fy 2015 ipr nofo final.pdf

FY 2015 IPR Program

The Department of Homeland Security

Notice of Funding Opportunity

Fiscal Year 2015 Intercity Passenger Rail (IPR) - Amtrak

NOTE: If you are going to apply for this funding opportunity and have not obtained a Data

Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management (SAM), please take immediate action to obtain a DUNS Number, if applicable, and then to register immediately in SAM. It may take 4 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/applicants/applicant-resources.html.

A. Notice of Funding Opportunity (NOFO) Description

Issued By

U.S. Department of Homeland Security (DHS): Federal Emergency Management Agency

(FEMA), Grant Programs Directorate

Catalogue of Federal Domestic Assistance (CFDA) Number

97.075

CFDA Title

Rail and Transit Security Grant Program

Notice of Funding Opportunity Title

Intercity Passenger Rail (IPR) - Amtrak

NOFO Number

DHS-15-GPD-075-000-01

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).

Appropriation Authority for Program

Department of Homeland Security Appropriations Act, 2015, (Pub. L. No. 114-4)

Program Type

New http://www.grants.gov/ http://www.grants.gov/web/grants/applicants/applicant-resources.html

Program Overview, Objectives and Priorities

Overview

The FY 2015 IPR Program plays an important role in the implementation of the National

Preparedness System by supporting the building, sustainment, and delivery of core capabilities essential to achieving the National Preparedness Goal (the Goal) of a secure and resilient Nation.

Objectives

FY 2015 IPR Program objectives include building and sustaining core capabilities through:

Strengthening governance integration

Protection of high risk/high consequence underwater and underground rail assets

Planning

Use of visible, unpredictable deterrence

Priorities

The FY 2015 IPR Program supports all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs. Examples of tangible outcomes from IPR Program include building and sustaining emergency management capabilities through operational activities, operational packages (OPacks), Top Transit Asset List (TTAL) remediation; protection of high risk/high consequence underwater and underground rail assets; planning; use of visible, unpredictable deterrence; emergency preparedness drills and exercises; public awareness and preparedness campaigns; and protection of other high risk, high consequence areas or systems that have been identified through system wide risk assessments.

For additional information on program priorities and objectives for FY 2015 IPR

Program, refer to Appendix A – Program Priorities.

B. Federal Award Information

Award Amounts, Important Dates, and Extensions

Available Funding for the FY 2015 IPR NOFO: $10,000,000

Period of Performance: Thirty-six (36) Months

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

Information (Extensions).

Projected Period of Performance Start Date(s): September, 1 2015

Projected Period of Performance End Date(s): August 31, 2018

Funding Instrument Cooperative Agreement with the National

Passenger Railroad Corporation (Amtrak)

Program authority and responsibility under this Cooperative Agreement reside with

FEMA. FEMA retains the right to terminate all or part of the Cooperative Agreement as permitted by 2 C.F.R. § 200.339 and may conduct site visits and monitoring throughout the period of performance.

FEMA will work with Amtrak to develop and refine the details of executing this award, for example, including work plans, goals and objectives, timelines, deliverables and effectiveness measures, selection of key players, development of any outreach or educational materials, coordination of multistate efforts, as well as defining eligible and ineligible tasks to ensure that the program is effectively implemented. Amtrak shall not develop or engage in the development of tasks not approved in the application without prior approval and the issuance of an amendment to the award by FEMA.

IPR Program Management: Roles and Responsibilities at DHS/FEMA (Substantial

Role of Federal Agency)

Effective management of the IPR Program entails a collaborative effort and partnership within DHS/FEMA, the dynamics of which require continuing outreach, coordination, and interfacing. For the FY 2015 IPR Program, FEMA is responsible for designing and operating the required administrative mechanisms to implement and manage the grant program. The Transportation Security Administration (TSA) provides programmatic subject matter expertise for the transportation industry. TSA assists by coordinating the intelligence information and risk/vulnerability assessments resulting in ranking and rating rail and mass transit assets nationwide against threats associated with potential terrorist attacks and in defining the parameters for identifying, protecting, deterring, responding, and recovering from such incidents. Together, these two agencies, with additional assistance and cooperation of the Federal Railroad Administration (FRA), determine the primary security architecture of the IPR Program.

FEMA and TSA provide substantial Federal involvement with the following activities:

Review and approve the Investment Justifications (IJs) prior to submitting the formal application

Retain the authority to halt Amtrak’s funded activity immediately if Amtrak does not meet all conditions as listed in the award

Review of Amtrak’s project management plans and decisions

Requires Amtrak to maintain close collaboration with Federal program staff for the purpose of controlling all aspects of Amtrak’s performance of grant program activities

Quarterly review of Amtrak’s progress towards resolution of identified project issues

C. Eligibility Information

Eligible Applicants

The National Passenger Railroad Corporation (Amtrak) is the only entity eligible to apply for funding under the FY 2015 Intercity Passenger Rail Program.

