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Homeland Security Grant Program

HSGP and THSGP
Number: 97.067
Agency: Department of Homeland Security

Program Information 

Program Number/Title (010):
97.067 Homeland Security Grant Program
Federal Agency (030):
Department of Homeland Security
Authorization (040):
The Homeland Security Act of 2002 , Public Law 107-296; Implementing Recommendations of 9/11 Commission Act of 2007, Public Law 110-53; Department of Homeland Security Appropriations Act of 2013 , Public Law 113-6.
Objectives (050):
FY 2012 HSGP and THSGP provide grant funding to assist state and local governments in obtaining the resources required to support the National Preparedness Goal’s (NPG’s) associated mission areas and core capabilities. FY 2012 THSGP provides funding directly to eligible tribes to help strengthen the nation against risks associated with potential terrorist attacks. The FY 2012 HSGP is comprised of three interconnected grant programs:
• State Homeland Security Program (SHSP): SHSP supports the implementation of State Homeland Security Strategies to address the identified planning, organization, equipment, training, and exercise needs to prevent, protect against, mitigate, respond to, and recover from acts of terrorism and other catastrophic events.
• Urban Areas Security Initiative (UASI): The UASI program addresses the unique planning, organization, equipment, training, and exercise needs of high-threat, high-density Urban Areas, and assists them in building an enhanced and sustainable capacity to prevent, protect against, mitigate, respond to, and recover from acts of terrorism.
• Operation Stonegarden (OPSG): OPSG supports enhanced cooperation and coordination among local, tribal, territorial, State, and Federal law enforcement agencies in a joint mission to secure the United States’ borders along routes of ingress from international borders to include travel corridors in States bordering Mexico and Canada, as well as States and territories with international water borders.

All three programs are founded on risk-driven, capabilities-based strategic plans. These strategic plans outline capability requirements and inform how available funding may be applied to manage risk. For these plans to be effective, government officials and elected leaders, working with the whole community, must consider how to sustain current capability levels and address potential shortfalls to prevent, protect, mitigate, respond to, and recover from disasters.

The FY 2013 HSGP plays an important role in the implementation of the National Preparedness System (NPS) by supporting the building, sustainment, and delivery of core capabilities essential to achieving the National Preparedness Goal (NPG) of a secure and resilient Nation. Delivering core capabilities requires the combined effort of the whole community, rather than the exclusive effort of any single organization or level of government. The FY 2013 HSGP’s allowable costs support efforts to build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and Recovery mission areas by setting the following priorities and objectives:

Priority One: Implementation of the NPS and a Whole Community Approach to Homeland Security and Emergency Management
• Objective One: Completion of the THIRA process in alignment with National Preparedness System guidance to identify the resources required to deliver core capabilities.
• Objective Two: Conduct risk driven, capabilities-based planning through whole community councils and working groups.
• Objective Three: Organization – Typing of equipment, and credentialing and training of personnel.
• Objective Four: Sustaining Capabilities.

Priority Two: Building and Sustaining Law Enforcement Terrorism Prevention Capabilities
• Objective One: Nationwide Suspicious Activity Reporting Initiative (NSI)

Priority Three: Maturation and Enhancement of State and Major Urban Area Fusion Centers
• Objective One: Baseline Capabilities.
• Objective Two: Analytic Capabilities.

The Department of Homeland Security Appropriations Act, 2013 (Public Law 113-6) authorized additional funding allocated at the discretion of the Secretary of the Department Homeland Security, to support appropriated programs in FY 2013. DHS has augmented the SHSP and UASI grant programs in FY 2013 by allocating an additional $163.4 million to support the following priority areas:

Priority Four: Innovation and Sustained Support for the National Campaign for Preparedness
• Objective One: Foster individual and community preparedness and resilience by identifying needs; mobilizing partners; and creating innovative and effective solutions that can be grown, sustained, and replicated.

Priority Five: Improve Immediate Emergency Victim Care at Mass Casualty Events
• Objective One: Improve emergency care to victims of mass casualty events, including mass shootings.
• Objective Two: Improve community first aid training.

Minimum funding amounts are not prescribed by the Department for these priorities; however grantees are expected to support state, local, and regional efforts in achieving the desired outcomes of one or more of these priorities.
