fy 2015 thsgp nofo final.pdf

Department of Homeland Security Notice of Funding Opportunity

FY 2015 Tribal Homeland Security Grant Program (THSGP)

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)

Catalog of Federal Domestic Assistance (CFDA) Number 97.067

CFDA Title Homeland Security Grant Program

Notice of Funding Opportunity Title Tribal Homeland Security Grant Program

NOFO Number

DHS-15-GPD-067-000-02

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

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

Program Type New

FY 2015 THSGP

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

Program Overview, Objectives, and Priorities

Overview The Fiscal Year (FY) 2015 THSGP 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. Delivering core capabilities requires the combined effort of the whole community, rather than the exclusive effort of any single organization or level of government. The FY 2015 THSGP’s allowable costs support efforts to build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and Recovery mission areas.

Objectives The objective of THSGP is to implement the National Preparedness System and support efforts that build and sustain core capabilities such as:

• Advancing an all-of-Nation/whole community approach to security and emergency management

• Strengthening governance integration by working with local and regional preparedness partners

• Improving immediate emergency victim care at mass casualty events

• Sustaining innovation and sustaining support for the National Campaign to Build and Sustain Preparedness

Priorities The anticipated effects of the proposed use of the THSGP grant funds are to increase the ability of Tribes to prevent, prepare for, protect against, and respond to acts of terrorism, to meet their capability targets, and to otherwise reduce the overall risk to Tribes, high-risk urban areas, states, and the Nation.

For additional information on program priorities and objectives for the FY 2015 THSGP, refer to Appendix A – FY 2015 THSGP Priorities.

B. Federal Award Information

Award Amounts, Important Dates, and Extensions

Available Funding for FY 2015 THSGP 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: September 1, 2015

Projected Period of Performance End Date: August 31, 2018

Funding Instrument Grant

C. Eligibility Information

Eligible Applicants Directly eligible Tribes.

Eligible Criteria In order 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).

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. § 479a-1).

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)

a. that is located on or near (50 miles) an international border or a coastline bordering an ocean (including the Gulf of Mexico) or international waters;

b. that is located within 10 miles of a system or asset included on the prioritized critical infrastructure list established under section 210E(a)(2) [of the Homeland Security Act of 2002, as amended] or has such a system or asset within its territory;

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

d. 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 [UASI] or 2004 [SHSP] of [the Homeland Security Act of 2002, as amended] to the Indian Tribe or consortium of Indian Tribes for the purpose for which direct funding is sought;

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

In summary, directly eligible Tribes must meet the requirements set forth in (A) (i), and

(A) (ii), and (A) (iv). Tribes must also meet one of the requirements set forth in (A) (iii);

either (A) (iii) (a), or (A) (iii) (b), or (A) (iii) (c), or (A) (iii) (d). Finally, the requirement in (B) may also be satisfied, if each Tribe satisfies the requirements of subparagraph (A).

In FY 2015, 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 application Investment Justification (IJ). 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 Tribal Nation shares a border. The State Administrative Contacts List can be found at http://www.fema.gov/media-library/assets/documents/28689?id=6363.

Other Eligibility Criteria:

National Incident Management System (NIMS) Implementation Prior to allocation of any Federal preparedness awards in FY 2015, recipients must ensure and maintain adoption and implementation of NIMS.

Emergency management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment and/or supplies) to meet incident needs.

Utilization of the standardized resource management concepts such as typing, credentialing, and inventorying promote a strong national mutual aid capability needed to support delivery of core capabilities. Additional information on resource management and NIMS resource typing definitions and job titles/position qualifications is available on FEMA’s website under National Integration Center Resource Management.

