FEMA_FY2021-IPR-NOFO_02-19-21.pdf

FY 2021 IPR NOFO Back to the Top

The Department of Homeland Security (DHS)

Notice of Funding Opportunity (NOFO)

Fiscal Year 2021 Intercity Passenger Rail (IPR) Program NOTE: If you are going to apply for this funding opportunity and have not obtained an

Employer Identification Number (EIN), a Data Universal Numbering System (DUNS) number, are not currently registered in the System for Award Management (SAM), or your SAM registration is not active, please take immediate action to obtain an EIN and

DUNS Number, if applicable, and then register immediately in SAM or, if applicable, renew your SAM registration. It may take four weeks or more after you submit your SAM registration before your registration is active in SAM then an additional 24 hours for

Grants.gov to recognize your information. Information on obtaining a DUNS number and registering in SAM is available from Grants.gov at:

http://www.grants.gov/web/grants/register.html. Detailed information regarding DUNS, EIN, and SAM is also provided in Section D of this NOFO under the subsection titled “How to

Register to Apply.” Detailed information regarding the time required for each registration is also provided in Section D of this NOFO under the subsection titled “Other Key Dates.”

Table of Contents A. Program Description

1. Issued By

2. Assistance Listings Number

3. Assistance Listings Title

4. Funding Opportunity Title

5. Funding Opportunity Number

6. Authorizing Authority for Program

7. Appropriation Authority for Program

8. Announcement Type

9. Program Category

10. Program Overview, Objectives, and Priorities

11. Performance Metrics

B. Federal Award Information

1. Available Funding for the NOFO

2. Period of Performance

3. Projected Period of Performance Start Date(s)

4. Projected Period of Performance End Date(s)

5. Funding Instrument Type C. Eligibility Information

1. Eligible Applicants

2. Applicant Eligibility Criteria

3. Other Eligibility Criteria

4. Cost Share or Match

D. Application and Submission Information

1. Key Dates and Times

2. Agreeing to Terms and Conditions of the Award

3. Address to Request Application Package http://www.grants.gov/web/grants/register.html

4. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award

Management (SAM), and Submit an Application

5. Electronic Delivery

6. How to Register to Apply through Grants.gov

7. How to Submit an Initial Application to FEMA via Grants.gov

8. Submitting the Final Application in ND Grants

9. Timely Receipt Requirements and Proof of Timely Submission

10. Content and Form of Application Submission

11. Other Submission Requirements

12. Intergovernmental Review

13. Funding Restrictions and Allowable Costs

E. Application Review Information

1. Application Evaluation Criteria

2. Review and Selection Process

F. Federal Award Administration Information

1. Notice of Award

2. Administrative and National Policy Requirements

3. Reporting

4. Monitoring and Oversight

G. DHS Awarding Agency Contact Information

1. Contact and Resource Information

2. Systems Information H. Additional Information

1. Termination Provisions

2. Period of Performance Extensions

A. Program Description

1. Issued By

U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA)/Grant Programs Directorate (GPD)

2. Assistance Listings Number

97.075

3. Assistance Listings Title

Rail and Transit Security Grant Program

4. Funding Opportunity Title

Fiscal Year 2021 Intercity Passenger Rail Program (IPR)

5. Funding Opportunity Number

DHS-21-[GPD]-[075]-[000]-[01]

6. Authorizing Authority for Program

Section 1513 of the Implementing Recommendations of the 9/11 Commission Act of 2007 (Pub. L. No. 110-53) (6 U.S.C. § 1163)

7. Appropriation Authority for Program

Department of Homeland Security Appropriations Act, 2021 (Pub. L. No. 116-260)

8. Announcement Type

Initial

9. Program Category

Preparedness: Infrastructure Security

10. Program Overview, Objectives, and Priorities

a. Overview

The Fiscal Year (FY) 2021 Intercity Passenger Rail (IPR) – Amtrak program is one of four grant programs that constitute the Department of Homeland Security (DHS)/Federal

Emergency Management Agency’s (FEMA) focus on transportation infrastructure security activities. These grant programs are part of a comprehensive set of measures authorized by

Congress and implemented by DHS to help strengthen the Nation’s critical infrastructure against potential terrorist attacks. IPR provides funds to Amtrak to protect critical surface transportation infrastructure and the traveling public from acts of terrorism. Among the five basic homeland security missions noted in the DHS Quadrennial Homeland Security Review, IPR supports the goal to Strengthen National Preparedness and Resilience.

The 2018-2022 FEMA Strategic Plan creates a shared vision for managing the risks posed by terrorism and sets an ambitious, yet achievable, path forward to unify and further professionalize emergency management across the country. IPR supports the goals of

Building a Culture of Preparedness and Readying the Nation for Catastrophic Disasters. We invite our stakeholders and partners to also adopt these priorities and join us in building a more prepared and resilient nation.

