FY_2017_IPR_NOFO_Final.pdf

FY 2017 IPR

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

Fiscal Year (FY) 2017 Intercity Passenger Rail (IPR) - Amtrak

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. 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)

Catalogue of Federal Domestic Assistance (CFDA) Number 97.075

CFDA Title Rail and Transit Security Grant Program

Notice of Funding Opportunity Title Intercity Passenger Rail (IPR) - Amtrak

NOFO Number

DHS-17-GPD- 075-00-01

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

Appropriation Authority for Program Department of Homeland Security Appropriations Act, 2017 (Pub. L. No. 115-31) https://www.fsd.gov/ https://www.fsd.gov/ http://www.grants.gov/ http://www.grants.gov/web/grants/register.html

Program Type New

Program Overview, Objectives and Priorities

Overview FY 2017 IPR directly supports transportation infrastructure security activities and is one tool in the comprehensive set of measures authorized by Congress and implemented by the Administration to strengthen the Nation’s critical infrastructure against risks associated with potential terrorist attacks. Among the five basic homeland security missions noted in the DHS Quadrennial Homeland Security Review, IPR supports the goal to Strengthen National Preparedness and Resilience.

Objectives FY 2017 IPR objectives include building and sustaining core capabilities through:

• Strengthening governance integration

• Protection of high-risk, high-consequence underwater and underground rail assets

• Planning (Operational, Continuity of Operations, Evacuation, Recovery)

• Use of visible, unpredictable deterrence

• Targeted counter-terrorism training for key front-line staff

• Emergency preparedness drills and exercises

Priorities The National Preparedness Goal (the Goal) defines what it means for the whole community to be prepared for all types of disasters and emergencies. The National Preparedness System 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. The FY 2017 IPR program plays an important role in the implementation of the National Preparedness System by supporting the building, sustainment, and delivery of core capabilities essential to achieving the Goal of a secure and resilient Nation. References to these three priorities can be found throughout this document. The FY 2017 IPR program supports all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs. Examples of tangible outcomes from IPR include building and sustaining emergency management capabilities through operational activities, operational packages (OPacks), Top Transit Asset List (TTAL) remediation; protection of high-risk, high-consequence underwater and underground rail assets; planning; use of visible, unpredictable deterrence; emergency preparedness drills and exercises; public awareness and preparedness campaigns; and protection of other high-risk, high-consequence areas and systems that have been identified through system wide risk assessments.

For additional information on program priorities and objectives for FY 2017 IPR, refer to Appendix A – Program Priorities.

https://www.fema.gov/national-preparedness/whole-community https://www.fema.gov/national-preparedness/whole-community

B. Federal Award Information

Award Amounts, Important Dates, and Extensions

Available Funding for the FY 2017 IPR: $10,000,000

Period of Performance: Thirty-six (36) Months

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

Projected Period of Performance Start Date(s): September 1, 2017

Projected Period of Performance End Date(s): August 31, 2020

Funding Instrument: Cooperative Agreement

Program authority and responsibility under this Cooperative Agreement reside with DHS/FEMA. DHS/FEMA retains the right to terminate all or part of the Cooperative Agreement as permitted by 2 C.F.R. § 200.339 and may conduct site visits and monitoring throughout the period of performance.

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

IPR Program Management: Roles and Responsibilities at DHS/FEMA (Substantial Role of Agency) Effective management of the IPR program entails a collaborative effort and partnership within DHS/FEMA, the dynamics of which require continuing outreach, coordination, and interfacing. For the FY 2017 IPR program, DHS/FEMA is responsible for designing and operating the required administrative mechanisms to implement and manage the grant program. The Transportation Security Administration (TSA) provides programmatic subject matter expertise for the transportation industry. TSA assists by coordinating the intelligence information and risk/vulnerability assessments resulting in ranking and rating rail and mass transit assets nationwide against threats associated with potential terrorist attacks and in defining the parameters for identifying, protecting, deterring, responding, and recovering from such incidents. Together, these two agencies, with additional assistance and cooperation of the Federal Railroad Administration (FRA), determine the primary security architecture of the IPR program.