DHS/FEMA developed the NIMS Guideline for Credentialing of Personnel to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes, and identifies tools which Federal Emergency Response Officials (FEROs) and emergency managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses.

http://www.fema.gov/media-library/assets/documents/28689?id=6363 http://www.fema.gov/resource-management-mutual-aid

Although state, local, tribal, and private sector partners—including nongovernmental organizations—are not required to credential their personnel in accordance with these guidelines, DHS/FEMA strongly encourages them to do so in order to leverage the Federal investment in the Federal Information Processing Standards (FIPS) 201 infrastructure and to facilitate interoperability for personnel deployed outside their home jurisdiction. Additional information is available from the NIMS Guideline for the Credentialing of Personnel.

Maintenance of Effort There is no Maintenance of Effort requirement for this program.

Cost Share or Match There is no Cost Share or Cost Match requirement for 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 11:59:59 p.m. (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, DHS/FEMA will not review applications that are not received by the deadline or consider them for funding. DHS/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 (HQ) Program Analyst as soon as possible.

Anticipated Award Date: No later than 9/30/2015

Other Key Dates:

Estimated deadlines for completing the five steps required for a successful application.

These dates are only recommendations as applicants are responsible for planning far enough in advance to complete their application.

http://www.fema.gov/pdf/emergency/nims/nims_alert_cred_guideline.pdf http://www.fema.gov/pdf/emergency/nims/nims_alert_cred_guideline.pdf

Event Suggested timeframe for completion of task to meet submission deadline

Obtaining a DUNS Number April 21, 2015 Obtaining a valid EIN April 21, 2015 Updating your SAM registration April 21, 2015 Submitting initial application in Grants.gov

May 9, 2015

Submitting final application in ND Grants

May 19, 2015

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 your SAM registration before your registration is active, 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 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 THSGP NOFO are not available.

In addition, the following 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 Non-Disaster Grants (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;

http://www.grants.gov/

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.

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 in Grants.gov.

All applicants must submit their initial application through Grants.gov. Applicants 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 DHS/FEMA to determine eligibility of the applicant. Applicants should complete this initial step on-line which requires completing:

• Standard Form 424 (SF-424), Application for Federal Assistance, and

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

Both forms are available in the Forms tab under SF-424 Family. The initial application cannot be started or submitted in Grants.gov unless the applicant’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. Applicants are encouraged to submit their initial application in Grants.gov at least ten days before the May 19, 2015, 11:59:59 p.m. (EDT) 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. DHS/FEMA cannot assist applicants with questions related to registering with Grants.gov.

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

Eligible applicants will be notified by DHS/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. Early registration will allow applicants to have adequate time to start and complete their application.

In ND Grants, applicants will be prompted to submit all of the information contained in the following forms. Applicants should review these forms before applying to ensure they have all the information required.

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

http://www.grants.gov/ http://www.grants.gov/ mailto:Grant%20Application%20page mailto:Grant%20Application%20page mailto:support@grants.gov?subject=GRANTS.GOV%20Support%20Center https://portal.fema.gov/ https://portal.fema.gov/

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

• Standard Form LLL, Disclosure of Lobbying Activities.

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

• THSGP Investment Justification (OMB Control Number: 1660-0113/FEMA

Form: 089-22) (see Appendix C–THSGP Investment Justification Outline for a description of the IJ and the IJ submission process);

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

• Standard Form 424 C Budget Information (Construction) if applying for funds to use for construction;

• 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) DHS/FEMA is participating in the Grants.gov Initiative that provides the Grant Community a single site to find and apply for grant funding opportunities; therefore, applicants with electronic access are to submit their applications electronically through http://www.grants.gov/web/grants/applicants/apply-for-grants.html. Before you can apply for a DHS/FEMA grant at Grants.gov, you 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

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

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

Obtain an Employer Identification Number (EIN) DHS/FEMA requires both the EIN and a DUNS number prior to the issuance of a financial assistance award and for grant award payment; both 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 of which are nine-digit numbers. Organizations and individuals submitting their applications must mailto:ndgrants@fema.gov http://www.grants.gov/web/grants/applicants/apply-for-grants.html 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 correctly differentiate the EIN from the DUNS since both are 9-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 a recipient organization.