Finally, for FY 2021, DHS is focused on the criticality of information sharing and collaboration to building a national culture of preparedness and protecting against terrorism and other emerging threats to our national security. DHS and its homeland security mission were born from the “failures among federal agencies and between the federal agencies and state and local authorities to share critical information related to the threat of terrorism” prior to the September 11, 2001, attacks. The threat profile has changed in the last two decades – we now face continuous cyber threats by sophisticated actors, threats to soft targets and crowded places, threats to our democratic election process and threats from new and emerging technologies. But information sharing and cooperation between state, local, and tribal authorities and federal agencies, including all DHS officials, is just as vital, and perhaps even more vital, today. Therefore, for FY 2021, we have identified three priority areas, tied to some of the most serious threats that recipients should address with their IPR funds. Perhaps most importantly, DHS will be focused on forging partnerships to strengthen information sharing and collaboration in each of these priority areas and looking for recipients to remove barriers to communication and cooperation with DHS.

b. Objectives

The objective of the FY 2021 IPR is to provide funds to the National Railroad Passenger

Corporation (Amtrak) to protect critical transportation infrastructure and the travelling public from terrorism, and to increase transportation infrastructure resilience.

c. Priorities

Given the evolving threat landscape, it is incumbent upon DHS/FEMA to continuously evaluate the national risk profile and set priorities that help ensure appropriate allocation of scarce security dollars. In assessing the national risk profile for FY 2021, three areas attract the most concern. As a result, DHS is requiring a minimum percentage of the FY 2021 IPR be spent in the following areas:

1) Enhancing cybersecurity – (no minimum percent);

2) Enhancing the protection of soft targets/crowded places – 5 percent; and

3) Addressing emerging threats (e.g., transnational criminal organizations, weapons of mass destruction [WMD], unmanned aerial systems [UASs], etc.) – 5 percent.

Likewise, there are several enduring security needs that crosscut the homeland security enterprise. The following are second-tier priorities that help recipients implement a comprehensive approach to securing critical transportation infrastructure:

1) Effective planning;

2) Training and awareness campaigns;

3) Equipment and capital projects; and

4) Exercises.

The table below provides a breakdown of these priority areas for the FY 2021 IPR, showing both the core capabilities enhanced and lifelines supported, as well as examples of eligible project types for each area. A detailed description of allowable investments for each project type is included in the Preparedness Grants Manual.

Priority Areas Core Capabilities Lifelines Example Project Types

National Priorities

Enhancing Cybersecurity

• Cybersecurity

• Intelligence and information sharing

• Planning

• Public information and warning

• Operational coordination

• Screening, search, and detection

• Access control and identity verification

• Supply chain integrity and security

• Risk management for protection programs and activities

• Long-term vulnerability reduction

• Situational assessment

• Infrastructure systems

• Operational communications

• Safety and security

• Transportation

• Cybersecurity risk assessments

• Projects that address vulnerabilities identified in cybersecurity risk assessments o Improving cybersecurity of critical infrastructure to meet minimum levels identified by the Cybersecurity and

Infrastructure Security Agency o Cybersecurity training and planning

Enhancing the Protection of Soft Targets/Crowded Places

• Operational coordination

• Public information and warning

• Intelligence and

Information Sharing

• Interdiction and disruption

• Screening, search, and detection

• Access control and identity verification

• Physical protective measures

• Risk management for protection programs and activities

• Safety and security

• Transportation

• Physical security enhancements at Amtrak-owned stations o Closed-circuit television security cameras o Security screening equipment and technology for people and baggage o Access controls: Fencing, gates, barriers, etc.

• Use of visible, unpredictable deterrence, to include Operational Packages:

o Explosives Detection Canine

Teams o Mobile Explosives Detection

Screening Teams o Anti-Terrorism Teams

• Directed/Surge Patrols on Overtime

Addressing Emerging Threats, such as Transnational Criminal Organizations, WMD and UAS

• Interdiction and disruption

• Screening, search and detection

• Physical protective measures

• Intelligence and information sharing

• Safety and security

• Transportation

• Chemical Biological Radiological Nuclear and Explosive (CBRNE) detection, prevention, response, and recovery equipment

• Explosive Detection Canine Teams

• Security screening equipment and technology for people and baggage

• UAS detection technologies https://www.fema.gov/grants/preparedness/manual

Priority Areas Core Capabilities Lifelines Example Project Types

Enduring Needs

Planning • Planning

• Risk management for protection programs & activities

• Risk & disaster resilience assessment

• Threats and hazards identification

• Operational coordination

• Safety and security

• Transportation

• Development of:

o System-wide Security Risk Management Plans o Continuity of Operations Plans o Response Plans/Station Action Plans o System-wide and/or asset-specific vulnerability assessments