Types of Assistance (060):
FORMULA GRANTS
Uses and Use Restrictions (070):
DHS grant funds may only be used for the purpose set forth in the grant, and must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other Federal grants/cooperative agreements, 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. Pre-award costs are allowable only with the written consent of DHS and if they are included in the award agreement. Although no longer funded as discrete grant programs, all activities and costs allowed under the FY 2010 Buffer Zone Protection Program (BZPP), FY 2010 Interoperable Emergency Communications Grant Program (IECGP), FY 2011 Citizen Corps Program (CCP), FY 2011 Driver’s License Security Grant Program (DLSGP), and FY 2011 Metropolitan Medical Response System (MMRS) grant program are allowable and encouraged activities and costs under the FY 2012 HSGP. For additional information on allowable activities under the aforementioned grant programs, please refer to http://www.fema.gov/government/grant/nondisaster.shtm.
Federal employees are prohibited from serving in any capacity (paid or unpaid) on any proposal submitted under this program. Federal employees may not receive funds under this award. There may be limitations on the use of HSGP and THSGP funds for the following categories of costs:
• Management and Administration
• Planning
• Organization
• Equipment
• Training
• Exercises
• Maintenance and Sustainment
• Critical Emergency Supplies
• Construction and Renovation
For additional details on restrictions on the use of funds, please refer to the FY 2012 HSGP and THSGP Funding Opportunity Announcement.
THSGP grantees may only fund investments that were included in the FY 2012 Investment Justifications (IJs) that were submitted to FEMA and evaluated through the peer review process. SHSP and UASI Pass-Through Requirements: Awards made to the SAA for HSGP carry additional pass-through requirements. Pass-through is defined as an obligation on the part of the States to make funds available to local units of government, combinations of local units, or other specific groups or organizations. The State’s pass-through requirement must be met within 45 days of the award date for the HSGP. Four requirements must be met to pass-through grant funds:
• There must be some action to establish a firm commitment on the part of the awarding entity.
• The action must be unconditional on the part of the awarding entity (i.e., no contingencies for availability of SAA funds).
• There must be documentary evidence of the commitment.
• The award terms must be communicated to the official grantee.
The SAA must obligate at least 80 percent (80%) of the funds awarded under SHSP and UASI to local units of government within 45 days of receipt of the funds. For Puerto Rico, the SAA must also obligate at least 80 percent (80%) of the funds to local units of government within 45 days of receipt of the funds. No pass-through requirements will be applied to the District of Columbia, Guam, American Samoa, the U.S. Virgin Islands, and the Commonwealth of the Northern Mariana Islands. Any UASI funds retained by the SAA must be used to directly support the designated Urban Areas in the State. Under SHSP, the State may retain more than 20 percent (20%) of SHSP funding for expenditure made by the State on behalf of the local unit of government. This may occur only with the written consent of the local unit of government, with the written consent specifying the amount of funds to be retained and the intended use of funds. If a written consent agreement is already in place from previous fiscal years, FEMA will continue to recognize it for FY 2012. If any modifications to the existing agreement are necessary to reflect new initiatives, States should contact their assigned FEMA Program Analyst. If UASI funds are used by the SAA in support of the Urban Area, the SAA must, as part of the up to 10 Investments, propose an Investment describing how UASI funds will be used by the SAA to directly support the Urban Area. OPSG Funds: The recipient is prohibited from obligating or expending funds provided through this award until each unique and specific county level or equivalent Operational Order/Fragmentary Operations Order with an embedded estimated operational budget has been reviewed and approved through an official e-mail notice issued by FEMA removing this special programmatic condition. Funds Transfer Restriction: The recipient is prohibited from transferring funds between programs (SHSP, UASI, and OPSG). Grantees are allowed to submit an Investment/project where funds come from multiple funding sources (i.e., SHSP/UASI); however, grantees are not allowed to divert funding from one program to another due to the risk-based funding allocations, which were made at the discretion of DHS. FY 2012 OPSG funds will be allocated based on risk-based prioritization using a U.S. Customs and Border Protection (CBP) Sector-specific border risk methodology to include, but not limited to: threat, vulnerability, miles of border, and other border-specific “law enforcement intelligence,” as well as feasibility of FY 2012 Operation Orders to designated localities within the United States border States and territories. Eligible sub-recipients under the FY 2012 OPSG are local units of government at the county level and federally-recognized tribal governments in the States bordering Canada (including Alaska), States bordering Mexico, and States and territories with international water borders. The SAA is the only entity eligible to apply to FEMA for FY 2012 OPSG funds on behalf of the county or similar level of government and federally-recognized tribal governments. Eligible States and territories without a county or similar level of government structure are authorized to accept applications on behalf of the alternative unit of local government. SAAs in this situation must advise FEMA in writing as to their intent. Note: Not all applicants are guaranteed to receive funding under the FY 2012 OPSG. FY 2012 THSGP funds will be allocated based on two factors: Eligibility, as defined in 9/11 Act and self-certified by applicant, and Effectiveness: the score of the applicant’s THSGP Investment Justification (as determined through a peer review process). With respect to the effectiveness criteria, THSGP IJ’s will be evaluated through a peer review process for completeness, adherence to programmatic guidelines and the anticipated effectiveness of the proposed Investment(s). Only the information included in the IJ will be scored in the review process. As part of the FY 2012 THSGP scoring process, applicants who have not received funding in prior years will receive five (5) points in addition to the peer reviewers’ average score for each Investment submitted as part of their IJ.