Organization applicants applying for an EIN should plan on a minimum of 2 full weeks to obtain an EIN. If you need assistance registering an EIN please contact the IRS helpline. DHS/FEMA cannot assist applicants 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 registering with SAM can be found here:

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

Payment under any DHS/FEMA award is contingent on the recipient’s having a current SAM registration. The SAM registration process must be completed by the applicant. It is imperative that the information provided by the applicant 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 DHS/FEMA awards.

SAM registration is a multi-step process including validating your EIN with the 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. DHS/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.

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 http://www.irs.gov/Businesses/Small-Businesses-&-Self-Employed/Apply-for-an-Employer-Identification-Number-(EIN)-Online 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.sam.gov/ http://www.sam.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

AOR Authorization After creating a profile on Grants.gov, the E-Biz Point of Contact (E-Biz POC), a representative from your organization 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 approve 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.

Applicants are, therefore, 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 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 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. Applicants must register the individual who is able to make legally binding commitments for the applicant organization as the AOR; this step often is overlooked and it is crucial for valid submissions.

DHS/FEMA may not make a THSGP award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements and, if an applicant has not fully complied with the requirements by the time DHS/FEMA is ready to make an award, DHS/FEMA may determine that the applicant is not qualified to receive an award and use that determination as a basis for making an award to another applicant.

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 http://www.fws.gov/policy/library/rgeo12372.pdf). Name and addresses of the SPOCs are maintained at the Office of Management and Budget’s home page at http://www.whitehouse.gov/omb/grants_spoc to ensure currency.

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 award, 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.

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 http://www.fws.gov/policy/library/rgeo12372.pdf http://www.whitehouse.gov/omb/grants_spoc

Emergency Operation Plan (EOP) Recipients must update their EOP at least once every two years to comply with Comprehensive Preparedness Guide (CPG) 101 Version 2.0, Developing and Maintaining Emergency Operations Plans. Recipients will use the Unified Reporting Tool (URT) to report their compliance with this reporting requirement.

Threat and Hazard Identification and Risk Assessment (THIRA) FY 2015 THSGP award recipients must complete, or update (for FY 2014 THSGP recipients) their THIRA using the Unified Reporting Tool (URT) by December 31, annually. Further details on the THIRA as it relates to THSGP Program requirements can be found in Appendix A – FY 2015 THSGP Priorities. For additional guidance on THIRA, please refer to CPG 201, Second Edition, available at http://www.fema.gov/threat-and-hazard-identification-and-risk-assessment.

Law Enforcement Terrorism Prevention Per Sec. 2006 of the Homeland Security Act of 2002, as amended (6 U.S.C. § 607), DHS/FEMA is required to ensure that at least 25 percent (25%) of grant funding appropriated for the Homeland Security Grant Program and THSGP are used for law enforcement terrorism prevention activities. DHS/FEMA meets this requirement, in part, by requiring all THSGP recipients to dedicate at least 25 percent (25%) of their THSGP awards to law enforcement terrorism prevention-oriented planning, organization, training, exercise, and equipment activities, as defined in 6 U.S.C. § 607.

Environmental Planning and Historic Preservation (EHP) Compliance As a Federal agency, DHS/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 DHS/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 DHS/FEMA may determine whether the proposed project has the potential to impact environmental resources and/or historic properties. In some cases, DHS/FEMA is also 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.

DHS/FEMA will not fund projects that are initiated without the required EHP review.

Additionally, all recipients are required to comply with DHS/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 http://www.fema.gov/threat-and-hazard-identification-and-risk-assessment http://www.fema.gov/media-library-data/1383662930261-ca7eecea1cbc2a0b18f0f38b2faff304/Environmental%20Planning%20and%20Historic%20Preservation%20(EHP)%20Policy%20Guidance%20(508).pdf http://www.fema.gov/media-library-data/1383662930261-ca7eecea1cbc2a0b18f0f38b2faff304/Environmental%20Planning%20and%20Historic%20Preservation%20(EHP)%20Policy%20Guidance%20(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

SAFECOM

Recipients (including subrecipients) who receive awards under THSGP 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 broadband-related investments should review 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 DHS/FEMA and if they are included in the award agreement. To request pre-award costs a written request must be included with the application, 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.