• Efforts to strengthen governance integration between/among regional partners

Training &

Awareness

• Long-term vulnerability reduction

• Public information & warning

• Safety and security

• Transportation

• Active shooter training

• Security training for employees

• Public awareness/preparedness campaigns

Equipment & Capital Projects

• Long-term vulnerability reduction

• Infrastructure systems

• Operational communications

• Interdiction & disruption

• Screening, search & detection

• Access control & identity verification

• Physical protective measures

• Safety and security

• Transportation

• Top Transit Asset List (TTAL) risk remediation

• Protection of other high-risk, high-consequence areas or systems that have been identified through system-wide risk assessments

Exercises • Long-term vulnerability reduction

• Safety and security

• Transportation

• Response exercises

11. Performance Metrics

Performance metrics for this program are as follows:

• Percentage of funding allocated by the recipient to core capabilities to build or sustain the national priorities identified in the section above.

B. Federal Award Information

1. Available Funding for the NOFO: $10,000,000

2. Period of Performance: 36 months

Extensions to the period of performance are allowed. For additional information on period of performance extensions, please refer to Section H of this NOFO or the Preparedness Grants

Manual.

FEMA awards under this program only include one budget period, so it will be same as the period of performance. See 2 C.F.R. § 200.1 for definitions of “budget period” and “period of performance.”

3. Projected Period of Performance Start Date(s): 10/01/2021

4. Projected Period of Performance End Date(s): 09/30/2024

5. Funding Instrument Type: Cooperative Agreement

C. Eligibility Information

1. Eligible Applicants

The National Railroad Passenger Corporation (Amtrak) is the only eligible entity.

2. Applicant Eligibility Criteria

Sections 1405 (6 U.S.C. § 1134) and 1406 (6 U.S.C. § 1135) of the Implementing

Recommendations of the 9/11 Commission Act of 2007 require that high risk public transportation agencies that receive grant funding develop a security plan based on a security assessment. Additionally, the statutes direct that grant funds be used to address items in the security assessment or the security plan. To be eligible for the FY 2021 IPR, Amtrak must have developed, or updated, its security plan. The security plan must be based on a security assessment, such as the Baseline Assessment for Security Enhancement (BASE), which is performed by the Transportation Security Inspectors-Surface of the Transportation Security

Administration (TSA). This security assessment must have been conducted within the last three years prior to receiving an FY 2021 IPR award. A copy of the security plan and security assessment must be provided to DHS/FEMA upon request. Please see the Preparedness

Grants Manual for more information on security plan requirements.

Entities providing transit security (e.g., city/county police department or a public transportation agency’s own police department) must approve the security plan. The signature of a responsible official from the agency’s transit security provider serves as this approval. Associated documentation of this approval must be provided to DHS/FEMA upon request. In addition, the agency’s transit security provider is encouraged to review the

Investment Justifications (IJs) prior to submission.

Amtrak, in receiving funds through this program, must participate in Regional Transit

Security Working Groups (RTSWGs) in participating urban areas. The RTSWG should serve as the forum for regional partners to discuss risk, planning efforts, and mitigation strategies.

These discussions should be held regardless of funding to continue enhancing the overall security of the region. Regional working groups are a best practice for enhancing security and are encouraged for all jurisdictions.

An application submitted by an otherwise eligible non-federal entity (i.e., the applicant) may be deemed ineligible when the person that submitted the application is not: 1) a current employee, personnel, official, staff, or leadership of the non-federal entity; and 2) duly authorized to apply for an award on behalf of the non-federal entity at the time of application.

Further, the Authorized Organization Representative (AOR) must be a duly authorized current employee, personnel, official, staff or leadership of the recipient and provide an email address unique to the recipient at the time of application and upon any change in assignment during the period of performance. Consultants or contractors of the recipient are not permitted to be the AOR of the recipient. The AOR, or Authorized Official, is responsible for submitting programmatic and financial performance reports, accepting award packages, signing assurances and certifications, and submitting award amendments.

3. Other Eligibility Criteria

a. National Incident Management System (NIMS) Implementation

Prior to allocation of any federal preparedness awards, recipients must ensure and maintain adoption and implementation of NIMS. The list of objectives used for progress and achievement reporting is on FEMA’s website at https://www.fema.gov/emergency-managers/nims/implementation-training.

Please see the Preparedness Grants Manual for more information on NIMS.

4. Cost Share or Match

There is no cost share or cost match requirement for the FY 2021 IPR program.

D. Application and Submission Information

1. Key Dates and Times

a. Application Start Date: 02/25/2021

b. Application Submission Deadline: 05/14/2021 at 05:00:00 PM ET

All applications must be received by the established deadline.

The Non-Disaster (ND) Grants System has a date stamp that indicates when an application is submitted. Applicants will receive an electronic message confirming receipt of their submission. For additional information on how an applicant will be notified of application receipt, see the subsection titled “Timely Receipt Requirements and Proof of Timely

Submission” in Section D of this NOFO.

