizations orsectors will assist with the development of strategic, operational, and contingency plans. As aresult, the following activities are often supported through federal grants funding emergencycommunications: 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 governancestructures and leadership are essential to effective decision-making, coordination, planning, andmanaging 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 governingbodies. Eligible activities may include:49For guidance on emergency communications system lifecycle planning, see: cisa.gov/safecom/funding. 50SAFECOM/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. 51 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. 29 Developing MOUs and Memoranda of Agreement (MOA) to facilitate participation in planning and governance activities 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 recipientsare encouraged to allocate grant funding to planning activities, such as assessments of: Technology capabilities, infrastructure, and equipment (e.g., updating the CASM Tool, creating fleet maps, NG911 Self-Assessment Tool) SOPs, coordination of interoperability channels, and regional response plans Training and exercises Narrowband compliance capabilities and system coverage analysis Cost maintenance models for equipment and usage Implementation and maintenance of identity, credential, and access management (ICAM) capabilities Development or enhancement of interoperable emergency communications protocols. Fundsmay be used to enhance multi-jurisdictional and multi-disciplinary common planning andoperational 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 guides and templates for field guides Planning activities for emerging technologies. Grant funds may be used to plan for theNPSBN/FirstNet, other public safety broadband capabilities, and technologies. Activities mayinclude: Defining user needs 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 technologies Conducting assessments of cyber risks and strategies to mitigate vulnerabilities before the deployment of IP-based networks 30 Implementing ICAM solutions to address growing data management, interoperability, and cybersecurity challenges, with consideration for federated solutions, such as the Trustmark Framework52Use of priority service programs. Grant funds may be used to assist priority service planningand engineering, and to facilitate participation in federal priority service programs,53 including: Government Emergency Telecommunications Service (GETS) Wireless Priority Service (WPS) Telecommunications Service Priority (TSP) Use of notifications and alerts and warnings. Grant funds may be used to connect withnational-level mass notification alert systems, including the IPAWS,54 which consists of: Emergency Alert System (EAS) Wireless Emergency Alerts (WEA) National Oceanic and Atmospheric Administration All Hazards Weather Radio Internet-based services Unique and local alerting systems In addition to distributing alerts and warnings through EAS, WEA, and NWR, 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.55 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 response 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 by personnel. Grant recipients are strongly encouraged to include training in projects that involve new SOPs or equipment purchase. 52For more information on ICAM and the Trustmark Framework, see: cisa.gov/safecom/icam-resources. 53For more information on priority services, see: cisa.gov/pts. 54For more information on IPAWS, see: fema.gov/emergency-managers/practitioners/integrated-public-alert-warning-system. 55DHS/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. 31 Development, delivery, attendance, and evaluation of training.56 Grant funds may be used toplan, attend, and conduct communications-specific training workshops or meetings to includecosts related to planning, meeting space, and other logistics costs, facilitation, travel, and trainingdevelopment. Communications-specific training should focus on: Use of SOPs and other established operational protocols (e.g., common language) NIMS/ICS training COML, COMT, or ICS Communications Unit position training 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 of CASM Tool Integration of technologies (e.g., NG911, broadband, alerts, warnings, and notification 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.57State, local, tribal, and territorial entities must adopt NIMS as acondition of many federal grants. Given that implementation of NIMS requires certain trainingcourses, recipients may target funding towards NIMS-compliant training.Completion of Communications Unit Leader Training. CISA, in partnership with FEMA’sNational Integration Center, the DHS Science and Technology Directorate, and practitioners fromacross the country, developed performance and training standards for the All-Hazards COML andformulated a curriculum and comprehensive All-Hazards COML Course. Recipients should targetgrant funding toward this training to improve on-site communications during emergencies, as wellas satisfy NIMS training requirements.Recommended 911 Minimum Training for Telecommunicators. The National 911 Programfacilitated a project to establish universally accepted minimum training guidelines to be used foraspiring and current 911 telecommunicators, and to provide the foundation for ongoing professional56DHS 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. 57NIMS 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. 32 development. The Recommended Minimum Training Guidelinesidentify the minimum topics to be included in any telecommunicator training program. 4.4 ExercisesExercises 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, law enforcement, 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 operations 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.58 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. 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. 58HSEEP resources are available at: fema.gov/emergency-managers/national-preparedness/exercises/hseep. 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. 33 Coordination with state-level partners.Communications-specific exercise activities should becoordinated 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 EquipmentEmergency 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 standards-based equipment that supports statewide plans for improving emergency communications and interoperability among systems. Eligible Expenses59Design, construction,60 implementation, enhancement, replacement, and maintenance ofemergency communications systems and equipment, including: System engineering requirements As-is and proposed enterprise architectures Interoperability verification and validation test plans System lifecycle plans Analysis and monitoring of cybersecurity risks Migration to approved, open architecture, standards-based technologies 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) 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 that all non-federal public safety landmobile licensees operating between 150-512 MHz and using 25 kHz channel bandwidth in theirradio systems migrate to 12.5 kHz channels by January 1, 2013. Recipients should ensure existingsystems 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, or fuel systems 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 59While 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. 60Not 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. 34 Analyzing physical site security provisions for upgrades and enhancements (e.g., fences, lighting, alarms, cameras, shelter access hardening, protective measures) Evaluating Public Safety Answering Points, Emergency Communications Centers, and other 911 infrastructure sites to determine hardware and software requirements and 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, wireline, or cable at communications sites and existing public safety facilities) Analyzing existing IP backbone to determine gaps in supporting high bandwidth public safety communications system access and applications Planning and modeling network capacity to ensure backhaul links and aggregation points are appropriately provisioned Upgrading existing backbone to support advanced capabilities (e.g., multi-protocol line switching) Installing fiber optic connections and microwave connectivity to support enhanced communications and networking capabilities Ensuring robust cybersecurity protocols and protections are in place Assessing and documenting usage of wireless communications capabilities including: Mobile data systems facilitated through government-owned or commercialservicesApplicationsDevices or platforms supportedSpeed/capacityAccessible dataRedundancy and resiliency of systems or servicesCost of services and systemsExisting gaps in capabilities, connectivity, coverage, or application supportPurchase of:oStandards-based interoperable communications equipment listed on the AuthorizedEquipment List (AEL)61oP25 compliant radio equipment listed on the P25 CAP Approved (Grant-Eligible)Equipment List62oBroadband user equipment on the NIST List of Certified Devices63oApplications and services that meet appropriate protocols and standards for access to, useof, or compatibility with the NPSBNoBroadband data and voice cache communications capabilities (e.g., in-vehicle routers,Wi-Fi hotspots, and other devices) that augment network access and enable operations inareas where network coverage is challenging or 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) Alerts and warnings software that is compliant with the Common Alerting Protocol standards, user friendly, and meets IPAWS system requirements 61For 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. 62 For a list of P25 compliant radio equipment, see: dhs.gov/science-and-technology/approved-grant-eligible-equipment. 63 For a list of NIST certified devices, see: nist.gov/ctl/pscr/process-document-nist-list-certified-devices. 35 Additional Requirements and Recommendations for Equipment PurchasesRecipients 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.64Other federal grants require recipients to explain how their procurements will comply with applicable 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. 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 requires 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.65 Adoption of new technologies. Recipients are encouraged to migrate to approved, open architecture, 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. 64Technical 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. 65To 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. 36 Sustainment of current LMR capabilities. Grant recipients are strongly encouraged to sustaincurrent LMR capabilities for mission critical voice capabilities so that systems continue to deliverreliable communications.Compliance with federal procurement requirements. As a condition of funding, recipientsagree to comply with federal procurement requirements. Recipients are responsible for ensuringopen and competitive procurements, subject to the specific programmatic requirements of thegrant, and applicable state or local procurement requirements. Recipients are required to havewritten procurement policies in place, are encouraged to follow the same policies and proceduresit uses for procurement from its non-federal funds, and should include any clauses required by theFederal Government. The following are key procurement tenets when using federal funds:oProcurement transactions should be conducted to ensure open and free competitionoRecipients/sub-recipients may not supplant, or replace, non-federal funds that are alreadybudgeted or funded for a projectoRecipients/sub-recipients should avoid non-competitive practices (e.g., contractors thatdeveloped the specifications for a project should be excluded from bidding)Compliance with new covered telecommunications restrictions. Grant recipients should beaware of new restrictions on the procurement and use of certain covered telecommunicationsequipment as a result of the John S. McCain National Defense Authorization Act of 2019.66Incompliance with the Act, federal grant funds obligated by executive agencies may not be used toprocure or obtain, extend or renew, or enter into a contract with certain coveredtelecommunications providers. Within the Act, “covered telecommunications” is defined as:oTelecommunications equipment produced by Huawei Technologies Company, ZTECorporation, or any subsidiaryoVideo surveillance or telecommunications equipment produced by HyteraCommunications Corporation, Hangzhou Hikvision Digital Technology Company,Dahua Technology Company, or any subsidiaryoTelecommunications or video surveillance equipment or services produced by an entitythat the Secretary of Defense, in consolation with the Director of the NationalIntelligence or Director of the Federal Bureau of Investigation, believes to be an entityowned or controlled by a government of a covered foreign countryPromotion of regional capabilities. Grant recipients should coordinate and collaborate withagencies from neighboring states and regions to facilitate regional operable and interoperablesolutions, including shared solutions.Development of communications system lifecycle plans. Emergency responders must upgradeand maintain communications systems to ensure effective operation. Some programs requirerecipients to submit system lifecycle plans for equipment purchased with federal grant funds. As aresult, 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 totalcosts allocated to equipment. Federal funds cannot be matched with other federal funds, but can bematched through state, local, tribal, or territory cash and in-kind contributions. Match requirementsare often waived for ancillary territories. Grant recipients should refer to the applicable grantguidance and consult the awarding agency with any questions regarding cost share requirements.66For more information, see: congress.gov/bill/115th-congress/house-bill/5515/text, govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15293.pdf, and Sec. 889 of the 2019 National Defense Authorization Act Frequently Asked Questions for Grants and Loans. 37 5. Emergency Communications Systems and CapabilitiesEmergency 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 SteeringCommittee Approved List of StandardsSelect P25 Compliance Assessment Program (P25 CAP) approved equipmentObtain documented evidence of P25 CAP compliance; in the absence of testinginformation on the P25 Compliance Assessment Bulletins, entities should requestresults of applicable test procedures identified in the P25 standards listEnsure additional features purchased are P25 compliant (e.g., AES 256 encryption)Avoid non-standard and proprietary features, but if necessary, ensure features areidentified and understand impacts on interoperabilityProvide written justification for non-compliant P25 purchasesPublic Safety BroadbandSeek guidance from the FirstNet Authority on how to best incorporate broadbandcommunications into a public safety entity’s communications ecosystemAlerts, Warnings, and Notifications Read the IPAWS Best Practices Guideand consult with IPAWS ProgramManagement Officefor compatible alert origination software toolsReference the IPAWS Program Planning ToolkitReview the IPAWS list of critical capabilities and recommended features of an alertorigination software toolEnsure software tool compliance with Common Alerting Protocol (CAP), theIPAWS CAP Profile, and support of a testing environmentComplete the IPAWS Memorandum of Agreement process911 SystemsRead the NG911 Standards Identification and Review, use the NG911 Self-Assessment Tool, and select a Standard Development Organization’s standardsConsult with the National 911 Program Office regarding any updated standardsSelect IP-enabled 911 open standards equipment and softwareData Exchange and Information Sharing Environment Evaluate data information sharing needs and standards based on existingsystems, users, and the type of information being exchangedRead the Organization for the Advancement of Structured Information Standards(OASIS) Emergency Data eXchange Language (EDXL) and National InformationExchange Model (NIEM)resources on data messaging standardsRead the SAFECOM/NCSWIC guidance and best practices provided by theApproach for Developing an Interoperable Information Sharing Framework 38 6. Grants Management Best PracticesProper 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 67Stakeholders can also contact their respective CISA Emergency Communications Coordinatorfor guidance.
