FY 2017 HSGP NOFO_6 1 17 900 FINAL.pdf

FY 2017 HSGP NOFO

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

Fiscal Year 2017 Homeland Security Grant Program (HSGP)

NOTE: Eligible recipients who plan to apply for this funding opportunity but who have not obtained a Data Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management (SAM), should take immediate action to obtain a DUNS Number, if applicable, and then to register immediately in SAM.

New registration can take an average of 7-10 business days to process in SAM. SAM must send out some information for validation with outside parties before your registration can be activated; this includes Taxpayer Identification Number (TIN) validation with the Internal Revenue Service (IRS) and Commercial and Government Entity (CAGE) validation/assignment with the Department of Defense (DoD). This timeframe may be longer if the information you provide is flagged for manual validation by either party. If you notice your registration has had a ‘Submitted’ status for longer than 10 business days, and you have not otherwise been contacted to correct or update information, please contact the Federal Service Desk at 866-606-8220 or https://www.fsd.gov. Information on obtaining a DUNS number and registering in SAM is available from Grants.gov at: http://www.Grants.gov/web/grants/register.html. Detailed information regarding DUNS and SAM is also provided in Section D of this NOFO, subsection, Content and Form of Application Submission.

A. Program Description

Issued By

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

Catalog of Federal Domestic Assistance (CFDA) Number

97.067

CFDA Title

Homeland Security Grant Program (HSGP)

Notice of Funding Opportunity Title Fiscal Year 2017 Homeland Security Grant Program State Homeland Security Program (SHSP) Urban Area Security Initiative (UASI) Operation Stonegarden (OPSG)

NOFO Number

DHS-17-GPD-067-00-01

Authorizing Authority for Program

Section 2002 of the Homeland Security Act of 2002, as amended (Pub. L. No. 107-296) (6 U.S.C. § 603)

Appropriation Authority for Program Department of Homeland Security Appropriations Act, 2017 (Pub. L. No. 115-31)

Program Type New

Program Overview, Objectives, and Priorities

Overview The purpose of the Fiscal Year (FY) 2017 HSGP is to support state, local and tribal efforts to prevent terrorism and other catastrophic events and to prepare the Nation for the threats and hazards that pose the greatest risk to the security of the United States.

References to these priorities can be found throughout this document. The FY 2017 HSGP provides funding to implement investments that enhance terrorism preparedness and serve to build, sustain, and deliver the 32 core capabilities essential to achieving the National Preparedness Goal (the Goal) of a secure and resilient Nation. The building, sustainment, and delivery of these core capabilities are not exclusive to any single level of government, organization, or community, but rather, require the combined effort of the whole community, inclusive of children, individuals with disabilities and others with access and functional needs, diverse communities, and people with limited English proficiency. The FY 2017 HSGP supports the core capabilities across the five mission areas of Prevention, Protection, Mitigation, Response, and Recovery based on allowable costs. The FY 2017 HSGP will provide federal funds to assist state, local, tribal, and territorial agencies to obtain the resources required to support implementation of the National Preparedness System (NPS) and the Goal of a secure and resilient Nation.

Among the five basic homeland security missions noted in the DHS Quadrennial Homeland Security Review, HSGP supports the goal to Strengthen National Preparedness and Resilience.

HSGP is comprised of three grant programs:

State Homeland Security Program (SHSP) Urban Area Security Initiative (UASI) Operation Stonegarden (OPSG)

Together, these grant programs fund a range of activities, including planning, organization, equipment purchase, training, exercises, and management and administration across all core capabilities and mission areas.

Objectives State Homeland Security Program (SHSP): The SHSP assists state, tribal, territorial, and local preparedness activities that address high-priority preparedness gaps across all core capabilities that support terrorism preparedness. All supported investments are based on capability targets and gaps identified during the Threat and Hazard Identification and Risk Assessment (THIRA) process, and assessed in the State Preparedness Report (SPR).