Eligibility Requirements (080)
Applicant Eligibility (081):
All 56 States and territories are eligible to apply for SHSP funds. For those States and territories that are eligible for UASI and/or OPSG funds, the SAA is the only entity eligible to submit applications to FEMA on behalf of UASI and OPSG applicants. National Incident Management System (NIMS) Implementation
In accordance with Homeland Security Presidential Directive (HSPD)-5, Management of Domestic Incidents, the adoption of NIMS is a requirement to receive Federal preparedness assistance, through grants, contracts, and other activities. Prior to allocation of any Federal preparedness awards in FY 2012, grantee must ensure compliance and/or alignment with FY 2011 NIMS implementation plan. The list of objectives against which progress and achievement are assessed and reported can be found at http://www.fema.gov/emergency/nims/ImplementationGuidanceStakeholders.shtm#item2. The primary grantee/administrator of FY 2012 HSGP and THSGP award funds is responsible for determining if sub-awardees have demonstrated sufficient progress in NIMS implementation to disburse awards.
Beneficiary Eligibility (082):
THSGP: Native American Tribal Government (Federally recognized)
HSGP: State and local governments
THSGP: In order to be eligible to receive THSGP funding, grantees must be considered “directly eligible Tribes.” Per the 9/11 Act, the term “directly eligible Tribe” means –
(A) any Indian Tribe –
(i) that is located in the continental United States;
(ii) that operates a law enforcement or emergency response agency with the capacity to respond to calls for law enforcement or emergency services;
(iii) a. that is located on or near (50 miles) an international border or a coastline bordering an ocean (including the Gulf of Mexico) or international waters (excluding shoreline border around the Great Lakes);
b. that is located within 10 miles of a system or asset included on the prioritized critical infrastructure list established under section 210E(a)(2) [please refer to section 1001 of the 9/11 Act] or has such a system or asset within its territory;
c. that is located within or contiguous to one of the 50 most populous metropolitan statistical areas in the United States; or
d. the jurisdiction of which includes not less than 1,000 square miles of Indian country, as that term is defined in section 1151 of title 18, United States Code; and
(iv) that certifies to the Secretary that a State has not provided funds under section 2003 [UASI] or 2004 [SHSP] to the Indian Tribe or consortium of Indian Tribes for the purpose for which direct funding is sought; and
(B) a consortium of Indian Tribes, if each Tribe satisfies the requirements of subparagraph (A).
In summary, eligible Tribes must meet the requirements set forth in (A) (i), and (A) (ii), and (A) (iv). Tribes must also meet one of the requirements set forth in (A) (iii); either (A) (iii) (a), or (A) (iii) (b), or (A) (iii) (c), or (A) (iii) (d). Finally, (B) may also be satisfied, if each Tribe satisfies the requirements of subparagraph (A).
In FY 2012, applicants must self-certify as to whether they meet the eligibility requirements. Self-certification will be provided on the THSGP Eligibility Certification Form as part of Application Investment Justification. Any questions regarding an applicant’s proximity to a Critical Infrastructure and Key Structures (CI/KR) site, as described in the eligibility criteria, may be directed to the State Administrative Agency (SAA). Any additional questions regarding the overall self-certification of eligibility process may be directed to the Centralized Scheduling and Information Desk (CSID). CSID can be reached by phone at (800) 368-6498 or by e-mail at askcsid@dhs.gov, Monday through Friday, 9:00 a.m. – 5:30 p.m. EST.