PhasesSuggested Actions / Best PracticesPre-Award Review and understand the NECP, SCIP, and other applicable plansCoordinate with the SWIC and other key governance bodies and leadership to documentneeds, align projects to plans, and identify funding optionsWork with SAA to include projects in state preparedness plans and to secure fundingReview program requirements included in grant guidanceConsult the federal granting agency, spectrum authority (i.e., FCC or FirstNet Authority),and SAFECOM Guidance when developing projectsAlign projects to federal and state-level plans and initiativesInclude coordination efforts with the whole community in applicationsIdentify staff to manage financial reporting and programmatic compliance requirementsDevelop project and budget milestones to ensure timely completionIdentify performance measures and metrics that will help demonstrate impactConsider potential impacts of EHP requirements on implementation timelinesEnsure proper mechanisms are in place to avoid commingling and supplanting of fundsEvaluate the ability of sub-recipients to manage federal fundingConsider how the project will be sustained after grant funding has endedAward Review award agreement to identify special conditions, budget modifications, restrictionson funding, pass-through and reporting requirements, and reimbursement instructionsUpdate the proposed budget to reflect changes made during review and awardInform sub-recipients of the award and fulfill any pass-through requirementsPost Award Establish repository for grant file and related data to be collected and retained from awardthrough closeout, including correspondences, financial and performance reports, projectmetrics, documentation of compliance with EHP requirements and technology standardsEnsure fair and competitive procurement process for all grant-funded purchasesUnderstand the process for obtaining approval for changes in scope and budgetAdhere to proposed timeline for project and budget milestones; document and justify anydelays impacting progress or spendingLeverage federal resources, best practices, and technical assistanceComplete financial and performance reports on timeDraw down federal funds as planned in budget milestones or in regular intervalsComplete projects within grant period of performanceCloseoutEnsure all projects are completeMaintain and retain data as required by the award terms and conditionsFile closeout reports; report on final performance 39 7. Funding SourcesApplicants should consider all available funding sources, including traditional grants to help fund initial capital investments or improvements to communications systems, as well as other sources of funding that may partially fund emergency communications projects. Traditional Grant Funding CISA is charged with coordinating federal grants funding emergency communications. Through its work with the ECPC Grants Focus Group, CISA identified more than 35 federal grants and loans that fund emergency communications in FY 2020.68 When applying for these funds, grant applicants are encouraged to: Identify current grant funding available and alternative sources of fundingReview eligibility requirements, program goals, and allowable costsUnderstand what past grants have funded in your jurisdictionPartner with entities eligible to receive other funding sourcesOther Sources of Federal Funding While SAFECOM Guidance traditionally covered federal financial assistance programs, there are other grant and loan programs that can provide extensive funding for state, local, tribal, and territorial public safety communications needs. For example, the U.S. Department of Agriculture (USDA) Rural Utility Service integrated interoperable emergency communications and 911 upgrade authority in its Telecommunications Loan Program, and loans and grants from USDA Rural Development’s Community Facilities Program provided critical funding for emergency communications projects. While loans offer an alternative to traditional grants, applicants should work with financial experts to understand loan terms and ensure their proposals meet all requirements under each program. Also, there are several federal programs that are not solely focused on public safety communications (e.g., Rural Telecommunications and Rural Electrification Programs). These programs can improve access to 911 services; provide all hazards warnings; improve integration and interoperability of emergency communications; provide critical infrastructure protection and outage prevention; and increase the reliability of standby power to emergency responders. Applicants are encouraged to identify additional funding sources, such as rural grants and loans, and work with eligible entities for those programs to improve communications infrastructure. 68For an updated list of federal grants and loans that fund emergency communications, see: cisa.gov/safecom/funding. Applicants can find and search grants and loans at: grants.gov. 40 Funding and Sustainment Resources CISA, SAFECOM, and NCSWIC publish numerous resources for state, local, tribal, and territorial governments and their public safety agencies to identify funding mechanisms for emergency communications projects. The following list includes educational documents and tools designed for stakeholders, available on the SAFECOM Funding Resources webpage. Funding Mechanisms Guide for Public Safety Communications Systems, assists public safety agencies in identifying funding sources for emergency communications projects. It highlights strengths, challenges, opportunities, and other considerations for funding sources to help agencies determine if certain mechanisms are suitable for their community. The guide also provides funding examples from states and localities, showcasing challenges and successes associated with real-world applications. Emergency Communications System Lifecycle Planning Guide and the Lifecycle Planning Tool, provide assistance to stakeholders in their efforts to fund, plan, procure, implement, support, and maintain public safety communications systems, and eventually to replace and dispose of system components. Emergency Communications Systems Value Analysis Guide and the accompanying Understanding the Value of Public Safety Communications Systems: A Brochure for Elected Officials and Decision-Makers, assist public safety agencies evaluate communications systems and equipment for cost effectiveness and value to its users. Materials describe common system components, including considerations and features required by public safety agencies that are unique to specific roles. Interoperability Business Case: An Introduction to Ongoing Local Funding, advises the community on the elements needed to build a strong business case for funding interoperable communications. Various educational documents, brochures, and action memorandum to assist stakeholders identify funding and procure radio communications systems. o LMR 101, Part I: Educating Decision Makers on LMR Technologies, includes basic information for use in educating decision-makers about the importance of LMR technologies. The paper includes simple diagrams, terminology, history, and current usage of LMR technologies by public safety agencies. o LMR for Decision Makers, Part II: Educating Decision Makers on LMR Technology Issues, provides information about emerging technologies, and the impact such technologies will have on LMR systems as they evolve. Information includes discussion of the LMR-to-LTE transition, and the need to sustain mission critical voice through such transition. o LMR for Project Managers, Part III: A P25 Primer for Project Managers and Acquisition Managers, delivers an introduction about standards-based purchasing, and an overview of the P25 standard explaining its importance to public safety interoperability. o LMR Brochure, provides stakeholders with a hand-out to give to state and local decision-makers and elected officials to explain why it is important to fund and sustain LMR. o LMR Action Memorandum, provides stakeholders with basic information they can give to state and local decision-makers and elected officials on why it is important to fund and sustain public safety radio systems.
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Appendix A – Acronym List3GPP Third Generation Partnership Project AAR After-Action Report AEL Authorized Equipment List AES Advanced Encryption Standard ANSI American National Standards Institute ATIS Alliance for Telecommunications Industry Solutions, Inc. CAP Common Alerting Protocol CAPRAD Computer Assisted Pre-Coordination Resource and Database CASM Communication Assets Survey and Mapping CDM Continuous Diagnostics and Mitigation CFR Code of Federal Regulations CIO Chief Information Officer CISA Cybersecurity and Infrastructure Security Agency CISO Chief Information Security Officer CJIS Criminal Justice Information Services CEQR Council on Environmental Quality Regulations CNSS Committee on National Security Systems COLT Cell on Light Trucks COML Communications Unit Leader COMSEC Communications Security COMT Communications Technician CONOPS Concept of Operations COW Cell on Wheels CSIRT Computer Security Incident Response Team CSRIC Communications Security Reliability and Interoperability Council CSSI Console Subsystem Interface CSSP Communications Sector-Specific Plan DE Distribution Element DES-OFB Data Encryption Standard-Output Feedback DHS Department of Homeland Security EAS Emergency Alert System ECC Emergency Communications Center ECPC Emergency Communications Preparedness Center EDXL Emergency Data eXchange Language EHP Environmental Planning and Historic Preservation EO Executive Order A-2
EPC Evolved Packet Core ETSI European Telecommunications Standards Institute FCC Federal Communications Commission FEMA Federal Emergency Management Agency FIPS Federal Information Processing Standards FirstNet Authority First Responder Network Authority FY Fiscal Year GETS Government Emergency Telecommunications Service GFIPM Global Federated Identity and Privilege Management GRA Global Reference Architecture GSMA Groupe Speciale Mobile Association HAVE Hospital Availability Exchange HF High Frequency HSEEP Homeland Security Exercise and Evaluation Program HSPD Homeland Security Presidential Directive ICAM Identity, Credential, and Access Management ICO Implementation Coordination Office ICS Incident Command System IDS Intrusion Detection IEC International Electrotechnical Commission IEEE Institute of Electrical and Electronics Engineers IEP Information Exchange Package IEPD Information Exchange Package Documentation IETF Internet Engineering Task Force IP Internet Protocol IPAWS Integrated Public Alert and Warning System IPS Intrusion Prevention IS Independent Study ISE Information Sharing Environment ISO International Organization for Standardization ISSI Inter Radio Frequency Subsystem Interface IT Information Technology ITU International Telecommunications Union kHz kilohertz LMR Land Mobile Radio LTE Long-Term Evolution MHz Megahertz MOA Memorandum of Agreement A-3
MOU Memorandum of Understanding NAC National Advisory Council NASNA National Association of State 911 Administrators NCCIC National Cybersecurity and Communications Integration Center NCSWIC National Council of Statewide Interoperability Coordinators NECP National Emergency Communications Plan NENA National Emergency Number Association NEP National Exercise Program NERC North American Electric Reliability Corporation NG-SEC NENA Security for NG911 Standard NHTSA National Highway Traffic Safety Administration NIFOG National Interoperability Field Operations Guide NG911 Next Generation 911 NIEM National Information Exchange Model NIMS National Incident Management System NIPP National Infrastructure Protection Plan NIST National Institute of Standards and Technology NISTIR NIST Internal/Interagency Reports NOAA National Oceanic and Atmospheric Administration NOFO Notice of Funding Opportunity NPSBN Nationwide Public Safety Broadband Network, or FirstNet NRI National Risk Index NTIA National Telecommunications and Information Administration OASIS Organization for the Advancement of Structured Information Standards OGC Open Geospatial Consortium OMA Open Mobil Alliance OMB Office of Management and Budget P25 Project 25 P25 CAP P25 Compliance Assessment Program PMO Project Management Office POETE Planning, Organization, Equipment, Training, and Exercises PPD Presidential Policy Directive PSAP Public Safety Answering Point PSCR Public Safety Communications Research PSHSB Public Safety & Homeland Security Bureau PTIG Project 25 Technology Interest Group RAN Radio Access Network RECCWG Regional Emergency Communications Coordination Working Group A-4
RECP Regional Emergency Communications Plans RF Radio Frequency RFI Request for Information RM Resource Messaging RUS Rural Utilities Service SAA State Administrative Agency SAME Specific Area Message Encoding SCIP Statewide Communication Interoperability Plan SDO Standard Development Organization SIGB Statewide Interoperability Governing Body SIEC State Interoperability Executive Committee SLIGP State and Local Implementation Grant Program SOP Standard Operating Procedure SoR Statement of Requirements SPR Stakeholder Preparedness Review SWIC Statewide Interoperability Coordinator TDoS Telephone Denial of Service TFOPA Task Force on Optimal Public Safety Answering Point Architecture THIRA Threat and Hazard Identification and Risk Assessment TIA Telecommunications Industry Association TICP Tactical Interoperable Communications Plan TSP Telecommunications Service Priority UASI Urban Areas Security Initiative UHF Ultra High Frequency USDA United States Department of Agriculture URT Unified Reporting Tool US-CERT U.S. Computer Emergency Readiness Team VHF Very High Frequency VoIP Voice over Internet Protocol W3C World Wide Web Consortium WEA Wireless Emergency Alerts WPS Wireless Priority Service XML Extensible Markup Language B-1
Appendix B – Technology and Equipment Standards and ResourcesThis appendix provides grant applicants and recipients with operational best practices, technical standards, and resources to reference when developing communications systems. Above all, grant recipients should purchase standards-based technologies and equipment that promote interoperability with partners. How to Use this Appendix When procuring communications infrastructure, there are overarching considerations and guidelines, as well as specific standards to follow. No single document could include everything public safety communications system planners need to know. However, this appendix lists technical standards applicable to public safety communications systems and resources for additional information. The following topics are included in this appendix: System Lifecycle Planning…………………………………………… B-1 Cybersecurity……………………….………………………………… B-3 Continuity and Resilience……………………………………………. B-7 Land Mobile Radio……………………………….…….……………. B-9 Nationwide Public Safety Broadband Network…………………… B-12 Alerts, Warnings, and Notifications………….…………….……… B-14 911 Systems.…………….……………………………….…………. B-16 Data Exchange and Information Sharing Environment………… B-18 System Lifecycle Planning Grant recipients should employ best practices and recommendations from the 2018 Emergency Communications System Lifecycle Planning Guide The Cybersecurity and Infrastructure Security Agency (CISA), in collaboration with SAFECOM and the National Council of Statewide Interoperability Coordinators (NCSWIC), developed the Emergency Communications System Lifecycle Planning Guide, which provides recommended actions through easy-to-use checklists for each phase of the system lifecycle planning model. It is intended for stakeholders to use in their efforts to fund, plan, procure, implement, support, and maintain public safety communications systems, and eventually replace and dispose of system components. Each phase of the system lifecycle planning model—Pre-Planning; Project Planning; Request for Proposals and Acquisition; Implementation; Support, Maintenance, and Sustainment; End-of-Lifecycle Assessment and Replacement; and Disposition—includes best practices, considerations, and recommended checklists to assist public safety agencies embarking on system lifecycle planning. Specifically, the checklists are designed to be torn-out, referenced, and used by project management teams throughout the system lifecycle. Table B-1 summarizes the system lifecycle planning model phases and high-level recommendations contained in the 2018 Emergency Communications System Lifecycle Planning Guide. Reference the guide for additional information on recommendations.
