U.S. Department of Homeland Security Office for Domestic Preparedness Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program Sponsored by the Office of the Chief Information Officer and the Office for Domestic Preparedness May, 2004 Foreword In July 2002, the President approved the National Strategy for Homeland Security, establishing a road map for the national effort to prevent and respond to acts of terrorism in the United States. The National Strategy recognizes the vital role of state and local public safety agencies in providing for the security of our homeland. On October 1, 2003, the President signed the Fiscal Year (FY) 2004 Homeland Security Appropriations Act, providing vital funding needed to implement the National Strategy and ensure the safety and security of our homeland. As part of its Fiscal Year 2004 budget, the Department of Homeland Security (DHS) Office of the Chief Information Officer (OCIO) was provided with funding to conduct information technology projects. The OCIO is specifically interested in working through state and local public safety agencies to fund novel uses of existing, “state-of-the-market” information technology that will remove barriers and improve information sharing and integration. Since 1998, the DHS Office for Domestic Preparedness (ODP) has worked with state, territory, tribal, urban area and local public safety agencies to identify homeland security needs and provide the resources required to address these needs. To leverage this experience, and to ensure the program’s alignment with the Department’s desire to create a one-stop-shop for state and local homeland security resources, the OCIO and ODP have agreed to collaboratively manage and administer the funds provided to the OCIO for information technology projects. This joint program will be known as the DHS Homeland Security Information Technology and Evaluation Program. The Department of Homeland Security looks forward to working with you in this critical national effort to secure our homeland. Tom Ridge Secretary Department of Homeland Security Contents I. Background 3 II. Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program Guidelines 3 3 III. Eligible Applicants and Funding Availability 4 IV. Application Guidance 5 V. Application Requirements 5 VI. Administrative Requirements 8 VII. Reporting Requirements 10 Appendix A Sample Budget Detail Worksheet 13 Appendix B Application Checklist 24 I. Background The U.S. Department of Homeland Security (DHS), Office for Domestic Preparedness (ODP) is accepting applications for the Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program (ITEP). The purpose of this competitive program is to foster and evaluate novel uses of existing, “state-of-the-market” information technology that will remove barriers and improve information sharing and integration. ITEP is a collaborative effort between the DHS Office of the Chief Information Officer (OCIO) and ODP. The OCIO will have primary responsibility for technical content matters. ODP will have fiduciary and management responsibility for the cooperative agreement awards. The OCIO and ODP will collaboratively manage the overall program, to include all project products. In addition, ITEP will be fully coordinated with other DHS and federal agencies having responsibility for homeland security information technology and information sharing. The Office for Domestic Preparedness transferred from the U.S. Department of Justice, Office of Justice Programs (OJP), to the U.S. Department of Homeland Security effective March 1, 2003. The OJP Office of the Comptroller (OC) will continue to provide fiscal support and oversight to ITEP for the effective period of performance for these grant awards. II. The Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program A. Authorized Program Purpose Funding for the Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program is authorized by Public Law 108-90, the Fiscal Year 2004 Homeland Security Appropriations Act. The Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program seeks to foster and evaluate novel uses of existing, “state-of-the-market” information technology that will remove barriers and improve information sharing and integration. B. Program Requirements Receipt of funds under the Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program is contingent upon the submission and approval of the on-line grant application described in Section V of this booklet. Funding provided through ITEP may not be used for administrative costs associated with the grant awards. III. Eligible Applicants and Funding Availability The Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program is a competitive program intended to foster and evaluate novel uses of existing, “state-of-the-market” information technology that will remove barriers and improve information sharing and integration. Eligible applicants are the State Administrative Agencies (SAAs) in each of the fifty states, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands and the United States Virgin Islands. As part of the Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program, the SAA for each state and territory may submit up to three applications for candidate projects to ODP. DHS anticipates that the SAA will announce the opportunity state-wide and will collaborate with the state CIO and homeland security director before submitting applications. Applications must be submitted by close of business on June 30, 2004. The DHS OCIO will coordinate a review of the applications through a panel of subject-matter experts. During this review process, proposals will be awarded points in accordance with the following criteria: 1. Novel use of existing, “state-of-the-market” information technology. 2. A focus on one or more significant barriers to technology-to-technology integration and insertion, information integration, and/or information sharing in homeland security mission critical areas. 3. Articulation of a concise project plan for overcoming barriers and delivering measurable results with minimum risk. 4. Ability to deliver tangible results in the near term with preference given to projects that can show demonstrable accomplishments in three to twelve months for less than $1 million of DHS funding. 