FEMA will not review applications that are received after the deadline or consider these late applications for funding. FEMA may, however, extend the application deadline on request for any applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may include technical problems outside of the applicant’s control that prevent submission of the application by the deadline, other exigent or emergency circumstances, or statutory requirements for FEMA to make an award.

Applicants experiencing technical problems outside of their control must notify FEMA as soon as possible and before the application deadline. Failure to timely notify FEMA of https://www.fema.gov/emergency-managers/nims/implementation-training https://www.fema.gov/emergency-managers/nims/implementation-training https://www.fema.gov/media-library/assets/documents/178291 the issue that prevented the timely filing of the application may preclude consideration of the award. “Timely notification” of FEMA means: prior to the application deadline and within

48 hours after the applicant became aware of the issue.

A list of FEMA contacts can be found in Section G of this NOFO, “DHS Awarding Agency

Contact Information.” For additional assistance using the ND Grants System, please contact the ND Grants Service Desk at (800) 865-4076 or NDGrants@fema.dhs.gov. The ND Grants

Service Desk is available Monday through Friday, 9:00 AM – 6:00 PM Eastern Time (ET).

For programmatic or grants management questions, please contact your Preparedness

Officer. If applicants do not know who to contact or if there are programmatic questions or concerns, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by e-mail at askcsid@fema.dhs.gov, Monday through Friday, 9:00 AM

– 5:00 PM ET.

c. Anticipated Funding Selection Date: No later than 07/16/2021

d. Anticipated Award Date: No later than 09/30/2021

e. Other Key Dates

2. Agreeing to Terms and Conditions of the Award

By submitting an application, applicants agree to comply with the requirements of this

NOFO and the terms and conditions of the award, should they receive an award.

3. Address to Request Application Package

See the Preparedness Grants Manual for requesting and submitting an application.

Initial applications are processed through the Grants.gov portal. Final applications are completed and submitted through FEMA’s ND Grants System. Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov.

Event Suggested Deadline for Completion

Obtaining DUNS Number Four weeks before actual submission deadline

Obtaining a valid EIN Four weeks before actual submission deadline

Creating an account with login.gov Four weeks before actual submission deadline

Registering in SAM or Updating

SAM registration Four weeks before actual submission deadline

Registering in Grants.gov Four weeks before actual submission deadline

Starting application in Grants.gov Three weeks before actual submission deadline

Submitting application in Grants.gov Two weeks before actual submission deadline

Submitting the final application in ND

Grants 3 days before actual submission deadline mailto:NDGrants@fema.dhs.gov mailto:askcsid@fema.dhs.gov https://www.fema.gov/media-library/assets/documents/178291 https://www.grants.gov/ http://www.grants.gov/

4. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award

Management (SAM), and Submit an Application

Applying for an award under this program is a multi-step process and requires time to complete. Applicants are encouraged to register early as the registration process can take four weeks or more to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines.

Please review the table above for estimated deadlines to complete each of the steps listed.

Failure of an applicant to comply with any of the required steps before the deadline for submitting an application may disqualify that application from funding.

To apply for an award under this program, all applicants must:

a. Apply for, update, or verify their Data Universal Numbering System (DUNS) number from Dun & Bradstreet and Employer Identification Number (EIN) from the Internal

Revenue Service;

b. In the application, provide a valid DUNS number, which is currently the unique entity identifier;

c. Have an account with login.gov;

d. Register for, update, or verify their SAM account and ensure the account is active before submitting the application;

e. Create a Grants.gov account;

f. Add a profile to a Grants.gov account;

g. Establish an AOR in Grants.gov;

h. Register in ND Grants

i. Submit an initial application in Grants.gov;

j. Submit the final application in ND Grants, including electronically signing applicable forms; and

k. Continue to maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency. As part of this, applicants must also provide information on an applicant’s immediate and highest-level owner and subsidiaries, as well as on all predecessors that have been awarded federal contracts or federal financial assistance within the last three years, if applicable.

Specific instructions on how to apply for, update, or verify a DUNS number or SAM registration or establish an AOR are included below in the steps for applying through

Grants.gov.

Applicants are advised that FEMA may not make a federal award until the applicant has complied with all applicable DUNS and SAM requirements. Therefore, an applicant’s SAM registration must be active not only at the time of application, but also during the application review period and when FEMA is ready to make a federal award. Further, as noted above, an applicant’s or recipient’s SAM registration must remain active for the duration of an active federal award. If an applicant’s SAM registration is expired at the time of application, expires during application review, or expires any other time before award, FEMA may determine https://www.login.gov/ that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

Per 2 C.F.R. § 25.110(c)(2)(ii), if an applicant is experiencing exigent circumstances that prevents it from receiving a DUNS number and completing SAM registration prior to receiving a federal award, the applicant must notify FEMA as soon as possible by contacting askcsid@fema.dhs.gov and providing the details of the circumstances that prevent completion of these requirements. If FEMA determines that there are exigent circumstances and FEMA has decided to make an award, the applicant will be required to obtain a DUNS number and complete SAM registration within 30 days of the federal award date.