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Table B-1. System Lifecycle Planning Model and Recommendations Summary Planning Model Recommendations Phase 1: Pre-Planning Timing: 6–12 months Goals:Inform and secure the decision to replace, upgrade, maintain, dispose of, and/or acquire a new system Establish the core planning team Research and develop system and funding options Decide on the optimal and alternative solutions with funding options Plan for frequency needs and channel programming Develop a business case, presentation materials, and strategic plan Identify a legislative- or executive-level project champion Present to decision-makers and secure funding to support the initial build-out and sustain the system throughout the entire lifecyclePhase 2:Project Planning Timing: 6–18 monthsGoals: Formalize the project team; identify operational and technical requirements for system replacement and upgrade; and develop the project plan Consider how long the planning process can take and communicate expected timeframes to elected officials Collect user needs and requirements and incorporate into project plans Engage with communications leaders early for guidance and support (e.g., Statewide Interoperability Coordinators [SWIC], Statewide Interoperability Governing Bodies [SIGB]) Identify strong Project Sponsors (e.g., state or local elected officials) Begin planning the Request for Proposals (RFP) Phase 3: RFP and Acquisition Timing: 6–12 months Goals: Select the appropriate procurement vehicle and procure systems and components Develop a written action plan Form the RFP team Develop the Statement of Work (SOW) Include specifications or requirements in the RFP Establish written evaluation criteria, well before the award Conduct a formal objective review process and document results Phase 4:Implementation Timing: 12–18 months Goals: Develop an implementation plan; install new systems; test; train users; and transition from legacy to new Develop the implementation plan Understand and document testing procedures (e.g., factory testing, staging, site installation and testing, coverage verification, testing and acceptance, cut-over, final acceptance) Update operational procedures and train users Promote new communications capabilities and benefits to the community Phase 5: Support, Maintenance and Sustainment Timing: Year(s) 1–25 Goals:Inventory and maintain equipment; manage budget; assess and communicate needs Maintain an accurate inventory of equipment (e.g., scope, database tool, inventory team, processes to compile and secure data) Determine and execute an ongoing maintenance and operations model Manage the budget when the project is conceived, directly before it is funded and after delivery Share communications needs with decision-makers early and continually Phase 6:End-of-Lifecycle Assessment and Replacement Timing: Years 7–25 Goals: Determine when to replace systems or components with solutions to best fit operational and technical needs Conduct ongoing assessments of current system (e.g., implement a balanced scorecard) to plan for technology maturity Refresh or upgrade systems, as needed, to extend the life Determine potential replacement solutions, with consideration to support national, state, and regional interoperability initiatives; consider early adoption of new technologies; and, adhere to widely-used technical standards Phase 7: Disposition Timing: 90 days after cut-over or transition Goals: Determine options and dispose of legacy systems or components Develop the disposition plan Determine options (e.g., reuse or repurpose old components, consider space availability, convey surplus equipment to partner agencies) in consideration of legal or policy limitations, and business requirements Brief leaders on disposition plans Identify lessons learned following disposition B-3
Cybersecurity Grant recipients should implement the NIST Cybersecurity Framework and take advantage of existing cybersecurity standards and resources Land mobile radio (LMR) has long been used by emergency first responders for mission critical communications. As technologies evolve, LMR systems are exposed to greater security risks such as jamming, eavesdropping, and denial of service. In addition, the emergency response community isdeploying advanced voice, video, and data services over Internet Protocol (IP)-based networks to enhance response operations. Although these services enhance capabilities, they also introduce new and significant cyber risks that the emergency response community must address. Traditional emergency communications systems have limited means of cyber entry, but IP-based platforms enable interconnection with a wide range of public and private networks, such as wireless networks and the Internet. The public safety community must continually identify risks and address evolving security requirements. Emergency communications cybersecurity is a shared mission across all levels of government, the private sector, nongovernmental organizations, and even the public. To protect emergency communications from cyber threats and attacks, recipients will need to invest in solutions that enhance 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, standard operating procedures, and policy development. Personnel should be trained on the latest security, resiliency, continuity and operational practices and maintain in-service training as new technology and methods are made available. Despite every effort, cyber incidents can and do occur. Being prepared to execute response processes and procedures, prevent expansion of the event, mitigate its effects, and eradicate the incident is necessary. Incident response plans, recovery or resiliency plans, and continuity of operations plans are useful in cybersecurity incident response. Recovery planning processes and strategies are improved by incorporating lessons learned into future activities. Cybersecurity Framework The National Institute of Standards and Technology (NIST) developed the Framework for Improving Critical Infrastructure Cybersecurity (Cybersecurity Framework) as a flexible and voluntary risk-based approach that outlines techniques to secure critical infrastructure. Recipients are strongly encouraged to implement NIST’s framework to complement an existing risk management process or to develop a credible program if one does not exist. In addition to NIST materials, sector-specific Cybersecurity Framework guidanceis available from CISA. 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. CISA’s Emergency Services Sector has developed tailored guidance specific to emergency service disciplines, including a NIST Framework implementation guide with a repeatable process to identify and prioritize cybersecurity improvements.69 69 Suggested resources include the 2020 ESS Cybersecurity Framework Implementation Guidance and 2014 ESS Roadmap to Secure Voice and Data Systems.
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There is considerable cybersecurity guidance available from government, industry, and academic organizations and a multitude of standards development organizations (SDOs) that contribute to technical standards and best practices. Organizations managing critical infrastructure will continue to have unique —and how they implement the standards and guidance available will vary. There is currently no one-size-fits-all network cybersecurity solution. Table B-2 lists some of the potentially-applicable standards for cybersecurity that recipients should leverage as they identify and select the standards that fit their system and mission needs. Table B-3 lists cybersecurity resources for additional information. While these lists are not exhaustive, they include some of the more comprehensive guidance for the public safety community. Table B-2. Cybersecurity Standards Organizations Standards Third Generation Partnership Project (3GPP) Security Standards 3GPP’s security working group, SA3, is continuously updating security standards associated with prevalent technologies, most notably IP Multimedia Subsystem. Specifically, the group is addressing 3GPP standards for network access security, network domain security, user domain security, application domain security, and user configuration and visibility of security is important for critical infrastructure implementations. 3gpp.org. American National Standards Institute (ANSI) / International Society of Automation (ISA) ANSI/ISA standards focus on automation and control systems solutions. The NIST Cybersecurity Framework recommends two ANSI/ISA standards for use: ANSI/ISA-62443-2-1 (99.02.01)-2009 and ANSI/ISA-62443-3-3 (99.03.03)-2013. isa.org/templates/two-column.aspx?pageid=131422. Also, outputs of the Alliance for Telecommunications Industry Solutions (ATIS) Emergency Services Interconnection Forum, Next Generation Interconnection Interoperability Forum, and Wireless Technologies and Systems Committee are important to the public safety community. Criminal Justice Information Services (CJIS) Security Policy CJIS standards contain information security requirements, guidelines, and agreements reflecting the will of law enforcement agencies for protecting the sources, transmission, storage, and generation of Criminal Justice Information. fbi.gov/about-us/cjis/cjis-security-policy-resource-center. European Telecommunications Standards Institute (ETSI) ETSI Telecommunications & Internet converged Services & Protocols for Advanced Networks (TISPAN) has been a key standardization body in creating Next Generation Network (NGN) specifications, and their Cyber Security committee focuses entirely on privacy and security activities. Of note for emergency communications are the ETSI TS 102, 123, 182, and 282 series. etsi.org. Federal Information Processing Standards (FIPS)FIPS establishes the minimum security requirements for federal information systems. nist.gov/itl/popular-links/federal-information-processing-standards-fips. Health Insurance Portability and Accountability Act of 1996 (HIPAA) Legislation enacted by Congress in 1997 to streamline medical regulations, privacy considerations, and the efficiency and security of medical care. The standards/rules associated with HIPAA address some of the NIST Cybersecurity Framework functions. hhs.gov/hipaa. International Organization for Standardization (ISO) / International Electrotechnical Commission (IEC) StandardsThe ISO/IEC 27000 series of standards provide a foundation for information security management best practices. Of interest to emergency communication networks may be ISO/IEC 27001, ISO/IEC 27003, ISO/IEC 27002, ISO/IEC 27032, and ISO/IEC 17799. iso.org. Institute of Electrical and Electronics Engineers (IEEE) IEEE produces sector-specific security standards, as well as industry guidance. Of interest to networks may be the 802, 1363, and 1619 series, as well as C37.240-2014 IEEE Standard Cybersecurity Requirements for Substation Automation, Protection, and Control Systems. ieee.org.