Urban Area Security Initiative (UASI): The UASI program assists high-threat, high-density Urban Areas in efforts to build, sustain, and deliver the capabilities necessary to prevent, protect against, mitigate, respond to, and recover from acts of terrorism.

Operation Stonegarden (OPSG): The OPSG Program supports enhanced cooperation and coordination among Customs and Border Protection (CBP), United States Border Patrol (USBP), and Federal, state, local, tribal, and territorial law enforcement agencies. The OPSG Program provides funding to support joint efforts to secure the United States’ borders along routes of ingress from international borders to include travel corridors in states bordering Mexico and Canada, as well as states and territories with international water borders.

All three programs are risk-driven, capabilities-based and outline high-priority needs relating to terrorism preparedness. For these programs to be effective, government officials and elected leaders, working with the whole community, must consider how to sustain current capability levels, while also addressing potential gaps.

Priorities The Goal defines what it means for the whole community to be prepared for all types of disasters and emergencies. The NPS is the instrument the Nation employs to build, sustain, and deliver core capabilities in order to achieve the Goal of a secure and resilient Nation. Complex and far-reaching threats and hazards require a collaborative and whole community approach to national preparedness that engages individuals, families, communities, private and nonprofit sectors, faith-based organizations, and all levels of government. The guidance, programs, processes, and systems that support each component of the NPS allows for the integration of preparedness efforts that build, sustain, and deliver core capabilities and achieve the desired outcomes identified in the Goal.

DHS/FEMA publishes the annual National Preparedness Report (NPR) to communicate progress in building, sustaining, and delivering the core capabilities outlined in the Goal.

This analysis provides a National perspective on critical preparedness trends for whole community partners to use to inform program priorities, allocate resources, and communicate with stakeholders about issues of shared concern. The NPR can be found at http://www.fema.gov/national-preparedness-report.

In developing applications for the FY 2017 HSGP, recipients should consider funding projects that address core capability gaps within the NPR national areas for improvement that relate to terrorism preparedness, including:

Cybersecurity;

Infrastructure Systems;

Economic Recovery;

Housing; and Natural and Cultural Resources.

In addition, DHS/FEMA requires recipients to prioritize investments that address capability targets and gaps identified through the annual THIRA and SPR process. These assessments set capability targets and measure current ability to meet those targets.

Minimum funding amounts are not prescribed by the DHS for these capability targets and gaps; however, recipients must support state, local, tribal, regional, and national efforts in achieving the desired outcomes of these priorities. Grant funds must clearly support resources the recipients need to achieve the THIRA targets and close capability gaps.

Appendix B-Program Priorities addresses additional areas where funding can be applied to strengthen preparedness efforts.

B. Federal Award Information

Award Amounts, Important Dates, and Extensions

Available Funding for the HSGP NOFO: $1,037,000,000

HSGP Programs FY 2017 Allocation State Homeland Security Program $402,000,000 Urban Area Security Initiative $580,000,000 Operation Stonegarden $55,000,000 Total $1,037,000,000

For details on program-specific funding amounts, refer to Appendix A – FY 2017 Program Allocations.

Period of Performance: Thirty-six (36) months

Extensions to the Period of Performance (PoP) are allowed. For additional information on PoP extensions, refer to Section H – Additional Information of this NOFO.

Projected Period of Performance Start Date: September 1, 2017

Projected Period of Performance End Date: August 31, 2020

Funding Instrument: Grant

C. Eligibility Information

Eligible Applicants

All 56 states and territories, which includes any state of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands, are eligible to apply for SHSP funds. For those states that are eligible for UASI and OPSG funding, the State Administrative Agency (SAA) is the only entity eligible to submit applications to DHS/FEMA on behalf of UASI and OPSG applicants. A list of eligible UASIs and OPSG States can be found in Appendix A. Tribal governments may not apply directly for HSGP funding, however, funding may be available to tribes under the SHSP and OPSG through the SAA.

