Public Safety Interoperable
Communications
Grant Program
Program Guidance
and
Application Kit
NATIONAL TELECOMMUNICATIONS
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Foreword
The Deficit Reduction Act of 2005 directed the National Telecommunications and
Information Administration (NTIA), in consultation with the Department of Homeland
Security (DHS), to establish and implement a $1 billion grant program to assist public
safety agencies in the acquisition of, deployment of, or training for the use of
interoperable communications systems that utilize – or enable interoperability with
communications systems that can utilize – reallocated public safety spectrum for radio
communications. The Call Home Act of 2006 subsequently directed NTIA to make the
grant awards by September 30, 2007.
The Public Safety Interoperable Communications (PSIC) Grant Program has been
designed to complement other federal interoperable communications grant programs
and to minimize the paperwork and administrative burden on public safety agencies
participating in the program. NTIA has consulted closely with DHS’s Federal
Emergency Management Agency (FEMA) National Preparedness Directorate (NPD) in
the development and implementation of the PSIC Grant program, using its grant-related
administrative services and interoperability expertise. DHS will serve as the familiar
grant program interface with applicants.
NTIA is responsible for the development of the domestic and international
telecommunications and information policy for the Executive branch. NTIA’s policy,
spectrum management, and research programs support emerging technologies and
efficient use of spectrum resources for affordable alternative communications services.
More than $2.9 billion of homeland security funding awarded to State and local public
safety agencies since fiscal year 2003 has been directed toward enhancing their
communications capabilities. The PSIC Grant Program offers a unique opportunity to
combine the technical expertise of NTIA with the grant management capabilities of DHS
to advance public safety interoperable communications nationwide. In this role, NTIA is
honored to offer the PSIC Grant Program and looks forward to working with the Nation’s
first responders to enhance interoperable communications.
ii
Contents
I. Program Description..............................................................................................1
A. Program Funding Goals .......................................................................................2
B. Limitation on Project Scope..................................................................................4
C. Authority (Pub. L. No. 109-171 and Pub. L. No. 109-459)....................................5
II. Award/Funding Information ..................................................................................6
A. Allocations Based on Formula..............................................................................6
B. Funding Availability...............................................................................................8
C. Project/Award Period............................................................................................8
D. Deobligation of Unexpended Funds .....................................................................9
III. Eligibility Information .......................................................................................... 10
A. Eligible Applicants ..............................................................................................10
B. Match Requirements .......................................................................................... 10
C. Pass-Through Requirements (MOU Requirements)...........................................11
IV. Application and Submission Information ..........................................................14
A. Application.......................................................................................................... 14
B. Statewide Communications Interoperability Plan................................................19
C. Investment Justification ......................................................................................21
V. Application Review Information.......................................................................... 28
A. Application.......................................................................................................... 28
B. Statewide Communications Interoperability Plan and Investment Justifications.28
VI. Award Administrative Information......................................................................29
A. Grant Award ....................................................................................................... 29
B. Drawdown and Expenditures of Funds...............................................................30
C. Reporting Requirements..................................................................................... 31
D. Monitoring...........................................................................................................34
E. Grant Close-Out ................................................................................................. 34
VII. Allowable and Disallowable Cost Guidance......................................................35
A. Allowable Costs.................................................................................................. 35
B. Disallowable Costs .............................................................................................39
C. Technology Requirements..................................................................................39
D. Management & Administration (M&A) ................................................................ 41
VIII. Other Information.................................................................................................43
A. Assistance Resources and Support....................................................................43
B. Acronyms ...........................................................................................................45
iii
I. Program Description
The PSIC Grant Program is a one-time formula-based, matching grant program
intended to enhance interoperable communications with respect to voice, data, and/or
video signals. PSIC provides public safety agencies with the opportunity to achieve
meaningful and measurable improvements to the state of public safety communications
interoperability through the full and efficient use of all telecommunications resources.
This package provides the formal grant guidance and application materials needed to
apply for funding under the PSIC Grant Program, including the PSIC funding
allocations, eligibility criteria, detailed application requirements, and application review
information.
The eligible applicants for this grant program are the 56 States and Territories.
Application for the PSIC grant funds will require submitting the following three items: (1)
application, (2) Statewide Communications Interoperability Plan (Statewide Plan), and
(3) Investment Justifications for projects selected by the States and Territories for PSIC
funding.
• Applications: The applications are due 30 days after publication in the Federal
Register. On or before that date, applicants are required to submit the
Application for Federal Assistance Forms (Standard Form 424 [SF-424]) and
sub-forms listed in Section IV.A, a brief narrative on the process for choosing
proposals, an agreement to meet the non-federal match requirements and, if
applicable, a budget for the five (5) percent of funds available to assist with the
development of Statewide Plans. The brief narrative is an information collection
subject to the Paperwork Reduction Act. This information is required under
Standard Form 424 and is approved under OMB control number 0348-0043.
Standard Form 424 can be accessed at
http://apply07.grants.gov/apply//FormLinks?family=15.
• Statewide Communications Interoperability Plans: The Statewide Plans are
due no later than November 1, 2007. The States and Territories are expected to
develop Statewide Plans, pursuant to Section I.C.5 of the 2006 Homeland
Security Grant Program Guidance and Application Kit, and consistent with
SAFECOM criteria. Each Statewide Plan is subject to DHS approval. As it
relates to PSIC grant funding, specific PSIC Statewide Plan Criteria are further
defined in Section IV.B.
• Investment Justifications: Investment Justifications are also due on November
1, 2007. Investment Justifications detail how projects selected for funding will
advance the goals and objectives of the PSIC Grant Program and fill the gaps
identified in the Statewide Plan. The Investment Justification is an information
collection subject to the Paperwork Reduction Act. This information is required
under Standard Form 424A and is approved under OMB control number 0348-
0044. Stadard Form 424A can be accessed at
http://apply07.grants.gov/apply//FormLinks?family=15.
1
A. PROGRAM FUNDING GOALS
The PSIC Grant Program will assist public safety agencies in the acquisition of,
deployment of, or training for the use of interoperable communications systems that
utilize – or enable interoperability with communications systems that can utilize –
reallocated public safety spectrum in the 700 Megahertz (MHz) frequency band.
1
While
some regions may not be able to access the 700 MHz frequency band until 2009, public
safety agencies are still eligible for funding to help meet their interoperability needs so
long as the proposed solutions are designed to interoperate with the 700 MHz band in
the future. NTIA is seeking solutions from public safety agencies that (1) achieve
meaningful and measurable improvements in the state of interoperability for public
safety communications and (2) fill interoperability gaps identified in the Statewide Plans.
NTIA recognizes that many solutions exist to achieve interoperability, and the PSIC
Grant Program will not dictate a specific technology solution for public safety agencies.
However, NTIA has identified the following technology and all hazards mitigation
priorities that States and Territories must consider when selecting projects for PSIC
funding:
• Technology
o Adopt advanced technological solutions
o Improve spectrum efficiency
o Use cost-effective measures
• All Hazards Mitigation
o Improve communications in areas at high risk for natural disasters
o Continue to improve interoperability efforts in urban and metropolitan
areas at high risk for threats of terrorism
Technology
NTIA encourages applicants to be forward-thinking in the use of technology and to
focus on spectrum-efficient and cost-effective technology solutions. NTIA recognizes
that these are not mutually exclusive concepts and asks States and Territories to give
weight to projects that best address these priorities in combination. Regardless of
technology, projects should emphasize regional/consolidated equipment investments.
This can be accomplished in a variety of ways, including without limitation, documented
P25-compliant dual-mode or digital LRM trunked systems, patches and gateways which
link 700 MHz systems to other systems, and innovative approaches which leverage IP-
based or point-to-point software-based solutions. In any case, projects should deliver
capabilities that approach the functional equivalent of a common standards-based
shared system.
1
See Section 3006(d) of the Deficit Reduction Act of 2005, Pub. L. No. 109-171, 120 Stat. 4, 25 (2006) (providing
“[t]he term ‘reallocated public safety spectrum’ means the band of spectrum located at 764-776 megahertz and 794-
806 megahertz, inclusive”).
2
Adopt advanced technological solutions. Advanced technological solutions are
fundamental to enhancement of interoperable communications. The PSIC Grant
Program encourages the use of forward-thinking technologies and solutions to achieve
interoperability. Although all proposed interoperability solutions will be considered for
funding, NTIA encourages proposals with a focus on advanced, next generation, and
proven technology solutions to meet the applicant’s interoperability needs.
2
Some
examples of innovative solutions include (but are not limited to) the use of voice or radio
internet protocol; broadband voice, data, or video applications; mobile public safety
networks; multi-band/multi-mode software designed radios; network interconnect
technologies; or satellite communication systems.
Improve spectrum efficiency. As a steward of effective use of spectrum as a finite
public resource, NTIA, through the PSIC Grant Program, must consider spectrum
efficiency in evaluating grants under this program. The definition of spectrum efficiency
varies across technology platforms and among applications. For the purpose of the
PSIC Grant Program, a spectrum-efficient solution is considered to be one which
consumes the least amount of spectrum to accomplish the mission effectively within the
budget, management plan, schedule, use and other constraints.
Use cost-effective measures. When evaluating the array of interoperability solutions,
applicants should calculate the costs and benefits of the proposed project. As a part of
this calculation, applicants should consider how projects will fit into the broader network
of existing and ongoing Federal, State and local communications systems investments.
For the purposes of this grant program, a cost-effective measure is one that provides
the most benefit to the greatest number of users for the proposed cost. One objective is
to evaluate the cost-benefit measure and consider the use of solutions that provide the
most benefit (i.e., data, voice, and/or video) for the least cost per user.
All Hazards Mitigation
NTIA recognizes the need for public safety agencies to be able to respond quickly to
emergency situations regardless of their source or cause, particularly areas vulnerable
to catastrophic natural disasters and areas at high risk for threats of terrorism. NTIA is
seeking projects that best fill the interoperability gaps identified in the Statewide Plans in
a way that supports capabilities across all hazards. NTIA expects States and Territories
to prioritize their needs on the basis of risk and to select a slate of projects that
addresses both natural disaster and terrorism risks, where applicable.
Improve interoperable communications in areas at high risk for natural disasters.
Public safety agencies and their communications systems are usually pushed to the
limit when a catastrophic natural disaster strikes. Hurricanes, earthquakes, tornadoes,
and other comparably devastating events are examples of the kinds of catastrophes
that significantly impact people and property, and often require large, coordinated
response efforts. Failure to interoperate during these kinds of events threaten the
2
Advanced technology solutions should be proven, and not be a test bed or a proof of concept. States and
Territories should rely on national level programs and standards where applicable.
3
safety of first responders and interferes with their principal purpose to protect the safety
of life, health, and property. Therefore, the PSIC Grant Program will consider proposed
investment(s) that address interoperability gaps in areas at high risk for natural
disasters. These areas should be self-identified by States and Territories.
Continue to improve interoperability efforts in urban and metropolitan areas at
high risk for threats of terrorism. DHS has worked to improve tactical interoperable
communications within urban and metropolitan areas, which are at high risk of terrorism.