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Organizations Standards International Telecommunication Union (ITU) A fundamental role of ITU is to build confidence and security in the use of Information and Communication Technologies. Of note for emergency communications networks include X.800, X.805, and X.1051. itu.int. Internet Engineering Task Force (IETF)IETF Working Groups are the primary mechanism for development of IETF standards. IETF Working Groups currently have 598 standards regarding security mechanisms, integrity mechanisms, network layer security, transport layer security, application layer security, encryption algorithms, key management, secure messaging, etc. ietf.org. National Fire Protection Association 1221A standard for the installation, maintenance, and use of emergency services communications systems, including cybersecurity considerations. nfpa.org/codes-and-standards/document-information-pages?mode=code&code=1221. NIST Recommendations on Cybersecurity (Special Publications 800 Series) NIST’s 800 series provides targeted cybersecurity guidance and are strongly encouraged to be incorporated into cybersecurity planning. csrc.nist.gov/publications/PubsSPs.html. North American Electric Reliability Corporation (NERC) Critical Infrastructure Protection RegulationsReliability standards address the security of cyber assets essential to the reliable operation of the electric grid. With emerging interconnectivity of infrastructure, the emergency communications community may also need to address these standards. nerc.com/pa/Stand/Pages/CIPStandards.aspx. Telecommunications Industry Association (TIA) TIA has both Cybersecurity and Public Safety working groups. Standards of particular use for emergency communications include: TR-8, TR-30, TR-34, TR-41 TR-42 TR-45, TR-47, TR-48, TR-49, TR-50 M2M, TR-51, and TIA-102. tiaonline.org. Table B-3. Cybersecurity Resources Organizations Resources Committee on National Security Systems (CNSS) CNSS Policies Department of Homeland Security (DHS) DHS Cybersecurity Strategy CISA Cyber Essentials ToolkitCISA’s Public Safety Communications and Cyber Resiliency Toolkit CISA Cyber Resilience ReviewCISA Cyber Risks to Public Safety: RansomwareCISA and the Multi-State Information Sharing and Analysis Center Ransomware Guide CISA Insights Communications Sector-Specific Plan: An Annex to the National Infrastructure Protection Plan Continuous Diagnostics and Mitigation (CDM) Cybersecurity Evaluation Tool (CSET) Cyber Resiliency Resources for Public Safety Fact Sheet Emergency Services Sector (ESS) Cyber Risk Assessment – 2012 ESS Roadmap to Secure Voice and Data Systems – 2014 ESS Cybersecurity Framework Implementation Guidance – 2015 Homeland Security Grant Program Supplemental Resource: Cyber Security Guidance Information Sharing Environment (ISE) Guides and Best Practices National Cyber Incident Response Plan B-6
Organizations Resources DHS cont.National Cybersecurity and Communications Integration Center (NCCIC) and U.S. Computer Emergency Readiness Team (US-CERT) National Infrastructure Coordinating Center (NICC) National Infrastructure Protection PlanSafeguarding and Securing Cyberspace Supplement Tool: National Protection and Programs Directorate Resources to Support Vulnerability Assessments Best Practices for Encryption in Project 25 Public Safety Land Mobile Radio SystemsDepartment of EnergyEnergy Sector Cybersecurity Capability Maturity Model (C2M2) ProgramExecutive Orders (EO) and President Directives EO 13636: Improving Critical Infrastructure Cybersecurity EO 13231: Critical Infrastructure Protection in the Information Age and EO 13286 EO 13618: Assignment of national Security and Emergency Preparedness Communications Functions Executive Office of the President, Presidential Policy Directive 21 (PPD – 21) EO 13407: Public Alert and Warning System EO 13800: Strengthening the Cybersecurity of Federal Networks and Critical InfrastructureFederal Bureau of Investigation Cyber CrimeFederal Communications Commission Communications Security, Reliability and Interoperability Council (CSRIC) Task Force on Optimal PSAP Architecture (TFOPA) Cyber Security Planning GuideFederal Emergency Management Agency Emergency Management and Response-Information Sharing and Analysis Center (EMR-ISAC) Cybersecurity Gap Analysis, FEMA National Cyber Resilient Architecture, and Training resourcesGovernment Accountability Office U.S. Government Accountability Office, Cybersecurity National Institute of Standards and Technology Framework for Improving Critical Infrastructure Cybersecurity Internal/Interagency Reports (NISTIRs) National Initiative for Cybersecurity Education (NICE) NICE Cybersecurity Workforce FrameworkVarious Industry and Associations ATIS Industry Best Practices Association of Public-Safety Officials, International (APCO), including APCO Cybersecurity Guide for Public Safety Communications Professionals and APCO Introductory Guide to Cybersecurity for PSAPs ISACA COBIT 5 Framework ITU Security Standards Roadmap Center for Internet Studies (CIS) Critical Security Controls (CSC), available through the Multi-State Information Sharing and Analysis Center National Association of State Chief Information Officers (NASCIO) Cybersecurity Awareness, including NASCIO Cyber Disruption Planning Guide for States National Conference of State Legislation Cybersecurity Training for State Employees Open Web Application Security Project (OWASP) Top Ten Project OWASP Internet of Things Project B-7
Continuity and Resilience Grant recipients should target funding toward activities that address communications continuity, survivability, and resiliency. Activities can include system assessments, analysis of threats and vulnerabilities, and strategic plan and procedural updates to mitigate identified risks Lessons learned from major disasters, unplanned events, and full-scale exercises have identified a need for greater coordination of emergency communications among senior elected officials, emergency management agencies, and first responders at all levels of government. Responders arriving on the scene of a domestic incident are not always able to communicate with other response agencies, particularly when the incident requires a multi-agency, regional response effort, or when primary communications capabilities fail. This lack of operability and interoperability between agencies is further complicated by problems with communications continuity, survivability, and resilience, which hinders the ability to share critical information, and can compromise the unity-of-effort required for an effective incident response. Applicants investing in emergency communications are encouraged to work with Statewide Interoperability Coordinators, Statewide Interoperability Governance Bodies, and appropriate stakeholders across levels of government to: Establish robust, resilient, reliable, secure, and interoperable communications capabilities Plan for mission-related communications and connectivity among government leadership, internal elements, other supporting organizations, and the public under all conditions Trace all communications systems/networks from end-to-end to identify single points of failure Recipients should also address the following issues: o Integrate communications needs into continuity planning efforts and emergency operations plans by incorporating mitigation options to ensure uninterrupted communications support o Maintain and protect communications capabilities against emerging threats, both man-made and natural, to ensure their readiness when needed o Frequently train and exercise personnel required to operate communications capabilities o Test and exercise communications capabilities o Establish a cybersecurity plan that includes continuity of an “out of band” communications capability such as High Frequency (HF) Radio Frequency (RF), fiber-based communications pathways that do not rely on public infrastructure Ensure key communications systems resiliency through: o Availability of backup systems o Development of standard operating procedures and training to address the use of backup systems o Diversity of network element components and routing o Geographic separation of primary and alternate transmission media o Availability of backup power sources o Access to systems that are not dependent on commercial infrastructure o Maintained spare parts for designated critical communications systems o Agreements with commercial suppliers to remediate communications Single Point of Failures B-8
Table B-4. Continuity and Resilience Resources ResourceDescriptionFEMA National Continuity Programs National Continuity Programshighlight the national policy and guidance for continuity of operations initiatives. They provide guidance and assistance to support continuity preparedness for federal departments and agencies; state, local, tribal, and territorial government jurisdictions; and private sector organizations. CISA Regional Resiliency Assessment Program The Regional Resiliency Assessment Program is a cooperative assessment of specific critical infrastructure within a designated geographic area. DHS works with selected areas each year to conduct a regional analysis of surrounding infrastructure and address a range of resilience issues that could have significant regional or national consequences if disrupted. CISA Ten Keys to Obtaining a Resilient Local Access Network This documentintroduces resiliency concepts and provides ten keys to obtaining and maintaining resiliency in a local access network, such as knowing the exact network infrastructure in the local loop, interfacing with commercial service providers, and properly maintaining alternative path solutions. CISA developed these ten fundamental steps, supported by descriptive text and visually-appealing graphics, as recommendations to help organizations maintain critical communications in emergency situations. CISA Public Safety Communications Resiliency Self-Assessment Guidebook This documentprovides a self-assessment methodology for public safety entities to identify and address potential points of failure in their communication networks by evaluating the local access networks of their primary and alternate operating facilities. The methodology describes the process of gathering data on network infrastructure, creating logical and physical network maps, and choosing resiliency solutions based on the network maps. DHS also developed a Resiliency Fact Sheet to understand communications continuity planning and offer resources to assist entities. CISA Priority Services Programs Priority Services Programs, including the Government Emergency Telecommunications Service, Wireless Priority Service, and Telecommunications Service Priority, support national leadership; federal, state, local, tribal, and territorial governments; first responders; and other authorized national security and emergency preparedness users. They are intended to be used in an emergency or crisis situation when data, landline, or wireless networks are congested and the probability of completing a normal transmission or call is reduced. CISA Electromagnetic Pulse (EMP) Guidance The EMP Protection and Resilience Guidelines for Critical Infrastructure and Equipmentprovides guidelines to assist federal, state, and local officials and critical infrastructure owners and operators to protect mission essential equipment against EMP threats. There are four EMP Protection Levels defined. These levels were initially developed at the request of the federal Continuity Communications Managers Group but are applicable to any organization that desires to protect its electronics and critical infrastructures.Public Safety Communications and Cyber Resiliency Toolkit This documentassists public safety agencies and others responsible for communications networks in evaluating current resiliency capabilities, identifying ways to improve resiliency, and developing plans for mitigating the effects of potential resiliency threats. Through an interactive graphic, users can explore topic specific systems-based resources and learn more about key threats to communications and cyber resiliency. Cyber Resiliency Resources for Public Safety Fact Sheet This documentprovides an overview of publicly available cybersecurity evaluationsand resources, helping stakeholders ensure the scope and requirements of resiliency assessments are aligned with their needs. Radio Frequency Interference Best Practices Guidebook This documentprovides stakeholders with an overview of RF interference concepts, threats, and mitigation initiatives. Applicants can review this guidebook to understand ongoing efforts related to awareness, preparation, mitigation, and current laws pertaining to RF interference. The document also provides best practices on how to recognize, respond to, report, and resolve RF interference incidents.
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Land Mobile RadioGrant recipients should purchase digital LMR systems and equipment compliant with the Project 25 (P25) Suite of Standards (Telecommunications Industry Association), and include all applicable P25 standards and expectations for interoperability in any SOW or acquisition documentsRecipients should purchase P25 compliant systems and equipment that has been assessed as compliant in accordance with the P25 Compliance Assessment Program, or approved test procedures from the P25 standards in the absence of completed P25 Compliance Assessment Program testingIf encryption is required, agencies shall ensure compliance with the P25 Block Encryption Protocol standard and implement the Advanced Encryption Standard (AES) 256-bit encryption algorithm Recipients should ensure all P25 eligible equipment, features, functions, and capabilities selected are P25 compliant, to include new equipment and upgrades When purchasing interoperability equipment, services, and gateway devices to provide connectivity between LMR systems, those devices should, at a minimum, be implemented using P25 compliant wireline interfacesRecipients should consult the federal granting agency before submitting requests for ISSI and broadband-related project investments to determine whether costs are allowedLMR systems are terrestrially-based, wireless, narrowband communications systems commonly used by federal, state, local, tribal, and territorial emergency responders, public works companies, and the military in non-tactical environments, to support voice and low-speed data communications. These systems are designed to meet public safety’s unique mission and critical voice requirements and support time-sensitive, lifesaving tasks, including sub-second voice call-setup, group calling capabilities, high-quality audio, and priority access to the end-user. Because LMR systems implemented by the public safety community support responders’ safety and lifesaving operations, they are designed and implemented to achieve the highest levels of availability, reliability, redundancy, coverage, and capacity, and can operate in harsh natural and man-made environments. LMR technology has progressed over time from conventional, analog voice service to complex systems incorporating digital protocols and trunking features. These enhancements have improved the interoperability, spectral efficiency, security, reliability, and functionality of voice and low speed data communications. For the foreseeable future, the public safety community is following a multi-path approach to develop, establish, and maintain critical communications capabilities. To improve interoperability across investments, grant recipients are strongly encouraged to ensure digital voice systems and equipment purchased with federal grant funds are compliant with the Project 25 (P25) Suite of Standards, unless otherwise noted in a program’s grant guidance.70 Recipients should ensure all new and upgraded P25 eligible equipment, features, functions, and capabilities selected for procurement are P25 compliant and interoperable. When federal grant funds are used to purchase P25 LMR equipment and systems that contain non-standard features or capabilities, while a 70Applicants should read grant guidance carefully to ensure compliance with standards, allowable cost, documentation, reporting, and audit requirements. If interested in using federal funds to purchase equipment that does not align with P25 standards or does not appear on the approved equipment list, the applicant should consult with the federal grant-making agency to determine if non-P25 compliant equipment is allowable. In some cases, written justification must be provided to the grantor. Many agencies will not approve non-standards-based equipment unless there are compelling reasons for using other solutions. Authorizing language for most emergency communications grants strongly encourages investment in standards-based equipment. Funding requests by agencies to replace or add radio equipment to an existing non-P25 system (e.g., procuring new portable radios for an existing analog system) will be considered if there is a clear rationale why such equipment should be purchased and written justification of how the equipment will advance interoperability and support eventual migration to interoperable systems. Written justification should also explain how that purchase will serve the needs of the applicant better than equipment or systems that meet or exceed such standards. Absent compelling reasons for using other solutions, agencies should invest in standards-based equipment.