Eligibility Criteria

Eligible high-risk Urban Areas for the FY 2017 UASI program have been determined through an analysis of relative risk of terrorism faced by the 100 most populous Metropolitan Statistical Areas (MSAs) in the United States. Sub-awards will be made by the SAA to the designated Urban Areas identified in Appendix A - FY 2017 Program Allocations.

Eligible sub-recipients under the FY 2017 OPSG Program are local units of government at the county level or equivalent level of government and Federally-recognized tribal governments in states bordering Canada or Mexico and states and territories with international water borders. All applicants must have active ongoing USBP operations coordinated through a CBP sector office to be eligible for OPSG funding.

Under the FY 2017 OPSG Program, subrecipients eligible to apply for and receive a subaward directly from the SAA are divided into three Tiers. Tier 1 entities are local units of government at the county level or equivalent and Federally-recognized tribal governments that are on a physical border in states bordering Canada, states bordering Mexico, and states and territories with international water borders. Tier 2 eligible subrecipients are those not located on the physical border or international water but are contiguous to a Tier 1 county. Tier 3 eligible subrecipients are those not located on the physical border or international water but are contiguous to a Tier 2 eligible subrecipient.

Tier 2 and Tier 3 eligible subrecipients may be eligible to receive funding based on border security risk as determined by the USBP, as described in Section E of the NOFO.

Other Eligibility Criteria

National Incident Management System (NIMS) Implementation Prior to allocation of any Federal preparedness awards in FY 2017, recipients must ensure and maintain adoption and implementation of NIMS. FEMA describes the specific training and activities involved in NIMS implementation in the NIMS Training Program (https://www.fema.gov/training-0) and the NIMS Implementation Objectives (https://www.fema.gov/implementation-guidance-and-reporting).

Incident management activities require carefully managed resources (personnel, teams, facilities, equipment and/or supplies). 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. Recipients should manage resources purchased or supported with FEMA grant funding according to NIMS resource management guidance. In addition, Comprehensive Preparedness Guide (CPG) 201: Threat and Hazard Identification and Risk Assessment Guide, Second Edition, available at http://www.fema.gov/threat-and-hazard-identification-and-risk-assessment, emphasizes how communities can use THIRA results to make decisions about how to allocate limited resources.

Additional information on resource management and NIMS resource typing definitions and job titles/position qualifications is on DHS/FEMA’s website under http://www.fema.gov/resource-management-mutual-aid.

Emergency Management Assistance Compact (EMAC) Membership In support of the Goal, recipients must belong to, be located in, or act as a temporary member of EMAC, except for American Samoa and the Commonwealth of the Northern Mariana Islands, which are not required to belong to EMAC at this time. All assets supported in part or entirely with FY 2017 HSGP funding must be readily deployable and NIMS typed when possible to support emergency or disaster operations per existing EMAC agreements. In addition, funding may be used for the sustainment of core capabilities that, while they may not be physically deployable, support national response capabilities such as Geographic/Geospatial Information Systems (GIS), interoperable communications systems, capabilities as defined under the mitigation mission area of the Goal, and fusion centers.

Law Enforcement Terrorism Prevention Activities (LETPA) Per section 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 grants awarded under HSGP’s authorizing statute are used for law enforcement terrorism prevention activities. DHS/FEMA meets this requirement, in part, by requiring all SHSP and UASI recipients to ensure that at least 25 percent (25%) of the combined HSGP funds allocated under SHSP and UASI are dedicated towards law enforcement terrorism prevention activities, as defined in 6 U.S.C. § 607. The LETPA allocation can be from SHSP, UASI, or both. This requirement does not include award funds from OPSG. Please refer to Appendix A – FY 2017 Program Allocations for LETPA minimum allocations for SHSP and UASI by jurisdiction. The 25 percent (25%) LETPA allocation is in addition to the 80 percent (80%) pass through requirement to local units of government and Tribes, referenced below.