Recently, 75 urban and metropolitan areas worked to develop Tactical Interoperable
Communications Plans (TICP), tested the plans through exercises, and assessed the
results through the development of After Action Reports and Tactical Interoperable
Communications Scorecards. The PSIC Grant Program will continue to improve these
plans and close identified gaps in order to address regional and statewide
communications goals.
B. LIMITATION ON PROJECT SCOPE
The PSIC Grant Program will provide funding to qualified State and Territory applicants
to acquire and enhance interoperable communications systems for public safety
agencies. Each PSIC investment is expected to include a range of activities that
support project development, implementation, and evaluation. The intent of the statute
that created the PSIC Grant Program is to fund interoperability projects across the
country. Proposals submitted need to address solutions that include multiple agencies
and multiple jurisdictions. Additionally, the statute requires consideration of how the
proposals operate in or interoperate with the 700 MHz band via voice, data, and/or
video signals. For these reasons, PSIC will NOT support projects whose purpose
falls into the categories discussed below.
1. Single-Agency Projects. PSIC will not support projects whose emphasis is on
the internal communications needs of a single agency, even if the agency has a
considerable number of offices or users in different cities or regions of the
State/Territory. Investments should include multiple agencies and/or multiple
disciplines.
2. Single Jurisdiction. PSIC will not support an interoperability project that only
serves a single jurisdiction. Investment Justifications should be multi-
jurisdictional and/or regional in scope, as supported by the Fiscal Year (FY) 2007
SAFECOM Grant Guidance.
3
3. Isolation from 700 MHz Band. PSIC will not support an interoperability project
that does not have the capability to interoperate with equipment or systems in the
700 MHz frequency band presently or in the future when it becomes available.
3
The Fiscal Year (FY) 2007 SAFECOM Grant Guidance is available at:
www.safecomprogram.gov/SAFECOM/grant/default.
4
C. AUTHORITY (PUB. L. NO. 109-171 AND PUB. L. NO. 109-459)
NTIA issues this Announcement pursuant to Section 3006 of the Deficit Reduction Act
of 2005, Pub. L. No. 109-171, and Section 4 of the Call Home Act of 2006, Pub. L. No.
109-459.
5
A. ALLOCATIONS BASED ON FORMULA
The PSIC Grant Program will provide $968,385,000 to assist public safety agencies to
improve the state of the Nation’s interoperable communications. Though neither the
authorizing statute nor its legislative history specify how funds are to be distributed,
NTIA, in consultation with DHS, has determined that the program should, to the extent
possible, establish a baseline level of interoperability in each State and Territory across
the country. To that end, the funds are allocated using a two-part process. First, each
State, the District of Columbia and Puerto Rico will receive a minimum of $3 million and
each Territory will receive a minimum of $500,000 to ensure that it will be able to make
meaningful improvements to its interoperable communications capabilities.
The remaining funds – more than 80 percent – are allocated to States and Territories
using a formula similar to the current Homeland Security Grant Program (HSGP) risk
formula, This formula is the product of three variables: threat, vulnerability and
consequence. Vulnerability and consequence variables are an all-hazards construction
in that they account for the relative severity of the effects of a disaster, regardless of the
type of disaster considered. These variables also incorporate such factors as the
population of an area, its economic output, the presence of nationally critical
infrastructure, and national security concerns. The threat variable is based exclusively
on terrorism threats. Recognizing the all-hazards nature and impact of the
interoperable communications capability, the PSIC allocation formula weights the threat
variable at 10 percent and the combined vulnerability and consequence variables at 90
percent. In doing so, it affirms that all States and Territories are susceptible to a variety
of different types of disasters, man-made, natural, intentional and accidental, all of
which may require an interoperable communications capability.
The table below identifies available PSIC funding for each State and Territory:
Table 1 - PSIC State/Territory Allocation
State/Territory PSIC Funding
Alabama $ 13,585,399
Alaska $ 7,250,345
American Samoa $ 691,948
Arizona $ 17,713,050
Arkansas $ 11,169,402
California $ 94,034,510
Colorado $ 14,336,638
Connecticut $ 12,999,879
Delaware $ 8,196,842
District of Columbia $ 11,857,972
Florida $ 42,888,266
II. Award/Funding Information
6
Georgia $ 25,311,354
Guam $ 2,600,678
Hawaii $ 8,069,879
Idaho $ 7,289,795
Illinois $ 36,414,263
Indiana $ 18,291,735
Iowa $ 10,935,974
Kansas $ 10,667,169
Kentucky $ 15,405,625
Louisiana $ 19,672,287
Maine $ 7,567,579
Maryland $ 22,934,593
Massachusetts $ 21,191,988
Michigan $ 25,039,781
Minnesota $ 14,262,071
Mississippi $ 10,989,345
Missouri $ 17,465,576
Montana $ 6,549,685
Nebraska $ 8,582,108
Nevada $ 12,042,417
New Hampshire $ 5,966,760
New Jersey $ 30,806,646
New Mexico $ 8,288,725
New York $ 60,734,783
North Carolina $ 22,130,199
North Dakota $ 7,052,490
Northern Mariana Islands $ 719,236
Ohio $ 29,377,337
Oklahoma $ 11,684,183
Oregon $ 12,182,532
Pennsylvania $ 34,190,555
Puerto Rico $ 9,590,025
Rhode Island $ 7,365,694
South Carolina $ 13,499,308
South Dakota $ 6,549,691
Tennessee $ 17,540,752
Texas $ 65,069,247
U.S. Virgin Islands $ 856,907
Utah $ 10,353,261
Vermont $ 4,476,761
Virginia $ 25,012,521
Washington $ 19,180,347
7
West Virginia $ 8,429,484
Wisconsin $ 15,367,216
Wyoming $ 5,952,187
Total $ 968,385,000
B. FUNDING AVAILABILITY
Under this grant program, $968,385,000 is made available in grant awards. Funds and
assistance granted through the PSIC Grant Program will be consistent with the existing
FY 2007 SAFECOM Grant Guidance.
Up to 5 percent of the total State/Territory allocation can be used by the applicants to
complete its Statewide Plan to ensure that the PSIC criteria are incorporated in the
Statewide Plans. Funds designated for this purpose will be made available upon award.
This percentage (up to 5 percent) is considered part of the State’s 20 percent of non-
pass-through funds, as described later in Section III.B. The funds can only be spent at
the state level for developing the Statewide Communications Interoperability Plans,
although the funds are expected to be used to support local involvement and
participation in statewide planning efforts. More information on the PSIC criteria is
available in Section IV.B.
Release of the remaining PSIC award amount, less the Statewide planning funds, are
subject to successful completion and approval of Statewide Plans and Investment
Justifications. See Section IV for the submission requirements and Section V for review
information. Upon approval of both the Statewide Plan and Investment Justifications,
the remaining PSIC funds will be released to grantees.
C. PROJECT/AWARD PERIOD
The project period begins on October 1, 2007 and ends on September 30, 2010. All
funds must be expended by September 30, 2010.
4
Given the statutory deadline for
the program, no extensions can be granted for this PSIC Grant Program.
States and Territories have the option to use up to 5 percent of their total allocation to
assist in the development of the Statewide Plans, as those plans relate to the PSIC
requirements described in detail in Section IV.B. Pre-award costs, incurred on or after
April 1, 2007 and associated with the development of the Statewide Plan in relation to
the PSIC requirements, can be reimbursed under this grant program.
5
Section IV.A
further details the brief narrative, which is required for a State or Territory to use the up
to 5 percent of planning costs. The other approximately 95 percent of funds can be
4
All funds must be expended, not obligated, meaning that all PSIC funds must be spent by the eligible applicant for
PSIC-related activities by September 30, 2010.
5
Pre-award costs and match requirement associated with the Statewide Communications Interoperability Plans can
be incurred as of April 1, 2007 (after the March 21-23, 2007 National Governors Association Conference in which
PSIC requirements for Statewide Plans were released).
8
applied to costs incurred from the date of the approved Statewide Plan and Investment
Justifications.
D. DEOBLIGATION OF UNEXPENDED FUNDS
All PSIC grants funds that are not expended by September 30, 2010 must be remitted
by the grantee to NTIA, which will deobligate the funds and return them to the U.S.
Treasury.
9
III. Eligibility Information
A. ELIGIBLE APPLICANTS
The PSIC grant will be awarded to the 56 States and Territories. The Governor of each
State and Territory has designated a State Administrative Agency (SAA), which can
apply for and administer the funds under the PSIC Grant Program. The SAA is the only
agency eligible to apply for PSIC funds. The SAA is responsible for the management
and administration of all funds provided through this award and is accountable for all the
deadlines, requirements, and limitations of this award. The SAA is responsible for
obligating PSIC funds to eligible pass-through recipients, as well as for overseeing and
monitoring the activity of these sub-recipients. A recipient must be a public safety
agency that is a State, local, or tribal government entity or nongovernmental
organization authorized by such entity, whose sole or principal purpose is to protect
safety of life, health, or property.
6
B. MATCH REQUIREMENTS
Each public safety agency receiving PSIC funds is required to meet and document the
20 percent statutory match requirement for each project, during the period of
performance of the grant program.
7
The SAA is required to track and report the 20
percent match requirement for each individual project that receives PSIC funds for
efforts other than training, which do not require any match. This documentation must
demonstrate that match funds are from non-federal sources. The match requirements
can be met through cash or in-kind sources consistent with 15 C.F.R. §§ 24.3, 24.24.
Applicants are required to meet and document the 20 percent match for all pre-award
costs related to the Statewide Plans.
As provided in 48 U.S.C. § 1469a, the matching requirement does not apply to the first
$200,000 in grant funds awarded to the Territorial governments in Guam, American
Samoa, the U.S. Virgin Islands, and the Commonwealth of the Northern Mariana
Islands.
Although costs for training activities are excluded from this match requirement, training
activities can make up no more than 20 percent of a State's or Territory’s total federal
allocation.
8
The chart below depicts an example calculation of match requirements.
6
See Pub. L. No. 109-171, § 3006(d)(1), 120 Stat. at 24 (2006). As defined in the OMB Circular A-87, local
government means a “county, municipality, city, township, local public authority, school district, special district,
intrastate district, council of governments (whether or not incorporated as a non-profit corporation under State law)
any other regional or interstate government entity, or any agency or instrumentality of a local government.”
7
See Pub. L. No. 109-171, § 3006(c), 120 Stat. at 24 (providing “[i]n order to obtain a grant under the grant program,
a public safety agency shall agree to provide, from non-Federal sources, not less than 20 percent of the costs of
acquiring and deploying the interoperable communications systems funded under the grant program”).
8
The training category and requirements include any interoperable communications-specific exercises and drills.
10
Total State
Allocation
Federal Share
of Training
100%*
Federal Share of
Non-Training
80%
Non-Federal Matching
Share Non-Training
20%
Total Project Cost
for Non-Training
Activities**
State A
$10,000,000 - $ 10,000,000 $ 2,500,000 $ 12,500,000
State B
$10,000,000 $ 2,000,000 $ 8,000,000 $ 2,000,000 $ 10,000,000
* Training activities are capped at up to 20% of total State or Territory award
** For the non-training activities, there is a minimum 20% match for the cost of the total project. This means that
for every $4 of federal share toward the project the grantee must match with at least $1 of non-federal share
through a cash or in-kind source.