Credentials/Documentation (083):
Investment Justification (SHSP and UASI). As part of the FY 2012 HSGP application process for SHSP and UASI funds, applicants must develop a formal IJ that addresses each Investment being proposed for funding. The IJ must demonstrate how proposed projects address gaps and deficiencies in delivering one or more core capabilities outlined in the NPG and must also describe engagement with and/or impacts on the general population, to include children and individuals with disabilities such as those with access and functional needs. The IJ must demonstrate the ability to provide enhancements consistent with the purpose of the program and guidance provided by FEMA. Instructions for SHSP:
• Applicants may propose up to 10 Investments within their IJ to describe the activities they would like to implement with SHSP funds.
• Of the up to 10 Investments, applicants are required to propose at least one Investment to provide funding support to the State’s primary fusion center, as designated by the Governor. Grantees must coordinate with the fusion center when developing a fusion center Investment prior to submission.
Instructions for UASI:
• Urban Areas may propose up to 10 Investments within their IJ to describe the activities they would like to implement with UASI funds.
• If applicable, of the up to 10 Investments, Urban Areas are required to propose at least one Investment in support of a DHS-recognized fusion center within the Urban Area. Grantees must coordinate with the fusion center when developing a fusion center Investment prior to submission.
• If UASI funds are used by the SAA in support of the Urban Area, the SAA must, as part of the up to 10 Investments, propose an Investment describing how UASI funds will be used by the SAA to directly support the Urban Area.
For specific instructions on completing and submitting Investments, please refer to the FY 2012 HSGP Funding Opportunity Announcement. Operations Order and Detailed Budget Summary (OPSG). As part of the FY 2012 OPSG application process, each eligible local unit of government at the county level or federally-recognized tribal government must develop their Operations Order in coordination with State and Federal law enforcement agencies, to include, but not limited to CBP/BP. Operations Orders that are developed at the county level should be inclusive of city, county, tribal, and other local law enforcement agencies that are eligible to participate in OPSG operational activities, and the Operations Order should address this in the Executive Summary. The details should include the names of the agencies, the points of contact, and the individual funding requests. All applications must be coordinated through the CBP sector office and that BP will forward application to the SAA for review. OMB Circular No. A-87 applies to this program.
Application and Award Process (090)
Preapplication Coordination (091):
Preapplication coordination is required. Environmental impact information is not required for this program. This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review.
Application Procedures (092):
OMB Circular No. A-102 applies to this program. OMB Circular No. A-110 applies to this program. Application deadline and other information are contained in the FY 2012 HSGP and THSGP FOA. Applying for FY 2012 HSGP and THSGP funds require a two-step process. Step One: initial submission to determine eligibility and Step Two: full application. Applicants are encouraged to initiate Step One immediately after the FOA is published but no later than April 27, 2012. This involves submitting a complete Standard Form 424 to Grants.gov. Successful completion of this step is necessary for FEMA to determine eligibility of the applicant. Late submissions of Step One to Grants.gov could result in applicants missing the application deadline in Step Two. Once FEMA has determined an applicant to be eligible, applicants can proceed to Step Two which involves submitting the full application package via the Non Disaster (ND) Grants system. The submission deadline for the full application package is May 4, 2012. For additional information and program-specific application requirements, refer to the FY 2012 HSGP and THSGP Funding Opportunity Announcement.