The National Prevention Framework describes those activities that should be executed upon the discovery of intelligence or information regarding an imminent threat to the homeland, in order to thwart an initial or follow on terrorist attack, and provides guidance to ensure the Nation is prepared to prevent, avoid, or stop a threatened or actual act of terrorism. Activities outlined in the National Prevention Framework are eligible for use as LETPA focused funds. In addition, where capabilities are shared with the protection mission area, the National Protection Framework activities are also eligible. Other terrorism prevention activities proposed for funding under LETPA must be approved by the FEMA Administrator.

Cost Share or Match There is no cost share or match requirement for the FY 2017 HSGP.

D. Application and Submission Information

Key Dates and Times

Date Posted to Grants.gov: June 2, 2017

Application Submission Deadline: June 22, 2017, 5:00 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 there are technical issues, please notify the respective FEMA Headquarters (HQ) Program Analyst before the application deadline. Applicants should contact the Centralized Scheduling and Information Desk (CSID) for FEMA HQ Program Analyst contact information. CSID can be reached by phone at (800) 368-6498 or by e-mail at askcsid@dhs.gov, Monday through Friday, 9:00 a.m. – 5:00 p.m. EDT.

Anticipated Funding Selection Date: September 1, 2017

Anticipated Award Date: No later than September 30, 2017

Address to Request Application Package

Application forms and instructions are available at Grants.gov (hard copies of the NOFO and associated application materials are not available). To access these materials, go to Grants.gov, select “Applicants” then “Apply for Grants.” 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.

Applicants experiencing difficulties accessing information or who have any questions, should call the Grants.gov customer support hotline at (800) 518-4726.

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 DHS/FEMA’s ND Grants System.

Content and Form of Application Submission

Applying for an award under this program is a multi-step process. To ensure that an application is submitted on time applicants are advised to start the required steps well in advance of their submission. Failure of an applicant to comply with any of the required steps before the application deadline 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 Data Universal Numbering System (DUNS) Number;

2. Applying for, updating, or verifying their Employer ID Number (EIN);

3. Updating or verifying their System for Award Management (SAM)

Registration;

4. Establishing an Authorized Organizational Representative (AOR) in

Grants.gov;

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

6. Submitting the final application in the ND Grants system.

Each of the required steps associated with the application process are explained in the sections below.

Unique Entity Identifier and System for Award Management (SAM)

Before applying for a DHS/FEMA grant at Grants.gov, applicants must have a DUNS number, be registered in SAM, and be approved as an AOR. The steps for completing these pre-application processes are outlined below.

NOTE: Applicants are encouraged to register early. The pre-application registration processes can take four weeks or more to complete. Therefore, registration should be done in sufficient time to ensure it does not impact the applicant’s ability to meet required submission deadlines.

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 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 number since both are nine-digit numbers. If these numbers are not correctly identified in the application, a delay in the issuance of the funding award or incorrect payment to a recipient organization may result.

Organizations applying for an EIN should plan on a minimum of two full weeks to obtain an EIN. For assistance in 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 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 the 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 the 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 the 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 the Entity records(s) in SAM applicants will need to create a SAM User Account and link it to the migrated Entity records.

For 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 (AOR) The next step in the registration process is creating a username and password with Grants.gov to become an AOR. AORs will need to know the DUNS number of the organization for which they will be submitting applications to complete this process.

Applicants must register the individual who is able to make legally binding commitments for the applicant organization as the AOR; this step is often missed and it is crucial for valid submissions. 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 (POC) who is a representative from the applicant organization listed as the contact for SAM, will receive an email to grant the AOR permission to submit applications on behalf of the organization. The E-Biz POC will then log in to Grants.gov and approve an individual as the AOR, thereby granting 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.

Electronic Signature Applications submitted through Grants.gov constitute an electronically signed application. When submitting the application through Grants.gov, the name of the applicant’s AOR will be inserted into the signature line of the application.