C. PASS-THROUGH REQUIREMENTS (MOU REQUIREMENTS)
To be eligible to receive PSIC funding assistance from the SAA, a public safety agency
must be a State, local, or tribal government entity or authorized nongovernmental
organization.
9
Each State will make no less than 80 percent of the total award amount
available as a pass-through to such local or tribal government or authorized
nongovernmental public safety agencies. The District of Columbia has no pass-through
requirement. For Puerto Rico, the pass-through requirement is 50 percent of total
award amount. Due to the unique nature of the Territorial governments in Guam,
American Samoa, the U.S. Virgin Islands, and the Commonwealth of the Northern
Mariana Islands, no pass-through requirements will be applied to those Territories.
However, the above Territories are expected to take into account the needs of local
communities prior to making funding decisions.
States with a designated Urban Areas Security Initiative (UASI) Tier 1 Urban Area
should ensure that allocations to these areas conform to the presumptive funding
amounts listed in the following table. These amounts were determined by the
percentage of the State’s risk attributed to the Urban Area. Allocation preferences that
do not conform to these amounts will require submission of a written justification
explaining in detail the reasons for the proposed variance. If a State with a Tier 1 Urban
Area does not provide the Urban Area with the designated minmum funding level, a
written justification for this variance must be provided, documenting why other
geographical areas demonstrated greater need. Any proposed variance from the
presumptive funding amounts should also include a record either of concurrence or
objection from the local elected executive or executives affected by the variance.
9
These public safety agencies may include homeland security, law enforcement, fire, and emergency medical
services, among others. For example, such State public safety agencies may include State Highway Patrols, State
Health organizations, and State Departments of Public Safety. Authorized nongovernmental organizations may
include for-profit ambulance services, volunteer fire fighters, and agencies that are responsible for responding to
911 calls, among others.
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Table 2 - PSIC Tier 1 UASI Allocation
Tier I UASI Tier I UASI Funding Total State Funding
Bay Area, CA $14,528,292 $94,034,510
Chicago Area, IL $16,195,438 $36,414,263
Houston Area, TX $14,586,128 $65,069,247
Jersey City/Newark Area, NJ $17,495,751 $30,806,646
Los Angeles/Long Beach Area, CA $22,278,788 $94,034,510
National Capital Region
10
$11,857,972 $11,857,972
New York City Area, NY $34,812,602 $60,734,783
Within 60 days of the approval of the Investment Justification(s), a State or Territory
must pass-through the 80 percent of PSIC funds to local applicants. Figure 1 below
illustrates the delineation of PSIC funds by recipient and by authorized use.
Figure 1 – PSIC Funding Flow Example
PSIC Funds Allocated
PSIC Funds Awarded
Up to 5% of Awarded
Funds to Support
Statewide Planning Efforts
At least 95% of Awarded
Funds Special Conditioned
for Use by States/Territories
and Local entities
Statewide Plans and Investment
Justifications Development
At least 12% of Awarded
Funds to Support
State/Territory Projects
with Approved
Investment Justifications
80% of Awarded Funds
Pass-Through to Support
Local Projects with
Approved Investment
Justifications
Statewide Plans and Investment
Justification Review and Approval
All non-training investments must have a 20% match that is reported through the SAA
State Funds Local Funds
Up to 3% of
Awarded Funds
to Support
Management and
Administration
ti iti
10
This allocation only represents the District of Columbia funding, which may support the National Capital Region
Tier 1 Urban Area. In submitting their Investment Justifications, the District of Columbia, Maryland, and Virginia
SAAs should consider both State-specific as well as National Capital Region interoperability projects.
12
NOTE: For the pass-through of funds, each State and Territory may retain some or all of
the pass-through for expenditures made by the State and Territory on behalf of the
pass-through local entities. This may occur only if requested in writing by the pass-
through recipients. States and Territories holding grant funds on behalf of local entities
must enter into a formal Memorandum of Understanding (MOU) with the local unit of
government and/or tribal government entities, as applicable. If an MOU is already in
place for existing efforts, NTIA will recognize the MOU for FY 2007 through FY 2010.
States and Territories must submit these MOUs with the Investment Justifications by
November 1, 2007. A final, executable copy of the MOU will be kept on file with the
SAA and NTIA.
13
IV. Application and Submission Information
A. APPLICATION
Step 1: Application
STEP 1:
APPLICATION
The section below details application and budget narrative information. States and
Territories will submit the standard federal assistance forms and a brief narrative as the
first step of the funding process.
A.1 – Forms
The following is a list of required application forms for States and Territories to be
submitted by the SAA.
• Brief Narrative
• Standard Form 424, Application for Federal Assistance
• Standard Form 424A, Budget Information
• Standard Form 424B, Assurances
• Standard Form 424D, Assurances (Construction Projects)
• Standard Form LLL, Disclosure of Lobbying Activities
• Certification Regarding Debarment, Suspension, and Other Responsibility
Matters
• Certification of non-supplanting
A.1.1 – Brief Narrative
The applicant should complete the brief narrative template, including responses to the
following:
1. A description of how the SAAs plan to solicit, review, and select investments from
State, local, and Tribal government public safety agencies and authorized
nongovernmental organizations;
2. A high-level overview of the planning process and how PSIC criteria is being
incorporated into the Statewide Plan; and
3. A description and budget detail of the specific statewide planning activities to be
accomplished with the up-to-5 percent of the State or Territory total allocated
PSIC funds.
14
The brief narrative is an information collection subject to the Paperwork Reduction Act.
This information is an element required under Standard Form 424 and is approved
under OMB control number 0348-0043.
A.1.2 – Standard Form 424, Application for Federal Assistance
Application for Federal Assistance forms (SF-424) can be accessed at
http://apply07.grants.gov/apply//FormLinks?family=15. The recipient must complete this
application face sheet when submitting the application through grants.gov.
A.1.3 – Standard Form 424A, Budget Information
Budget Information form (SF-424A) can be accessed at
http://apply07.grants.gov/apply//FormLinks?family=15. The recipient must complete this
form with the requested budget information when submitting the application through
grants.gov.
A.1.4 – 424B, Assurances
Assurances forms (SF-424B) can be accessed at
http://apply07.grants.gov/apply//FormLinks?family=15. It is the responsibility of the
recipient of the federal funds to fully understand and comply with these requirements.
Failure to comply may result in the withholding of funds, termination of the award, or
other sanctions. The applicant will be agreeing to these assurances upon the
submission of the application.
A.1.5 – 424D, Assurances (Construction Projects)
Assurances for Construction Programs (SF-424D) can be accessed at
http://apply07.grants.gov/apply//FormLinks?family=15. It is the responsibility of the
recipient of the federal funds to fully understand and comply with these requirements.
Failure to comply may result in the withholding of funds, termination of the award, or
other sanctions. The applicant will be agreeing to these assurances upon submission of
the application.
A.1.6 – Standard Form LLL, Disclosure of Lobbying Activities
Disclosure of Lobbying Activities (SF-LLL) can be accessed at
http://apply07.grants.gov/apply//FormLinks?family=15. Recipients must file this form for
each payment or agreement to make payment to any lobbying entity.
A.1.7 – Certification Regarding Debarment, Suspension, and Other Responsibility
Matters
This certification, which is a required component of the on-line application, commits the
applicant to comply with the certification requirements under 28 CFR part 67,
Government-wide Debarment and Suspension (Non-procurement); 28 CFR part 69,
New Restrictions on Lobbying; and 28 CFR part 83, Government-wide Requirements for
Drug-Free Workplace (Grants). All of these can be accessed at:
http://csrc.nist.gov/grants/cd511.pdf.
15
All forms submitted as part of the PSIC application will be treated as a material
representation of fact by which NTIA will rely in awarding grants.
A.1.8 – Non-Supplanting Certification
This certification affirms that these grant funds will be used to supplement existing
funds, and will not replace (supplant) funds that have been appropriated for the same
purpose. Potential supplanting will be addressed in the application review, as well as in
the pre-award review, post-award monitoring, and any potential audits. Applicants or
grantees may be required to supply documentation certifying that a reduction in non-
federal, non-matching resources occurred for reasons other than the receipt or
expected receipt of federal funds.
A.2 – Administrative Submission Information
To ensure a successful submission, the SAAs must apply for PSIC Grant Program
funding through the online Grants.gov system through the Authorized Organization
Representative (AOR.) Grants.gov, an e-Government initiative, is a “storefront” that
provides a unified process for all customers of federal grants to find funding
opportunities and apply for funding. If applicants have previously used Grants.gov, the
same account may be used for the PSIC Grant Program. States that have not
previously submitted an application through Grants.gov are strongly encouraged to
initiate the registration process as soon as possible. Instructions are available on the
Grants.gov website (www.grants.gov). Please note the Grants.gov technical support
hours are Monday-Friday, 7 a.m. to 9 p.m., Eastern Standard Time. For more detail,
see http://www.grants.gov/contactus/contactus.jsp. Section IV.D further details the
required application materials. Applicants must address the submission requirements
below. Failure to properly register and apply for PSIC funds by the deadlines will result
in forfeiture of the grant opportunity.
A.2.1 – Valid Central Contractor Registry (CCR) Registration
The PSIC application process also involves an updated and current registration by the
SAA and the SAA Business Point of Contact through CCR. Eligible applicants must
confirm CCR registration a
t http://www.ccr.gov
, as well as apply for PSIC funding
through Grants.gov at
http://www.grants.gov
.
A.2.2 – DUNS Number
The SAA must provide a Dun and Bradstreet (D&B) Data Universal Numbering System
(DUNS) number with the PSIC application. This number is a required field within
Grants.gov and for CCR Registration. Organizations should verify that they have a
DUNS number or take the steps necessary to obtain one as soon as possible.
(Applicants can receive a DUNS number at no cost by calling the dedicated toll-free
DUNS Number request line at 1-800-333-0505).
16
A.2.3 – Catalog of Federal Domestic Assistance (CFDA) Number
The program title listed in the CFDA is “PSIC Grant Program.” The CFDA number is
11.555. When completing the on-line application, applicants should identify their
submissions as new applications.
A.2.4 – Single Point of Contact (SPOC) Review
Executive Order 12372, located at http://www.archives.gov/federal-
register/codification/executive-order/12372.html, requires applicants from State and
local units of government or other organizations providing services within a State to
submit a copy of the application to the State single point of contact (SPOC), and to
notify NTIA if this program has been selected for review by the State. Applicants must
contact their State SPOC to determine if the program has been selected for State
review. The date that the application was sent to the SPOC or the reason such
submission is not required should be provided.
A.3 – Administrative Requirements
Administrative requirements are detailed below.