Award Procedure (093):
In FY 2012, the total amount of funds distributed under this grant program will be $830,976,000. The specific information regarding funding allocations for the three HSGP programs are detailed below:
SHSP Allocations: FY 2012 SHSP funds will be allocated based on three factors: minimum amounts as legislatively mandated, DHS’ risk methodology, and anticipated effectiveness based on the strength of the Investment Justification (IJ). Each State and territory will receive a minimum allocation under SHSP using the thresholds established in the 9/11 Act. All 50 States, the District of Columbia, and Puerto Rico will receive 0.35 percent of the total funds allocated for grants under Section 2003 and Section 2004 of the Homeland Security Act of 2002, as amended by the 9/11 Act, for SHSP. Four territories (American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin Islands) will receive a minimum allocation of 0.08 percent of the total funds allocated for grants under Section 2003 and 2004 of the Homeland Security Act of 2002, as amended by the 9/11 Act, for SHSP. UASI Allocations: FY 2012 UASI funds will be allocated based on DHS’ risk methodology and anticipated effectiveness based on the strength of the IJ. Eligible candidates for the FY 2012 UASI program have been determined through an analysis of relative risk of terrorism faced by the 100 most populous metropolitan statistical areas in the United States, in accordance with the 9/11 Act. LETPA Allocations: Per the Homeland Security Act of 2002 (Public Law 107–296), title XX, § 2006, as amended by the 9/11 Act, title I, §101, August 3, 2007, 121 Stat. 280, 6 U.S.C. § 607, States are required to ensure that at least 25 percent (25%) of the combined HSGP funds allocated under SHSP and UASI are dedicated towards law enforcement terrorism prevention activities linked to one or more core capabilities within the NPG. The LETPA allocation can be from SHSP, UASI or both. OPSG Allocations: FY 2012 OPSG funds will be allocated based on risk-based prioritization using a U.S. Customs and Border Protection (CBP) Sector-specific border risk methodology to include, but not limited to: threat, vulnerability, miles of border, and other border-specific “law enforcement intelligence,” as well as feasibility of FY 2012 Operation Orders to designated localities within the United States border States and territories. Eligible sub-recipients under the FY 2012 OPSG are local units of government at the county level and federally-recognized tribal governments in the States bordering Canada (including Alaska), States bordering Mexico, and States and territories with international water borders. The SAA is the only entity eligible to apply to FEMA for FY 2012 OPSG funds on behalf of the county or similar level of government and federally-recognized tribal governments. Eligible States and territories without a county or similar level of government structure are authorized to accept applications on behalf of the alternative unit of local government. SAAs in this situation must advise FEMA in writing as to their intent. Note: Not all applicants are guaranteed to receive funding under the FY 2012 OPSG.
FY 2012 THSGP funds will be allocated based on two factors: Eligibility, as defined in 9/11 Act and self-certified by applicant, and Effectiveness: the score of the applicant’s THSGP Investment Justification (as determined through a peer review process). With respect to the effectiveness criteria, THSGP IJ’s will be evaluated through a peer review process for completeness, adherence to programmatic guidelines and the anticipated effectiveness of the proposed Investment(s). Only the information included in the IJ will be scored in the review process. As part of the FY 2012 THSGP scoring process, applicants who have not received funding in prior years will receive five (5) points in addition to the peer reviewers’ average score for each Investment submitted as part of their IJ.
The following process will be used to make awards under the THSGP:
• Applicants will self-certify as to Tribal eligibility per the 9/11 Act;
• FEMA will verify compliance with all administrative and eligibility criteria identified in the application kit, to include the required submission of an IJ by the established due dates;
• Eligible applications will be reviewed and scored through a peer review process to analyze the anticipated effectiveness of proposed Investments; and
• FEMA will use the results of the peer review effectiveness scores to make recommendations for funding to the Secretary of Homeland Security.
Deadlines (094):
Feb 17, 2012 to May 04, 2012 Application Start Date: 02/17/2012
Application Submission Deadline Date: 05/04/2012 at 11:59:59 PM EDT
Anticipated Funding Selection Date: 06/29/2012
Anticipated Award Date: 09/30/2012.
Range of Approval/Disapproval Time (095):
Refer to FY 2012 HSGP and THSGP Funding Opportunity Announcement. Anticipated Funding Selection Date is 06/29/2012. FY 2012 SHSP and UASI are non-competitive programs. Funds for FY 2012 OPSG will be allocated competitively. This includes the use of risk-based prioritization using CBP Sector-specific border risk to include, but not limited to: threat, vulnerability, miles of border, and other border-specific law enforcement intelligence. Each applicant’s final funding allocation will be determined by using a combination of the results of the risk analysis and feasibility of the Operations Orders. The following process will be used to make awards under FY 2012 THSGP:
• Applicants will self-certify as to tribal eligibility per the 9/11 Act;
• FEMA will verify compliance with all administrative and eligibility criteria identified in the application kit, to include the required submission of an IJ by the established due dates;
• Eligible applications will be reviewed and scored through a peer review process to analyze the anticipated effectiveness of proposed Investments; and
• FEMA will use the results of the peer review effectiveness scores to make recommendations for funding to the Secretary of Homeland Security.
Appeals (096):
Other - Not Specified.
Renewals (097):
Other - Not Specified.