Maintenance of Effort

Maintenance of effort is not required under this program

Cost Match

Cost match is not required under this program

D. Application and Submission Information

Submission Date and Other Key Dates and Times

Date Posted to Grants.gov: April 2, 2015

Application Submission Deadline: May 19, 2015 at 11:59 PM EDT

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 the full application.

In general, FEMA will not review applications that are not received by the deadline or consider them 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, or other exigent or emergency circumstances. If you experience technical issues, you must notify the respective headquarters Program Analyst as soon as possible.

Anticipated Award Date: No later than 09/30/2015

Other Key Dates:

The chart below outlines suggested/estimated deadlines for completing the five steps required for a successful application submission prior to the deadline. These dates are only recommendations as applicants are responsible for planning far enough in advance to complete their application. The requirements outlined in the chart below are outside of

FEMA’s purview. Therefore, FEMA does not guarantee the timeframes for completing those processes. Failure of an applicant to comply with any of the required steps before the deadline for submitting their application may disqualify their application from funding.

Applicants are encouraged to register early for Authorized Organizational

Representative (AOR) authorization. The registration process can take four weeks or more to be completed. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines.

Task Suggested timeframe for completion of task to meet submission deadline

Obtain DUNS Number April 21, 2015

Obtain valid Employer Identification Number (EIN) April 21, 2015

Update SAM registration April 21, 2015

Submit initial application in grants.gov May 9, 2015

Submitting application in ND Grants May 19, 2015 (firm)

Address to Request Application Package

Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov, select “Applicants” then “Apply for Grants,” read the registration requirements and register if necessary (Wait at least 7-10 business days after you submit before your registration is active in SAM, then an additional 24 hours for Grants.gov to recognize your information). In order to obtain the application package select “Download a Grant Application Package,” enter the CFDA and/or the funding opportunity number located on the cover of this NOFO, select

“Download Package,” and then follow the prompts to download the application package.

If you experience difficulties accessing information or have any questions please call the

Grants.gov customer support hotline at (800) 518-4726.

Hard copies of the FY 2015 IPR NOFO are not available.

In addition, the Telephone Device for the Deaf (TDD) and/or Federal Information Relay

Service (FIRS) number available for this Notice is: (800) 462-7585.

Applications will be processed through the Grants.gov portal and FEMA’s ND Grants

System.

Content and Form of Application Submission

Applying for an award under this program is a multi-step process and requires time to complete. To ensure that an application is submitted on time, applicants are advised to start the required steps well in advance of their submission. Please review the table above under “Submission Dates and Other Key Dates and Times” for estimated deadlines to complete each of the six steps listed below. Failure of an applicant to comply with any of the required steps before the deadline for submitting their application may disqualify their application from funding.

The steps involved in applying for an award under this program are:

1. Applying for, updating or verifying their DUNS Number;

2. Applying for, updating or verifying their EIN Number;

3. Updating or verifying their SAM Number;

4. Establishing an Authorized Organizational Representative (AOR) in

Grants.gov;

5. Submitting an initial application in Grants.gov; and

6. Submitting the complete application in ND Grants.

http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/

For additional information regarding the DUNS Number, EIN Number, SAM Number, and AOR requirements, please see the section below entitled Dun and Bradstreet

Universal Numbering System (DUNS) Number, System for Award Management (SAM), and Authorized Organizational Representative (AOR).

Submitting an Initial Application Submission in Grants.gov.

Amtrak must submit its initial application through Grants.gov. Amtrak may need to first create a Grants.gov user profile by visiting the Get Registered section of the Grants.gov website. Successful completion of this step is necessary for FEMA to determine eligibility of any applicant. Amtrak should complete this initial step online which requires completing:

Standard Form 424 (SF424), Application for Federal Assistance, and

Grants.gov (GG) Form Certification Regarding Lobbying Form.

Both forms are available in the Forms tab under the SF-424 Family. The initial application cannot be started or submitted in Grants.gov until Amtrak’s registration in

SAM is confirmed.

Application forms and instructions are available at Grants.gov by selecting Apply for

Grants. Enter the CFDA number or the Opportunity ID Number noted in this NOFO, select Download Application Package, and follow the prompts to download the application package. The information submitted in Grants.gov will be retrieved by ND

Grants, which will allow FEMA to determine if an applicant is eligible. Amtrak is encouraged to submit their initial application in Grants.gov at least ten days before the May 19, 2015, application deadline.

If you need assistance applying through Grants.gov, please go to the Grant Application page, contact support@grants.gov, or call 800-518-4726. FEMA cannot assist with questions related to registering with Grants.gov.