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comparable P25 feature or capability is available, recipients must ensure the standards-based feature or capability is also purchased to ensure interoperability. Grant recipients should purchase P25 compliant systems and equipment that has been assessed in accordance with the P25 Compliance Assessment Program (P25 CAP). P25 accredited standards provide many technical specifications designed to ensure equipment is interoperable regardless of manufacturer. Recipients should obtain documented evidence of P25 compliance from the manufacturer that the equipment has been tested and passed all the applicable, published, normative P25 compliance assessment test procedures for performance, conformance, and interoperability as defined in the latest P25 Compliance Assessment Bulletins for testing requirements. If documentation for applicable equipment is not available through the P25 CAP or there is an absence of applicable testing in the P25 CAP, recipients should obtain documented evidence from the manufacturer stating that all applicable tests were conducted in accordance with the published test procedures in the P25 Suite of Standards and successfully passed.71Contact the P25 CAP at [email protected] additional guidance. EncryptionRecipients using federal funds to purchase encryption options for new or existing communications equipment shall ensure encryption capabilities are compliant with the published P25 Block Encryption Protocol Standard. Recipients investing in encryption must implement the AES 256-bit Encryption Algorithm as specified in the P25 Block Encryption Protocol. References to the current version of the P25 Block Encryption Protocol, ANSI/TIA-102.AAAD should be included in all procurement documents, along with specific agency requirements, when encryption is required. The P25 Suite of Standards references the use of AES as the primary encryption algorithm but continues to allow Data Encryption Standard-Output Feedback (DES-OFB) for backwards compatibility and interoperability with legacy DES-only equipment. While most federal agencies have transitioned to AES encryption, some state, local, tribal, and territorial agencies continue to use DES as their primary means of encryption. As a result, many communication systems, at all levels of government, maintain support for DES for encrypted interoperable communications with response partners while also supporting current AES encryption. However, the continued use of DES enables a specific vulnerability in LMR encryption. NIST, which approved the use of DES in 1976, withdrew Federal Information Processing Standard (FIPS)-46, Data Encryption Standard as a standard on May 19, 2005, citing the weakness of DES and the availability of the current federal standard specified in FIPS-197, Advanced Encryption Standard. DES has since been depreciated in P25 standards and is only maintained to enable P25 AES encryption-compliant equipment to also include DES for the purposes of interoperability with legacy DES products. Until DES is completely removed from communications systems at all levels of government, equipment supporting AES and legacy DES encryption algorithms will remain necessary to support communications interoperability. Recipients seeking to use federal grant funds to purchase non-standard encryption features (e.g., 40-bit encryption, proprietary solutions, DES-OFB) or capabilities for new or existing equipment must ensure AES 256-bit encryption is also purchased to ensure their devices have the capability to interoperate in an encrypted mode. Agencies currently using DES-OFB may continue to invest in this encryption method for 71 Regardless of the status and availability of P25 CAP testing documentation, grant recipients should include comprehensive acceptance test plan(s) criteria in their procurement and contractual documents. The manufacturer/vendor should verify the equipment or services are P25 standards compliant and interoperable with other equipment, features, functions, and capabilities.
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backward compatibility for interoperability but should migrate to AES. The continued use of DES-OFB or other non-standard encryption algorithms as primary encryption is strongly discouraged. Interconnecting Systems When purchasing P25 interoperability equipment, services, and devices to provide connectivity between LMR systems, those devices should, at a minimum, implement the P25 wireline interfaces, such as the Inter Radio Frequency Subsystem Interface (ISSI)/Console Subsystem Interface (CSSI). Note, there are potential interoperability issues when implementing ISSI/CSSI, as the interoperability testing parameters remain under development and vendors/manufacturers interpret the accredited technical standards differently. As a result, the differences in vendors/manufacturers’ product offerings and their ISSI/CSSI implementation methodologies create interoperability challenges of the features, functions, and capabilities supported by the interface. While baseline P25 accredited standards for ISSI connections exist, they are not complete. Due to the limited availability of completed technical standards and differing manufacturer’s features and functionality implementation practices, public safety agencies should consider the planning and technical complexities associated with the implementation of ISSI capabilities to connect RF-subsystems (RFSS) from the same or dissimilar LMR vendors/manufacturers. As such, grant applicants should: Ensure that existing operability and interoperability between RFSS/networks remain intact and operational during and after ISSI/CSSI implementation; Identify explicit requirements of features, functionalities, and capabilities that the ISSI connections will support to a same or dissimilar manufacturer’s RFSS/systems, including interoperability requirements, in any SOW, acquisition documents, or contracts; Require the prospective vendor/manufacturer to state their ability and acceptance to provide these explicit features, functionalities, and capability requirements for ISSI implementations, regardless of which manufacturer’s ISSI and RFSS/networks are in place, in the appropriate purchasing agreements or contracts; Confirm the selected vendor/manufacturer develops and executes a comprehensive acceptance test plan that validates P25 accredited standards compliance, as well as successful operability and interoperability of features, functions, and capabilities on each side of the ISSI connection(s), consistency with procurement and acquisition requirements, and compliance with agreed upon performance, applicable technical standards, and expectations of operations amongst ISSI/CSSI connected RFSS/networks; Submit evidence to the federal granting agency, if required, documenting successful P25 CAP testing (e.g., P25 product Summary Test Reports available on the P25 CAP website), certifying compliance to applicable accredited technical standards, as well as effective operability and interoperability of features, functions, and capabilities with all ISSI partners. Interconnecting LMR and Broadband Networks Applicants may also be interested in using grant funds to enable interoperability between existing LMR and long-term evolution (LTE) broadband networks. Note, technical standards for interconnecting LMR to LTE systems remain under development. While the 3GPP accredited standards exist, the TIA/ATIS P25 accredited standards remain a work in progress. Notwithstanding, agencies should pursue solutions that are 3GPP standards compliant and interoperable. Agencies should also fully investigate these prospective vendor’s plans for supporting changes to their product offerings when the TIA/ATIS P25 standards are completed.
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Agencies should beware of many proprietary solutions offered by vendors/manufacturers that may provide acceptable LMR to LTE voice services connections. However, these proprietary solutions, while potentially achieving LMR to LTE voice interoperability, may not be interoperable amongst themselves thus creating an LTE interoperability issue. Additionally, the indiscriminate, non-planned use of some LTE to LMR Over the Top (OTT) Push to Talk (PTT) solutions has proven to be potentially detrimental to hosting LMR systems and created significant operability issues due to site loading issues on the systems infrastructure. Investing in proprietary solutions is a misuse of federal funds, as additional solutions may be needed to restore or provide required interoperability among participating jurisdictions. Grant applicants should consult the federal granting agency before submitting requests for ISSI/CSSI and LMR to LTE broadband-related project investments to determine whether certain costs are allowed. The P25 Steering Committee published a list of Approved Project 25 Suite of Standards that includes the most recent documents and revisions. Also, the P25 Technology Interest Group’s Capabilities Guide can help determine which standards are applicable to proposed purchases and projects. Table B-5. Land Mobile Radio Standards and Resources Organizations Standards and Resources P25 Compliance Assessment Program P25 CAPis a partnership of DHS, industry, and the emergency response community. It is a formal, independent process for ensuring communications equipment declared by the supplier is P25 compliant and tested against standards with published results. It publishes Compliance Assessment Bulletins on policy, testing, and reporting requirements, and an approved equipment list that may be eligible for grants. P25 Steering Committee P25 Steering Committee is the governing authority of P25 and the sole authority for approving standards proposals, telecommunications system bulletins, and white papers. It works closely with manufacturers to develop and maintain the P25 Suite of Standards that best serves the continually evolving needs of the public safety community. The committee recently produced the Statement of P25 User Needs, which provides high-level explanations of system architecture, features, and functions as defined in P25 standards. Telecommunicat-ions Industry Association TIAis accredited by the American National Standards Institute and responsible for publishing the P25 Suite of Standards, approved by the P25 Steering Committee. To date, it has published over 90 documents detailing the specifications, messages, procedures, and tests applicable to the 11 interfaces, multiple feature sets, and functions offered by P25. Federal Partnership for Interoperable Communications (FPIC) FPIC serves as a coordination and advisory body to address technical and operational wireless issues relative to interoperability within the public safety emergency communications community, interfacing with voluntary representatives from federal, state, local, territorial, and tribal organizations. FPIC has developed multiple resources, including the Operational Best Practices for Encryption Key Management, P25 ISSI and CSSI Primer, and Best Practices for Planning and Implementation of P25 ISSI and CSSI, Volumes I and II. These documents are published on the SAFECOM Technology Resourceswebpage, along with other P25 and LMR encryption resources.
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Nationwide Public Safety BroadbandNetwork Applicants interested in investing federal funds in broadband-related infrastructure projects should consult the federal granting agency to understand all requirements and restrictions impacting broadband investmentsGrant recipients should consult with any applicable governing bodies and the FirstNetAuthority to ensure the project does not conflict with network deployment effortsRecipients may be able to use grant funds for the implementation of alternative broadband technologies and the deployment of fiber optic backhaul networks in rural and unserved areas Applicants investing in broadband technologies should be aware that the Federal Government is building, operating, and maintaining a Nationwide Public Safety Broadband Network (NPSBN). The First Responder Network Authority’s (FirstNet Authority) mission is to ensure the building, deployment, and ongoing operation of the NPSBN to provide LTE-based broadband services and applications to public safety entities. The network is a single, nationwide network architecture consisting of a secure, redundant evolved packet core network (EPC), transport backhaul, and radio access networks (RANs) in the fifty states, five territories, and the District of Columbia. Applicants should coordinate with the FirstNet Authority in advance of any strategic acquisition of LTE equipment to ensure understanding of all requirements and restrictions impacting broadband investments and that purchases support future service choices. Applicants should also monitor federal actions affecting broadband investments and continue planning and outreach activities (e.g., community education, documenting user needs), as well as work with applicable governing bodies in preparing for and leveraging broadband and other technologies, including: Leveraging broadband devices including smartphones, feature phones, tablets, wearables, laptops, ruggedized smartphones, ruggedized tablets, USB modems/dongles, in-vehicle routers, and Internet of Things devices; Employing customer-owned and managed broadband deployable equipment, enabling public safety to own and dispatch coverage expansion or capacity enhancement equipment within their jurisdiction; Using broadband device accessories that enable efficient and safe public safety operations such as headsets, belt clips, earpieces, remote Bluetooth sensors, and ruggedized cases; Installing standards-based equipment to provide interworking between LTE and existing LMR systems within their jurisdiction when needed; Installing FirstNet SIM/UICC cards to allow public safety users to update existing devices, “Bring Your Own Device,” and new devices to operate on public safety prioritized services; and Securing one-time purchase and subscription-based applications for public safety use, which could include, among several other options, enterprise mobility management, mobile Virtual Private Network, identity services, or cloud service tools. Non-LTE wireless broadband technologies, such as Wi-Fi, WiMAX, and mesh networks, are sometimes used to supplement public safety communications. These solutions, which are either agency-owned or provided by a commercial provider, allow agencies to access voice, data, and video applications. Grant recipients should consider the overall impact of using other wireless broadband technologies given ongoing advancements in FirstNet’s deployment and unique interoperability challenges introduced by each of the various technologies. Upon taking into account these cautions, applicants may be able to use federal grant funds for costs related to the implementation of alternative broadband technologies and the deployment of fiber optic backhaul networks in rural and unserved areas. Applicants should work closely with the federal granting agency and commercial suppliers and providers to ensure that grant-funded systems and equipment will be compatible B-14
and interoperable with current and future solutions. Applicants are encouraged to implement innovative solutions that improve communications capabilities and are consistent with the deployment of the NPSBN. Table B-6. Broadband Technology Standards and Resources OrganizationsStandards and ResourcesFirstNetAuthority The Middle Class Tax Relief and Job Creation Act of 2012 created the FirstNet Authority as an independent authority within the National Telecommunications and Information Administration to provide emergency responders with the first nationwide, high-speed, broadband network dedicated to public safety: firstnet.gov. 3GPP3GPPis the SDO responsible for development and maintenance of LTE specifications, though various standards from TIA, ATIS, the Groupe Speciale Mobile Association (GSMA), and the Open Mobil Alliance (OMA) also contribute to LTE functionality and interoperability. IEEEThe 802.11a, 802.11b/g/n, and 802.11ac wireless standards are collectively known as Wi-Fi technologies and developed and maintained by IEEE. The Official IEEE 802.11 Working Group Project Timelines provides status of each networking standard under development, and a link to each effort. IEEE also maintains the WiMAX family of 802.16 standards.Open Geospatial Consortium (OGC) OGCis an international non-profit organization committed to making quality open standards for the global geospatial community. These standards are made through a consensus process and are freely available for anyone to use to improve sharing of the world's geospatial data.