DHS/FEMA and TSA provide substantial federal involvement with the following activities:

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

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

• Review Amtrak’s project management plans and decisions

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

• On a quarterly basis, review Amtrak’s progress towards resolution of identified project issues

C. Eligibility Information

Eligible Applicants The National Railroad Passenger Corporation (Amtrak) is the only entity eligible to apply for funding under the FY 2017 Intercity Passenger Rail Program.

Eligibility Criteria The National Railroad Passenger Corporation (Amtrak) is the only entity eligible to apply for funding under the FY 2017 Intercity Passenger Rail Program.

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. DHS/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) 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 under National Integration Center Resource Management (http://www.fema.gov/resource-management-mutual-aid).

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 https://www.fema.gov/training-0 https://www.fema.gov/implementation-guidance-and-reporting http://www.fema.gov/resource-management-mutual-aid managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses.

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 (http://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.201-2.pdf). Additional information is available from the NIMS Guideline for the Credentialing of Personnel at the following link:

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

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

D. Application and Submission Information

Key Dates and Times

Date Posted to Grants.gov: June 2, 2017

Application Submission Deadline: June 22, 2017, 5:00PM 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 by 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. Technical issues should be addressed to the FEMA Headquarters (HQ) Program Analyst as soon as possible before the application deadline. Applicants should contact the Centralized Scheduling and Information Desk (CSID) for 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 http://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.201-2.pdf http://www.fema.gov/pdf/emergency/nims/nims_alert_cred_guideline.pdf mailto:askcsid@dhs.gov

Address to Request Application Package Application forms and instructions are available at Grants.gov (hardcopies of the NOFO and associated application materials are not available). To access these materials, go to http://www.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 which 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 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 deadline for submitting the application may disqualify the application from funding.

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

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

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

3. Updating or verifying their SAM Number;

4. Establishing an Authorized Organizational Representative (AOR) in Grants.gov;

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

6. Submitting the final application in ND Grants.

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.

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

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 in Grants.gov. 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 the EIN and a DUNS number are required to register with SAM. The EIN base for an organization is the Internal Revenue Service (IRS) Tax ID number; for individuals it is their social security number. The social security and IRS Tax ID numbers are both nine-digit numbers.

Organizations and individuals submitting their applications must correctly identify the EIN from the DUNS since both are 9-digit numbers. If these numbers are not correctly identified in the application, a delay in the issuance of the funding award and/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 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 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.

file://HQLI2F3/GPDShare/FY%202017%20Grant%20Programs/IPR/grants.gov http://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html http://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html http://www.irs.gov/Businesses/Small-Businesses-&-Self-Employed/Apply-for-an-Employer-Identification-Number-(EIN)-Online https://www.irs.gov/uac/Telephone-Assistance http://www.grants.gov/web/grants/applicants/applicant-resources.html http://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html http://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html http://www.grants.gov/web/grants/applicants/applicant-resources.html http://www.sam.gov/

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 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 (E-Biz POC) a representative from the applicant organization who is the contact listed 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 applicant 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.

Applicants are 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 jeopardize required submission deadlines. Approval as an AOR is necessary in order to submit applications online.

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 support@grants.gov.

http://www.sam.gov/ http://www.grants.gov/ http://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html http://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html http://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html http://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html http://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html

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 pre-application 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 any applicant. Applicants should complete this initial step online 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 the SF-424 Family. The initial application cannot be started or submitted in Grants.gov until Amtrak’s registration in SAM is confirmed.

Application forms and instructions are available at Grants.gov by selecting Apply for Grants. Enter the CFDA number or the Opportunity ID Number noted in this NOFO, select Download Application Package, and follow the prompts to download the application package. The information submitted in Grants.gov will be retrieved by ND Grants, which will allow 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 application deadline.