5. Involvement of multiple public safety communities, such as law enforcement, fire, EMS, HAZMAT, public health, and medical. 6. Involvement of multiple levels of government and multiple jurisdictions such as city, county, state, multi-state, and Federal. 7. Involvement of the private sector. 8. Applicability and affordability of the approach to communities nationwide. 9. A practical plan for sustaining the program beyond the project without the need for ongoing DHS funding. 10. The value of the project to the National Strategy for Homeland Security (for example, the value of the project toward enhancing the Homeland Security Information Network or the value of the project toward solving interoperable communications issues in Urban Areas Security Initiative sites). Criteria will be grouped for awarding points in the following ranges: Criteria Groupings Total Points for Each Grouping 1, 2 1 – 40 3, 4 1 – 30 5, 6, 7 1 – 15 8, 9, 10 1 – 15 In comparable situations, preference will be given to proposals where the applicant demonstrates a cash match of at least 25% of the total cost. Based on the results of the evaluation, ODP will award up to $9 million to fund selected projects. DHS has announced funding for other interoperability programs, including “SAFECOM,” and ODP’s Homeland Security and Urban Areas Security Initiative grant programs.  Proposals submitted for funding under any other DHS program are ineligible for award under this announcement. IV. Application Guidance The period of performance for these cooperative agreements is twelve months. Applications need to be prepared in accordance with the directions contained in Section V of this booklet and with the following milestone schedule: * Draft Report: Within nine (9) months of the award, a draft of the final report must be submitted to DHS for review and acceptance. * Website Posting: Within 60 days of DHS approval of the final report, the grantee must post the report on their website. * Website Posting Timeframe: The report must remain posted on the grantee’s website for twelve months to allow for public review. ODP only accepts applications electronically through the Grant Management System (GMS) located on the Office of Justice Programs (OJP) web site. The closing date for applications is June 30, 2004. Instructions regarding electronic submissions through GMS are provided on the OJP web site at: www.ojp.usdoj.gov/fundopps.htm Questions regarding the application process and programmatic matters involving application submission requirements, application content requirements and other administrative inquiries relating to the Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program can be directed to the ODP Help Line at: 1-800-368-6498. V. Application Requirements A. On-Line Application: The on-line application must be completed and submitted by the applicant using the GMS system described above. This on-line application replaces the following previously required paper forms: * Standard Form 424, Application for Federal Assistance * Standard Form LLL, Disclosure of Lobbying Activities * OJP Form 4000/3, Assurances * OJP form 4061/6, Certifications * Equipment Coordination Certification * Non-Supplanting Certification When completing the on-line application, applicants should identify their submissions as new, non-construction applications. The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is “Office for Domestic Preparedness Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program.” When referring to this title, please use the following CFDA number: 97.066. B. Additional Application Requirements: Applications must clearly demonstrate the applicant’s ability to provide deliverables consistent with the purpose of the program, and guidance provided by ODP and the OCIO. As such, the application must also include a program narrative, detailed budget and budget narrative. The program narrative should not exceed ten (10) pages and must include the following elements: * Program Plan: The applicant must provide a complete program plan for the entire project period. This plan should: 1. Demonstrate how the candidate project employs existing “state-of-the-market” information technology in delivering the results described in the project plan, with a particular emphasis on any innovative uses of this technology; 2. Describe how the candidate project will overcome barriers to technology-to-technology integration and insertion, information integration and/or information sharing, and relate the results to payoffs for the homeland security mission; 3. Provide a concise project plan that includes goals and objectives, a description of the activities to be conducted to accomplish these goals and objectives, a performance based evaluation plan to assess completion of goals and objectives, metrics for measuring accomplishments, and an evaluation of associated risks (such as the need to introduce new technology or create additional infrastructure); 4. Provide a schedule for project completion that identifies major milestones and describes anticipated accomplishments associated with them; 5. Describe the degree of involvement of multiple first responder communities, such as law enforcement, fire, EMS, HAZMAT, public health, and medical; 6. Describe the degree of involvement of multiple levels of government and multiple jurisdictions such as city, county, state, multi-state, and Federal; 7. Describe the degree of involvement of private sector organizations; 8. Describe the ease with which lessons learned from the candidate project could be applied to communities nationwide, and the associated costs; 9. Describe how the approach demonstrated by the candidate project would be sustained without additional DHS funding; and, 10. Describe the anticipated benefits to the National Strategy for Homeland Security (for example, the value of the project toward enhancing the Homeland Security Information Network or the value of the project toward solving interoperable communications issues in