Submitting the Complete Application in Non Disaster Grants System (ND Grants)

Amtrak will be notified by FEMA and asked to proceed with submitting its complete application package in ND Grants. Amtrak can register early with ND Grants and is encouraged to begin its ND Grants registration at the time of this announcement. Early registration will allow Amtrak to have adequate time to start and complete its application.

In ND Grants, Amtrak will be prompted to submit all of the information contained in the following forms. Amtrak should review these forms before applying to ensure it has included all the required information required.

Standard Form 424A, Budget Information (Non-construction);

Standard Form 424B, Standard Assurances (Non-construction); and

Standard Form LLL, Disclosure of Lobbying Activities

In addition Amtrak must submit copies of the following in ND Grants:

http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/web/grants/applicants/grant-application-process.html http://www.grants.gov/web/grants/applicants/grant-application-process.html mailto:support@grants.gov?subject=GRANTS.GOV%20Support%20Center https://portal.fema.gov/

Standard Form 424D, Standard Assurances (Construction) if applying for funds to use for construction;

Standard Form 424C, Budget Information (Construction) if applying for grants to support construction;

Investment Justification;

Indirect Cost Agreement, if applicable

If you need assistance registering for the ND Grants system, please contact ndgrants@fema.gov or (800) 865-4076.

Dun and Bradstreet Universal Numbering System (DUNS) Number, System for

Award Management (SAM), and Authorized Organizational Representative (AOR)

Before Amtrak can apply for a DHS/FEMA grant at Grants.gov, it must have a DUNS number and must be registered in the System for Awards Management (SAM).

Obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) Number

The DUNS number must be included in the data entry field labeled "Organizational

DUNS" on the SF-424 form. Instructions for obtaining a DUNS number can be found at the following website: http://www.grants.gov//web/grants/applicants/organization-registration/step-1-obtain-duns-number.html

Amtrak must provide a DUNS number with their application. This number is a required field for all subsequent steps in the application submission. Amtrak should verify they have a DUNS number, or take the steps necessary to obtain one.

Amtrak can receive a DUNS number at no cost by calling the DUNS number request line at (866) 705-5711. FEMA cannot assist with questions related to obtaining a current

DUNS number.

Obtain an Employer Identification Number (EIN).

FEMA requires both the EIN and a DUNS number prior to the issuance of a financial assistance award and for grant award payment; both the EIN and DUNS are also required to register with SAM (see below). The EIN base for an organization is the Internal

Revenue Service (IRS) Tax ID number; for individuals it is their social security number, (both the EIN and social security number are nine-digit numbers). Organizations and individuals submitting their applications must correctly differentiate the EIN from the

DUNS since both are nine-digit numbers. If these numbers are not correctly identified in the application, this may result in a delay in the issuance of the funding award and/or incorrect payment to Amtrak.

Organizations applying for an EIN should plan on a minimum of two full weeks to obtain an EIN. If you need assistance registering an EIN, please go to IRS helpline. FEMA cannot assist with questions related to obtaining a current EIN.

Register with the System for Award Management (SAM)

Applicants applying for grant funds electronically through Grants.gov must register with the Federal System for Award Management (SAM). Step-by-step instructions for mailto:ndgrants@fema.gov http://www.grants.gov/ http://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html http://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html http://www.irs.gov/Businesses/Small-Businesses-&-Self-Employed/Apply-for-an-Employer-Identification-Number-(EIN)-Online http://www.irs.gov/Businesses/Small-Businesses-&-Self-Employed/Apply-for-an-Employer-Identification-Number-(EIN)-Online registering with SAM can be found here:

http://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html. Amtrak must register with SAM in order to apply online. Failure to register with SAM will result in your application being rejected by Grants.gov during the submissions process.

Payment under any FEMA award is contingent on the recipient’s having a current SAM registration. The SAM registration process must be completed by Amtrak. It is imperative that the information provided by Amtrak is correct and current. Please ensure that your organization’s name, address, DUNS number and EIN are up to date in SAM and that the DUNS number used in SAM is the same one used to apply for all other

FEMA awards.

SAM registration is a multi-step process including validating your EIN with IRS to obtain a Commercial and Government Entity (CAGE) code. The CAGE code is only valid for one year after issuance and must be current at the time of application.

SAM sends notifications to the registered user via email 60, 30, and 15 days prior to expiration of the SAM registration for the Entity. SAM registration may lapse due to inactivity. To update or renew your Entity records(s) in SAM you will need to create a

SAM User Account and link it to your migrated Entity records.

If you need assistance registering, please go to SAM or call 866-606-8220. FEMA cannot assist applicants with questions related to registering in SAM or obtaining a current CAGE code.