Planning Planning related costs are allowed under this program only as described in this

NOFO.

Organization Organization costs are allowed under this program only as described in this

NOFO.

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

Training Training related costs are allowed under this program only as described in this

NOFO.

http://www.fema.gov/media-library-data/20130726-1837-25045-1238/ib_386.pdf

Exercise Exercise related costs are allowed under this program only as described in this

NOFO.

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.

Travel Domestic travel costs are allowed under this program, as provided for 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 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. Limits on the total amount of grant funding that may be used for construction or renovation may apply. See Appendix B for additional details. Additionally, recipients are required to submit a SF-424C Budget and Budget detail citing the project costs.

Operational Overtime Operational Overtime costs are allowed under this program only as described in this NOFO.

Maintenance and Sustainment Maintenance and Sustainment related costs are allowed under this program only as described in this NOFO.

Critical Emergency Supplies Critical emergency supply related costs are allowed under this program only as described in this NOFO.

Secure Identification Secure Identification project related costs are allowed under this program only as described in this NOFO.

For additional information on allowable costs and Funding Restrictions, refer to Appendix B of this NOFO, FY 15 THSGP Funding Guidelines.

Management and Administration (M&A) Management and administration costs are allowed. Recipients 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 THSGP funds, such as financial management and monitoring.

Indirect or 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 DHS/FEMA before indirect costs are charged to the award.

E. Application Review Information

Criteria FY 2015 THSGP applications will be evaluated through a three part review and selection process:

1. Applications will first be reviewed by a DHS/FEMA HQ Program Analyst to ensure the applicant meets all eligibility requirements.

2. Those eligible applications will then be reviewed through a peer review process, in which proposed investments will be individually scored. Historically, peer reviewers have been a combination of Tribal leaders or members of a tribal entity, Federal tribal grant mangers, FEMA regional tribal liaisons, and FEMA regional grant mangers.

3. The top scoring investments will then be reviewed through a financial risk assessment process conducted by FEMA headquarters Grants Management Specialists.

To determine eligibility, the HQ Program Analyst will review submitted applications for completeness.

Completeness is determined by the HQ Program Analyst by confirming:

• The applicant has submitted the self-certification form stating the Tribe’s eligibility per the Homeland Security Act of 2002, as amended;

• The information provided in the self-certification form will be verified by the HQ Program Analyst assigned to that Tribe;

• The programmatic allowability of the activities under each investment; and

• The application meets all of the administrative criteria identified in this NOFO, to include the required submission of an IJ by the established due dates.

The peer reviewers will score each proposed investment from all eligible applicants across four criteria listed in the investment justification template:

• Overview (description of the investment);

• Baseline (Goals/objectives/capabilities of the investment);

• Project Management and Milestones (funding amount/core capabilities/projects);

and

• Accomplishments and Impacts (outcomes).

The FEMA headquarters Grants Management Specialists will conduct a financial risk assessment using the following criteria:

• Allowability, allocability, and financial reasonableness of the proposed budget and investment information.

• Whether the recipient meets the financial and legal requirements listed in 2 C.F.R.

Part 200.

Review and Selection Process Only Directly eligible Tribes as defined in the Homeland Security Act of 2002, as amended, are eligible to apply for THSGP funding. Applicants must self-certify that they are a “directly eligible tribe” as defined at 6 U.S.C. § 601(4). See section III.A. Eligibility Criteria, for further information. Headquarters Program Analysts with review each application for eligibility based on the criteria for completeness described above.

A panel of peer reviewers will analyze and score the investments from all applications that the Program Analysts determine to be complete and eligible. The peer reviewers will analyze and score the anticipated effectiveness of each individual proposed investment.

Effectiveness is determined based on completeness and adherence to programmatic guidelines.