Assistance Consideration (100)
Formula and Matching Requirements (101):
Statutory Formula: FY 2012 SHSP funds will be allocated based on three factors: minimum amounts as legislatively mandated, DHS’ risk methodology, and anticipated effectiveness based on the strength of the Investment Justification (IJ). Each State and territory will receive a minimum allocation under SHSP using the thresholds established in the 9/11 Act. All 50 States, the District of Columbia, and Puerto Rico will receive 0.35 percent of the total funds allocated for grants under Section 2003 and Section 2004 of the Homeland Security Act of 2002, as amended by the 9/11 Act, for SHSP. Four territories (American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin Islands) will receive a minimum allocation of 0.08 percent of the total funds allocated for grants under Section 2003 and 2004 of the Homeland Security Act of 2002, as amended by the 9/11 Act, for SHSP.
This program has no matching requirements. None.
This program does not have MOE requirements.
Length and Time Phasing of Assistance (102):
The Period of Performance is 24 months. For more information, refer to the FY 2012 HSGP and THSGP Funding Opportunity Announcement. Awards are subject to the Cash Management Act for payment and/or reimbursement of expenditures.
The period of performance outlined above support the effort to expedite the outlay of grant funding and provide economic stimulus. Agencies should request waivers sparingly, and they will be granted only due to compelling legal, policy, or operational challenges. For example, tribal grantees may request waivers from the deadlines outlined above for discretionary grant funds where adjusting the timeline for spending will constitute a verifiable legal breach of contract by the grantee with vendors or sub-recipients, or where a specific statute or regulation mandates an environmental review that cannot be completed within this timeframe or where other exceptional circumstances warrant a discrete waiver. See the following for information on how assistance is awarded/released: Based on project need.
Post Assistance Requirements (110)
Reports (111):
All successful applicants for all DHS grant and cooperative agreements are required to comply with DHS Standard Administrative Terms and Conditions available within Section 6.1.1 of http://www.dhs.gov/xlibrary/assets/cfo-financial-management-policy-manual.pdf. Federal Financial Report (FFR) – required quarterly. Obligations and expenditures must be reported on a quarterly basis through the FFR (SF-425). A report must be submitted for every quarter of the period of performance, including partial calendar quarters, as well as for periods where no grant activity occurs. Future awards and fund draw downs may be withheld if these reports are delinquent. The final FFR is due 90 days after the end date of the performance period. FFRs must be filed electronically through PARS.
Initial Strategy Implementation Plan (ISIP). Following the award of grant funds, awardees will be responsible for reporting planned expenditures of the newly awarded grant funds to meet the pass-through requirement. The applicable SAAs are responsible for completing and submitting the ISIP online. The ISIP is due within 45 days of the award date.
Grant Close-Out Process. Within 90 days after the end of the period of performance, or after a Grant Adjustment Notice (GAN) has been issued to close out a grant, whichever comes first, grantees must submit a final FFR and final progress report detailing all accomplishments throughout the period of performance. After these reports have been reviewed and approved by FEMA, a close-out notice will be completed to close out the grant. The notice will indicate the period of performance as closed, list any remaining funds that will be deobligated, and address the requirement of maintaining the grant records for three years from the date of the final FFR. The grantee is responsible for returning any funds that have been drawn down but remain as unliquidated on grantee financial records. Performance Progress Report (SF-PPR). Awardees are responsible for providing updated performance reports using the SF-PPR (OMB Approval Number 0970-0334) on a semi-annual basis. The SF-PPR is due within 30 days after the end of the reporting period (July 30 for the reporting period of January 1 through June 30; and January 30 for the reporting period of July 1 through December 31). Grantees should submit the SF-PPR as an attachment to the Non Disaster (ND) Grants system. The SF-PPR can be accessed online at http://www.na.fs.fed.us/fap/SF-PPR_Cover%20Sheet.pdf.
Grantees will be required to report on progress towards implementing plans described in their application. Additionally, for HSGP, as part of the SF-PPR, grantees will be required to report on progress towards implementing the following performance measures:
• All grantees, as part of programmatic monitoring, will be required to describe how expenditures first support maintenance and sustainment of current NPG core capabilities. For additional information on maintenance and sustainment, please see Appendix B – FY 2012 HSGP Program Specific Priorities
• For SHSP and UASI, grantees that maintain an emergency operations plan (EOP) are required to submit a Plan Analysis Tool annually and are required to include bi-annual updates on percentage of completion of CPG 101 v.2 compliance (for additional information, see http://www.fema.gov/prepared/plan.shtm)
• For SHSP and UASI, grantees will report the number of people trained in a given capability to support a reported number of defined resource typed teams (e.g., 63 responders were trained in structural collapse to support 23 Type 2 USAR Teams).