Authorized Organizational Representative

The next step in the registration process is creating a username and password with

Grants.gov to become an Authorized Organizational Representative (AOR). AORs will need to know the DUNS number of the organization for which they will be submitting applications to complete this process. To read more detailed instructions for creating a profile on Grants.gov visit:

http://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html.

AOR Authorization

After creating a profile on Grants.gov, the E-Biz Point of Contact (E-Biz POC) a representative from Amtrak who is the contact listed for SAM will receive an email to grant the AOR permission to submit applications on behalf of their organization. The E-

Biz POC will then log in to Grants.gov and approves an applicant as the AOR, thereby giving him or her permission to submit applications. To learn more about AOR

Authorization visit: http://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html. To track an AOR status visit:

http://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html.

Amtrak is encouraged to register early. The registration process can take four weeks or more to be completed. Therefore, registration should be done in sufficient time to http://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html http://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html http://www.grants.gov/ http://www.sam.gov/ http://www.sam.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html http://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html http://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html http://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html http://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html ensure it does not impact your ability to meet required submission deadlines. After you have been approved as an AOR you will be able to submit your application online.

Electronic Signature

Applications submitted through Grants.gov constitute a submission as electronically signed applications. The registration and account creation with Grants.gov with E-Biz

POC approval establishes an Authorized Organization Representative (AOR). When you submit the application through Grants.gov, the name of your AOR on file will be inserted into the signature line of the application. Amtrak must register the individual who is able to make legally binding commitments for Amtrak as the Authorized Organization

Representative (AOR); this step is often is overlooked and it is crucial for valid submissions.

IPR Specific Application Instructions

Amtrak will submit its IPR grant application, the associated IJs to include Detailed

Budgets and associated MOUs/MOAs as a file attachment within https://portal.fema.gov prior to the application deadline date and time.

Investment Justification (IJ)

As part of the FY 2015 IPR application process, Amtrak must develop a formal IJ that addresses each initiative being proposed for funding, including a project’s management and administration (M&A) costs. Amtrak may submit up to 15 IJs. The IJ 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 Goal. Amtrak is strongly encouraged to submit a separate IJ for each proposed project. IPR projects must be: 1) both 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.

Amtrak must ensure that the IJ is consistent with all applicable requirements outlined in this application kit.

IJs must be submitted with the grant application as a file attachment within https://portal.fema.gov. Amtrak must use the following file naming convention when submitting its IJ attachments through https://portal.fema.gov as part of the FY 2015 IPR

Program:

Name of Applicant_IJ Number (Example: Amtrak_IJ 1)

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

I. Background

II. Strategic and Program Priorities

III. Impact

IV. Funding/Implementation Plan http://www.grants.gov/ https://portal.fema.gov/

Amtrak will find an IJ Template in Appendix C – Program Investment Justification

Template. This worksheet may be used as a guide to assist Amtrak in the preparation of the IJ.

Detailed Budget

Amtrak must also provide a detailed budget for the funds requested. The detailed budget must be submitted with the grant application as a file attachment within https://portal.fema.gov. The budget must be complete, reasonable, and cost-effective in relation to the proposed project. The budget should provide the basis of computation of all project-related costs, any appropriate narrative, and a detailed justification of M&A costs.

Amtrak must use the following file naming convention when submitting detailed budgets through https://portal.fema.gov as part of the FY 2015 IPR Program:

Agency_IJ Number_Budget (Example: Amtrak_IJ 1_Budget)

Amtrak will find a sample Budget Detail Worksheet in Appendix D – Sample Budget

Detail Worksheet. This worksheet may be used as a guide to assist Amtrak in the preparation of the budget and budget narrative.

Sensitive Security Information (SSI) Requirements

A portion of the information routinely submitted in the course of applying for funding or reporting under certain programs or provided in the course of an entity’s grant management activities under those programs which is under Federal control is subject to protection under SSI, and must be properly identified and marked. 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 located at 49 CFR § 1520.7.

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

FEMA. This means that applicants shall label documents as SSI in accordance with 49

CFR § 1520.13 and password protect prior to submission. The passwords for protected documents must be sent (in a separate email from that containing the documents) to the following e-mail address: askcsid@dhs.gov. For further information, please contact

CSID at (800) 368-6498, Monday through Friday, 8:00 a.m. – 5:30 p.m. EST.

The subject line of the email should identify:

Applicant name

Application number

The body of the e-mail should clearly identify:

mailto:askcsid@dhs.gov

Applicant name

IJ number and/or summary description

Point of contact information

NOTE: A single password should be provided for all SSI documents within the same application.