A.3.1 - Freedom of Information Act (FOIA)
Much of the information submitted in the course of applying for funding under this
program, or provided in the course of its grant management activities, may be
considered law enforcement sensitive or otherwise important to national security
interests. This may include threat, risk, and needs assessment information, and
discussions of demographics, transportation, public works, and industrial and public
health infrastructures. While this information under Federal control is subject to requests
made pursuant to the Freedom of Information Act (FOIA), 5. U.S.C. §552, all
determinations concerning the release of information of this nature are made on a case-
by-case basis and may fall within one or more of the available exemptions under the
Act. The applicant is encouraged to consult its own State and local laws and regulations
regarding the release of information, which should be considered when reporting
sensitive matters in the grant application, strategic planning process, and Investment
Justifications, the applicant may also consult DHS and NTIA regarding concerns or
questions about the release of information under State and local laws. The grantee
should be familiar with the regulations governing Protected Critical Infrastructure
Information (6 CFR Part 29) and Sensitive Security Information (49 CFR Part 1520), as
these designations may provide additional protection to certain classes of homeland
security information.
A.3.2 - Compliance with Federal Civil Rights Laws and Regulations
The grantee is required to comply with Federal civil rights laws and regulations.
Specifically, the grantee is required to provide assurances as a condition for receipt of
Federal funds that its programs and activities comply with the following:
• Title VI of the Civil Rights Act of 1964, as amended, 42. U.S.C. 2000 et. seq. –
No person on the grounds of race, color or national origin will be excluded from
participation in, be denied the benefits of, or be otherwise subjected to
discrimination in any program or activity receiving Federal financial assistance;
17
• Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794 – No
qualified individual with a disability in the United States, shall, by reason of his or
her disability, be excluded from the participation in, be denied the benefits of, or
otherwise be subjected to discrimination in any program or activity receiving
Federal financial assistance;
• Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681 et.
seq. – Discrimination on the basis of sex is eliminated in any education program
or activity receiving Federal financial assistance;
• The Age Discrimination Act of 1975, as amended, 20 U.S.C. 6101 et. seq. – No
person in the United States shall be, on the basis of age, excluded from
participation in, denied the benefits of, or subjected to discrimination under any
program or activity receiving Federal financial assistance.
The grantee must comply with all regulations, guidelines, and standards adopted under
the above statutes.
A.3.3 - Services to Limited English Proficient (LEP) Persons
Recipients of Federal financial assistance are required to comply with several Federal
civil rights laws, including Title VI of the Civil Rights Act of 1964, as amended. These
laws prohibit discrimination on the basis of race, color, religion, national origin, and sex
in the delivery of services. National origin discrimination includes discrimination on the
basis of limited English proficiency. To ensure compliance with Title VI, recipients are
required to take reasonable steps to ensure that LEP persons have meaningful access
to their programs. Reasonable costs associated with providing meaningful access for
LEP individuals are considered allowable program costs. For additional information,
please see http://www.lep.gov.
A.3.4 - Integrating Individuals with Disabilities into Emergency Planning
Executive Order #13347, entitled "Individuals with Disabilities in Emergency
Preparedness" and signed in July 2004, requires the Federal Government to support
safety and security for individuals with disabilities in situations involving disasters,
including earthquakes, tornadoes, fires, floods, hurricanes, and acts of terrorism.
Further information on this issue can be found at the Disability and Emergency
Preparedness Resource Center at
http://www.disabilitypreparedness.gov.
A.4 – Deadlines
Each State and Territory must submit its application and narrative no later than 11:59
p.m. Eastern Daylight Time 30 days after publication in the
Federal Register.
Failure to properly register and apply for PSIC funds by the deadlines will result in
forfeiture of the grant opportunity.
A.5 – Application Approvals
NTIA and DHS program staff will review each application for completeness and
adherence to PSIC program rules. Based upon the recommendation of the program
staff, the Assistant Secretary for Communications and Information, Department of
Commerce, will approve each application.
18
B. STATEWIDE COMMUNICATIONS INTEROPERABILITY PLAN
Step 2: Statewide Communications Interoperability Plan
STEP 2: STATEWIDE
COMMUNICATIONS
INTEROPERABILITY
PLAN
The PSIC Grant Program leverages the requirement for States to develop, adopt, and
submit Statewide Plans by November 1, 2007, which must address locally-driven
interoperable communications capabilities among local and tribal government entities,
and authorized nongovernmental organizations. The development and adoption of a
Statewide Plan is required by Section I.C.5 of the 2006 Homeland Security Grant
Program Guidance and Application Kit. Guidance on the Statewide Communications
Interoperability Plans was provided in SAFECOM’s Criteria for Statewide Interoperability
Strategic Plans. In addition, the criteria encourage States and Territories to address the
recommendations provided through the TICP initiative (i.e., After Action Report [AAR],
Scorecard). Figure 3 below illustrates the relationship between Statewide
Communications Interoperability Plans and the PSIC Grant Program.
Figure 3 - Relationship between Statewide Communications Interoperability Plans
and the PSIC Grant Program
PSIC
Statewide
Plans
• Investment
Justifications aligned
to PSIC goals and
objectives, as well as
Statewide Plans
• NTIA Approval
•PSIC
Statewide
Planning
Criteria
• Submission
Deadline:
November
1, 2007
• SAFECOM FY07
Statewide Planning
Criteria
• FY07 Homeland
Security Grant
Program (HSGP)
Requirement
• DHS Approval
The section below details Statewide Communications Interoperability Plan information.
States and Territories will submit the plan as part of the second step in obtaining PSIC
funds.
19
B.1 – PSIC Requirements for Statewide Communications Interoperability Plan
The MOU between NTIA and DHS signed on February 16, 2007 identified the Statewide
Plans as one of the evaluation factors for the PSIC Grant Program. As such, the
Statewide Plans must include the three statutory requirements of the PSIC Grant
Program, which are listed below:
• Describe how public safety agencies will acquire, deploy, and train on
communications systems that use – or enable interoperable communications with
systems that use – the public safety spectrum in the 700 MHz frequency band;
• Describe how local and tribal government entities’ interoperable communications
needs have been included in the planning process and how their needs are being
addressed, if applicable; and
• Describe how authorized nongovernmental organizations’ interoperable
communications needs have been included in the planning process and how
their needs are being addressed, if applicable.
B.2 – Deadlines
Each State and Territory must submit its final Statewide Communications
Interoperability Plan by November 1, 2007, in conjunction with PSIC Investment
Justifications, to the NPD Secure Portal. The Secure Portal can be accessed at
https://odp.esportals.com.
B.3 – Statewide Plan Approval
DHS will review and approve each Statewide Communications Interoperability Plan
using the SAFECOM’s Criteria for Statewide Interoperability Strategic Plans.
11
In
addition, NTIA will review each Statewide Plan to ensure that States and Territories
address the three PSIC requirements set forth in Section IV.B.1 above.
11
The Statewide Interoperability Planning Guidebook outlines these criteria at
http://www.safecomprogram.gov/SAFECOM/statewideplanning
20
C. INVESTMENT JUSTIFICATION
Step 3: Investment Justification
STEP 3:
INVESTMENT
JUSTIFICATION
AND PROJECT
NARRATIVE
The section below details Investment Justification information. States and Territories
will submit Investment Justification(s) as part of the third step in obtaining PSIC funds.
C.1 – Investment Justification Overview
States and Territories will be required to submit an Investment Justification for each
proposed PSIC investment (project). Up to 10 Investment Justifications will be
accepted per State or Territory. A portfolio view of all the State’s or Territory’s
Investment Justifications will include a statewide investment summary. The summary
will detail the requirements below:
Summary of PSIC investments;
Summary of how the investments collectively relate to the statewide strategy/plan;
Description of the process used to identify, prioritize, and select investments
included in the Investment Justification; and
Description of the stakeholders involved in the evaluation and selection of proposals.
These investments should strongly align with the goals and gaps set forth in the
Statewide Plan and the PSIC criteria. The statewide investment summary of a State’s
or Territory’s Investment Justifications must cumulatively account for the total amount of
PSIC funding allocated to the State or Territory, not including any funds (up to 5
percent) already dedicated to statewide planning efforts.
Throughout the Investment Justification, the five PSIC objectives should be addressed.
The objectives, previously described in Section I.A Program Funding Goals, are listed
below:
• Technology
o Adopt advanced technological solutions
o Improve spectrum efficiency
o Use cost-effective measures
• All Hazards Mitigation
o Improve interoperable communications in areas at high risk for natural
disasters
21
o Continue to improve interoperability efforts in urban and metropolitan
areas at high risk for threats of terrorism
It is important to note that each Investment Justification must be a separate and unique
project from any efforts currently under way. For example, a State may use its funding
to support an existing statewide communications system; however, this funding must be
a unique component of this system that does not receive funding from another federal
grant program.
C.2 – Submission Information
States and Territories are required to use the Investment Justification template in
Microsoft Excel format for their PSIC Investment Justification submissions. Each
Investment Justification will be reviewed by NTIA and DHS for completeness,
adherence to programmatic guidelines, feasibility, and how well the proposed solution
addresses the identified need or capability shortfall.
12
If submissions do not meet PSIC
requirements, they will be returned to the submitting State or Territory and funds will be
withheld until the Statewide Communications Interoperability Plan and Investment
Justifications meet all PSIC requirements. The Investment Justification is an
information collection subject to the Paperwork Reduction Act. This information is
required under Standard Form 424A and is approved under OMB control number 0348-
0044. Stadard Form 424A can be accessed at
http://apply07.grants.gov/apply//FormLinks?family=15.
C.3 – Questions and Review Criteria
The following table outlines the Investment Justification sections and questions, as well
as the review criteria.
13
Table 2 – Investment Justification Outline
Question Review Criteria
Investment Heading
I. Investment Heading
State/Territory name
Investment name (if applicable, include specific
reference to areas designated as at high-risk for
natural disasters and/or urban or metropolitan
area at high risk for threats of terrorism)
Total PSIC funding requested
The information provided will be considered in
terms of its contribution to setting context and
relationship to other questions
Project Narrative
II. Project Narrative: Describe the proposed
Investment:
The information provided will be considered in
terms of its contribution to setting context and
12
In order to ensure objective contractor performance and eliminate unfair competitive advantage, contractors that
develop, draft, or help prepare Investment Justifications, specifications, requirements, statements of work, invitation
for bids and/or requests for proposals shall be excluded from competing for such procurements.
13
All grantees must conform to applicable FCC Rules regarding authorized spectrum use and licensing.
22
Question Review Criteria
Interoperability problem(s)
Proposed solution(s)
Expected outcome(s)
Partners and end users that will be involved
Plan to use or interoperate with the 700 MHz
band
Plans to evaluate the Investment
relationship to other questions
Baseline
III.A. Baseline – Historical Funding and Request
Name: If the Investment has previously been funded
or if funding has been requested (e.g. Homeland
Security Grant Program, Emergency Management
Performance Grants, Infrastructure Protection
Program, Assistance to Firefighter Grants, and/or
Department of Justice grants such as those from the
Office of Community Oriented Policing Services),
provide the name of this project and the total amount
of funding that was dedicated or proposed to it, if any.
The information provided will be considered
in terms of its contribution to setting context
and relationship to other questions.
III.B. Baseline – Description of Need: Provide a
summary description of the current state of this
Investment, its objectives, and any outcomes that will
be completed
prior to the application of PSIC funds.