Applicants experiencing difficulties accessing information or who have questions should call the Grants.gov customer support hotline at (800) 518-4726 or email Grants.gov at mailto:support@Grants.gov.

The Federal awarding agency may not make a Federal 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 the Federal awarding agency is ready to make a Federal award, the Federal awarding agency may determine that the applicant is not qualified to receive a Federal award.

Submitting an Initial Application in Grants.gov Following completion of the procedures above, 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 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.

The information submitted in Grants.gov will be retrieved by ND Grants, which will allow DHS/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 June 22, 2017, application deadline.

Applicants experiencing difficulties accessing information should call the Grants.gov customer support hotline at 800-518-4726 or email Grants.gov at support@grants.gov.

DHS/FEMA cannot assist applicants with questions related to registering with Grants.gov.

Submitting the Final Application in ND Grants

After submitting the initial application in Grants.gov, eligible applicants will be notified by DHS/FEMA after the initial application is submitted in Grants.gov 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);

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:

Investment Justification; and Indirect Cost Agreement, if applicable.

Applicants must submit copies of the following in ND Grants, if applying for construction projects:

Standard Form 424C, Budget Information (Construction); and

Standard Form 424D, Standard Assurances (Construction).

Applicants needing assistance registering for the ND Grants system should contact ndgrants@fema.gov or (800) 865-4076.

HSGP Specific Application Instructions

Development of the Investment Justification (SHSP and UASI) As part of the FY 2017 HSGP application process for SHSP and UASI funds, applicants must develop formal investment justifications (IJs) that address the proposed investments.

Each IJ must demonstrate how proposed investments:

Support terrorism preparedness;

Address capability gaps identified as State priorities in the most recent SPR

(applicable to states only);

Align resources that support targets set in the Urban Area, state, and/or regional

THIRAs and national priorities, as outlined in the NPR; and Engage and/or impact the whole community, including children, older adults, pregnant women, individuals with limited English proficiency, individuals with disabilities and others with access and functional needs, and ensure the protection of civil rights in the building, sustainment, and delivery of core capabilities.

Each IJ must explain how the proposed investments will support the applicant’s efforts to:

Prevent a threatened or an actual act of terrorism;

Prepare for all hazards and threats, while explaining the nexus to terrorism preparedness;

Protect citizens, residents, visitors, and assets against the greatest threats and hazards, relating to acts of terrorism; and/or Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of an act of terrorism or other catastrophic incident.

Alignment of Proposed Investments to the THIRA (SHSP and UASI) As noted above, investments and projects must clearly address capability targets identified in the THIRA and gaps noted in the SPR.

When completing investment level information, applicants must identify the most relevant portions of their THIRA, SPR (States only) and Capability Estimation and explain how the proposed investment will address at least one of the identified capability gaps. The applicant should use page numbers and reference specific sections of the

THIRA.

Development of Investments and Projects (SHSP)

Applicants must propose at least one and include up to 10 investments.

Applicants must propose at least one project within each investment in their IJ to describe the activities they would plan to implement with SHSP funds. There is no limit to the number of projects that may be submitted.

Any projects funded with SHSP funds that are not included in the application must subsequently be included in the first Biannual Strategy Implementation

Report (BSIR). For further information on the BSIR, refer to Section F, subsection Program Performance Reporting Requirements of this NOFO.

Of the proposed investments, recipients using SHSP funds are required to propose one (1) single investment in support of a designated fusion center that will be funded by SHSP funds. Recipients must coordinate with the fusion center when developing a fusion center investment prior to submission.

Recipients investing in emergency communications must describe how activities align to their Statewide Communication Interoperable Plan (SCIP). Recipients must coordinate with their Statewide Interoperability Coordinator (SWIC) and/or Statewide Interoperability Governance Body (SIGB) when developing an emergency communications investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems.

Development of Investments and Projects (UASI) Applicants must propose at least one and include up to 10 investments.