Funding Restrictions

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

Environmental Planning and Historic Preservation (EHP) Compliance

As a Federal agency, FEMA is required to consider the effects of its actions on the environment and historic properties to ensure that all activities and programs funded by the agency, including grants-funded projects, comply with Federal EHP regulations, laws and Executive Orders as applicable. Recipients and subrecipients proposing projects that have the potential to impact the environment, including but not limited to construction of communication towers, modification or renovation of existing buildings, structures and facilities, or new construction including replacement of facilities, must participate in the

FEMA EHP review process. The EHP review process involves the submission of a detailed project description that explains the goals and objectives of the proposed project along with supporting documentation so that FEMA may determine whether the proposed project has the potential to impact environmental resources and/or historic properties. In some cases, FEMA also is required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed before funds are released to carry out the proposed project. FEMA will not fund projects that are initiated without the required EHP review.

Additionally, all recipients are required to comply with FEMA EHP Policy Guidance.

This EHP Policy Guidance can be found in FP 108-023-1, Environmental Planning and

Historic Preservation Policy Guidance., and FP 108.24.4, Environmental Planning and

Historical Preservation Policy

SAFECOM

Recipients (including subrecipients) who receive awards under the IPR that wholly or partially provide funding for emergency communication projects and related activities must comply with the most recent version of the SAFECOM Guidance on Emergency

Communications Grants. This guidance provides recommendations to recipients regarding interoperable emergency communications projects, including allowable costs, eligible activities, grants management best practices for emergency communications grants, and information on technical standards that ensure greater interoperability. The guidance is intended to ensure that Federally-funded investments are compatible, interoperable, and support the national goals and objectives for improving emergency communications nationwide. Recipients (including subrecipients) investing in http://www.dhses.ny.gov/grants/ehp/EHP-PolicyGuidance-508.pdf http://www.dhses.ny.gov/grants/ehp/EHP-PolicyGuidance-508.pdf http://www.fema.gov/media-library-data/1388411752234-6ddb79121951a68e9ba036d2569aa488/18Dec13-NoNEPAReview.pdf http://www.fema.gov/media-library-data/1388411752234-6ddb79121951a68e9ba036d2569aa488/18Dec13-NoNEPAReview.pdf http://www.safecomprogram.gov/grant/Default.aspx http://www.safecomprogram.gov/grant/Default.aspx broadband-related investments should review Information Bulletin (IB) 386, Clarification on Use of DHS/FEMA Public Safety Grant Funds for Broadband-Related Expenditures and Investments, and consult their FEMA HQ Program Analyst on such investments before developing applications.

Pre-award Costs

Pre-award costs are allowable only with the prior written approval of FEMA and if they are included in the award agreement. To request pre-award costs, a written request must be included with the application. The request must be signed by the Authorized

Representative of the entity. The letter must outline what the pre-award costs are for, including a detailed budget break-out of pre-award costs from the post-award costs, and a justification for approval.

Direct Costs

Cost Principles

Costs charged to this award must be consistent with the Cost Principles for

Federal Awards located at 2 C.F.R. Part 200, Subpart E.

Operational Packages (OPacks)

OPack costs are allowed under this program as described in this NOFO. Amtrak may elect to pursue OPack funding, such as Canine Teams, Mobile Explosive

Screening Teams, and Anti-Terrorism Teams, for new capabilities as well as to sustain existing OPacks. In addition, Amtrak must commit to minimum training standards to be set by the Department for all IPR funded security positions.

Travel

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

International travel is NOT an allowable cost under this program unless approved in advance by FEMA.

Construction and Renovation

Construction and renovation costs are allowed under this program as described in this NOFO. Amtrak must obtain prior written approval from FEMA before using any IPR program funds for construction or renovation. Additionally, Amtrak is required to submit a SF-424C Budget and Budget detail citing the project costs.

Amtrak must submit all documentation resulting from that review to GPD prior to submitting materials for EHP review. Amtrak is also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation

Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and EHP laws and requirements).

Projects for which Amtrak believes an Environmental Assessment (EA) may be needed, as defined in 44 C.F.R. §§ 10.8 and 10.9, must also be identified to the

FEMA headquarters Program Analyst within six months of the award and completed EHP review materials must be submitted no later than 12 months http://www.fema.gov/grants/grant-programs-directorate-information-bulletins before the end of the period of performance. EHP review packets should be sent to gpdehpinfo@fema.gov.

If Amtrak uses funds for construction projects, it must comply with the Davis-

Bacon Act (40 U.S.C. § 3141 et seq.) as required by 6 U.S.C. § 1163(h). Amtrak must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis-Bacon Act, including Department of Labor (DOL) wage determinations, is available at http://www.dol.gov/compliance/laws/comp-dbra.htm.

Operational Overtime

Operational Overtime costs are allowed under this program as described in this

NOFO. For additional information on overtime for the FY 2015 IPR Program, refer to Appendix B – Funding Guidelines.

