FEMA_FY2021-THSGP-NOFO_02-19-21.pdf

FY 2021 THSGP NOFO Back to the Top

The Department of Homeland Security (DHS) Notice of Funding Opportunity (NOFO)

Fiscal Year 2021 Tribal Homeland Security Grant Program (THSGP)

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 http://www.grants.gov/web/grants/register.html

2. Agreeing to Terms and Conditions of the Award

3. Address to Request Application Package

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. Intergovernmental Review

12. 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

97.067

3. Assistance Listings Title Homeland Security Grant Program

4. Funding Opportunity Title Fiscal Year 2021Tribal Homeland Security Grant Program (THSGP)

5. Funding Opportunity Number

DHS-21-[GPD]-[067]-[00]-[01]

6. Authorizing Authority for Program Section 2005 of the Homeland Security Act of 2002 (Pub. L. No. 107-296, as amended) (6 U.S.C. § 606)

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: Community Security

10. Program Overview, Objectives, and Priorities

a. Overview

The Fiscal Year (FY) 2021 Tribal Homeland Security Grant Program (THSGP) is one of three grant programs that constitute the Department of Homeland Security (DHS)/Federal Emergency Management Agency’s (FEMA) focus on enhancing the ability of state, local, tribal and territorial governments, as well as nonprofits, to prevent, protect against, respond to, and recover from terrorist attacks. These grant programs are part of a comprehensive set of measures authorized by Congress and implemented by DHS to help strengthen the nation’s communities against potential terrorist attacks. Among the five basic homeland security missions noted in the DHS Strategic Plan, the THSGP supports the goal to Strengthen National Preparedness and Resilience.

The 2018-2022 FEMA Strategic Plan creates a shared vision for reducing the risks posed by terrorism and sets an ambitious, yet achievable, path forward to unify and further professionalize emergency management across the country. The THSGP supports the goals of Building a Culture of Preparedness and of 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 among 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 four priority areas, tied to some of the most serious threats that recipients should address with their THSGP 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 and other federal agencies.

b. Objectives THSGP provides funding directly to eligible tribes to strengthen their capacities to prevent, prepare for, protect against, and respond to potential terrorist attacks.

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, four areas attract the most concern:

1) Enhancing cybersecurity;

2) Enhancing the protection of soft targets/crowded places;

3) Combating domestic violent extremism; and,

4) Addressing emerging threats (e.g., transnational criminal organizations, weapons of mass destruction [WMD], unmanned aircraft systems [UASs], etc.).

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 communities:

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 THSGP, 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. As discussed in Section E, investments that sufficiently address one or more of the four National Priorities (enhancing cybersecurity; enhancing the protection of soft targets/crowded places; combating domestic violent extremism; or addressing emerging threats) will have their final review scores increased by a multiplier of twenty (20) percent.

FY 2021 THSGP Funding Priorities 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

• 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

• Physical security enhancements o Security cameras (closed-circuit television) o Security screening equipment for people and baggage o Lighting o Access controls

• Fencing, gates, barriers, etc.

Combating Domestic

• Interdiction and disruption

• Screening, search and detection

• Safety and security

• Open source analysis of misinformation campaigns, targeted violence and threats https://www.fema.gov/media-library/assets/documents/178291

Priority Areas Core Capabilities Lifelines Example Project Types Violent Extremism

• Physical protective measures

• Intelligence and information sharing

• Planning

• Public information and warning

• Operational coordination

• Risk management for protection programs and activities to life, including tips/leads, and online/social media-based threats

• Sharing and leveraging intelligence and information, including open source analysis

• Execution and management of threat assessment programs to identify, evaluate, and analyze indicators and behaviors indicative of domestic violent extremists

• Training and awareness programs (e.g., through social media, suspicious activity reporting [SAR] indicators and behaviors) to help prevent radicalization

• Training and awareness programs (e.g., through social media, SAR indicators and behaviors) to educate the public on misinformation campaigns and resources to help them identify and report potential instances of domestic violent extremism

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

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

• UAS detection technologies

Enduring Needs Planning • Planning

• Risk management for protection programs & activities

• Risk & disaster resilience assessment

• Threats and hazards identification

• Operational coordination

• Safety and security

• Development of:

o Security Risk Management Plans o Continuity of Operations Plans o Response Plans

• Efforts to strengthen governance integration between/among regional partners

Training & Awareness

• Long-term vulnerability reduction

• Public information & warning

• Safety and security

• 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

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

Priority Areas Core Capabilities Lifelines Example Project Types Exercises • Long-term vulnerability reduction

• Safety and security

• Response exercises

DHS/FEMA also requires THSGP recipients to complete a Threat and Hazard Identification and Risk Assessment (THIRA) and Stakeholder Preparedness Review (SPR), and to prioritize grant funding to support closing capability gaps or sustaining capabilities that address national priorities and/or support enduring needs. Additional information on the THIRA/SPR process, including other National Preparedness System (NPS) tools and resources, can be found at https://www.fema.gov/national-preparedness-system.