5. Electronic Delivery

DHS is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. DHS encourages or requires applicants to submit their applications online through Grants.gov, depending on the funding opportunity.

For this funding opportunity, FEMA requires applicants to submit initial applications through

Grants.gov and a final application through ND Grants.

6. How to Register to Apply through Grants.gov

For information on how to register to apply through Grants.gov, please see the Preparedness

Grants Manual.

7. How to Submit an Initial Application to FEMA via Grants.gov

Standard Form 424 (SF-424) is the initial application for this NOFO.

Grants.gov applicants can apply online using a workspace. A workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each Notice of Funding Opportunity, you can create individual instances of a workspace. Applicants are encouraged to submit their initial applications in Grants.gov at least seven days before the application deadline.

In Grants.gov, applicants need to submit the following forms:

• SF-424, Application for Federal Assistance

• Grants.gov Lobbying Form, Certification Regarding Lobbying

For further information on how to submit an initial application via Grants.gov, please see the

Preparedness Grants Manual.

8. Submitting the Final Application in ND Grants

After submitting the initial application in Grants.gov, eligible applicants will be notified by

FEMA and asked to proceed with submitting their complete application package in ND

Grants. Applicants can register early with ND Grants and are encouraged to begin their ND

Grants registration at the time of this announcement or, at the latest, seven days before the mailto:askcsid@fema.dhs.gov https://www.fema.gov/media-library/assets/documents/178291 application deadline. Early registration will allow applicants to have adequate time to start and complete their applications.

Applicants needing assistance registering for the ND Grants system should contact ndgrants@fema.dhs.gov or (800) 865-4076. For step-by-step directions on using the ND

Grants system and other guides, please see https://www.fema.gov/grants/guidance-tools/non-disaster-grants-management-system.

In ND Grants, applicants will be prompted to submit the standard application information and any program-specific information required as described in Section D.10 of this NOFO, “Content and Form of Application Submission.”. The Standard Forms (SF) are auto generated in ND Grants, but applicants may access these forms in advance through the Forms tab under the SF-424 family on Grants.gov. Applicants should review these forms before applying to ensure they have all the information required.

For additional application submission requirements, including program-specific requirements, please refer to the subsection titled “Content and Form of Application

Submission” under Section D of this NOFO.

9. Timely Receipt Requirements and Proof of Timely Submission

As application submission is a two-step process, the applicant with the AOR role who submitted the application in Grants.gov will receive an acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of its initial application. This notification does not serve as proof of timely submission, as the application is not complete until it is submitted in ND Grants. Applicants can also view the ND Grants Agency Tracking Number by accessing the Details tab in the submitted workspace section in Grants.gov, under the Agency Tracking Number column. Should the

Agency Tracking Number not appear, the application has not yet migrated from Grants.gov into the ND Grants System. Please allow 24 hours for your ND Grants application tracking number to migrate.

All applications must be received in ND Grants by 5:00 PM ET on the application deadline.

Proof of timely submission is automatically recorded by ND Grants. An electronic date/time stamp is generated within the system when the application is successfully received by ND

Grants. Additionally, the applicant(s) listed as contacts on the application will receive a system-generated email to confirm receipt.

10. Content and Form of Application Submission

a. Standard Required Application Forms and Information

The following forms or information are required to be submitted in either Grants.gov or ND

Grants. The Standard Forms (SF) are submitted either through Grants.gov, through forms generated in ND Grants, or as an attachment in ND Grants. Applicants may also access the

SFs at https://www.grants.gov/web/grants/forms/sf-424-family.html.

mailto:ndgrants@fema.dhs.gov https://www.fema.gov/grants/guidance-tools/non-disaster-grants-management-system https://www.fema.gov/grants/guidance-tools/non-disaster-grants-management-system https://www.grants.gov/forms/sf-424-family.html https://www.grants.gov/web/grants/forms/sf-424-family.html

I. GRANTS.GOV

• SF-424, Application for Federal Assistance, initial application submitted through

Grants.gov

• Grants.gov Lobbying Form, Certification Regarding Lobbying, submitted through

Grants.gov

II. ND GRANTS

• SF-424A, Budget Information (Non-Construction), submitted via the forms generated by ND Grants o For construction under an award, submit SF-424C, Budget Information

(Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424A

• SF-424B, Standard Assurances (Non-Construction), submitted via the forms generated by ND Grants o For construction under an award, submit SF-424D, Standard Assurances

(Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424B

• SF-LLL, Disclosure of Lobbying Activities, submitted via the forms generated by ND

Grants

• Indirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. If the applicant does not have or is not required to have an indirect cost rate agreement or proposal, please see Section D.13 of this NOFO, “Funding

Restrictions and Allowable Costs,” for further information regarding allowability of indirect costs and whether alternatives to an indirect cost rate agreement or proposal might be available, or contact the relevant FEMA staff identified in Section G of this

NOFO, “DHS Awarding Agency Contact Information” for further instructions.