Maintenance and Sustainment

Maintenance and Sustainment related costs, such as maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable as described in this NOFO and FEMA Policy FP 205-402-125-1, located at:

http://www.fema.gov/media-library/assets/documents/32474.

For additional information on allowable costs and funding restrictions, refer to

Appendix B of this NOFO, FY 2015 IPR Funding Guidelines.

Management and Administration (M&A)

Management and administration costs are allowed. Amtrak may use up to five percent

(5%) of the amount of the award for 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.

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

Indirect costs are allowable under this program as described in 2 C.F.R. § 200.414. With the exception of recipients who have never received a negotiated indirect cost rate as described in 2 C.F.R. § 200.414(f), recipients must have an approved indirect cost rate agreement with their cognizant Federal agency to charge indirect costs to this award. A copy of the approved rate (a fully executed, agreement negotiated with the applicant’s cognizant Federal agency) is required at the time of application, and must be provided to

FEMA before indirect costs are charged to the award.

mailto:gpdehpinfo@fema.gov http://www.dol.gov/compliance/laws/comp-dbra.htm http://www.dol.gov/compliance/laws/comp-dbra.htm http://www.fema.gov/media-library/assets/documents/32474

E. Application Review Information

Criteria

Amtrak is the only entity eligible to submit an application for the IPR Program. Amtrak must comply with all administrative requirements described herein ― including the submission of IJs, budgets, and other application materials as required.

Investment justifications 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 specific funding priorities contained in the FY 2015 IPR

Program NOFO.

2. Ability to reduce risk of catastrophic events. Projects will be evaluated and prioritized on their ability to reduce risk associated with potential terrorist attacks and all other types of hazards.

3. Sustainability without additional Federal funds and leveraging of other funding.

Projects will be evaluated and prioritized regarding the extent to which they exhibit a likelihood of success, or continued success, without requiring additional Federal assistance.

4. Timeline. Projects will be evaluated and prioritized on the ability of the Amtrak to complete the proposed project within submitted timeframes.

Grant projects must be: 1) both 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.

FEMA will use the information provided in the application, as well as any supporting documentation, to determine the feasibility and effectiveness of the grant project.

Information that would assist in the feasibility and effectiveness determination includes the following:

• Scope of work (purpose and objectives of the project, identification of what is being protected)

• Desired outcomes, including expected long-term impact where applicable

• Summary of status of planning and design accomplished to date (e.g. included in a capital improvement plan)

• Project schedule

Recipients are expected to conform, as applicable, with accepted engineering practices, established codes, standards, modeling techniques, and best practices.

F. Federal Award Administration Information

Notice of Award

Notification of award approval is made through the ND Grants system through an automatic e-mail to Amtrak’s point of contact (the “authorized official”) listed in the initial application. The “award date” for IPR will be the date that FEMA approves the award. Amtrak should follow the directions in the notification to confirm acceptance of the award.

Amtrak must accept their award no later than 90 days from the award date. Amtrak shall notify the awarding agency of its intent to accept and proceed with work under the award, through the ND Grants system. For instructions on how to accept or decline and award in the ND Grants system, please see pages 40-43 in the ND Grants Grantee Training

Manual.

Funds will remain on hold until Amtrak accepts the award through ND Grants System and all other conditions of award have been satisfied, or the award is otherwise rescinded.

Failure to accept the award within the 90 day timeframe may result in a loss of funds.

Administrative and National Policy Requirements

Successful applicants for all DHS/FEMA grant and cooperative agreements are required to comply with DHS Standard Administrative Terms and Conditions, which are available online at: http://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions

Before accepting the award the authorized official should carefully read the award package. The award package contains instructions on administering the grant award, as well as the terms and conditions with which Amtrak must comply. Amtrak must accept all the conditions in this NOFO as well as all Terms and Conditions in Notice of Award to receive an award under this program.

Reporting

Amtrak is required to submit various financial and programmatic reports as a condition of its award acceptance. Future awards and fund drawdowns may be withheld if these reports are delinquent.

Federal Financial Reporting Requirements

Federal Financial Report (FFR)

Amtrak must report obligations and expenditures on a quarterly basis through the FFR

(SF-425) to FEMA. Amtrak must file the FFR electronically using PARS. A FFR report must be submitted quarterly throughout the period of performance, including partial calendar quarters, as well as for periods where no grant award activity occurs. The final

FFR is due 90 days after the end date of the performance period. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate lack of progress, or are insufficient in detail.

Recipients may review the Federal Financial Reporting Form (FFR) (SF-425) here:

http://www.whitehouse.gov/sites/default/files/omb/grants/approved_forms/SF-425.pdf, SF-425 OMB #00348-0061.