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Alerts,Warnings, and Notifications Grant recipients using funds to cover costs associated with AWN systems should: Establish strong governance and engage in collaboration with existing AWN stakeholders Ensure well-documented and field-tested plans, policies, and procedures, are executed, evaluated for potential gaps, and adapted to evolving AWN capabilities Invest in secure and resilient AWN solutions, and incorporate safeguards to ensure the accuracy of messaging Consider diversity and inclusion influence accessibility to AWN issuances, as well as how people receive, interpret, and respond to messages Invest in solutions that enable comprehensive, targeted, specific, and transparent messaging, while minimizing issuance and dissemination delays Select software or equipment that also supports regional operable and interoperable solutions If accessing IPAWS, grant recipients should select equipment and applications that adhere to both Common Alerting Protocol and IPAWS CAP Profile standards, as well as meet the IPAWS minimum critical capabilitiesDuring an emergency, alerts, warnings, and notifications (AWNs) enable public safety officials to provide the public with information quickly. The Federal Emergency Management Agency (FEMA) Integrated Public Alert and Warning System (IPAWS) is an Internet-based capability that federal, state, local, tribal, and territorial authorities can use to issue critical public alerts and warnings. IPAWS is accessed through compatible alert origination software that meets IPAWS CAP Profile system requirements. There is no cost to send messages through IPAWS, although there may be costs associated with acquiring compatible alert origination software. IPAWS is not mandatory and does not replace existing methods of alerting, but instead complements existing systems and offers unique added capabilities.FEMA built IPAWS to ensure that under all conditions the President of the United States can alert and warn the public. Federal, state, local, tribal, and territorial authorities can also use IPAWS to send alerts and warnings within their jurisdictions. IPAWS improves alert and warning capabilities by allowing Alerting Authorities to deliver alerts simultaneously through multiple communications pathways, reaching as many people as possible to save lives and protect property. These communication pathways include: Emergency Alert System (EAS) used by authorities to send detailed warnings via broadcast, cable, satellite, and wireline radio and television channels; Wireless Emergency Alerts (WEA) sent to mobile devices as a 90- to 360-character message with a unique tone and vibration, even when cellular networks are overloaded and can no longer support person-to-person calls, texts, or emails; National Weather Service Dissemination Systems, including the National Oceanic and Atmospheric Administration (NOAA) Weather Radio; Unique Alerting Systems, such as siren systems and wall beacons, that have permission to retrieve alerts directly from IPAWS and deliver the alerts to their customer base; and Future Systems, including computer gaming systems, digital signs, Internet search engines, social sharing websites, wireless device applications, smart home technologies, and others that are or could use IPAWS. In order to access IPAWS, grant recipients should select equipment and applications that adhere to both the Common Alerting Protocol (CAP) and IPAWS CAP Profile standards, as well as meet the IPAWS minimum critical capabilities. Alert and warning software and equipment is developed, produced, and distributed by various vendors. While the Federal Government does not endorse any specific vendor, piece of software, or equipment, grant recipients should confirm vendors meet CAP and IPAWS CAP Profile standards, provide training and support services, use basic security measures (e.g., firewalls, anti-virus tools, anti-spyware tools), implement strong access controls requiring authentication of users, and connect to the IPAWS Training and Demonstration environment. A key consideration is access to the B-16
service through jammed or damaged communications channels during a real emergency. Recipients should also consider factors affecting continuity of operations, such as support of remote employees, mobile alerting capabilities, and contingent operations in disruptive circumstances. To maintain AWN issuance proficiencies, agencies sending alerts should conduct trainings, exercises, and tests of systems on a regular basis. Lessons observed from these activities and incidents should be evaluated, documented, and incorporated into future operations. Alert originators should also work to minimize issuance delays, from the point of a hazard’s detection to dissemination, by creating message templates, expediting information sharing, identifying and establishing triggers, and avoiding ad-hoc decision making. For continued access to IPAWS, and to increase user proficiency and reduce alerting errors, the IPAWS Program Management Office requires authorized Alerting Authorities to demonstrate their ability to compose and send a message through the IPAWS-OPEN system at regular intervals. Such demonstration must be performed monthly through generation of a successful message sent to the IPAWS-OPEN Training and Demonstration environment (IPAWS LAB Cloud). Agencies are encouraged to coordinate with regional partners and submit applications that promote regional (e.g., multi-jurisdictional, cross-state, cross-border) collaboration and cost-effective measures. AWN grant funds should focus on eligible public alert and warning activities to include, but not limited to the purchase, training, exercising, replacement, and maintenance (e.g., annual license, subscription fees, upgrades) of alert and warning systems, software, and equipment. Table B-7. AWN Standards and Resources OrganizationsStandards and ResourcesCommon Alerting Protocol (CAP) The CAP standard is an open, non-proprietary digital format for exchanging emergency alerts that was developed by Organization for the Advancement of Structured Information Standards (OASIS). CAP allows a consistent alert message to be disseminated simultaneously over many different dissemination mechanisms. The CAP format is compatible with emerging technologies, such as web services, as well as existing formats including the Specific Area Message Encoding (SAME) used for the United States’ NOAA Weather Radio and the EAS, while offering enhanced capabilities including images, maps, and video. OASISFEMA worked with OASISto develop a standardized international technical data profile that defines a specific way of using the standard for the purposes of IPAWS. The CAP standard and supplemental IPAWS CAP Profile ensure compatibility with existing warning systems. Latest CAP: oasis-open.org/committees/tc_home.php?wg_abbrev=emergency#tc-tools. FEMA Integrated Public Alert and Warning System (IPAWS) The IPAWS Program Management Office (PMO) does not endorse any specific vendor, piece of software, or equipment. Test results for any alert and warning software or equipment tested at the IPAWS Lab can be made available to assist agencies in making procurement decisions by contacting the IPAWS PMO at [email protected]. Public Safety Communications Ten Keys to Improving Emergency Alerts, Warnings & Notifications This documentprovides organizations a series of governance, coordination, planning, cybersecurity, and resiliency best practices to help ensure the successful implementation of their emergency AWN systems and programs. Government and non-government emergency managers, alert originators, system administrators, system operators, and managers can leverage this foundational guidance to deliver timely and actionable messaging during the critical moments of an incident when coordinated communications—down to the second—can save lives. Essentials of Alerts, Warnings, and Notifications Developed with SAFECOM and NCSWIC, this documentprovides an overview of AWN fundamentals and emerging trends. Applicants can review this guidance for future considerations, next steps, and examples of successful AWN system projects.
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911 SystemsGrant recipients using funds to cover costs associated with 911, Enhanced 911 (E911), or Next Generation 911 (NG911) should rely on guidance from the National 911 Program: Read the NG911 Standards Identification and Reviewand select a Standard Development Organization’s standardsConsult with the National 911 Program Office regarding any updated standardsSelect IP-enabled 911 open standards equipment and softwareThe National 911 Program, administrated by the Department of Transportation National Highway Traffic Safety Administration (NHTSA), provides federal leadership and coordination in supporting and promoting optimal 911 services. This federal home for 911 plays a critical role by coordinating federal efforts that support 911 services across the Nation. The Implementation Coordination Office, jointly operated by the NHTSA and NTIA, facilitate coordination and communications among public and private stakeholders and administers a grant program specifically for the benefit of 911 emergency communication centers (ECCs)/public safety answering points (PSAPs). NG911 will seamlessly connect ECCs/PSAPs and allow for the transmission and reception of multimedia type data (e.g., text messages, pictures, and video). As NG911 standards continue to evolve, applicants should consult the NG911 Standards Identification and Review to ensure that solutions developed or procured meet industry guidelines and standards. Applicants should consider the following when planning and implementing NG911: Strive for IP-enabled NG911 open standards and understand future technology trends to encourage system interoperability and emergency data sharing Establish collaborative relationships and policy mechanisms that facilitate the ongoing coordination required to plan, deploy, operate, and maintain NG911 systems Determine the responsible entity(ies) and mechanisms for geospatial data acquisition, reconciliation, and synchronization that are required for NG911 Establish system access, security controls, and comprehensive cybersecurity plans to protect and manage access to NG911 Ensure formalized governance models are in place to aid in the transition from legacy 911 to NG911 Develop and implement sustainable funding models that support the planning, design, deployment, and ongoing operation of NG911 Develop contract language that ensures the accountability of contractors in building, testing, deploying, operating, and maintaining interoperable and secure NG911 systems B-18
Table B-8. NG911 Resources Resource Description National 911 Program Office The National 911 Programalso provides the 911 community with a collection of documents, website links and other resources generated by both the program and other industry experts. These vetted resources address topics including emerging emergency communications technologies, wireless deployment, E911 location accuracy, cybersecurity, FirstNet, NG911, governance and 911 legislation, and are located in the Document and Toolssection of the National 911 Program’s website. NG911 Maturity State Self-Assessment Tool This Self-Assessment Toolhelps ECC/PSAP administrators and oversight personnel evaluate a system’s NG911 maturity state and understand the next steps necessary to continue deployment. It contains a detailed, easy-to-use NG911 readiness checklist that establishes common terminology and identifies key milestones to help 911 call centers understand the multi-year NG911 implementation process. The tool is a downloadable Microsoft Excel file, which ensures that collected results are only shared with the agency completing the assessment. The tool translates the answers from ECC/PSAP personnel into one of six maturity states: Legacy, Foundational, Translational, Intermediate, Jurisdictional End State, or National End State. Adopting and sharing the tool’s terminology allows for improved communication—with vendors, industry colleagues, elected officials, and others—at the user’s discretion. 911 Grant Program The Middle Class Tax Relief and Job Creation Act of 2012 authorized $115 million for a targeted 911 Grant Program administered by the Departments of Transportation and Commerce. Visit 911.gov/project_911grantprogram.html for information. Other federal programs fund 911; for a list of federal grant and loan programs that may allow 911 activities, visit: 911.gov/federal_grants_opportunities.html. 911 Coronavirus/ COVID-19 Resources This websiteprovides numerous Coronavirus/COVID-19 resources, including a webinar for telecommunicators and EMS clinicians, as well as guidance on preparing and managing a pandemic response. National Emergency Number Association (NENA) Security for NG911 Standard Standards of note for NG911 networks include NENA-STA-010: Detailed Functional and Interface Specification for the NENA i3 Solution; NENA 75-001: NENA Security for NG911 Standard (NG-SEC); NENA 75-502: NG-SEC Audit Checklist; NENA 04-503: Network/System Access Security Information Document, and NENA-INF-015.1-2016: NG911 Security Information Document. nena.org. NG911 Standards Identification and Review Collection of resources from all major standards bodies that address cybersecurity when planning for NG911 deployments: 911.gov/project_standardsforenhancedandnextgeneration911.html. Cyber Risks to NG911 White Paper This white paperprovides an overview of the cyber risks that NG911 systems may face. It is intended to serve as an informational tool for system administrators to better understand the full scope and range of potential risks, as well as recommend mitigations to these risks. Developed by CISA in conjunction with the Department of Transportation, the document is an introduction to improving the cybersecurity posture of NG911 systems nationwide.Cyber Risks to NG911: Telephony Denial of Service This fact sheet familiarizes public safety communications partners with Telephony Denial of Service (TDoS) threats to NG911. The document overviews common TDoS attack vectors, highlights real-world TDoS incidents, and suggests best practices to mitigate TDoS impacts. FCC CSRIC ReportsThe Communications Security, Reliability, and Interoperability Council's mission is to provide recommendations to the FCC to ensure, among other things, optimal security and reliability of communications systems, including telecommunications, media, and public safety. For CSRIC reports, visit: fcc.gov/about-fcc/advisory-committees/communications-security-reliability-and-interoperability. Geographic Information System (GIS) Lifecycle Best Practices Guide This guideprovides an overview of the GIS lifecycle from planning and implementation to assessing the need to upgrade capabilities. It also highlights best practices for each of the six phases, such as establishing a governance structure, identifying technical requirements for procuring resources, and developing policies and procedures to manage and secure data.