Generally, applicants have to submit either the non-construction forms (i.e., SF-424A and

SF-424B) or construction forms (i.e., SF-424C and SF-424D), meaning that applicants that only have construction work and do not have any non-construction work need only submit the construction forms (i.e., SF-424C and SF-424D) and not the non-construction forms (i.e., SF-424A and SF-424B), and vice versa. However, applicants who have both construction and non-construction work under this program need to submit both the construction and non-construction forms.

b. Program-Specific Required Forms and Information

The following program-specific forms or information are required to be submitted in ND

Grants as file attachments:

• Associated Investment Justifications (IJs)

• Detailed budgets

• Associated Memoranda of Understanding (MOU)/Memoranda of Agreement (MOA) https://portal.fema.gov/famsVuWeb/home

I. PRIORITY INVESTMENTS (IPR)

• Cybersecurity (no minimum percentage)

Cybersecurity investments must support the security and functioning of critical infrastructure and core capabilities as they relate to achieving target capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism.

• Soft Targets and Crowded Places (5% minimum)

Soft targets and crowded places are increasingly appealing to terrorists and other extremist actors because of their relative accessibility and the large number of potential targets. This challenge is complicated by the prevalent use of simple tactics and less sophisticated attacks. Segments of our society are inherently open to the general public, and by nature of their purpose do not incorporate strict security measures. Given the increased emphasis by terrorists and other extremist actors to leverage less sophisticated methods to inflict harm in public areas, it is vital that the public and private sectors collaborate to enhance security of locations such as transportation centers, parks, restaurants, shopping centers, special event venues, and similar facilities. Additional resources and information regarding securing soft targets and crowded places are available through the Cybersecurity and

Infrastructure Security Agency.

• Emerging Threats (5% minimum)

The spread of rapidly evolving and innovative technology, equipment, techniques, and knowledge presents new and emerging dangers for homeland security in the years ahead. Terrorists remain intent on acquiring WMD capabilities, and rogue nations and non-state actors are aggressively working to develop, acquire, and modernize WMDs that they could use against the Homeland. Meanwhile, biological and chemical materials and technologies with dual use capabilities are more accessible throughout the global market. Due to the proliferation of such information and technologies, rogue nations and non-state actors have more opportunities to develop, acquire, and use WMDs than ever before. Similarly, the proliferation of unmanned aircraft systems, artificial intelligence, and biotechnology increase opportunities of threat actors to acquire and use these capabilities against the United

States and its interests. Additional resources and information regarding emerging threats are available through the Countering Weapons of Mass Destruction Office and the Cybersecurity and Infrastructure Security Agency.

II. INVESTMENT JUSTIFICATION (IJ)

As part of the FY 2021 IPR application process, applicants must develop a formal IJ that addresses each initiative being proposed for funding, including a project’s management and administration (M&A) costs. Applicants may submit up to eight IJs. IJs must demonstrate how proposed projects address gaps and deficiencies in current programs and capabilities and link to one or more core capabilities identified in the National Preparedness Goal. Applicants are encouraged to submit a separate IJ for each proposed project. IPR projects must be: 1) feasible and effective at reducing the risks for which the project was designed, and 2) able to be fully completed within the 3-year period of performance. Applicants must ensure that the

IJs are consistent with all applicable requirements outlined in this NOFO. IJs must be submitted with the grant application as a file attachment within ND Grants. Applicants must https://www.cisa.gov/securing-soft-targets-and-crowded-places https://www.cisa.gov/securing-soft-targets-and-crowded-places https://www.dhs.gov/topic/weapons-mass-destruction https://www.cisa.gov/uas-critical-infrastructure use the following file naming convention when submitting IJ attachments through ND Grants as part of the FY 2021 IPR program:

Name of Applicant_IJ Number (Example: Amtrak_IJ 1)

Applicants must provide information in the following categories for each proposed investment:

1. Background

2. Strategic and Program Priorities

3. Impact

4. Funding/Implementation Plan

III. OPERATIONAL PACKAGES (OPACKS)

Applicants that meet basic OPack eligibility requirements may elect to pursue OPack funding, such as Canine Teams, Mobile Explosives Detection Screening Teams, and Anti-

Terrorism Teams, for new capabilities as well as to sustain existing OPacks. Applicants pursuing both new OPacks and sustainment funding for existing OPacks must indicate in their IJs which option is the higher priority for their agency. Additionally, applicants pursuing either new teams or sustainment of existing teams must include the number of

OPack teams already in place (either funded by the agency or by the IPR). In addition, recipients must commit to minimum training standards for all federally funded OPack positions. Please refer to the Preparedness Grants Manual for OPack Team-specific training requirements. In order for an application for an OPack to be considered eligible, it must include a Five-Year Security Capital and Operational Sustainment Plan. Please see www.grants.gov for the required template.