Financial Reporting Periods and Due Dates

The following reporting periods and due dates apply for the FFR:

https://www.fema.gov/media-library/assets/documents/25949 https://www.fema.gov/media-library/assets/documents/25949 http://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions http://www.whitehouse.gov/sites/default/files/omb/grants/approved_forms/SF-425.pdf

Reporting Period Report Due Date

October 1 – December 31 January 30

January 1 – March 31 April 30

April 1 – June 30 July 30

July 1 – September 30 October 30

Financial and Compliance Audit Report

For audits of fiscal years beginning on or after December 26, 2014, recipients that expend

$750,000 or more from all Federal funding sources during their fiscal year are required to submit an organization-wide financial and compliance audit report. The audit must be performed in accordance with the requirements of GAO’s Government Auditing

Standards, located at http://www.gao.gov/govaud/ybk01.htm, and the requirements of

Subpart F of 2 C.F.R. Part 200, located at http://www.ecfr.gov/cgi-bin/text-idx?SID=876f827f6fae2c4bce610e9427a6d229&node=sp2.1.200.f&rgn=div6.

For audits of fiscal years beginning prior to December 26, 2014, recipients that expend

$500,000 or more from all Federal funding sources during their fiscal year are required to submit an organization-wide financial and compliance audit report. The audit must be performed in accordance with GAO’s Government Auditing Standards, located at http://www.gao.gov/govaud/ybk01.htm, and OMB Circular A-133, Audits of States, Local

Governments, and Non-Profit Organizations, located at http://www.whitehouse.gov/omb/circulars/a133_compliance_supplement_2012

Program Performance Reporting Requirements

Performance Progress Reports (SF-PPR)

Recipients are responsible for providing updated performance reports using the SF-PPR on a biannual basis. Recipients must submit the cover page of the SF-PPR as an attachment in the ND Grants system. The SF-PPR can be accessed online at http://www.na.fs.fed.us/fap/SF-PPR_Cover%20Sheet.pdf.

Program Performance Reporting Periods and Due Dates

The following reporting periods and due dates apply for the PPR:

Reporting Period Report Due Date

January 1 – June 30 July 30

July 1 – December 31 January 30

Closeout

FEMA will close out the grant award when it determines that all applicable administrative actions and all required work of the IPR award have been completed by

Amtrak. This section summarizes the actions that Amtrak must take to complete the closeout process in accordance with 2 C.F.R. § 200.343 at the end of the grant’s period of performance or the issuance of a Grant Amendment Notice issued to close out the grant.

http://www.gao.gov/govaud/ybk01.htm http://www.ecfr.gov/cgi-bin/text-idx?SID=876f827f6fae2c4bce610e9427a6d229&node=sp2.1.200.f&rgn=div6 http://www.ecfr.gov/cgi-bin/text-idx?SID=876f827f6fae2c4bce610e9427a6d229&node=sp2.1.200.f&rgn=div6 http://www.gao.gov/govaud/ybk01.htm http://www.whitehouse.gov/omb/circulars/a133_compliance_supplement_2012 http://www.na.fs.fed.us/fap/SF-PPR_Cover%20Sheet.pdf

Within 90 days after the end of the period of performance, or after an amendment has been issued to close out a grant, whichever comes first, Amtrak must submit a final FFR and final progress report detailing all accomplishments and a qualitative summary of the impact of those accomplishments throughout the period of performance, as well as the following documentation:

1) Final request for payment, if applicable;

2) SF-425 –Final Federal Financial Report;

3) SF-PPR – Final Performance Progress Report;

4) A qualitative narrative summary on the impact of those accomplishments throughout the entire period of performance submitted to the respective Grant

Programs Directorate (GPD) HQ Program Analyst in a Word document;

5) SF-428 – Tangible Personal Property Report – Inventory of all tangible personal property acquired using funds from this award; and

6) Other documents required by program guidance or terms and conditions of the award.

If applicable, an inventory of all construction projects that used funds from this program has to be reported using the Real Property Status Report (Standard Form SF 429) available at http://www.whitehouse.gov/sites/default/files/omb/grants/approved_forms/sf-

429.pdf.

Additionally, Amtrak must liquidate all obligations incurred under the IPR award no later than 90 calendar days after the end date of the period of performance or issuance of a

Grant Amendment Notice that closes out the award, whichever comes first. If Amtrak does not liquidate its obligations within this time period, it may have the costs of its unliquidated obligations disallowed. Amtrak is also responsible for promptly returning to the Department of Transportation the balance of any funds that have been drawn down, but remain unliquidated.