Reference should also be made to the PSIC
objectives (highlighted in Section I.A Program
Funding Goals) addressed by the Investment.
The information provided will be considered in
terms of its contribution to setting context and
relationship to other questions. Specifically:
Response addresses PSIC objectives
Response describes the nature of the
communication problem (e.g., voice and/or
data, coverage), its capacity (e.g. number
of users, available frequencies), and the
capability gap(s) (e.g., gaps identified in
Statewide Communications Interoperability
Plan) that this Investment is intended to
address
Response discusses why this Investment
was selected over other options and
identify the partners, communities, and end
users affected by the Investment
If applicable, response provides information
on what has been done with regard to the
Investment by the area designated as at
risk for natural disasters and/or urban or
metropolitan area at high risk for threats of
terrorism
23
Question Review Criteria
III.C. Baseline – Description of Governance
Structure and Activities: Provide a summary
description of the current state of your governance
structure and activities.
The information provided will be considered in
terms of its contribution to setting context and
relationship to other questions. Specifically:
Reference Interoperability Baseline
Survey
14
Number of public safety agencies which
entered into formal interoperability
agreements (e.g., MOU)
Existence of a formal/informal
interoperability group (e.g., working group)
that discusses interoperability issues
across the state and/or region
Number of agencies that share formal
standard operating procedures (SOPs) for
day-to-day, task force, and mutual aid
communications interoperability
Number of agencies and types of
disciplines and levels of government that
are engaged in joint training events
III.D. Baseline – Stakeholder Involvement: Provide
information on the public safety agencies involved in
the Investment Justification Process.
Response demonstrates the public safety
disciplines engaged in the development
and implementation of Investment(s), to
include, but not limited to, law enforcement,
fire, emergency medical services,
emergency managers, transportation,
hospitals/public health, tribal government
entities, and authorized non-governmental
organizations
Strategy
IV.A. Strategy – Statewide Communications
Interoperability Plan objectives: Explain how this
Investment supports the State/Territory Statewide
Communications Interoperability Plan PSIC criteria.
Response demonstrates how the
Investment will support the Statewide
Communications Interoperability Plan PSIC
criteria (highlighted in Section II B Funding
Availability)
If applicable, response explains how
solution fits within existing TICP framework
14
Link to Interoperability Baseline Survey at
http://www.safecomprogram.gov/SAFECOM/library/background/1295_2006national.htm
24
Question Review Criteria
IV.B. Strategy – Technology: Explain how this
Investment supports the PSIC technology objectives.
Response addresses the technical
feasibility of the proposed investment
Response addresses how the proposed
Investment will consider advanced
technologies
Response addresses how the proposed
Investment will promote spectrum-efficient
solutions
Response explains the degree to which the
proposed Investment will work and
interoperate with other existing systems
and the extent to which the investment
represents a shared system or system-of-
systems
IV.C. Strategy – All Hazards Mitigation: Explain how
this Investment supports interoperable
communications capabilities to respond to all hazards.
Response addresses how the Investment
addresses communications needs with
respect to areas designated as at high risk
for natural disasters
Response addresses how the Investment
addresses communications needs with
respect to urban and/or metropolitan areas
at high risk for threats of terrorism (e.g.,
Tier 1 UASI Urban Areas)
If a State with a Tier 1 Urban Area does not
provide the Urban Area with the designated
minmum funding level, a written justification
for this variance must be provided,
documenting why other geographical areas
demonstrated greater need. Any proposed
variance from the presumptive funding
amounts should also include a record
either of concurrence or objection from the
local elected executive.
Funding Plan
V. Funding Plan: Detail the total estimated cost for
the Investment throughout the PSIC period of
performance (FY 2007 – FY 2010). Describe any
other concurrent funding sources that may also
support this Investment, including form of cost share.
Detailed estimated expenditure plan which credibly
demonstrates ability to meet expenditure deadline of
September 30, 2010.
Response references appropriate activities,
services, or products for the solution area
Response describes how the funds will be
used specifically towards this Investment
Response outlines the Investment budget
Response describes the sufficiency of
matching funds to support the Investment
Milestones
VI. Milestones: Provide specific milestones for the
Investment over the PSIC period of performance (FY
2007 – FY 2010), including a description, and start
and end dates for each milestone; up to 10 milestones
may be provided.
Each milestone provides a clear description
of the milestone activities as well as start
and end dates
Milestones collectively present a clear
sequence of events that will allow the
Investment to reach its objectives
25
Question Review Criteria
Project Management
VII. Project Management: Describe the management
team that is directly responsible for the
implementation of this Investment. Specifically,
describe any key Investment roles and
responsibilities, structures, and subject matter
expertise required by this Investment, including at
least the project manager and the contracts
management structure. An organizational chart may
be included in the response.
Response identifies and describes a
project manager role, specifically
referencing the responsibilities of the
project manager position as well as the
decision-making authority; if the project
manager is the same as in other
Investments, the response explains why
this is appropriate
Response describes a contracts
management structure
Response describes, at a high level, the
operational roles, responsibilities, and
subject matter expertise required to
manage the Investment
Response relates project management
responsibilities to those existing within any
governance or oversight body identified in
the Statewide Communications
Interoperability Plan
Investment Challenges
VIII. Investment Challenges: List and describe up to
five potential challenges to effective implementation of
this Investment over the entire PSIC period of
performance. For each identified challenge, provide a
brief description of how the challenge will be
mitigated, and indicate a probability of occurrence
(high, medium, low), and level of impact should it
occur (high, medium, low). Applicants should
consider the Investment’s technical feasibility as a
possible investment challenge.
Response identifies the following:
Investment challenge(s)
Mitigation strategy for each challenge listed
Probability of occurrence
Level of impact should the challenge occur
Impact
IX.A. Impact - Outcomes: Describe the outcome(s)
that will indicate that this Investment is successful
throughout the PSIC period of performance (FY 2007
– FY 2010). The description should include
compelling reasons why the Investment will make a
difference in the communications capabilities of its
stakeholders. Note: Must address how the outcomes
will be evaluated.
Response describes specific outcomes that
will determine the Investment’s success,
including what will be measured on both an
annual basis and at the Investment
completion and a description of the impact
these activities will have on improving
interoperability
Response describes the community’s
affected by the Investment, such as the
various jurisdictions, regional partners,
tribal government entities, etc.
26
Question Review Criteria
IX.B. Impact – Cost-effective measures: Describe
the cost-effective measures that will indicate that this
Investment is successful throughout the PSIC period
of performance (FY 2007 – FY 2010).
Response describes cost-effectiveness
(e.g., a unit cost measurement, percentage
increase of jurisdictions that will
successfully implement technology,
increase in number of radio users
interoperating on communications system,
percentage increase of State’s or
Territory’s geographic area with radio
coverage, percentage of radio users
trained and proficient on interoperability
solution) to address the interoperability
gaps (identified in III.B. Baseline
Description)
Response describes how project will fit into
the broader network of existing and
ongoing Federal, State and local
communications systems investments.
IX.C. Impact – Sustainability: Describe the long-
term approach to sustaining this Investment.
Response describes how the technology
and/or services that are acquired,
deployed, or trained on will be
maintained/sustained long term (e.g.,
consideration of non-PSIC future funding
mechanisms, plans for maintenance and
periodic upgrades)
Response describes how the Investment
will be maintained/sustained long term, 3-5
years after the PSIC period of performance
ends
C.4 – Deadlines
Each State and Territory must submit its PSIC Investment Justification(s) by November
1, 2007. These Investment Justifications are to be submitted in conjunction with final
Statewide Communications Interoperability Plans to the NPD Secure Portal. The
Secure Portal can be accessed at https://odp.esportals.com.
C.5 – Investment Justification(s) Approval
NTIA and DHS program staff will review the submitted Investment Justification(s) for
compliance with PSIC program rule and objectives. Based on the recommendation of
peer review groups and NTIA and DHS program staff, the Assistant Secretary for
Communications and Information, Department of Commerce, will approve each
Investment Justification. If the peer review groups include non-federal employees no
concensus advice will be provided by the groups.
27
V. Application Review Information
Eligible applicants must follow the three steps to apply for PSIC funding: submit
application and brief narrative, submit a Statewide Communications Interoperability
Plan, and submit Investment Justifications.
A. APPLICATION
The first step includes submitting an application on Grants.gov, which is further
explained in Section IV.A. Applications will be approved and PSIC funds will be
awarded no later than September 30, 2007.
B. STATEWIDE COMMUNICATIONS INTEROPERABILITY PLAN AND
INVESTMENT JUSTIFICATIONS
The second step includes submitting a Statewide Communications Interoperability Plan,
which is further explained in Section IV.B. Each State and Territory must submit its final
Statewide Communications Interoperability Plan by November 1, 2007. DHS will review
and approve Statewide Communications Interoperability Plans using SAFECOM’s
Criteria for Statewide Interoperability Strategic Plans. In addition to the DHS review,
NTIA will be reviewing the Statewide Plans to ensure that States and Territories
address the three PSIC Requirements set forth in Section IV.B.1 above.
The third step includes submitting Investment Justification(s), which must be submitted
by November 1, 2007 as is further explained in Section IV.C. NTIA and DHS program
staff will review the Investment Justification(s), and based upon the recommendations of
peer review groups and the program staff, the Investment Justification(s) will be
approved by the Assistant Secretary for Communications and Information, Department
of Commerce. If the peer review groups include non-federal employees no concensus
advice will be provided by the groups.
Only after approval of both a State or Territory’s Statewide Communications
Interoperability Plan and Investment Justification(s), will remaining PSIC funds be
released to the State or Territory.
28
VI. Award Administrative Information
A. GRANT AWARD
Upon approval of the application, the grant will be awarded to the SAA. This date will
be known as the “award date.” The signed award document with special conditions
must be returned to Department of Homeland Security, Federal Emergency
Management Agency, Grants Management Office (GMO), 245 Murray Lane Bldg. 410,
Washington, DC 20528-7000. A sample award package is included below.
1. Review Award and Special Conditions Document
Notification of award approval is made by e-mail through the FEMA Grants
Management System (GMS). Once an award has been approved, a notice is sent to the
e-mail address of the individual who filed the application, as well as to the authorized
grantee official.
Carefully read the award and any special conditions or other attachments.
If you agree with the terms and conditions, the authorized official should sign and date
both the original and the copy of the award document page in Block 19.
You should maintain a copy and return the original signed documents to:
Department of Homeland Security
Federal Emergency Management Agency
Grants Management Office
Attention: Control Desk
245 Murray Lane Bldg. 410
Washington, DC 20528-7000
If you do not agree with the terms and conditions, contact the awarding program
manager as noted in the award package.
2. Read Guidelines
Read and become familiar with the Financial Management Guide, which is available at
1-866-927-5646 online at http://www.dhs.gov/xopnbiz/grants/.
3. Reporting Requirements
Reporting requirements must be met during the life of the grant (refer to the Financial
Management Guide and the specific program guidance for a full explanation of these
requirements, special conditions, and any applicable exceptions). Please note that the
Payment and Reporting System contains edits that will prevent access to funds if
reporting requirements are not met on a timely basis.