• For SHSP and UASI, grantees will report the total number of a defined type of resource and capabilities built utilizing the resources of this grant.
• For SHSP and UASI, grantees will report what equipment was purchased and what typed capability it supports.
• For SHSP and UASI, fusion centers will report on the achievement of capabilities and compliance with measurement requirements within the Maturation and Enhancement of State and Major Urban Area Fusion Centers priority through the annual Fusion Center Assessment Program managed by DHS Office of Intelligence and Analysis (I&A) and reported to FEMA.
• For SHSP and UASI, grantees will submit a certification indicating the number of personnel involved in the Nationwide Suspicious Activity Reporting (SAR) Initiative (NSI) as well as the number of personnel who have completed the required training.
• For SHSP and UASI, grantees should establish a planning body and demonstrate that the membership and activities reflect the whole community.
State Preparedness Report (SPR) Submittal. Section 652(c) of the Post-Katrina Emergency Management Reform Act of 2006 (Public Law 109-295), 6 U.S.C. §752(c), requires any State that receives Federal preparedness assistance to submit an SPR to FEMA. States submitted the most recent State Preparedness Report in December 2011, which meets this requirement in order to receive funding under the FY 2012 HSGP. Biannual Strategy Implementation Reports (BSIR). Grantees are responsible for completing and submitting the BSIR reports as a complement to the SF-PPR. The BSIR is due within 30 days after the end of the reporting period (July 30 for the reporting period of January 1 through June 30; and January 30 for the reporting period of July 1 through December 31). Updated obligations and expenditure information must be provided within the BSIR to show progress made toward meeting strategic goals and objectives. The first BSIR is not due until at least six months after the award notice has been received by the grantee. Federal Financial Report (FFR) – required quarterly. Obligations and expenditures must be reported on a quarterly basis through the FFR (SF-425). A report must be submitted for every quarter of the period of performance, including partial calendar quarters, as well as for periods where no grant activity occurs. Future awards and fund draw downs may be withheld if these reports are delinquent. The final FFR is due 90 days after the end date of the performance period. FFRs must be filed electronically through PARS.
Initial Strategy Implementation Plan (ISIP). Following the award of HSGP grant funds, awardees will be responsible for reporting planned expenditures of the newly awarded grant funds to meet the pass-through requirement. The applicable SAAs are responsible for completing and submitting the ISIP online. The ISIP is due within 45 days of the award date.
Grant Close-Out Process. Within 90 days after the end of the period of performance, or after a Grant Adjustment Notice (GAN) has been issued to close out a grant, whichever comes first, grantees must submit a final FFR and final progress report detailing all accomplishments throughout the period of performance. After these reports have been reviewed and approved by FEMA, a close-out notice will be completed to close out the grant. The notice will indicate the period of performance as closed, list any remaining funds that will be deobligated, and address the requirement of maintaining the grant records for three years from the date of the final FFR. The grantee is responsible for returning any funds that have been drawn down but remain as unliquidated on grantee financial records.
For more information, please see the FY 2012 HSGP and THSGP Funding Opportunity Announcement. Grant recipients will be monitored periodically by FEMA staff, both programmatically and financially, to ensure that the project goals, objectives, performance requirements, timelines, milestone completion, budgets, and other related program criteria are being met. Monitoring may be accomplished through either a desk-based review or on-site monitoring visits, or both. Monitoring will involve the review and analysis of the financial, programmatic, performance, compliance and administrative processes, policies, activities, and other attributes of each Federal assistance award and will identify areas where technical assistance, corrective actions and other support may be needed. Exercise Evaluation and Improvement. Exercises implemented with grant funds should evaluate performance of the capabilities required to respond to the exercise scenario. Guidance related to exercise evaluation and the implementation of improvements is defined in the Homeland Security Exercise and Evaluation Program located at https://hseep.dhs.gov.
Audits (112):
In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133. These audits are due to the cognizant Federal agency, submitted through the Federal Audit Clearinghouse, not later than 9 months after the end of the grantees fiscal year.