After these reports have been reviewed and approved by FEMA, a close-out notice will be completed to close out the grant. The notice will indicate the period of performance as closed, list any remaining funds the recipient has not drawn down that will be deobligated, and address requirements for record retention, and disposition and reporting requirements for any equipment or real property purchased using IPR grant funding.

If Amtrak issues subgrants to any subrecipients, it is responsible for closing out those subgrants as described in 2 C.F.R. § 200.343. Amtrak must ensure that it completes the closeout of its subgrants in time to submit all necessary documentation and information to FEMA during the closeout of its own grant award.

G. DHS Awarding Agency Contact Information

Contact and Resource Information

Centralized Scheduling and Information Desk (CSID) http://www.whitehouse.gov/sites/default/files/omb/grants/approved_forms/sf-428.pdf;

http://www.whitehouse.gov/sites/default/files/omb/grants/approved_forms/sf-429.pdf http://www.whitehouse.gov/sites/default/files/omb/grants/approved_forms/sf-429.pdf

CSID is a non-emergency comprehensive management and information resource developed by DHS/FEMA for grants stakeholders. CSID provides general information on all FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the Federal, state, and local levels. When necessary, recipients will be directed to a Federal point of contact who can answer specific programmatic questions or concerns. CSID can be reached by phone at (800)368-6498 or by e-mail at askcsid@dhs.gov, Monday through Friday, 8:00 a.m. – 5:30 p.m. EST.

GPD Grant Operations Division

GPD’s Grant Operations Division Business Office provides financial support and technical assistance. The Grant Operations Division manages, administers, and conducts application budget review, creates the award package, approves, amends and closes out awards. Additional guidance and information can be obtained by contacting the FEMA

Call Center at (866) 927-5646 or via e-mail to ASK-GMD@dhs.gov.

FEMA Regions

FEMA Regions may also provide fiscal support, including pre- and post-award administration and technical assistance such as conducting cash analysis, financial monitoring, and audit resolution to the grant programs included in this solicitation. GPD will provide programmatic support and technical assistance. A list of contacts in FEMA

Regions is available online.

Systems Information

Grants.gov. For technical assistance with Grants.gov, please call the customer support hotline at (800)518-4726.

Non-Disaster (ND) Grants. For technical assistance with the ND Grants system, please contact ndgrants@fema.gov or (800)865-4076.

GPD Environmental Planning and Historic Preservation (GPD-EHP)

The FEMA GPD-EHP Team provides guidance and information about the EHP review process to recipients. All inquiries and communications about GPD projects or the EHP review process, including the submittal of EHP review materials, should be sent to gpdehpinfo@fema.gov. EHP Technical Assistance, the EHP Screening Form, can be found at http://www.fema.gov/media-library-data/20130726-1806-25045-

2839/gpd_ehp_screening_form_omb_1660_0115_june_2011.pdf.

Telephone Device for the Deaf (TDD)

The Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service

(FIRS) number available for this Announcement is: (800) 462-7585.

Hard Copies of the NOFO

Hard Copies of the NOFO are not available.

mailto:askcsid@dhs.gov mailto:ASK-GMD@dhs.gov http://www.fema.gov/about/contact/regions.shtm http://www.fema.gov/about/contact/regions.shtm http://www.grants.gov/ mailto:ndgrants@fema.gov mailto:gpdehpinfo@fema.gov http://www.fema.gov/media-library-data/20130726-1806-25045-2839/gpd_ehp_screening_form_omb_1660_0115_june_2011.pdf http://www.fema.gov/media-library-data/20130726-1806-25045-2839/gpd_ehp_screening_form_omb_1660_0115_june_2011.pdf

H. Additional Information

National Preparedness

DHS/FEMA coordinates with local, state, territory, Tribal, and Federal governments as well as the private and nonprofit sectors to facilitate an all-of-nation/whole community, risk driven, and capabilities-based approach to preparedness. The FY 2015 IPR program plays an important role in the implementation of the National Preparedness System by supporting the building, sustainment, and delivery of core capabilities. Core capabilities are essential for the execution of critical tasks identified in the National Planning

Frameworks for each of the five mission areas outlined in the Goal. Information on the

National Preparedness System can be found in the National Preparedness System

Description (released Nov 2011), which is posted on the FEMA website at https://www.fema.gov/national-preparedness-system. Additional details regarding the

National Preparedness System and how it is supported by the IPR program can be found in Appendix A – Program Priorities.

Payment

FEMA utilizes the Payment and Reporting System (PARS) for financial reporting, invoicing, and tracking payments.

FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. To enroll in the DD/EFT, Amtrak must complete a Standard Form 1199A, Direct Deposit Form.

Monitoring

Amtrak will be monitored programmatically and financially on an annual and as needed basis by FEMA staff to ensure that the activities and project goals, objectives, performance requirements, timelines, milestone completion, budgets, and…