Urban Areas must propose at least one project within each investment in their IJ to describe the activities they are planning to implement with UASI funds. There is no limit to the number of projects that may be submitted. Any projects funded with UASI funds that are not included in the application must subsequently be included in the first BSIR.

Of the proposed 10 investments, Urban Areas are required to propose one (1) single investment in support of a designated fusion center within the Urban Area, if applicable. Recipients must coordinate with the fusion center when developing a fusion center investment prior to submission.

If UASI funds are used by the SAA in support of the Urban Area, the SAA must, as part of the list of proposed investments, describe how UASI funds will be used by the SAA to directly support the Urban Area.

Recipients investing in emergency communications must describe how activities align to the SCIP. Recipients must coordinate with the SWIC and/or SIGB when developing an emergency communications investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems.

Completing IJs in the Grant Reporting Tool (GRT) (SHSP and UASI) The IJ Planning Guide contains the IJ template and instructions for collecting the required information for investments and projects. A fillable version of the IJ template can be obtained from the FEMA HQ Program Analyst. Applicants should contact the Centralized Scheduling and Information Desk (CSID) for FEMA HQ Program Analyst contact information. CSID can be reached by phone at 800-368-6498 or by e-mail at askcsid@dhs.gov, Monday through Friday, 9:00 a.m. – 5:00 p.m. EDT. Additionally, applicants should utilize the Project Worksheet to assemble the information required for each project, which will facilitate the input of that information into the GRT.

For more information on how to complete IJs, refer to the Investment Justification Planning Guide located on fema.gov/grants.

Development of Concept of Operations for OPSG As part of the FY 2017 OPSG application process, each eligible local unit of government at the county or Federally-recognized tribal government level must develop a strategic plan called a Concept of Operations (CONOP)/Application, which is a formal proposal of action to address a specific situation and forms the basis for Operations Orders (discussed below), in coordination with state and Federal law enforcement agencies, to include, but not limited to CBP/USBP. CONOPs that are developed at the county level should be inclusive of city, county, tribal, and other local law enforcement agencies that are eligible to participate in OPSG operational activities, and the CONOP/Application should describe participating agencies in the Executive Summary. CONOP/Application details should include the names of the agencies, points of contact, and individual funding requests. All CONOPs/Applications must be developed in collaboration with the local USBP sector office, the SAA and the local unit of government. Requests for funding in CONOPs/Applications must be based on risks and the operational enforcement support requirements of its corresponding USBP Sector. Sector offices will forward the CONOPs to USBP Headquarters for vetting and coordination. Applicants will forward corresponding OPSG Applications to the SAA for submission to FEMA. USBP Headquarters will reconcile all submitted CONOPs with the OPSG Applications. For more information, refer to Appendix D – FY 2017 OPSG Operations Order Template and Instructions and Appendix E – OPSG Operational Guidance of this NOFO.

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 be used only 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.

Additionally, DHS/FEMA has issued IB 407a: Use of Grant Funds for Controlled Equipment: Update for Fiscal Year 2017, which has placed further restrictions on controlled equipment. For more information on the Controlled Equipment List and Prohibited Equipment, see Appendix C - Funding Guidelines.

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/or historic properties to ensure that all activities and programs funded by the agency, including grant funded projects, comply with federal EHP regulations, laws and Executive Orders as applicable. Recipients and sub-recipients 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 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; otherwise, DHS/FEMA may not be able to fund the project due to non-compliance with EHP laws, executive order, regulations and policies.

Additionally, all recipients are required to comply with GPD EHP Policy Guidance. This EHP Policy Guidance can be found in FP 108-023-1 at https://www.fema.gov/media-library/assets/documents/85376.and GPD EHP Compliance and Reference Documentation at: https://www.fema.gov/environmental-planning-and-historic-preservation-compliance.