Peer reviewers will score each investment individually using six questions to assess how well the investments satisfy the four criteria sections in the Investment Justification template: Overview, Baseline, Project Management and Milestones, and Accomplishments and Impact.

The questions the reviewers will score are:

A. Overview Section of Investment

• How well are the activities of the Investment described, including any activities that include planning, organization, equipment, training, and/or exercises?

B. Baseline Section of Investment

• How well does this Investment identify existing capability levels and address capability gaps?

C. Project Management and Milestones Section of Investment

• How well does the Investment support the selected National Preparedness Goal core capabilities?

• Does the budget narrative provide a clear explanation of how funds demonstrate the need to achieve the outcomes described?

• Do the projects/activities demonstrate progress towards achieving the Investment?

D. Accomplishments and Impact Section of Investment

• Do the outcome(s) demonstrate progress towards building the capability gap(s) identified in the Investment?

Each of the six questions that the reviewers score is worth a maximum of 5 points each.

Using their subject matter expertise, the peer reviewer will provide a score of 1-5 for each question. Each investment will be reviewed by no less than 2 peer reviewers, who will use the following scoring scale to assess how well the information provided in each investment answers the question being scored:

• 1 = Little to None

• 2 = Inadequate

• 3 = Adequate

• 4 = Substantial

• 5 = Strong

To calculate the final score for each proposed investment, the scores from the six investment questions are first normalized by taking the sum of the 6 scores, dividing this number by 5, and multiplying by 100. For example if, an investment received the following scores for the six questions:

Question 1: 2 Question 2: 3 Question 3: 5 Question 4: 5 Question 5: 3 Question 6: 5

The sum of the scores is 23 (the average score is 3.8). The average score, 3.8 is then divided by 5 with the result multiplied by 100. The normalized score is 76.67. The investment’s final score is determined by averaging the normalized scores from all reviewers of that investment.

Applicants who have not received funding in prior years will receive five (5) points for each proposed investment that will be added to the normalized score for each Investment submitted.

DHS/FEMA will use the results of the peer review process to make recommendations for funding of eligible applicants to the Secretary of Homeland Security. All final investment scores will then be sorted in descending order and investments will be selected for recommendation from the highest score to lowest score until available FY 2015 THSGP funding has been exhausted. In the event of a tie during the investment recommendation determination process, DHS/FEMA will give priority to the tribal entity that has not received prior year funding. Final funding determinations will be made by the Secretary of Homeland Security.

All investments selected for recommendation will also undergo a financial risk review conducted by the Headquarters grants management specialist. Using their subject matter expertise, the questions the Headquarters grants management specialist will assess are:

• Is the applicant on any exclusion lists as identified in the System for Award Management (Sam.gov);

• If the applicant has received Federal funding in the past, has the applicant performed all audits required by the Single Audit Act;

• Has the applicant provided sufficient budget information and justification as required by the NOFO;

• Are the costs proposed by the applicant in the budget information and justification allowable and reasonable based on the criteria set forth in this NOFO and the Cost Principles located at 2 C.F.R. Part 200, Subpart E;

• Is the budget representative of the total cost of performance of the projects;

• If indirect costs are included, has the applicant provided an approved Indirect Cost Rate agreement;

• Is the applicant delinquent on any Federal debt; and

• Has the applicant had substandard performance in a prior award

Based on the outcome of this review, DHS/FEMA may determine that it will not make an award to an applicant that poses a financial risk. FEMA may also determine that it will make an award to an at risk applicant, subject to additional terms and conditions as described in 2 C.F.R. § 200.207.

Reviewer Selection DHS/FEMA seeks peer reviewers who meet one or more of the following criteria:

• Experienced Tribal professionals with a homeland security/emergency management background;

• Experienced homeland security professionals, such as State Administrative Agency (SAA) professionals, Homeland Security Advisors, Urban Area Working Group members, emergency management response personnel, or academics with a background in homeland security/emergency management;

• Representative of a variety of disciplines, including homeland security, emergency management, law enforcement, fire and rescue, etc.;

• Familiar with applications for funding and the application review process.