4. Questions about your award?
Questions regarding your grant the FEMA help line at 1-866-927-5646 or e-mail at
ask-
29
B. DRAWDOWN AND EXPENDITURES OF FUNDS
PSIC funding will be awarded by September 30, 2007, as required by the Call Home Act
of 2006. Grant recipients will be able to expend a portion (up to 5 percent) of their
allocated PSIC funds immediately to support statewide planning efforts related to the
direction of Section 3006 of the Deficit Reduction Act. Specifically, States and
Territories can access up to 5 percent of the grant funds for costs incurred since April 1,
2007 for statewide planning efforts to ensure that PSIC requirements are addressed in
the Statewide Plans. Special conditions will be placed on the remaining funds until
successful completion and approval of the Statewide Communications Interoperability
Plans and Investment Justifications due by November 1, 2007, and compliance with the
statutory matching fund requirements.
Please note that grantees will only be permitted to draw down PSIC funds in proportion
to demonstrated non-federal matching funds consistent with Pub. L. No. 109-171,
§ 3006(c). See also Section III.B above.
Following acceptance of the grant award and release of any special conditions
withholding funds, the grantee can draw down and expend grant funds through the
Payment and Reporting System. Questions regarding award payments and how to
access this system should be addressed to the dedicated FEMA call center at 1-866-
927-5646 or email at [email protected].
SAAs should request funds based upon immediate disbursement requirements. Funds
will not be paid in a lump sum, but rather disbursed over time as project costs are
incurred or anticipated. Recipients should time their drawdown requests to ensure that
Federal cash on hand is the minimum needed for disbursements to be made
immediately or within a few days. Grantees may elect to draw down funds up to 30
days prior to expenditure/disbursement. NTIA strongly encourages recipients to draw
down funds as close to expenditure as possible to avoid accruing interest. Funds
received by grantees must be placed in an interest-bearing account and are
subject to the rules outlined in the Uniform Rule 28 CFR Part 66, Uniform
Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments, at:
http://www.access.gpo.gov/nara/cfr/waisidx_04/28cfrv2_04.html and the Uniform Rule
28 CFR Part 70, Uniform Administrative Requirements for Grants and Agreements
(Including Subawards) with Institutions of Higher Education, Hospitals and other Non-
profit Organizations, at:
http://www.access.gpo.gov/nara/cfr/waisidx_04/28cfrv2_04.html. These guidelines
state that entities are required to promptly, but at least quarterly, remit interest earned
on advances to:
United States Department of Health and Human Services
Division of Payment Management Services
P.O. Box 6021
Rockville, MD 20852
30
The subgrantee may keep interest amounts up to $100 per year for administrative
expenses for all Federal grants combined. Please consult the Financial Management
Guide or the applicable OMB Circular for additional guidance. Although advance
drawdown requests may be made, State grantees remain subject to the interest
requirements of the Cash Management Improvement Act (CMIA) and its implementing
regulations at 31 C.F.R. Part 205. Interest under CMIA will accrue from the time
Federal funds are credited to a State account until the time the State pays out the funds
or transfers the funds to a subgrantee.
Important Note: Although advance drawdown requests may be made, State
grantees remain subject to the interest requirements of CMIA and its
implementing regulations at 31 CFR Part 205. Interest under CMIA will accrue
from the time Federal funds are credited to a State account until the time the
State pays out the funds for program purposes.
C. REPORTING REQUIREMENTS
Reporting requirements for all programs included in the PSIC Grant Program will be
consolidated into a single reporting system.
C.1 – Financial Status Report (FSR) (Required quarterly)
Obligations and expenditures must be reported on a quarterly basis through the
FSR, which is due within 30 days of the end of each calendar quarter (e.g., for the
quarter ending March 31, FSR is due on April 30). A report must be submitted for
every quarter the award is active, including partial calendar quarters, as well as for
periods where no grant activity occurs. Fund draw downs will be withheld if these
reports are delinquent.
FSRs must be filed online through the Payment and Reporting System.
Grantees are reminded to review the following documents and ensure that grant
activities are conducted in accordance with the applicable guidance:
• OMB Circular A-87, Cost Principles for State, Local, and Indian Tribal
Governments, at http://www.whitehouse.gov/omb/circulars/index.html
• OMB Circular A-102, Grants and Cooperative Agreements with State and Local
Governments, at http://www.whitehouse.gov/omb/circulars/index.html (codified at
15 C.F.R.Part 24)
• OMB Circular A-133, Audits of States, Local Governments, and Non-profit
Organizations http://www.whitehouse.gov/omb/circulars/index.html
For additional information on awards, grant and subgrant recipients should refer to the
Financial Management Guide. GMO can be contacted at 1-866-927-5646 by e-mail at
31
Required Submission: Financial Status Report (FSR) SF-269a (due quarterly)
C.2 – Biannual Strategy Implementation Reports (BSIR) and Categorical
Assistance Progress Report (CAPR)
Following award of a grant, a State or Territory and its subgrantees will be responsible
for providing updated obligation and expenditure information on a regular basis. The
applicable SAAs are responsible for completing and submitting the CAPR/BSIR
reports. The BSIR submission will satisfy the narrative requirement in Box 12 of the
biannual Categorical Assistance Progress Report (CAPR – OJP Form 4587/1). SAAs
will still be required to submit the CAPR form with a line in box 12 that reads: See
BSIR.
The BSIR and the CAPR are due within 30 days after the end of the reporting
period (July 30 with a reporting period of January 1 through June 30, and on
January 30 with a reporting period of July 1 though December 31). Grantees will
provide initial overall obligation and expenditure information with the CAPR/BSIR
submission due January 30, 2008. Updated obligation and expenditure information
must be provided with the BSIR to show progress made toward meeting strategic goals
and objectives. Web-enabled application for the BSIR submission to grantees and a
copy of the CAPR (OJP Form 4587/1) will be provided in the initial award package.
Future awards and fund drawdowns may be withheld if these reports are
delinquent.
CAPRs must be filed online through the Internet at https://grants.ojp.usdoj.gov. Forms
and instructions can be found at http://www.ojp.usdoj.gov/forms.htm.
Required Submission: CAPR/BSIR (biannually)
C.3 – Exercise Evaluation and Improvement
Exercises implemented with PSIC grant funds should be performance-based and
directly related to the grant activities and the interoperable communications system.
Guidance on conducting exercise evaluations and implementing improvement is defined
in the Homeland Security Exercise and Evaluation Program (HSEEP) Volume II:
Exercise Evaluation and Improvement Planning located at
https://hseep.dhs.gov/support/HSEEP%20Volume%20III%20021507%20(Final%20Revi
sion%20February%202007).pdf. Grant recipients must report on scheduled exercises
and ensure that an AAR and Improvement Plans are prepared for each exercise
conducted with PSIC funds and submitted to DHS within 60 days following completion
of the exercise.
The AAR documents the performance of exercise related tasks and makes
recommendations for improvements. The Improvement Plans outlines the actions that
the exercising jurisdiction(s) plans to take to address recommendations contained in the
AAR. Generally the Improvement Plan, with at least initial action steps, should be
included in the final AAR. DHS is establishing a national database to facilitate the
32
scheduling of exercises, the submission of the AAR/Improvement Plans, and the
tracking of Improvement Plan implementation. Guidance on the development of AARs
and Improvement Plans is provided in Volume II of the HSEEP manuals.
Required Submissions: AARs and Improvement Plans (as applicable)
C.4 – Financial and Compliance Audit Report
Recipients that expend $500,000 or more of Federal funds during their fiscal year are
required to submit an organization-wide financial and compliance audit report. The
audit must be performed in accordance with the U.S. General Accountability Office,
Government Auditing Standards, located at http://www.gao.gov/govaud/ybk01.htm, and
OMB Circular A-133, Audits of States, Local Governments, and Non-Profit
Organizations, located at
http://www.whitehouse.gov/omb/circulars/a133/a133.html.
Audit reports are currently due to the Federal Audit Clearinghouse no later than nine
months after the end of the recipient’s fiscal year. In addition, the Secretary of
Commerce, the Inspector General of the Department of Commerce, and the Comptroller
General of the United States shall have access to any books, documents, and records
of recipients of PSIC Grant Program assistance for audit and examination purposes,
provided that, in the opinion of the Secretary of Commerce, the Inspector General of the
Department of Commerce, or the Comptroller General, these documents are related to
the receipt or use of such assistance. The grantee will also give the sponsoring agency,
the Inspector General, or the Comptroller General, through any authorized
representative, access to, and the right to examine, all records, books, papers or
documents related to the grant.
The State shall require that subgrantees comply with the audit requirements set forth in
OMB Circular A-133. Recipients are responsible for ensuring that sub-recipient audit
reports are received and for resolving any audit findings.
C.5 – Federal Funding Accountability and Transparency Act
While there is no specific PSIC requirement in FY 2007, the Federal Funding
Accountability and Transparency Act of 2006 may affect PSIC reporting requirements in
later years. The Act requires the Federal government to create a publicly searchable
online database of Federal grant recipients by January 1, 2008, with an expansion to
include subgrantee information by January 1, 2009.
C.6 – PSIC Reporting Compliance with Other DHS Grant Programs
The Government Performance and Results Act (GPRA) requires collection and
reporting on performance information for federal programs. Specifically for grant
programs, the Investment Justifications and their associated milestones provide an
important tool for assessing grant performance and complying with these national
reporting requirements. NTIA and DHS will work with grantees to develop tools and
processes to support this requirement.
33
D. MONITORING
Grant recipients and subrecipients will be monitored by NTIA and DHS program 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 will be accomplished through a combination
of office-based and on-site monitoring visits. Monitoring will involve the review and
analysis of the financial, programmatic, performance and administrative issues relative
to each program and will identify areas where technical assistance and other support
may be needed. The SAA, as the grantee, is required to maintain complete and
appropriate documentation and files to enable sufficient oversight by federal
representatives.
The recipient is responsible for monitoring award activities, to include subawards, to
provide reasonable assurance that the PSIC award is administered in compliance with
requirements. Responsibilities of the SAA, as the recipient grantee, include the tracking
of stated goals and milestones of funded projects, and the accounting of receipts and
expenditures, cash management, budgetary control, maintaining adequate financial
records, and refunding expenditures disallowed by audits. In addition, the SAA is
responsible for monitoring sub-recipient/sugrantee awards.
E. GRANT CLOSE-OUT
Within 90 days after the end of the award period, SAAs must submit a final FSR,
final CAPR, and final BSIR detailing all accomplishments throughout the project.
Upon the review and recommendation of DHS and approved by the Assistant Secretary
for Communications and Information, a Grant Adjustment Notice (GAN) will be
completed to close out the grant. The GAN will indicate the project as being 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 FSR.