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: $15,000,000

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: Grant

C. Eligibility Information

1. Eligible Applicants

Directly eligible tribes.

2. Applicant Eligibility Criteria

To be eligible to receive THSGP funding, recipients must be directly eligible tribes. Directly eligible tribes are federally recognized tribes that meet the criteria set forth in Section 2001 of the Homeland Security Act of 2002, as amended (6 U.S.C. § 601).

https://www.fema.gov/national-preparedness-system

Federally recognized tribes are those tribes appearing on the list published by the Secretary of the Interior pursuant to the Federally Recognized Indian Tribe List Act of 1994 (Pub. L.

No. 103-454) (25 U.S.C. § 5131).

Per 6 U.S.C. § 601(4), a “directly eligible tribe” is any federally recognized Indian Tribe that meets the following criteria:

(A) Any Indian Tribe―

(i) that is located in the continental United States;

(ii) that operates a law enforcement or emergency response agency with the capacity to respond to calls for law enforcement or emergency services;

(iii)

(I) that is located on or near (100 miles) an international border or a coastline bordering an ocean (including the Gulf of Mexico) or international waters;

(II) that is located within 10 miles of a system or asset included on the prioritized critical infrastructure list established under section 2214(a)(2) of the Homeland Security Act of 2002, as amended (6 U.S.C. § 124l(a)(2) or has such a system or asset within its territory;

(III) that is located within or contiguous to one of the 50 most populous metropolitan statistical areas in the United States; or

(IV) the jurisdiction of which includes not less than 1,000 square miles of Indian country, as that term is defined in section 1151 of title 18, United States Code; and

(iv) that certifies to the Secretary of Homeland Security that a state has not provided funds under section 2003 (Urban Area Security Initiative) or 2004 (State Homeland Security Program) of the Homeland Security Act of 2002, as amended (6 U.S.C. § 604 or 605, respectively) to the Indian Tribe or consortium of Indian Tribes for the purpose for which direct funding is sought; and

(B) A consortium of Indian Tribes, if each tribe satisfies the requirements of subparagraph (A).

In summary, directly eligible tribes must meet each of the requirements set forth in (A)(i), (A)(ii), and (A)(iv). Tribes must also meet at least one of the requirements set forth in (A)(iii), that is either (A)(iii)(I), (A)(iii)(II), (A)(iii)(III), or (A)(iii)(IV). Finally, under subparagraph (B), a consortium may also be eligible to be a recipient if each Indian Tribe in the consortium meets the criteria for a directly eligible tribe under subparagraph (A).

In FY 2021, applicants must self-certify as to whether they meet the eligibility requirements.

Self-certification will be provided on the THSGP Eligibility Certification Form as part of the application Investment Justification (IJ). Additionally, DHS/FEMA will verify grant recipient eligibility against these criteria. Any questions regarding an applicant’s proximity to a Critical Infrastructure (CI) site, as described in the eligibility criteria, may be directed to the State Administrative Agency (SAA) for the state with which the Tribe shares a border. The

SAA Contacts List can be found at http://www.fema.gov/media-library/assets/documents/28689?id=6363.

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.

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 Cost share or cost match is not required under this 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 5:00 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.

http://www.fema.gov/media-library/assets/documents/28689?id=6363 http://www.fema.gov/media-library/assets/documents/28689?id=6363 https://www.fema.gov/emergency-managers/nims/implementation-training https://www.fema.gov/emergency-managers/nims/implementation-training

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 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 Program Analyst or Grants Specialist. 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.

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 Registering in ND Grants Four weeks before actual submission deadline Starting the application in Grants.gov Two weeks before actual submission deadline Submitting the application in Grants.gov One week before actual submission deadline

Submitting the final application in ND Grants By the submission deadline mailto:NDGrants@fema.dhs.gov mailto:askcsid@fema.dhs.gov

Initial applications are processed through the Grants.gov portal. Final applications are completed and submitted through FEMA’s Non-Disaster Grants (ND Grants) System.

Application forms and instructions are available at Grants.gov. To access these materials, go to 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 Authorized Organizational Representative (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 https://www.grants.gov/ http://www.grants.gov/ https://www.login.gov/ 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 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.

mailto:askcsid@fema.dhs.gov

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 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 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 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.

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:

• THSGP Investment Justification (IJ) (OMB Control Number: 1660-0113/FEMA Form: 089-22), which is located in the “Related Documents” tab on Grants.gov; and https://www.grants.gov/web/grants/forms/sf-424-family.html

• Self-certification form stating the tribe’s eligibility per the Homeland Security Act of 2002, as amended (the self-certification is contained within the THSGP IJ).

Priority Investments (THSGP)

I. CYBERSECURITY

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.

II. SOFT TARGETS AND CROWDED PLACES

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.