Urban Areas Security Initiative sites). Note: When addressing the elements in the plan and/or making recommendations for the procuring equipment for communication system development and expansion, a standards-based approach should be used to begin migration to multi-jurisdictional and multi-disciplinary interoperability. Specifically, all new systems should be compatible with the ANSI/TIA/EIAA-102 Phase 1 (Project 25 or P25) suite of standards. With input from the user community, these standards have been developed to allow for backward compatibility with existing digital and analog systems and to provide for interoperability in future systems. The FCC has chosen the P25 suite of standards for voice and low-moderate speed data interoperability in the new nationwide 700 MHz frequency band and the Integrated Wireless Network (IWN) of the U.S. Departments of Justice and Treasury has chosen the Project 25 suite of standards for their new radio equipment. P25 has also been endorsed by the U.S. Department of Defense for new LMR (Land Mobile Radio) radio systems. * Project Management Structure: The applicant must describe how the program will be structured, organized, and managed within the recipient’s organization. The applicant must provide an organizational chart of the agency and describe how the organization will support the program. * Detailed Budget: The applicant must also provide a detailed budget for use of the funds provided. A sample template is provided in Appendix A. Applicants may use another format if they choose, however, all required information must be provided. The budget must be complete, reasonable and cost-effective in relation to the proposed project. The budget should provide the basis of computation of all project-related costs. The applicant must also provide a budget narrative that includes a description of the allocation methodology for the funds awarded under ITEP. The budget narrative should also describe a clear link between the proposed activities and the proposed budget items. Note: The program narrative, detailed budget and budget narrative must be completed and attached to the on-line application as file attachments. Applications lacking a complete program narrative, detailed budget or budget narrative will not be considered for funding. C. Use of a Universal Identifier by Grant Applicants: Beginning October 1, 2003, a Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number must be included in every application for a new award or renewal of an award. An application will not be considered complete until the applicant provides a valid DUNS number. Individuals who would personally receive a grant or cooperative agreement from the Federal government are exempt from this requirement. 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. D. Freedom of Information Act (FOIA): ODP recognizes that 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 is subject to requests made pursuant to the Freedom of Information Act, 5. U.S.C. §552 (FOIA), all determinations concerning the release of information of this nature will be made on a case-by-case basis by the DHS Departmental Disclosure Officer. Applicants are also encouraged to consult their own state and local laws and regulations regarding the release of information, which should be considered when reporting sensitive matters in the grant application, needs assessment and strategic planning process. At the same time, applicants should be aware that any information created exclusively for the purpose of applying for and monitoring grants hereunder is the property of the U.S. Government, and shall not otherwise be disclosed or released pursuant to state or local law or regulation. E. Lobbying: The Anti-Lobbying Act, 18 U.S.C. § 1913, was recently amended to significantly expand the restriction on use of appropriated funding for lobbying. This expansion also makes the anti-lobbying restrictions enforceable via large civil penalties, with civil fines between $10,000 and $100,000 per each individual occurrence of lobbying activity. These restrictions are in addition to the anti-lobbying and lobbying disclosure restrictions imposed by 31 U.S.C. § 1352. The Office of Management and Budget (OMB) is currently in the process of amending the OMB cost circulars and the common rule (codified at 28 C.F.R. part 69) to reflect these modifications. However, in the interest of full disclosure, all applicants must understand that no federally appropriated funding made available under this grant program may be used, either directly or indirectly, to support the enactment, repeal, modification or adoption of any law, regulation, or policy, at any level of government, without the express approval by ODP. Any violation of this prohibition is subject to a minimum $10,000 fine for each occurrence. This prohibition applies to all activity, even if currently allowed within the parameters of the existing OMB circulars. VI. Administrative Requirements A. General Requirements 1. Administrative Provisions: For the purposes of the Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program, the limitations cited in this section shall apply. a. Land Acquisition. No funds shall be used for land acquisition. b. Civil Justice. No funds or other assistance shall be used with respect to civil justice matters except to the extent that such civil justice matters bear directly and substantially on criminal matters or are inextricably intertwined with criminal justice matters. c. Federal Law Enforcement Personnel. Nothing in the enabling legislation authorizes the use of federal law enforcement personnel to investigate violations of criminal law other than violations with respect to which investigation is authorized by other provisions of the law. d. Direction, Supervision, and Control. Nothing in the enabling legislation shall be construed to authorize the Secretary of Homeland Security or the federal law enforcement community to exercise any direction, supervision, or control over any police force or other criminal justice agency of an applicant for federal law enforcement assistance. B. Financial Requirements 1. Non-Supplanting Certification: This certification, which is a required component of the on-line application, affirms that federal 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 the audit. Applicants or grantees may be required to supply documentation certifying that a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of federal funds. 