SAFECOM

Recipients and subrecipients who receive awards under HSGP that wholly or partially provide funding for emergency communication projects and related activities must comply with Appendix D of the SAFECOM Guidance on Emergency Communications Grants. Appendix D outlines requirements for any FEMA recipient using funds for emergency communication activities. These requirements include alignment to national and state communications plans, project coordination, and technical standards for emergency communications technologies. The SAFECOM Guidance is intended to ensure that Federally-funded investments are compatible, interoperable, and support the national goals and objectives for improving emergency communications nationwide. The signatory authority for the SAA must certify in writing to DHS/FEMA their compliance with the SAFECOM Guidance on Emergency Communications Grants, specifically Appendix D. This letter should be coordinated with the SWIC or SWIC equivalent for each State.

Funds Transfer Restriction

The recipient is prohibited from transferring funds between programs (includes SHSP, UASI, and OPSG). Recipients are allowed to submit an investment/project where funds come from multiple funding sources (i.e., SHSP/UASI); however, recipients are not allowed to divert funding from one program to another due to the risk-based funding allocations, which were made at the discretion of DHS/FEMA. For additional details on restrictions on the use of funds, refer to Appendix C – Funding Guidelines.

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

Pre-award Costs Pre-award costs are allowable only with the prior written approval of DHS/FEMA and as 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.

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.

Direct Costs

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

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

NOFO.

Equipment Equipment related 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.

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

Personnel Personnel hiring, overtime, and backfill expenses are permitted under this grant in order to perform allowable HSGP planning, training, exercise, and equipment activities. Under the OPSG Program, overtime costs are allowable only in so far as they meet the intent of the program. Recipients and sub-recipients may not use more than 50% of their awards to pay for personnel activities unless a waiver is approved by FEMA. For more information on the 50% personnel cap, please see FP 207-093-1, Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public Law 110-412 – the PRICE Act) at https://www.fema.gov/media-library/assets/documents/85384.

Operational Overtime Operational Overtime costs are allowed under this program only as described in this NOFO. Prior to use of funds for operational overtime, recipients must receive approval from DHS/FEMA.

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 DHS/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 C - Funding Guidelines for additional details.

Additionally, recipients are required to submit Standard Form 424C.

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 FEMA Policy, Maintenance Contracts and Warranty Coverage Funded by Preparedness Grants Policy, FP 205-402-125-1 (http://www.fema.gov/media-library/assets/documents/32474).

Management and Administration (M&A) Costs Management and administration (M&A) activities are those directly relating to the management and administration of HSGP funds, such as financial management and monitoring. A maximum of up to five percent (5%) of HSGP funds awarded may be retained by the state, and any funds retained are to be used solely for M&A purposes associated with the HSGP award. Sub-recipients may also retain a maximum of up to five percent (5%) of funding passed through by the state solely for M&A purposes associated with the HSGP award.

A state’s HSGP funds for M&A calculation purposes includes the sum total of its SHSP, UASI, and, where applicable, OPSG awards. While the SAA may retain up to five percent (5%) of this total for M&A, the state must still ensure that all sub-recipient award amounts meet the mandatory minimum pass through requirements which are applicable to each HSGP program. To meet this requirement, the percentage of SHSP, UASI and OPSG funds passed through to local jurisdictions must be based on the state’s total HSGP award prior to withholding any M&A. For additional information on SHSP and UASI M&A, refer to IB 365: Management and Administration Costs in the Homeland Security Grant Program. For additional clarification on OPSG M&A, refer to DHS/FEMA Policy FP-207-087-1, which can be found at http://www.fema.gov/library/viewRecord.do?id=7837.

Critical Emergency Supplies Critical emergency supplies are allowed under this program only as described in this

NOFO.

Secure Identification Secure Identification costs are allowed under this program only as described in this

NOFO.