III. DOMESTIC VIOLENT EXTREMISM

As stated in the DHS Homeland Threat Assessment, October 2020, domestic violent extremists present the most persistent and lethal terrorist threat to the Homeland, including ideologically motivated lone offenders and small groups. These violent extremists capitalize on social and political tensions, which have resulted in an elevated threat environment. They utilize social media platforms and other technologies to spread violent extremist ideologies that encourage violence and influence action within the United States. The COVID-19 pandemic has further created an environment that may lead to accelerated mobilization to targeted violence and/or radicalization to domestic terrorism, including driving lawful protests to incite violence, intimidate targets, and promote their violent extremist ideologies.

IV. EMERGING THREATS

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 UASs, 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 https://www.cisa.gov/securing-soft-targets-and-crowded-places https://www.dhs.gov/sites/default/files/publications/2020_10_06_homeland-threat-assessment.pdf

Countering Weapons of Mass Destruction Office and the Cybersecurity and Infrastructure Security Agency.

11. 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/2020/04/SPOC-4-13-20.pdf).

12. 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.

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 in FEMA Policy #405-143-1 Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services (Interim).

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;

https://www.dhs.gov/topic/weapons-mass-destruction https://www.cisa.gov/uas-critical-infrastructure https://www.cisa.gov/uas-critical-infrastructure 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 https://www.fema.gov/media-library/assets/documents/178291 https://www.fema.gov/media-library/assets/documents/178291 https://www.fema.gov/media-library/assets/documents/178291 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

(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);

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, with the exception of costs resulting from pre-award grant writing services provided by an independent contractor that shall not exceed $1,500 per applicant per year.

c. Management and Administration (M&A) Costs Management and administration (M&A) costs are allowed. Recipients may use up to 5 percent of the amount of the award for M&A. Where applicable, subrecipients may use up to 5 percent of the amount they receive for M&A. M&A activities are those defined as directly relating to the management and administration of THSGP funds, such as financial management and monitoring. M&A 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. If an applicant uses an outside consultant or contractor to provide pre-award grant writing services or post-award grant management services, additional considerations and restrictions shall apply as detailed in subsection(e) below.

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. PLANNING

Planning costs are allowed under this program only as described in this NOFO and the

II. ORGANIZATION

Organization costs are allowed under this program only as described in this NOFO and the Preparedness Grants Manual.

III. EQUIPMENT

Equipment costs are allowed under this program only as described in this NOFO and the

• Controlled Equipment

For decades, the federal government has provided equipment to state, local, and tribal law enforcement agencies (LEAs) through federal grants. Some federal grant programs have assisted LEAs as they carry out their critical missions to keep the American people safe.

The equipment acquired by LEAs through these programs includes administrative equipment, such as office furniture and computers. Some federal grant programs also may include military and military-styled equipment, firearms, and tactical vehicles provided by the federal government, including property covered under 22 C.F.R. Part 121 and 15 C.F.R. Part 774 (collectively, "controlled equipment").

However, not all equipment that is considered controlled equipment is allowable under the THSGP. As discussed further below, there are certain “prohibited equipment” that are not allowable under the THSGP. And for the procurement of certain controlled equipment that is allowable under the THSGP, there are additional submission requirements and reviews that must be met before DHS/FEMA will permit funding to be used for this purpose.

DHS/FEMA will continue to collaborate with federal agency partners to ensure that there is a consistent and reasonable approach to the restrictions placed on controlled equipment expenditures while continuing to support these investments when there is a justifiable need. Further, DHS/FEMA will continue to maintain an awareness of the evolving policy developments related to controlled equipment expenditures and keep grant recipients up to date on future developments.

Grant funds under this program may not be used for the purchase of equipment not approved by DHS/FEMA. The purchase of weapons and weapons accessories, including ammunition, is not allowed with THSGP funds. Grant funds under this program must also comply with IB 426 and may not be used for the purchase of the following equipment: 1) firearms; 2) ammunition; 3) grenade launchers; 4) bayonets; or 5) weaponized aircraft, vessels, or vehicles of any kind with weapons installed.

IV. TRAINING

Training costs are allowed under this program only as described in this NOFO and the

V. EXERCISE

Exercise costs are allowed under this program only as described in this NOFO and the

VI. PERSONNEL ACTIVITIES

Personnel hiring, overtime, and backfill expenses are permitted under this grant in order to perform allowable THSGP planning, training, exercise, and equipment activities.

Please see the Preparedness Grants Manual for additional details.

https://www.fema.gov/sites/default/files/2020-08/ib_426_controlled_equipment_recission__11-1-17.pdf

VII. TRAVEL

Domestic travel costs are allowed under this program, as provided for 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.

VIII. 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. Additionally, recipients are required to submit a SF-424C Form and Budget detail citing the project costs.

IX. OPERATIONAL OVERTIME

Operational Overtime costs are allowed under this program only as described in this NOFO and the Preparedness Grants Manual.

X. MAINTENANCE AND SUSTAINMENT

Maintenance and Sustainment costs are allowed under this program only as described in this NOFO and the Preparedness Grants Manual.

XI. CRITICAL EMERGENCY SUPPLIES

Critical emergency supply costs are allowed under this program only…