Required Submissions: 1) Final SF-269a, due 90 days from the end of the grant
period; and, 2) Final CAPR/BSIR, due 90 days from the end of the grant period
34
VII. Allowable and Disallowable Cost Guidance
A. ALLOWABLE COSTS
Based on the Deficit Reduction Act of 2005, the PSIC Grant Program covers the
acquisition of, deployment of, and training for the use of interoperable communications
systems that use or enable interoperability with communications systems that can use
the reallocated public safety spectrum in the 700 MHz frequency band for radio
communication. There are associated allowable activities that must be completed to
successfully implement and use new communications equipment. Such activities align
with the lanes of the Interoperability Continuum as set forth in the SAFECOM grant
guidance (i.e., governance, standard operating procedures, technology, training and
exercises, usage) and provide broader context for understanding the complexities
associated with technology acquisition, deployment, and training. Figure 4 below
illustrates the alignment of PSIC requirements with the Interoperability Continuum. The
following sections outline allowable costs within the definitions of planning, acquisition,
deployment, training, and management and administration.
Figure 4 – Alignment of PSIC Requirements to Interoperability Continuum
ACQUISITION
DEPLOYMENT
TRAINING
ACQUISITION
DEPLOYMENT
TRAINING
•SOPs
• Training and Exercises
•Usage
Training requires that public safety
agencies understand how to use the
interoperable communications equipment,
and that exercises and drills take place to
validate the effectiveness of the
communications system to ensure
efficient and effective interoperable
communications is in place.
• Governance
•SOPs
• Technology
Deployment requires that
communications equipment is built
out, standard operating procedures
are developed for its use, and service
level agreements are developed for
the interoperable communications
equipment.
• Governance
• Technology
Continuum
Alignment
Acquisition requires that technical
and financial planning, as well as
procurement and system design
activities, occur to ensure that the
interoperable communications
systems and equipment (e.g., swap
radios, gateways, shared systems)
being acquired meets the needs of
public safety agencies.
Description
•SOPs
• Training and Exercises
•Usage
Training requires that public safety
agencies understand how to use the
interoperable communications equipment,
and that exercises and drills take place to
validate the effectiveness of the
communications system to ensure
efficient and effective interoperable
communications is in place.
• Governance
•SOPs
• Technology
Deployment requires that
communications equipment is built
out, standard operating procedures
are developed for its use, and service
level agreements are developed for
the interoperable communications
equipment.
• Governance
• Technology
Continuum
Alignment
Acquisition requires that technical
and financial planning, as well as
procurement and system design
activities, occur to ensure that the
interoperable communications
systems and equipment (e.g., swap
radios, gateways, shared systems)
being acquired meets the needs of
public safety agencies.
Description
A.1 – Planning
Planning for Statewide Communications Interoperability Plan activities is central to the
PSIC Grant Program. As such, up to 5 percent of allocated PSIC funds can be applied
to planning costs incurred while developing Statewide Communications Interoperability
Plans to include PSIC requirements, including related pre-award costs from the date of
April 1, 2007.
Allowable planning-related costs under PSIC include, but are not limited to, the types of
activities listed below:
• Developing and enhancing communications plans and protocols
• Developing and/or conducting needs assessments related to public safety
communications interoperability
35
• Research and analysis of technology options to fill identified public safety
communications interoperability gaps
• Purchasing of materials and meeting-related expenses, including travel costs
• Hiring of full or part-time staff or contractors/consultants to assist with planning-
related activities (Note: funds cannot be used to hire sworn public safety officers
and the term of staff/consultants’ employment cannot extend beyond the date
necessary to fulfill Statewide Plan requirements).
DHS has developed a statewide planning approach, which each State will be
implementing through 2007. These Statewide Plans and the criteria set forth for their
development will enable States and Territories to prioritize interoperability needs, build
interoperable communications capabilities, develop longer-term strategic goals, and
deliver capabilities across disciplines (e.g., law enforcement, fire, emergency medical
services, emergency management, public health, public works, transportation) and
levels of government.
A.2 – Acquisition
In addition to the actual acquisition of interoperable communications equipment and
methods (e.g., swap radios, shared channels, gateways, shared systems), acquisition
requires technical and financial planning, as well as procurement and system design
activities to ensure that the technology being acquired meet the needs of public safety
agencies.
In addition to the acquisition costs associated for interoperable communications
equipment and systems, NTIA will consider funding acquisition-related costs under
PSIC that include, but are not limited to, the types of activities listed below:
• Develop statewide “system-of-systems” plan
• Develop requirements definition and analysis
• Collect asset inventory
• Conduct technology alternatives and feasibility analyses
• Develop concept-of-operations for technology solutions
• Develop system design (e.g., engineering or site surveys)
• Develop acquisition strategy or plan
• Develop investment and coordinated budget justifications
• Develop interoperability plans for use with 700 MHz.
A.3 – Deployment
In addition to build-out costs of interoperable communications equipment, deployment
may include the development of standard operating procedures for use and the
establishment of service level agreements for its use.
NTIA will consider funding deployment-related costs under PSIC that include, but are
not limited to, the types of activities listed below:
• Install and build-out communications system infrastructure
36
• Distribute portable and mobile equipment
• Develop deployment and standard operating procedures
• Develop fleetmap for local and statewide interoperability
• Conduct system acceptance testing
• Conduct certification and accreditation
• Manage interoperability assets through inventorying equipment
• Develop service-level agreement(s) and payment, including operations and
maintenance considerations.
A.3.1 – Operations and Maintenance (O&M)
Operations and Maintenance (O&M) costs are allowed under PSIC. However, O&M
costs must be new costs with a direct correlation to the overall success of the grant
project. Examples include, but are not limited to: satellite fees, hosting costs, cellular
service, provider services, or commercial applications. Personnel and fringe benefits
costs may be allowed, but only for new personnel (such as a project manager) as long
as the position(s) directly relates to the project. O&M costs determined to be allowable
will not be funded past the end of PSIC (September 30, 2010). Furthermore, a plan for
the sustainability of these O&M costs must be provided by the grantee.
O&M costs that supplant existing costs are not allowed. Examples include salaries,
benefits and overtime for existing employees, sworn officers, grant writers and other
staff who do not directly contribute to the implementation of the project. Also not
allowed are office expenses such as phones, vehicle costs, office rental, furniture and
equipment, office supplies and indirect charges.
A.3.2 – Construction and Renovation
PSIC grant funds may be used for interoperable communications infrastructure
construction-based projects, such as to erect communications towers, to construct or
enhance an equipment shelter, or to retrofit a dispatch center, subject to all applicable
laws, regulations, and licensing requirements. Applicants must outline the full scope of
the construction-based project, as it relates to the interoperability solutions. Applicants
must also demonstrate the feasibility of the project in terms of the grant performance
period with the understanding that no extension can be granted under this program.
Those agencies applying for construction-based projects (as delineated in the
Investment Justifications) must comply with additional provisions of Federal law,
including (but not limited to) the National Environmental Policy Act (NEPA). NEPA’s
requirements apply to federal projects, decisions, or actions, including grants, which
might have a significant impact on the quality of the human environment.
NEPA requires all federal agencies to analyze the possible environmental impacts of
each construction project. The purpose of a NEPA review is to weigh the impact of
major federal actions or actions undertaken using federal funds on adjacent
communities, water resources, endangered species, historical buildings, archaeological
resources, or culturally sensitive areas prior to construction. This review also addresses
the compliance requirements of other associated laws like Endangered Species Act,
37
National Historic Preservation Act, Migratory Bird Treaty Act, etc. Grantees may be
required to provide additional detailed information on proposed activities such as:
location, site description, species and habitat to be affected, special construction needs,
possible alternatives, and any environmental concerns that may exist. The NEPA
Compliance Review of a proposed project could result in: the project, being approved
via a categorical exclusion, the need to modify or redesign the project, or the need to
perform an Environmental Assessment (EA) and/or draft an Environmental Impact
Statement (EIS).
Grantees receiving PSIC funding for renovation or construction costs are advised to
design their projects to minimize adverse environmental impacts, also minimizing the
time and cost associated with their review. It is important to understand that compliance
with the requirements of NEPA or other associated laws must be achieved before the
expenditure of grant funds takes place.
A.3.3 – Construction Approval Process
In order to apply PSIC funds for construction and renovation costs, grantees must
provide the following information as a part of its Investment Justification:
• A description of the asset or facility, asset location, whether the infrastructure is
publicly or privately owned, and the construction or renovation project
• Certification that a facility vulnerability assessment has been conducted for the
facility
• An outline addressing how the construction or renovation project will address the
identified vulnerabilities from the assessment
• Consequences of not implementing the construction or renovation project.
Approval of an Investment Justification containing a request for a construction or
renovation project will not relieve a grantee of NEPA requirements.
A.4 – Training
Training requires that public safety agencies understand how to use the interoperable
communications equipment, both technically and operationally, and that exercises and
drills take place to ensure familiarity with the communications system. Specifically,
exercises are used to provide the opportunity to demonstrate and validate skills learned
in training, as well as to identify training gaps in the operational application of
communications equipment and procedures that are system- or region-wide. No more
than 20 percent of a State’s or Territory’s overall allocation can be spent on training
activities.
Allowable training-related costs under PSIC include, but are not limited to, the types of
activities listed below:
• Conduct comprehensive interoperable communications user training on systems
that use the 700 MHz band or can interoperate with the 700 MHz band
38
• Conduct multi-jurisdictional interoperable communications-specific exercises and
drills on systems that use the 700 MHz band or can interoperate with the 700
MHz band
15
• Develop user guides and instruction manuals (e.g., develop a “cheat sheet” to
ensure effective use of the interoperable communications system) on systems
that use the 700 MHz band or can interoperate with the 700 MHz band.
• Hiring of personnel or contractors/consultants to conduct training activities,
including associated backfill and overtime costs.
B. DISALLOWABLE COSTS
PSIC funds may not be used to support the hiring of sworn public safety officers for the
purposes of fulfilling traditional public safety duties or to supplant traditional public
safety positions and responsibilities. For example, a local, uniformed, law enforcement
patrol officer cannot be hired using grant dollars to perform regular local law
enforcement patrol duties.
C. TECHNOLOGY REQUIREMENTS
PSIC funds are to be used to acquire equipment in the 700 MHz spectrum or
interoperability solutions, such as gateways, that enable interoperability between 700
MHz systems and those agencies operating in other bands. In addition, funds will be
available for equipment in other frequency bands as long as the Statewide Plan and
Investment Justifications outline how the solution promotes interoperability with 700
MHz band.
As stated in Section I.A Program Funding Goals, the three PSIC-specific technology
objectives include (1) the adoption of advanced technological solutions, (2) the
improvement of spectrum efficiency, and (3) the use of cost-effective measures. These
three objectives are to be addressed when proposing technology solutions to be funded
with PSIC grants. As stated in Volume 1 of the SAFECOM Statement of Requirements,
“[n]ew technologies promote the convergence of information and communications
systems with the result that mobile units are increasingly being viewed as merely
wireless nodes within information networks.” These technologies could include, but are
not limited to, the use of radio internet protocol, broadband voice, data, or video
applications, and network interconnect technologies.