IV. DETAILED BUDGET

Applicants must provide detailed budgets for the funds requested. The detailed budgets must be submitted with the grant application as a file attachment within ND Grants. The budgets must be complete, reasonable, and cost-effective in relation to the proposed projects. The budgets should provide the basis of computation of all project-related costs, any appropriate narrative, and a detailed justification of M&A costs. Applicants receiving funds may not obligate, expend, or draw down funds until budgets and budget narratives have been approved by DHS/FEMA. The budget detail worksheet may be used as a guide to assist applicants in the preparation of budgets and budget narratives. Note: Design and

Planning/Engineering costs must be clearly identified in a separate line item in order for partial funding to be released prior to Environmental Planning and Historic Preservation

(EHP) review and approval. Please see the Preparedness Grants Manual for information on the EHP review process.

Detailed budgets must be submitted with the grant application as a file attachment within ND

Grants. Applicants must use the following file naming convention when submitting detailed budgets as part of the IPR application process:

Agency Name_IJ Number_Budget (Example: Amtrak IJ _1_Budget) https://www.fema.gov/media-library/assets/documents/178291 http://www.grants.gov/ https://portal.fema.gov/famsVuWeb/home https://www.fema.gov/grants/preparedness/manual

11. Other Submission Requirements

Sensitive Security Information (SSI) Requirements

A portion of the information that is routinely submitted in the course of applying for funding, reporting under certain programs, or that is provided in the course of an entity’s grant management activities under those programs that are under federal control may be subject to protection under an SSI marking and must be properly identified and marked accordingly.

SSI is a control designation used by DHS/FEMA to protect transportation security-related information. It is applied to information about security programs; vulnerability and threat assessments; screening processes; technical specifications of certain screening equipment and objects used to test screening equipment; and equipment used for communicating security information relating to air, land, or maritime transportation. Further information can be found at 49 C.F.R. Part 1520, Protection of Sensitive Security Information. For the purposes of the

IPR, and due to the high frequency of SSI found in IPR-related IJs, all IPR IJs shall be considered SSI and treated as such until they have been subject to review for SSI by

DHS/FEMA. Therefore, applicants shall label all application documents as SSI in accordance with 49 C.F.R. § 1520.13.

12. Intergovernmental Review

An intergovernmental review may be required. Applicants must contact their state’s Single

Point of Contact (SPOC) to comply with the state’s process under Executive Order 12372

(See https://www.archives.gov/federal-register/codification/executive-order/12372.html;

https://www.whitehouse.gov/wp-content/uploads/2020/01/spoc_1_16_2020.pdf).

13. Funding Restrictions and Allowable Costs

All costs charged to awards covered by this NOFO must comply with the Uniform

Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated in the NOFO, the terms and conditions of the award, or the

Preparedness Grants Manual. This includes, among other requirements, that costs must be incurred, and products and services must be delivered, within the period of performance of the award. See 2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA awards under this program is the same as the period of performance).

Federal funds made available through this award may be used for the purpose set forth in this

NOFO, the Preparedness Grants Manual, and the terms and conditions of the award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal

Government or any other government entity. See the Preparedness Grants Manual for more information on funding restrictions and allowable costs.

Additionally, costs charged to an IPR award must also be consistent with the cost principles in the Federal Acquisition Regulation (FAR) Part 31.2 in lieu of 2 C.F.R. Part 200, Subpart

E. Any conflicts between FAR Part 31.2 and 2 C.F.R. Part 200, Subpart E shall be resolved in favor of the applicable provision in FAR Part 31.2.

https://www.archives.gov/federal-register/codification/executive-order/12372.html https://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf

a. Prohibitions on Expending FEMA Award Funds for Covered Telecommunications

Equipment or Services

Recipients and subrecipients of FEMA federal financial assistance are subject to the prohibitions described in section 889 of the John S. McCain National Defense Authorization

Act for Fiscal Year 2019 (FY 2019 NDAA), Pub. L. No. 115-232 (2018) and 2 C.F.R. §§

200.216, 200.326, 200.471, and Appendix II to 2 C.F.R. Part 200. Beginning August 13, 2020, the statute – as it applies to FEMA recipients, subrecipients, and their contractors and subcontractors – prohibits obligating or expending federal award funds on certain telecommunications and video surveillance products and contracting with certain entities for national security reasons.

Additional guidance is available at https://www.fema.gov/sites/default/files/documents/fema_prohibitions-expending-fema-award-funds-covered-telecommunications-equipment-services.pdf.