E. Application Review Information

Allocations

Risk Methodology Based upon the requirements of the Homeland Security Act of 2002, as amended, DHS/FEMA continues to use risk to determine final HSGP allocations. DHS/FEMA defines risk as: “potential for an unwanted outcome resulting from an incident, event, or occurrence, as determined by its likelihood and the associated consequences” (see http://www.dhs.gov/xlibrary/assets/dhs-risk-lexicon-2010.pdf). The DHS/FEMA risk methodology is focused on three elements:

Threat – likelihood of an attack being attempted by an adversary;

Vulnerability – likelihood that an attack is successful, given that it is attempted; and Consequence – effect of an event, incident or occurrence

The risk methodology determines the relative risk of terrorism faced by a given area taking into account the potential risk of terrorism to people, critical infrastructure, and economic security. The analysis includes threats from domestic violent extremists, international terrorist groups, and individuals inspired by terrorists abroad.

SHSP Allocations FY 2017 SHSP funds will be allocated based on two factors: minimum amounts as legislatively mandated, and DHS/FEMA’s risk methodology.

Each state and territory will receive a minimum allocation under SHSP using thresholds established in the Homeland Security Act of 2002, as amended. All 50 States, the District of Columbia, and the Commonwealth of Puerto Rico will receive 0.35 percent of the total funds allocated for grants under Section 2003 and Section 2004 of the Homeland Security Act of 2002, as amended. Each of the four territories (American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin Islands) will receive a minimum allocation of 0.08 percent of the total funds allocated for grants under Section 2003 and 2004 of the Homeland Security Act of 2002, as amended. For details on program-specific funding amounts, refer to Appendix A – FY 2017 Program Allocations.

UASI Allocations FY 2017 UASI funds will be allocated based on DHS/FEMA’s risk methodology.

Eligible candidates for the FY 2017 UASI program have been determined through an analysis of relative risk of terrorism faced by the 100 most populous Metropolitan

Statistical Areas (MSAs) in the United States, in accordance with the Homeland Security Act of 2002, as amended. Detailed information on MSAs is publicly available from the United States Census Bureau at https://www.census.gov/programs-surveys/metro-micro.html. For details on program-specific funding amounts, refer to Appendix A – FY 2017 Program Allocations.

OPSG Allocations The FY 2017 OPSG Risk Assessment is designed to identify the risk to border security and to assist with the distribution of funds for the grant program. Funding under OPSG is distributed based on the risk to the security of the border. Entities eligible for funding are the state, local and tribal law enforcement agencies that are located along the border of the United States.

For the purposes of OPSG, risk is defined as the potential for an adverse outcome assessed as a function of threats, vulnerabilities, and consequences associated with an incident, event, or occurrence.

Based upon ongoing intelligence analysis and extensive security reviews, DHS/CBP continues to focus the bulk of OPSG funds based upon risk analyses. The risk model used to allocate OPSG funds considers the potential risk that certain threats pose to border security and estimate the relative risk faced by a given area. In evaluating risk, DHS/CBP considers intelligence, situational awareness, criminal trends, and statistical data specific to each of the border sectors, and the potential impacts that these threats pose to the security of the border area. For vulnerability and consequence, DHS/CBP considers the expected impact and consequences of successful border events occurring in specific areas.

Threat and vulnerability are evaluated based on specific operational data from DHS/CBP.

Threat components present in each of the Sectors are used to determine the overall threat score. These components are: terrorism, criminal aliens, drug trafficking organizations, and alien smuggling organizations.

Application Evaluation Criteria Prior to making a federal award, FEMA is required by 31 U.S.C. § 3321 and 41 U.S.C. § 2313 to review information available through any OMB-designated repositories of government-wide eligibility qualification or financial integrity information. Therefore application evaluation criteria may include the following risk-based considerations of the applicant: (1) financial stability; (2) quality of management systems and ability to meet management standards; (3) history of performance in managing federal award; (4) reports and findings from audits; and (5) ability to effectively implement statutory, regulatory, or other requirements.

FEMA will evaluate FY 2017 HSGP applications for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed investments.

FEMA’s review will include verification that each IJ or project:

Aligns to at least one core capability identified in the Goal;

Effectively addresses capability targets identified in the THIRA and gaps noted in…