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Data Exchange and Information Sharing EnvironmentsAgencies should perform an evaluation of who the organization most often communicates with, and what types of information are commonly exchangedGrant recipients using federal funds for data exchange solutions should ensure the solutions comply with OASIS EDXL suite of data messaging standards and NIEM frameworkFor any grant funding software-based patient tracking products, the product is strongly encouraged to comply with OASIS EDXL-TEP, Bi-directional Transformation of OASIS EDXL-TEP (Tracking of Emergency Patients) v1.1, and HL7 v2.7.1 Specification VersionData exchange and information sharing solutions are as fundamental as a digital data “snapshot” transferred over electronic media, or as tailored as custom-interface applications that allow proprietary applications to be linked. Challenges for effective information exchange include increasing types of data being exchanged, such as geographic information systems, evacuee or patient tracking, biometrics, accident and crash telematics, Computer-Aided Dispatch, Automatic Vehicle Location, and more. To communicate seamlessly with the increasingly interconnected systems of the broader community, agencies should consider standards-based information exchange models. The National Information Exchange Model (NIEM) is a framework for exchanging information that provides common terminology for users and a repeatable, reusable process for developing information exchange requirements. NIEM was established by the Departments of Justice and Homeland Security in 2005 to unite stakeholders from federal, state, local, tribal, and territorial governments and the private sector, to develop and deploy a national model for information sharing and the organizational structure to govern it. Today, all 50 states and many federal agencies are using or considering NIEM, including adoption by the Departments of Agriculture, Defense, Health and Human Services, and Transportation. NIEM allows disparate systems to share, exchange, accept, and translate information in an efficient manner that all users can understand. In addition to the NIEM framework, agencies should reference the Global Reference Architecture (GRA) and the OASIS Emergency Data eXchange Language (EDXL) suite of data messaging standards. Applicable standards include the CAP; distribution element; hospital availability exchange; resources messaging; reference information model; situation reporting; and tracking emergency patients. Global Reference Architecture provides guidance for agencies to develop and establish a service-oriented architecture for public safety information sharing. The GRA incorporates and reuses appropriate subsets of the NIEM, as well as other models such as the Global Federated Identity and Privilege Management (GFIPM) sponsored by the Departments of Justice and Homeland Security. The GRA provides practitioners with overarching guidance that demonstrates how federal initiatives, including NIEM and GFIPM, work together and how to accelerate the planning process. Agencies can use this GRA tool to develop a well-conceived, formal approach to designing information sharing solutions and systems. A key benefit of a reference architecture is it helps promote consistent thinking and approaches among the people who use it, even if they have not shared information with each other. OASIS EDXLsuite of data messaging standards facilitates information sharing among public safety agencies. Grant-funded systems, developmental activities, or services related to emergency response information sharing should comply with the following OASIS and HL-7 standards: "OASIS EDXL-TEP" and Bi-directional Transformation of OASIS EDXL-TEP (Tracking of Emergency Patients) v1.1 and HL7 v2.7.1 Specification Version and OASIS EDXL suite of data messaging standards. Compliance should include the following OASIS EDXL standards: o Common Alerting Protocol, version 1.2 or latest version o Distribution Element (DE), version 1.0 or latest version o Hospital AVailability Exchange (HAVE), version 1.0 or latest version B-20
o Resource Messaging (RM) standards, version 1.0 or latest version In efforts to develop an Information Sharing Framework (ISF) to support public safety telecommunications, the SAFECOM and National Council of Statewide Interoperability Coordinators (NCSWIC) established the Information Sharing Framework Task Force comprised of information technology and communications subject matter experts from public safety agencies across the country. This task force has developed an ISF to ensure effectiveness of new products and technologies as agencies transition to mobile and fully interconnected environments. To begin using the functional components of the ISF integration layer, public safety agencies should ask the following high-level operational questions: What is the content? What is the data source? Who owns the data? Who needs it? Over what path? Over what application? A few of the widely used exchange models are provided as part of this appendix; however, an evaluation of who the organization most often communicates with, and what types of information are commonly exchanged, is recommended in selecting an ideal data exchange and information sharing solution. For more information on how to develop and implement an ISF and customize it for various use cases, see the SAFECOM/NCSWIC Approach for Developing an Interoperable Information Sharing Framework. Table B-9. Data Exchange Standards and Resources Organizations Standards and Resources NIEMApplicants are encouraged to reference the NIEM websiteto develop a greater understanding of data exchange functions and processes. GRAMany Department of Justice grant solicitations require its grant recipients to comply with the GRA, specifically the Global Standards Package, which describes a full information sharing technology standards implementation suite that addresses data standardization, messaging architecture, security, and privacy requirements. For additional information, including technical assistance and training opportunities, visit the Office of Justice Programs website at: it.ojp.gov/initiatives/gra. OASISOASIS Emergency Management Technical Committee creates incident- and emergency-related standards for data interoperability: Common Alerting Protocol; EDXL – Distribution Element; EDXL – Resource Messaging; and EDXL – Tracking of Emergency Clients. oasis-open.org.SAFECOM and NCSWIC Information Sharing Framework Task Force SAFECOM and NCSWIC, in coordination with CISA and the Johns Hopkins Applied Physics Laboratory, developed an ISF to help responders to discover, access, and consume any relevant information on a need-to-know basis, regardless of jurisdiction, affiliation, or location. cisa.gov/safecom/resources. Information Sharing Assessment Tool The Information Sharing Assessment Tool, developed by DHS with the guidance of local, state, and federal public safety practitioners, is a tool for public safety officials and first responders to identify their own information sharing capabilities and gaps. It aims to empower communities to develop an action plan to address their most pressing information-sharing gaps; publicize their progress and achievements; and facilitate inter-agency and cross-discipline information sharing. 911 DataPathThis effort is as a result of a formal recommendation by the FCC's TFOPA and includes a Strategic Plan and Administrative Dataset for Decision Making: 911.gov/project_strategicplanningfor911data.html.
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Appendix C – Emergency Communications ResourcesThis appendix provides links to references in the SAFECOM Guidance and additional resources to help grant applicants develop emergency communications projects and complete federal grant applications. Visit the SAFECOM website (cisa.gov/safecom) for additional resources. 911 / Next Generation 911 (NG911) See Appendix B in the SAFECOM GuidanceNational 911 Program Website: 911.govo 911 DataPath: 911.gov/project_strategicplanningfor911data.html o911 Grant Program: 911.gov/project_911grantprogram.htmlo NG911 Standards Identification and Review: 911.gov/documents_tools.html oNG911 Self-Assessment Tool: 911.gov/project_ng911tool.htmlo Webinars: 911.gov/webinars.html o Federal Funding Programs for 911: 911.gov/federal_grants_opportunities.html National Association of State 911 Administrators: nasna911.org and nasna911.org/state-911-contactsNational Emergency Number Association: nena.orgCybersecurity See Appendix B in the SAFECOM Guidance NIST Framework for Improving Critical Infrastructure Cybersecurity: nist.gov/cyberframework CISA Cyber Resilience Review: us-cert.cisa.gov/resources/cybersecurity-frameworkDepartment of Justice (DOJ) Law Enforcement Tech Guide for Communications Interoperability: cisa.gov/publication/interoperability Law Enforcement Tech Guide Resources for Technology Project Management: cisa.gov/publication/interoperabilityCybersecurity and Infrastructure Security Agency (CISA) CISA Website: cisa.gov Contact Information: [email protected] Identity, Credential, and Access Management Resources and Trustmark Framework: cisa.gov/safecom/icam-resourcesNational Emergency Communications Plan: cisa.gov/necpNational Interoperability Field Operations Guide: cisa.gov/safecom/field-operations-guides Pandemic Guidelines for 911 Centers: cisa.gov/emergency-communications-pandemic-guidelines Priority Telecommunications Services Programs: cisa.gov/pts Technical Assistance and Training Catalogs: cisa.gov/cisa/interoperable-communications-technical-assistance-program, cisa.gov/safecom/public-safety-software-tools, dhs.gov/training-technical-assistance, and cisa.gov/publication/cisa-services-catalog C-2
Federal Communications Commission (FCC) FCC Public Safety and Homeland Security Bureau: fcc.gov/public-safety-and-homeland-securityContact Information: [email protected] Fee Filing Guide for the Wireless Telecommunications Bureau:fcc.gov/licensing-databases/fees/application-processing-fees FCC Narrowbanding Website: fcc.gov/narrowbanding-overview Communications Security Reliability and Interoperability Council: fcc.gov/encyclopedia/communications-security-reliability-and-interoperability-council-v Task Force on Optimal Public Safety Answering Point Architecture: fcc.gov/encyclopedia/task-force-optimal-public-safety-answering-point-architecture-tfopaFCC 700 MHz Public Safety Broadband Spectrum Guidance: fcc.gov/700-mhz-public-safety-narrowband-spectrum FCC 800 MHz Transition: transition.fcc.gov/pshs/public-safety-spectrum/800-MHz o800 MHz Transition Administrator Website: 800ta.orgo 800 MHz Transition Administrator Contact: [email protected] Narrowbanding Guidance o SAFECOM Guidance, Section 3.3o Guidance for licensees for FCC’s narrowband operation requirement: fcc.gov/narrowbanding-overviewo Information on Frequency Coordinators: fcc.gov/general/public-safety-frequency-coordinatorso Contact Information: [email protected] Emergency Management Agency (FEMA) FEMA Grants Website: fema.gov/grantso Authorized Equipment List: fema.gov/grants/guidance-tools/authorized-equipment-list o Information Bulletins: fema.gov/grants/preparedness/about/informational-bulletins o Preparedness Grants Manual: fema.gov/grants/preparedness/manual Comprehensive Preparedness Guide 201: fema.gov/emergency-managers/national-preparedness/risk-capability-assessment Environmental Planning and Historical Preservation (EHP): SAFECOM Guidance, Section 4.5 - Additional Requirements and Recommendations for Equipment Purchases o EHP guidance for DHS/FEMA grant applications: fema.gov/grants/guidance-tools/environmental-historico For questions on EHP for DHS/FEMA grants, contact: [email protected] For information on federal EHP requirements, see the Council on Environmental Quality Regulations, 40 CFR Part 1500-1508: energy.gov/sites/prod/files/NEPA-40CFR1500_1508.pdfIntegrated Public Alert and Warning System (IPAWS) Program Office: fema.gov/emergency-managers/practitioners/integrated-public-alert-warning-systemo Alerting Authorities and State, Local, Tribal, and Territorial Users: fema.gov/emergency-managers/practitioners/integrated-public-alert-warning-system o Common Alerting Protocol: fema.gov/emergency-managers/practitioners/integrated-public-alert-warning-system/technology-developers/common-alerting-protocol o Information Materials: fema.gov/emergency-managers/practitioners/integrated-public-alert-warning-system o IPAWS Components: fema.gov/emergency-managers/practitioners/integrated-public-alert-warning-system o IPAWS Modernization Act of 2015: congress.gov/bill/114th-congress/senate-bill/1180 o IPAWS Program Planning Toolkit: fema.gov/media-collection/ipaws-program-planning-toolkit Presidential Policy Directive–8: dhs.gov/presidential-policy-directive-8-national-preparedness and fema.gov/emergency-managers/national-preparedness National Incident Management System (NIMS): fema.gov/emergency-managers/nims o NIMS National Standard Curriculum Training Development Guidance: fema.gov/emergency-managers/nims/implementation-training National Preparedness Goal: fema.gov/emergency-managers/national-preparedness/goal C-3