Historically, peer reviewers have been a combination of Tribal leaders or members of a tribal entity, Federal tribal grant mangers, FEMA regional tribal liaisons, and FEMA regional grant mangers.

The Peer reviewer will be responsible for:

• Contributing to a transparent, uniform, and thorough process for awarding grants;

• Providing knowledgeable, independent reviews and feedback to justify investment scores; and

• Ensuring that each Investment is reviewed in detail for completeness and effectiveness.

The FY 2015 peer review will be conducted remotely. Reviewers will need access to a computer and the internet/email in order to conduct the review. The reviewers will receive randomly assigned investments and a scoring worksheet template to complete their reviews. The reviewer will have no less than one week to complete their review of the assigned investments. At the conclusion of the review period, the reviewer will submit the completed scoring worksheet back to THSGPreview@fema.dhs.gov for final calculation and summarization by the Headquarters THSGP program manager.

Participation in the review process will provide a unique opportunity to gain insight into the evaluation process and to learn innovative ideas being utilized by their peers. Those interested in participating in the peer review process should contact THSGPreview@fema.dhs.gov. Representatives from Tribal Nations who are applying for funding in FY 2015 can also be reviewers, but they will not be able to review their own application or applications from Tribal Nations they have worked with.

For additional details on application review information, please refer to Appendix C – FY 15 THSGP Investment Justification (IJ) Outline.

F. Federal Award Administration Information

Notice of Award Notification of award approval is made through the ND Grants system through an automatic electronic mail to the awardee authorized official listed in the initial application. The “award date” for THSGP will be the date that DHS/FEMA approves the award. The awardee should follow the directions in the notification to confirm acceptance of the award.

Recipients must accept their awards no later than 90 days from the award date. The recipient 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 the recipient accepts the award through the ND Grants system and all other conditions of award have been satisfied, or the award is otherwise rescinded. Failure to accept the grant award within the 90 day timeframe may result in a loss of funds.

mailto:THSGPreview@fema.dhs.gov mailto:THSGPreview@fema.dhs.gov https://www.fema.gov/media-library/assets/documents/25949 https://www.fema.gov/media-library/assets/documents/25949

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 the recipient must comply. Recipients must accept all the conditions in this NOFO as well as all Terms and Conditions in the Notice of Award to receive an award under this program.

Reporting Recipients are required to submit various financial and programmatic reports as a condition of their award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent.

Federal Financial Reporting Requirements

Federal Financial Report (FFR) Recipeints must report obligations and expenditures on a quarterly basis through the FFR (SF-425) to FEMA. Recipients 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.

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:

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 http://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions http://www.whitehouse.gov/sites/default/files/omb/assets/grants_forms/SF-425.pdf.

http://www.whitehouse.gov/sites/default/files/omb/assets/grants_forms/SF-425.pdf.

http://www.whitehouse.gov/sites/default/files/omb/grants/approved_forms/SF-425.pdf http://www.gao.gov/govaud/ybk01.htm

Subpart F of 2 C.F.R. Part 200, located at http://www.ecfr.gov/cgi-bin/text-idx?SID=55e12eead565605b4d529d82d276105c&node=2:1.1.2.1.1.6&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 to 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

Biannual Strategy Implementation Report (BSIR) In addition to the quarterly financial and biannual performance progress reports, recipients are responsible for completing and submitting BSIRs through the Grants Reporting Tool (GRT). The BSIR is due within 30 days after the end of the reporting period (July 30 for the reporting period of January 1 through June 30 (the summer BSIR report); and January 30 for the reporting period of July 1 through December 31 (winter BSIR report). All required attributes of each project must be included. Updated obligations, expenditures, and significant developments must be provided within the BSIR to show progress of implementation for every project, as well as how expenditures support Planning, Organization, Equipment, Training and Exercises (POETE). The first BSIR will be due January 30, 2016 (30 days after the end of the first reporting period for the award).