Records (113):
Grant records shall be retained for a period of 3 years from the day the recipient submits its final expenditure report. If any litigation, claim, negotiation, audit, or other action involving the records has been started before the expiration of the 3-year period, the records must be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular 3-year period, whichever is later. Grant records include financial and program/progress reports, support documents, statistical records, and other documents that support the activity and/or expenditure of the recipient or sub-recipient under the award.
Financial Information (120)
Obligations (122):
(Formula Grants) FY 13 $968,389,689; FY 14 Estimate Not Available; and FY 15 Estimate Not Available - HSGP:
FY 2012: 294,000,000 (SHSP), 495,376,000 (UASI), 46,600,000 (OPSG)
FY 2013: 354,644,123 (SHSP), 558,745,566 (UASI), 55,000,000 (OPSG)

THSGP:
FY 2012: 6,000,000.
Range and Average of Financial Assistance (123):
For more information, refer to the FY 2012 HSGP and THSGP Funding Opportunity Announcement.
Program Accomplishments (130):
Not Applicable.
Regulations, Guidelines, and Literature (140):
FY 2012 HSGP Funding Opportunity Announcement.
Information Contacts (150)
Regional or Local Office (151) :
See Regional Agency Offices. Additional information (Please include additional information, if applicable)
FEMA Regions may also provide fiscal support, including pre- and post-award administration and technical assistance, to the grant programs included in this solicitation. For a list of contacts, please go to http://www.fema.gov/about/contact/regions.shtm.
Headquarters Office (152):
Grant Programs Directorate DHS/FEMA
5071 D Techworld Building
500 C Street SW
, Washington, District of Columbia 20472 Phone: (1-800) 368-6498
Website Address (153):
http://www.fema.gov/government/grant/index.shtm
Examples of Funded Projects (170):
Not Applicable.
Criteria for Selecting Proposals (180):
FY 2012 SHSP and UASI are non-competitive programs. For additional information on FY 2012 SHSP and UASI allocations, refer to the FY 2012 HSGP Funding Opportunity Announcement. Funds for FY 2012 OPSG will be allocated competitively. This includes the use of risk-based prioritization using CBP Sector-specific border risk to include, but not limited to: threat, vulnerability, miles of border, and other border-specific law enforcement intelligence. Each applicant’s final funding allocation will be determined by using a combination of the results of the risk analysis and feasibility of the Operations Orders. In order to be eligible to receive THSGP funding, grantees must be considered “directly eligible Tribes.” Per the 9/11 Act, the term “directly eligible Tribe” means –
(A) any Indian Tribe –
(i) that is located in the continental United States;
(ii) that operates a law enforcement or emergency response agency with the capacity to respond to calls for law enforcement or emergency services;
(iii)
a. that is located on or near (50 miles) an international border or a coastline bordering an ocean (including the Gulf of Mexico) or international waters (excluding shoreline border around the Great Lakes);
b. that is located within 10 miles of a system or asset included on the prioritized critical infrastructure list established under section 210E(a)(2) [please refer to section 1001 of the 9/11 Act] or has such a system or asset within its territory;
c. that is located within or contiguous to one of the 50 most populous metropolitan statistical areas in the United States; or
d. the jurisdiction of which includes not less than 1,000 square miles of Indian country, as that term is defined in section 1151 of title 18, United States Code; and
(iv) that certifies to the Secretary that a State has not provided funds under section 2003 [UASI] or 2004 [SHSP] to the Indian Tribe or consortium of Indian Tribes for the purpose for which direct funding is sought; and

(B) a consortium of Indian Tribes, if each Tribe satisfies the requirements of subparagraph (A).
In summary, eligible Tribes must meet the requirements set forth in (A) (i), and (A) (ii), and (A) (iv). Tribes must also meet one of the requirements set forth in (A) (iii); either (A) (iii) (a), or (A) (iii) (b), or (A) (iii) (c), or (A) (iii) (d). Finally, (B) may also be satisfied, if each Tribe satisfies the requirements of subparagraph (A).
In FY 2012, applicants must self-certify as to whether they meet the eligibility requirements. Self-certification will be provided on the THSGP Eligibility Certification Form as part of Application Investment Justification. Any questions regarding an applicant’s proximity to a Critical Infrastructure and Key Structures (CI/KR) site, as described in the eligibility criteria, may be directed to the State Administrative Agency (SAA). Any additional questions regarding the overall self-certification of eligibility process may be directed to the CSID.