National Preparedness System: fema.gov/national-preparedness-system National Risk Index: fema.gov/flood-maps/products-tools/national-risk-index Stakeholder Preparedness Review: fema.gov/emergency-managers/national-preparedness/risk-capability-assessmentState Administrative Agency Contact List: fema.gov/grants/preparedness/state-administrative-agency-contactsState Homeland Security Director Office Information: dhs.gov/state-homeland-security-contactsThreat and Hazard Identification and Risk Assessment: fema.gov/emergency-managers/national-preparedness/risk-capability-assessment Training: fema.gov/emergency-managers/national-preparedness/training and firstrespondertraining.gov o Homeland Security Exercise and Evaluation Program: fema.gov/emergency-managers/national-preparedness/exercises/hseepo Incident Command System Resource Center: training.fema.gov/emiweb/is/icsresource Federal Grants Information and Listings Office of Management and Budget Circulars, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards: govinfo.gov/app/details/CFR-2014-title2-vol1/CFR-2014-title2-vol1-part200 Grants.gov Website: grants.gov FEMA Grants: fema.gov/grants SAFECOM compiled List of Federal Financial Assistance Programs Funding Emergency Communications: cisa.gov/safecom/funding First Responder Network Authority (FirstNet Authority) / Nationwide Public Safety Broadband Network FirstNet Authority Website: firstnet.gov FirstNet Authority Contact Information: [email protected] NTIA Public Safety Website: ntia.doc.gov/category/public-safety Middle Class Tax Relief and Job Creation Act: gpo.gov/fdsys/pkg/PLAW-112publ96/pdf/PLAW-112publ96.pdfSAFECOM / National Council of Statewide Interoperability Coordinators (NCSWIC) Best Practices for Planning and Implementation of Project 25 Inter-RF Subsystem (ISSI) and Console Subsystem (CSSI), Volumes I and II: cisa.gov/publication/p25 Emergency Communications System Lifecycle Planning Guide: cisa.gov/safecom/funding Governance Guide for State, Local, Tribal, and Territorial Emergency Communications Officials: cisa.gov/safecom/governance Interoperability Planning for Wireless Broadband: cisa.gov/publication/lmr-and-broadband-evolution Land Mobile Radio (LMR) Trio – LMR 101, LMR for Decision Makers, and LMR for Project Managers: cisa.gov/safecom/funding NG911 Self-Assessment Tool: 911.gov/project_ng911tool.html Operational Best Practices for Encryption Key Management: cisa.gov/publication/encryption Project 25 ISSI and CSSI Primer: cisa.gov/publication/p25 Public Safety Communications Evolution Brochure: cisa.gov/publication/lmr-and-broadband-evolution Public Safety Communications: Ten Keys to Improving Emergency Alerts, Warnings & Notifications: cisa.gov/publication/alerts-and-warnings Public Safety Communications Resiliency: Ten Keys to Obtaining a Resilient Local Access Network: cisa.gov/publication/communications-resiliency Public Safety Communications Network Resiliency Self-Assessment Guidebook: cisa.gov/publication/communications-resiliency Regional Interoperability Communications Plan Template: cisa.gov/publication/sop-documents C-4
SAFECOM Member List: cisa.gov/safecom/membership Statewide Interoperability Coordinator (SWIC): See SAFECOM Guidance, Sections 3.2 and 4.2 Statewide Communication Interoperability Plan (SCIP): See SAFECOM Guidance, Sections 2.2 and 4.2 oCISA SCIP Website: cisa.gov/statewide-communication-interoperability-planso To find your SCIP, please contact your SWIC or SCIP Point of Contact. Contact information for SWICs can be found on the NCSWIC membership page: cisa.gov/safecom/ncswic-membershipStandards SAFECOM Guidance on Technology and Equipment Standards: SAFECOM Guidance, Section 4.5 and Appendix BAssociation of Public-Safety Communications Officials standards: apcointl.org/standards.htmlo Project 43: Broadband Implications for the PSAP: apcointl.org/resources/broadband-implications-for-the-psapData Exchange and Information Sharing Environment: See Appendix B in the SAFECOM Guidanceo National Information Exchange Model: niem.gov/Pages/default.aspx o OASIS, Standards for Data-Related Investments: oasis-open.orgo Information Sharing Assessment Tool: dhs.gov/science-and-technology/isat Long-term evolution (LTE) for Public Safety Broadband: See Appendix B in the SAFECOM Guidance o 3GPP RAN5 Mobile Terminal Conformance Testing: 3gpp.org/specifications-groups/ran-plenary/ran5-mobile-terminal-conformance-testing NIST List of Certified Devices: nist.gov/ctl/pscr/process-document-nist-list-certified-devices Project 25 (P25) Standards for Land Mobile Radio: tiaonline.org/all-standards/committees/tr-8o P25 Technology Interest Group: project25.orgo P25 Compliance Assessment Program: dhs.gov/science-and-technology/p25-cap o P25 Compliance Assessment Program list of approved radio equipment: dhs.gov/science-and-technology/approved-grant-eligible-equipment o Statement of P25 User Needs (SPUN): cisa.gov/publication/p25 D-1
Appendix D – Compliance Requirements for DHS GrantsThis appendix provides guidance for Department of Homeland Security (DHS) and Federal Emergency Management Agency (FEMA) preparedness grants. Recipients using DHS/FEMA funds for emergency communications activities must comply with the SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance) in accordance with DHS Standard Terms and Conditions. Table D-1 provides a list of requirements for DHS/FEMA grants. For additional information, see relevant sections within the SAFECOM Guidance. DHS/FEMA recipients should also refer to the specific Notice of Funding Opportunity for all programmatic requirements that apply (fema.gov/grants). Table D-1. SAFECOM Guidance Compliance Instructions for DHS Recipients TopicsRequirementsNational and Statewide Plan Alignment Sections 2.2, 2.5, 3.1 Describe in applications how proposed projects will support national goals and objectives in the National Emergency Communications Plan(NECP).Describe in applications how proposed projects will align with your state or territory’s Statewide Communication Interoperability Plan(SCIP) goals and objectives. To find your SCIP, contact your Statewide Interoperability Coordinator (SWIC) or SCIP Point of Contact. Contact information for SWICs can be found on the NCSWIC membership page: cisa.gov/safecom/ncswic-membership. Explain how proposed projects address or support communications resiliency.Project Coordination Sections 2.1, 2.2, 2.4, 3.2, 3.3 List all participants involved in project planning to demonstrate engagement with the whole community in accordance with Presidential Policy Directive-8 and the NECP. Develop regional, multi-jurisdictional, multi-disciplinary, and cross-border projects to promote greater interoperability across agencies, pool grant resources, facilitate asset-sharing, and eliminate duplicate purchases. 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, to include establishing statewide plans, policies, and procedures, and coordinating decisions on communications investments funded through federal grants. Coordinate proposals with statewide emergency communications governance bodies and leaders (e.g., State Interoperability Executive Committee, SWIC, 911 Administrator).National Incident Management System (NIMS) Sections 3.4, 4.3, 4.4 NIMS Implementation Objectives clarify the specific NIMS implementation criteria to be eligible for FEMA preparedness grants (see: fema.gov/emergency-managers/nims/implementation-training). Some grants may have additional NIMS training or personnel credentialing criteria (see the applicable Notice of Funding Opportunity for details). States, territories, and tribal grant recipients report NIMS implementation annually in the Stakeholder Preparedness Review (SPR). States/territories and tribal grant recipients must submit their annual SPR through the Unified Reporting Tool (URT) and email a copy of the URT submission to their respective DHS/FEMA Regional Federal Preparedness Coordinator and copy [email protected]. SPR submissions are due no later than December 31st each year.Spectrum Licensing Section 3.3 If project requires new spectrum license, consult the appropriate statewide coordinator (e.g., SWIC), the Federal Communications Commission, and/or the FirstNet Authority to ensure the recipient will have authority to operate in the desired spectrum. Spectrum consultation should begin prior to application submission or during early phases of an approved project. A spectrum license must be in place before associated equipment can be purchased.
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Topics Requirements Planning and OrganizationSections 2.2, 3.4, 4.2 Update and submit the SPR and Threat and Hazard Identification and Risk Assessment (THIRA). The Comprehensive Preparedness Guide 201provides a three-step process for conducting a THIRA/SPR. Follow THIRA/SPR submission instructions in program guidance. Complete and submit the Nationwide Cybersecurity Review to benchmark and measure progress towards improving cybersecurity posture. TrainingSections 2.3, 4.3 Describe in applications how training projects support the NIMS Training Program, are consistent with NECP priorities, and address gaps identified through your state or territory’s SCIP, After-Action Reports, and other assessments.ExercisesSection 2.3, 4.4Include participants from multiple jurisdictions, disciplines, and levels of government and private sector entities, as appropriate. For additional FEMA exercise guidance, see fema.gov/emergency-managers/national-preparedness/exercises. Manage and execute exercises in accordance with the Homeland Security Exercise and Evaluation Program.EquipmentSection 4.5 Ensure equipment procurements comply with the covered telecommunications restrictions outlined in the John S. McCain National Defense Authorization Act of 2019 as outlined in FEMA Policy #405-143-1.Land Mobile Radio (LMR) Equipment Sections 2.5, 4.5, 5, Appendix B LMR systems are designed to meet public safety’s unique mission critical requirements and support time-sensitive, lifesaving tasks, including rapid voice call-setup, group calling capabilities, high-quality audio, and guaranteed priority access to the end-user. For the foreseeable future, the public safety community is expected to follow a multi-path approach to network infrastructure use and development of advanced technologies. Recipients should sustain current LMR capabilities during deployment of advanced technologies in accordance with the NECP. Select Project 25 (P25) standards-based equipment for LMR mission critical voice communications. See the DHS Authorized Equipment List to determine allowable equipment types for DHS/FEMA preparedness grants, and the P25 Compliance Assessment Program Approved Equipment List. If proposal includes any non-P25 LMR equipment, recipients must apply for prior approval.Next Generation 911 (NG911) Systems Sections 2.5, 4.5, 5, Appendix B NG911 is an Internet Protocol (IP)-based system that allows digital information (e.g., voice, photos, videos, text messages) to flow seamlessly from the public through the 911 network and on to emergency responders. If proposal includes NG911 systems, review the NG911 Standards Identification and Review and select IP-enabled 911 open standards equipment and software. For additional information, consult the National 911 Program Office at 911.gov.Public Safety Broadband Sections 2.5, 4.5, 5, Appendix B Consult with applicable governing bodies and leaders for the latest guidance from the FirstNet Authority, planning for public safety broadband network activities, and identifying the authority to operate on public safety spectrum. For additional information, refer to firstnet.gov. Alerts, Warnings, and Notifications Sections 2.5, 4.5, 5, Appendix B The Integrated Public Alert and Warning System(IPAWS) is a modernization and integration of the Nation’s alert and warning infrastructure. Federal, state, local, tribal, and territorial Alerting Authorities can use IPAWS and integrate local systems that use Common Alerting Protocol standards with the IPAWS infrastructure. IPAWS provides public safety officials with an effective way to alert and warn the public about serious emergencies using the Emergency Alert System, Wireless Emergency Alerts, the National Oceanic and Atmospheric Administration Weather Radio, and other public alerting systems from a single interface. If proposal includes alerts and warnings, review IPAWS informational materials and Common Alerting Protocol standard at fema.gov/emergency-managers/practitioners/integrated-public-alert-warning-system/technology-developers/common-alerting-protocol.
CALIFORNIA GOVERNOR’S OFFICE OF EMERGENCY SERVICES FY 2021 State Homeland Security Grant Program Grant Number #2021-0081 CalOES ID# 107-00000 Subgrantee name: ____________________________________ Project: _________________ REQUEST FOR SOLE SOURCE PROCUREMENT AUTHORIZATION 1. Project name: _________________________ Project Budget: $__________________ 2. Describe the project and/or activity that will be provided by the proposed sole sourcevendor/contractor. 3. Describe your organization’s standard procedures when sole source contracting is considered, including the conditions under which a sole source contract is allowed, and any other applicable criteria (i.e. approval requirements, monetary thresholds, etc.). 4. Indicate which of the following circumstances resulted in your organization’s need to enter into a sole source contract. a. Item/service is only available from one source (Describe the process used to make that determination. Please provide details.) b. A public urgency or emergency will not permit a delay resulting from competitive solicitation. According to the US Department of Homeland Security/FEMA, “Time constraints will not be considered a factor if the subgrantee has not sought competitive bids in a timely manner.” (Describe the urgency or emergency. Please provide details) c. After solicitation of a number of sources, competition was determined inadequate. (Describe the solicitation process that determined competition was inadequate. Please provide details, and attach any relevant supporting material, Request for Proposal, etc.) 5. Did your organization confirm that the contractor/vendor is not debarred or suspended?6. Will your organization be able to complete all activities associated with the sole source contract by the end of the grant performance period? 7. Has your organization determined the costs are reasonable? 8. Please attach a copy of the cost benefit analysis prepared for this procurement. Submitted by_________________________ __________________________ Date:_____________ (Name) (Signature) TULARE COUNTY DEPARTMENTSBUDGET AND PAYMENT INFORMATIONYou will need to adjust your Department’s budget when you receive your Homeland Security Grant Award Letter IF object line 9610 OR 9800 (whichever pertains to your agency or unit) isnot open.
Please see the attached Board Agenda Item regarding FY 2020 State Homeland Security Grant Acceptance and its accompanying AUD308 for more information.IFyour Department is within Tulare County HHSA, then you will need to use the following object lines:FUND-AGNY-UNIT-OBJ001-142-xxxx-9800 (This is the JV entry for you)xxxx=Your UNIT number001-142-6082-9700 (This is the Offset JV entry for OES) All Journal Vouchers (JV’s) between County Departments beginning with the same Fund Line of 001 must use the following object lines:FUND-AGNY-UNIT-OBJ001-xxx-xxxx-9610 (This is the JV entry for you)xxx=Your AGENCY number.xxxx=Your UNIT number001-142-6082-9510 (This is the Offset JV entry for OES)