2. Match Requirement: None. 3. Assurances: The on-line application includes a list of assurances that the applicant must comply with in order to receive Federal funds under this program. 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. You will be agreeing to these assurances when you submit your application on-line through GMS. 4. Certifications Regarding Lobbying; Debarment, Suspension, and Other Responsibility Matters; and Drug-Free Workplace Requirement: This certification, which is a required component of the on-line application, commits the applicant to compliance with the certification requirements under 28 CFR part 69, New Restrictions on Lobbying, and 28 CFR part 67, Government-wide Debarment and Suspension (Non-procurement) and Government-wide Requirements for Drug-Free Workplace (Grants). The certification will be treated as a material representation of the fact upon which the U.S. Department of Homeland Security will place reliance in awarding grants. 5. Suspension or Termination of Funding: The Office for Domestic Preparedness may suspend or terminate funding, in whole or in part, or other measures may be imposed for any of the following reasons, among others: * Failing to make satisfactory progress toward the goals or objectives set forth in this application; * Failing to follow grant agreement requirements, standards, or special conditions; * Proposing or implementing substantial plan changes to the extent that, if originally submitted, the application would not have been selected for funding; * Failing to submit required reports; * Filing a false certification in this application or other report or document. Before taking action, ODP will provide the grantee reasonable notice of intent to impose measures and will make efforts to resolve the problem informally. 6. Intellectual Property Rights:  The following provisions apply for state and local government recipients:  (1)  28 C.F.R. § 66.34, “Copyrights,”; and, (2) in accordance with OMB Cir. A-102, Attachment, ¶ 1.c.(5)(i), the standard patent rights clause specified in “Rights to Inventions made by Non-profit Organizations and Small Business Firms,” 37 C.F.R. Part 401. VII. Reporting Requirements The following reports are required of all program participants: * Financial Status Reports (Standard Form 269A): Financial Status Reports are due within 45 days of the end of each calendar quarter. 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). The OJP Office of the Comptroller will provide a copy of this form in the initial award package. Future awards and fund drawdowns will be withheld if these reports are delinquent. The final financial report is due 120 days after the end date of the award period. * Categorical Assistance Progress Reports (OJP Form 4587/1): Categorical Assistance Progress Reports are due within 30 days after the end of the reporting periods, which are June 30 and December 31, for the life of the award. The OJP Office of the Comptroller will provide a copy of this form in the initial award package. Future awards and fund drawdowns will be withheld if these reports are delinquent. The final programmatic progress report is due 120 days after the end date of the award period. Instructions for completing the Categorical Assistance Progress Report are on the reverse side of the form. A copy of these instructions is also included. * Final Project Report, Information Sharing and Technology Transfer: The grantee must develop and post a final project report on their website in order that other governmental and non-profit organizations may benefit from the results of the ITEP project. This report must address: 1. Barriers to technology-to-technology integration and insertion and to information sharing and integration addressed by the project; 2. The approach used to overcome these barriers; 3. Accomplishments, lessons learned and benefits; 4. Metrics used to measure project accomplishments; 5. Innovative uses of existing “state-of-the-market” information technology; 6. Actual costs of the project and a schedule showing planned milestones versus the actual results achieved; 7. The involvement of public safety communities, governmental jurisdictions and the private sector in the project; 8. Steps and procedures required for other organizations to replicate the project’s accomplishments; 9. Recommendations for transitioning the project to an ongoing program; and, 10. Description of the value and benefits of the project to the National Strategy for Homeland Security (for example, the value of the project toward enhancing the Homeland Security Information Network or the value of the project toward solving interoperable communications issues in Urban Areas Security Initiative sites). 11. Key participants in the project, along with their contact information to include names, titles, responsibilities, phone numbers, mailing addresses, and e-mail addresses. Grantees must provide a draft of the final report to DHS for review and approval within 9 months of award of the cooperative agreement. The final report, addressing 1 -11 on the previous page, must be posted on the grantee’s website within 60 days of DHS approval of the report. The grantee must also certify that DHS has use of this information in performing the homeland security mission. * 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 Accounting Office Government Auditing Standards and OMB Circular A-133. 