Effective August 13, 2020, FEMA recipients and subrecipients may not use any FEMA funds under open or new awards to:

(1) Procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system;

(2) Enter into, extend, or renew a contract to procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system; or

(3) Enter into, extend, or renew contracts with entities that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system.

I. REPLACEMENT EQUIPMENT AND SERVICES

FEMA grant funding may be permitted to procure replacement equipment and services impacted by this prohibition, provided the costs are otherwise consistent with the requirements of the NOFO and the Preparedness Grants Manual.

II. DEFINITIONS

Per section 889(f)(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered telecommunications equipment or services means:

i. Telecommunications equipment produced by Huawei Technologies Company or

ZTE Corporation, (or any subsidiary or affiliate of such entities);

ii. For the purpose of public safety, security of Government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by

Hytera Communications Corporation, Hangzhou Hikvision Digital Technology

Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities);

https://www.congress.gov/bill/115th-congress/house-bill/5515/text?format=txt https://www.congress.gov/bill/115th-congress/house-bill/5515/text?format=txt https://www.fema.gov/sites/default/files/documents/fema_prohibitions-expending-fema-award-funds-covered-telecommunications-equipment-services.pdf https://www.fema.gov/sites/default/files/documents/fema_prohibitions-expending-fema-award-funds-covered-telecommunications-equipment-services.pdf

iii. Telecommunications or video surveillance services provided by such entities or using such equipment; or

iv. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the

Director of National Intelligence or the Director of the Federal Bureau of

Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the People’s Republic of China.

Examples of the types of products covered by this prohibition include phones, internet, video surveillance, and cloud servers when produced, provided, or used by the entities listed in the definition of “covered telecommunications equipment or services.” See 2 C.F.R. § 200.471.

b. Pre-Award Costs

Pre-award costs are not allowable and will not be approved.

c. Management and Administration (M&A) Costs

M&A costs are allowed. Recipients may use up to 5 percent of the amount of the award for their M&A. M&A activities are those defined as directly relating to the management and administration of IPR funds, such as financial management and monitoring. Management and administrative expenses must be based on actual expenses or known contractual costs. M&A requests that are simple percentages of the award, without supporting justification, will not be allowed or considered for reimbursement.

M&A costs are not operational costs. They are the necessary costs incurred in direct support of the grant or as a consequence of the grant and should be allocated across the entire lifecycle of the grant. Examples include preparing and submitting required programmatic and financial reports, establishing and/or maintaining equipment inventory, documenting operational and equipment expenditures for financial accounting purposes, and responding to official informational requests from state and federal oversight authorities. Please see the

Preparedness Grants Manual for additional information on Direct Costs.

d. Indirect Facilities & Administrative (F&A) Costs

Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2

C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement. Applicants that are not required by 2 C.F.R.

Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part

200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement

(including a provisional rate) and wish to charge the de minimis rate must reach out to the

FEMA Preparedness Officer for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the FEMA Preparedness

Officer for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon on the de minimis rate or cost allocation plan, as applicable.

e. Other Direct Costs

I. CONSTRUCTION AND RENOVATION

Construction and renovation costs to achieve capability targets related to preventing, preparing for, protecting against, or responding to acts of terrorism are allowed under this program. For construction costs to be allowed, they must be specifically approved by

DHS/FEMA in writing prior to the use of any program funds for construction or renovation. See the Preparedness Grants Manual for additional information. Additionally, recipients are required to submit an SF-424C Form and budget detail citing the project costs.

II. OPERATIONAL OVERTIME

Operational Overtime costs are allowed under this program. Please see the Preparedness

Grants Manual for additional details.

III. TRAVEL

Domestic travel costs are allowed under this program as described in this NOFO and the

Preparedness Grants Manual. International travel is not an allowable cost under this program unless approved in advance by DHS/FEMA.

IV. MAINTENANCE AND SUSTAINMENT

Maintenance- and sustainment-related costs, such as maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable. Please see the

Preparedness Grants Manual for additional details.

E. Application Review Information

1. Application Evaluation Criteria

a. Programmatic Criteria

The FY 2021 IPR application will be evaluated through a review process for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed investments. Amtrak is the only entity eligible to submit an application for the IPR program and must comply with all administrative requirements described herein―including the submission of IJs, budgets, and other application materials as required. IJs will be reviewed and selected based on the following criteria:

1. Funding priorities. Projects will be evaluated and prioritized based on the extent to which they address the National Priorities contained in this NOFO.

2. Ability to reduce risk of catastrophic events. Projects will be evaluated and prioritized on their ability to reduce risks associated with potential terrorist attacks and all other types of hazards. For projects where an applicant’s collaboration with others is relevant to the project’s ability to reduce risks, projects will be evaluated based on the degree to which the proposal adequately details how the applicant will use investments to overcome existing logistical, technological, legal, policy, and other impediments to…