When procuring voice and data communications equipment, public safety agencies
should acquire the types of equipment that support specific functional requirements for
infrastructure, dispatch equipment, interoperability solutions, and subscriber units as
outlined in the “SAFECOM Recommended Federal Grant Guidance, Public Safety
Communications and Interoperability Grants, FY 2007.” A list of functional requirements
15
Exercises must be managed and executed in accordance with the Homeland Security Exercise and Evaluation
Program (HSEEP);
https://hseep.dhs.gov/support/HSEEP%20Volume%20III%20021507%20(Final%20Revision%20February%202007
).pdf
.
39
for various components of voice and data communications systems is included in
Appendix A of the “Recommended Federal Grant Guidance, Public Safety
Communications and Interoperability Grants, FY 2007.” These requirements outline the
minimum capabilities that equipment should have for effective interoperable
procurement selections. Additionally, agencies purchasing Project 25 (P25) compliant
equipment must obtain documented evidence from the manufacturer that the equipment
has been tested to and passed all of the applicable, published, normative P25
compliance assessment test procedures for performance, conformance, and
interoperability as defined in the “Grant Guidance—Project 25 Explanatory Addenda,”
which can be found at www.safecomprogram.gov/SAFECOM/grant/default.htm.
Table 3 below illustrates technology considerations that are PSIC-specific for grant
awards. Note that these objectives are not mutually exclusive.
Table 3 – PSIC-Specific Technology Considerations
PSIC Objective Consideration Factors
Advanced Technology
• Use of emerging technology to provide advanced
interoperability solutions
• Use of commercial services, where appropriate, to support
interoperable communications
• Use of IP-based technologies to interconnect with other
systems
• Use of common advanced encryption techniques to secure
vital transmissions while maintaining interoperability
• Incorporation of Software Defined Radio and Cognitive Radio
technology to provide interoperability flexibility
• Use of standards-based technologies to provide voice and
data services that meet wireless public safety service quality
• Consider solutions that have an open interface to enable the
efficient transfer of voice, data, and video signals
Spectrum Efficiency
• Provide the best solution that consumes the least amount of
spectrum necessary to meet user requirements
• Use of spectrum conserving techniques such as multiple
access technologies
• Use of spectrum or channel sharing techniques
• Use of wired communications where possible to carry the
appropriate types of communications traffic
• Use of compression, error correction, or other processing
techniques that increase throughput
Cost-effective Measures
• Use of shared infrastructure elements to benefit multiple
disciplines and multiple jurisdictions across a region, State,
and/or Territory
• Use cost-per-user measures to demonstrate cost
effectiveness of the project
• Apply a cost-benefit analysis to determine effectiveness and
tangible benefits of chosen solution
• Consider economic impact of other interoperability solution
options
• Consider long-term and recurring costs of proposed solution
• Consider degree to which proposed solution will interoperate
40
PSIC Objective Consideration Factors
with existing systems and the extent to which the investment
represents a shared system or system-of-systems
As stated in the SAFECOM Grant Guidance, "[f]und requests should not be limited to
the purchase of new radios. Grant applicants are also encouraged to pursue current
and next generation interoperability solutions, such as gateways, point-to-point software
solutions, and backbone technologies that connect existing radio systems. These
technologies may include, but are not limited to, Internet Protocol (IP) based solutions.
These solutions may provide interim or long-term interoperability capabilities that
obviate the need for new equipment or systems, and their implementation should not
require or involve the acquisition of new, non-P25 systems. Absent compelling reasons
for using other solutions, communities considering new radio or system acquisitions are
expected to migrate to P25-compliant equipment."
16
When procuring voice and data communications equipment, public safety agencies
should acquire the types of equipment that support specific functional requirements for
infrastructure, dispatch equipment, interoperability solutions, and subscriber units as
outlined in the “SAFECOM Recommended Federal Grant Guidance, Public Safety
Communications and Interoperability Grants, FY 2007.” These requirements delineate
the minimum capabilities that equipment should have for effective interoperable
procurement selections. PSIC Grant applicants should adhere to the Principles of
Guidelines for Eligible Activities in Section 4 of the SAFECOM Grant Guidance when
developing interoperability solutions for grant award. This section describes technical
considerations and equipment acquisition guidance regarding voice and data standards.
Although there are additional technology considerations, the DHS Authorized
Equipment List (AEL) does apply to the PSIC Grant Program. Additional notation and
content have been added to accommodate unique requirements of PSIC, but the
method for determining what equipment is authorized remains consistent with previous
DHS grant programs. The equipment categories for the PSIC Grant Program are listed
on the web-based AEL on the Responder Knowledge Base (RKB), which is sponsored
by DHS and the National Memorial Institute for the Prevention of Terrorism (MIPT) at
http://www.rkb.mipt.org. The AEL is housed on the RKB, with listings for the both the
AEL and the Fall 2006 InterAgency Board’s Standardized Equipment List (SEL).
Sections 6 of the AEL and the SEL describe equipment and systems that provide
communications functionality, connectivity, and interoperability between local agencies
and other organizations.
D. MANAGEMENT & ADMINISTRATION (M&A)
M&A costs associated with acquisition, deployment, and training are allowable
expenditures for up to three percent (3 %) of the total State or Territory allocated funds.
Up to three percent (3 %) of the total amount allocated to the State and Territory for
16
See 2007 SAFECOM Grant Guidance Section 4.2 – Equipment Acquisition;
http://www.safecomprogram.gov/SAFECOM/library/grant/1294_fy2007.htm.
41
PSIC may be retained at the State level and used for M&A purposes. These State and
Territory M&A funds must be included when accounting for the total funds retained by
the State and Territory. NTIA will allow M&A costs under PSIC that include hiring of full-
time or part-time staff or contractors/consultants for grant management services related
to compliance with reporting, monitoring, and audit requirements and associated travel
and meeting expenses. The match requirement is also applicable to M&A expenses.
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VIII. Other Information
A. ASSISTANCE RESOURCES AND SUPPORT
A.1 – Grant Management Office (GMO)
The Grants Management Office (GMO) provides fiscal support, including pre- and post-
award administration and technical assistance, for the grant programs included in this
solicitation, with the exception of payment related issues. All grant and sub-grant
recipients should refer to the Financial Management Guide, which is available at
http://www.dhs.gov/xopnbiz/grants/.
GMO can be contacted at 1-866-927-5646 or by e-mail at
.
A.2 –Interoperable Communications Technical Assistance Program (ICTAP)
ICTAP, within the DHS Office of Emergency Communications, provides technical
assistance to help States and Territories draft their Statewide Communications
Interoperability Plans and Investment Justifications to ensure consideration of
communications systems that can utilize – or enable communications with systems that
can utilize – the reallocated public safety spectrum.
Further information on the ICTAP can be found on OEC’s website at
http://www.ojp.usdoj.gov/odp/ta.htm
under the Catalog link, or by contacting the
CSID.
A.3 – Equipment Purchase Assistance Program
The Equipment Purchase Assistance Program (EPAP) provides PSIC grantees with
access to prime vendors through memoranda of agreement with the Defense Logistics
Agency (DLA). Benefits of the program include shorter procurement lead time, online
ordering, a diverse inventory of commercial products, and seven-day delivery for routine
items. When ordering equipment through this program, grantees may only use funds
awarded through the PSIC Grant Program; State and local funds may not be used.
Establishing an account with DLA is a straightforward process that should be initiated by
contacting the appropriate program representative. Additional information on the
programs and contact information for program representatives is available in a fact
sheet posted on the DHS website at
http://www.ojp.usdoj.gov/odp/docs/fs-padef.htm.
Further information and contact information for the EPAP can be found on the
DHS website at
http://www.ojp.usdoj.gov/odp/docs/fs-padef.htm
or by contacting
CSID.
A.4 – GSA’s Cooperative Purchasing Program
The U.S. General Services Administration (GSA) offers an efficient and effective
procurement tool for State and local governments to purchase information technology
products and services to fulfill homeland security and other needs. The GSA Schedules
43
(also referred to as the Multiple Award Schedules and the Federal Supply Schedules)
are long-term, indefinite delivery, indefinite quantity, government-wide contracts with
commercial firms of all sizes. The Cooperative Purchasing program allows State and
local governments to purchase from Schedule 70 (the Information Technology
Schedule) and the Consolidated Schedule (containing IT Special Item Numbers) only.
Cooperative Purchasing is authorized by Federal law and was enacted when Section
211 of the E-Government Act of 2002 amended the Federal Property and Administrative
Services Act.
Under this program, State and local governments have access to over 3,500 GSA
Schedule contractors who have voluntarily modified their contracts to participate in the
Cooperative Purchasing program. The U.S. General Services Administration provides a
definition of State and local governments as well as other vital information under the
frequently asked questions section on its website at
www.gsa.gov/cooperativepurchasing. The term “State and local governments” does not
include contractors of, or grantees of, the Federal, State, or local governments not
otherwise named in the approved list of entities.
State and local governments can find eligible contractors on GSA’s website,
www.gsaelibrary.gsa.gov
, denoted with a symbol. Assistance is available
from GSA at the local and national level. For assistance at the local level, visit
www.gsa.gov/csd
to find the point of contact in your area. For assistance at the
national level, contact Patricia Reed at
, 213-534-0094.
More information is available at
www.gsa.gov/cooperativepurchasing
.
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B. ACRONYMS
A
AEL Authorized Equipment List
AOR Authorized Organization Representative
AAR After Action Report
B
BSIR Biannual Strategy Implementation Reports
C
CAPR Categorical Assistance Progress Reports
CCR Central Contractor Registry
CFR Code of Federal Regulations
CFDA Catalog of Federal Domestic Assistance
D
D&B Dun and Bradstreet
DHS U.S. Department of Homeland Security
DLA Defense Logistics Agency
DUNS Data Universal Numbering System
E
EA Environmental Assessment
EIS Environmental Impact Statement
EPAP Equipment Purchase Assistance Program
F
FEMA Federal Emergency Management Agency
FOIA Freedom of Information Act
FSR Financial Status Report
FY Fiscal Year
G
GAN Grant Adjustment Notice
GMO Grants Management Office
GMS Grants Management System
GPRA Government Performance and Results Act
GSA General Service Administration
H
HSPD Homeland Security Presidential Directive
HSGP Homeland Security Grant Program
HSEEP Homeland Security Exercise and Evaluation Program
I
ICTAP
Interoperable Communications Technical Assistance
Program
IP Internet Protocol
45
J
K
L
LEP Limited English Proficient
LLIS Lessons Learned Information Sharing
M
M&A Management and Administrative
MHz Megahertz
MOU Memorandum of Understanding
N
NEPA National Environmental Policy Act
NPD National Preparedness Directorate
NTIA National Telecommunications and Information Administration
O
OJP Office of Justice Programs
O&M Operations and Maintenance
OMB Office of Management and Budget
P
P25 Project 25
PSIC Public Safety Interoperable Communications
R
RKB Responder Knowledge Base
S
SAA State Administrative Agency
SEL Standardized Equipment List
SF Standard Form
SHSP State Homeland Security Program
SOP Standard Operating Procedure
SPOC Single Point of Contact
Statewide Plans Statewide Communications Interoperability Plans
T
TICP Tactical Interoperable Communications Plan
U
UASI Urban Areas Security Initiative
V
W
X
Y
Z
46