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 Homeland Security and the Comptroller General of the United States shall have access to any books, documents and records of recipients of Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program awards for audit and examination purposes, provided that, in the opinion of the Secretary of Homeland Security or the Comptroller General, these documents are related to the receipt or use of such assistance. The grantee will also give the sponsoring agency 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. Appendix A Sample Budget Detail Worksheet OMB Approval No. 1121-0188 Expires 5-98 (Rev. 12/97) Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program Sample Budget Detail Worksheet Purpose: The Budget Detail Worksheet may be used as a guide to assist you in the preparation of the budget and budget narrative. You may submit the budget and budget narrative using this form or in the format of your choice (plain sheets, your own form, or a variation of this form). However, all required information (including the budget narrative) must be provided. Any category of expense not applicable to your budget may be deleted. A. Personnel - List each position by title and name of employee, if available. Show the annual salary rate and the percentage of time to be devoted to the project. Compensation paid for employees engaged in grant activities must be consistent with that paid for similar work within the applicant organization. Name/Position Computation Cost TOTAL _________ B. Fringe Benefits - Fringe benefits should be based on actual known costs or an established formula. Fringe benefits are for the personnel listed in budget category (A) and only for the percentage of time devoted to the project. Fringe benefits on overtime hours are limited to FICA, Workman’s Compensation, and Unemployment Compensation. Name/Position Computation Cost TOTAL _________ Total Personnel & Fringe Benefits _________ C. Travel - Itemize travel expenses of project personnel by purpose (e.g., staff to training, field interviews, advisory group meeting, etc.). Show the basis of computation (e.g., six people to 3-day training at $X airfare, $X lodging, $X subsistence). In training projects, travel and meals for trainees should be listed separately. Show the number of trainees and unit costs involved. Identify the location of travel, if known. Indicate source of Travel Policies applied, Applicant or Federal Travel Regulations. Purpose of Travel Location Item Computation Cost TOTAL _________ D. Equipment - List non-expendable items that are to be purchased. Non-expendable equipment is tangible property having a useful life of more than two years. (Note: Organization’s own capitalization policy and threshold amount for classification of equipment may be used). Expendable items should be included either in the “Supplies” category or in the “Other” category. Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those subject to rapid technical advances. Rented or leased equipment costs should be listed in the “Contractual” category. Explain how the equipment is necessary for the success of the project. Attach a narrative describing the procurement method to be used. Item Computation Cost TOTAL _________ E. Supplies - List items by type (office supplies, postage, training materials, copying paper, and other expendable items such as books, hand held tape recorders) and show the basis for computation. (Note: Organization’s own capitalization policy and threshold amount for classification of supplies may be used). Generally, supplies include any materials that are expendable or consumed during the course of the project. Supply Items Computation Cost TOTAL _________ F. Consultants/Contracts - Indicate whether applicant’s formal, written Procurement Policy or the Federal Acquisition Regulations are followed. Consultant Fees: For each consultant enter the name, if known, service to be provided, hourly or daily fee (8-hour day), and estimated time on the project. Consultant fees in excess of $450 per day require additional justification and prior approval from ODP. Name of Consultant Service Provided Computation Cost Subtotal ________ Consultant Expenses: List all expenses to be paid from the grant to the individual consultant in addition to their fees (i.e., travel, meals, lodging, etc.) Item Location Computation Cost Subtotal ________ Contracts: Provide a description of the product or services to be procured by contract and an estimate of the cost. Applicants are encouraged to promote free and open competition in awarding contracts. A separate justification must be provided for sole source contracts in excess of $100,000. Item Cost Subtotal ________ TOTAL _________ G. Other Costs - List items (e.g., rent, reproduction, telephone, janitorial or security services, and investigative or confidential funds) by major type and the basis of the computation. For example, provide the square footage and the cost per square foot for rent, and provide a monthly rental cost and how many months to rent. Description Computation Cost TOTAL _________ H. Indirect Costs - Indirect costs are allowed only if the applicant has a Federally approved indirect cost rate. A copy of the rate approval, (a fully executed, negotiated agreement), must be attached. If the applicant does not have an approved rate, one can be requested by contacting the applicant’s cognizant Federal agency, which will review all documentation and approve a rate for the applicant organization, or if the applicant’s accounting system permits, costs may be allocated in the direct costs categories. Description Computation Cost TOTAL _________ Budget Summary - When you have completed the budget worksheet, transfer the totals for each category to the spaces below. Compute the total direct costs and the total project costs. Indicate the amount of Federal requested and the amount of non-Federal funds that will support the project. Budget Category Amount A. Personnel __________ B. Fringe Benefits __________ C. Travel __________ D. Equipment __________ E. Supplies __________ F. Consultants/Contracts __________ G. Other __________ Total Direct Costs __________ H. Indirect Costs __________ TOTAL PROJECT COSTS Federal Request _________ Non-Federal Amount _________ Appendix B Application Checklist Fiscal Year 2004 Homeland Security Information Technology and Evaluation Program Application Check List ? Program Narrative * Program Plan * Project Management Structure * Detailed Budget ? Budget Narrative 24