For 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 with questions related to registering with Grants.gov.

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

After submitting the initial application in Grants.gov, the applicant 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 applications.

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 included all the required information required:

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

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

• Standard Form LLL, Disclosure of Lobbying Activities.

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

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

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

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

• Investment Justification(s);

• Detailed Budget(s); and

• Indirect Cost Agreement, if applicable.

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

Funding Restrictions

Federal funds made available through this award may be used for the purpose set forth in this award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity.

Additionally, DHS/FEMA has issued Information Bulletin (IB) 407a which has placed further restrictions on controlled equipment. For more information on the Controlled Equipment List and Prohibited Equipment, see Appendix B: 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 historic properties to ensure that all activities and programs funded by the agency, including grants funded projects, comply with federal EHP regulations, laws and Executive Orders as applicable. Recipients and subrecipients proposing projects that have the potential to impact the environment, including but not limited to construction of communication towers, modification or renovation of existing buildings, structures and facilities, or new construction including replacement of facilities, must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description along with supporting documentation so that FEMA may determine whether the proposed project has the potential to impact environmental resources and/or historic properties. In some cases, DHS/FEMA also is required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed and approved 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 orders, regulations, and policies.

Additionally, all recipients are required to comply with DHS/FEMA EHP Policy Guidance. This GPD EHP Policy Guidance can be found in FP 108-023-1, Environmental Planning and Historic Preservation Policy Guidance, and further GPD mailto:ndgrants@fema.gov https://www.fema.gov/media-library-data/1485452831667-ab397ce1d370652ec49c25a280419af4/IB_407a_Controlled_Equipment_FY2017_Update_GPD_FINAL_508.pdf https://www.fema.gov/media-library/assets/documents/85376

EHP guidance can be found at: https://www.fema.gov/environmental-planning-and-historic-preservation-compliance.

SAFECOM

Recipients (including subrecipients) who receive awards under the IPR that wholly or partially provide funding for emergency communication projects and related activities must comply with the most recent version of the SAFECOM Guidance on Emergency Communications Grants. This guidance provides recommendations to recipients regarding interoperable emergency communications projects, including allowable costs, eligible activities, grants management best practices for emergency communications grants, and information on technical standards that ensure greater interoperability. The guidance is intended to ensure that federally-funded investments are compatible, interoperable, and support the national goals and objectives for improving emergency communications nationwide.

Pre-award Costs

Pre-award costs are allowable only with the prior written approval of DHS/FEMA 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 costs are allowed under this program only as described in this

NOFO.

Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, please reference 2 C.F.R. § 200.313, located at http://www.ecfr.gov/cgi-bin/text-idx?SID=c836a011886f180dac489e15c059b1aa&node=sg2.1.200_1309.sg2&rgn=div7.

https://www.fema.gov/environmental-planning-and-historic-preservation-compliance https://www.fema.gov/environmental-planning-and-historic-preservation-compliance http://www.dhs.gov/safecom http://www.dhs.gov/safecom http://www.ecfr.gov/cgi-bin/text-idx?SID=c836a011886f180dac489e15c059b1aa&node=sg2.1.200_1309.sg2&rgn=div7.

http://www.ecfr.gov/cgi-bin/text-idx?SID=c836a011886f180dac489e15c059b1aa&node=sg2.1.200_1309.sg2&rgn=div7.

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.

Operational Packages (OPacks) OPack costs are allowed under this program as described in this NOFO. The recipient may elect to pursue OPack funding, such as Canine Teams, Mobile Explosive Screening Teams, and Anti-Terrorism Teams, for new capabilities as well as to sustain existing OPacks. In addition, the recipient must commit to minimum training standards to be set by DHS for all IPR funded security positions.

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

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

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

The recipient must submit all documentation resulting from that review to GPD prior to submitting materials for EHP review. The recipient is also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1 and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Program Analyst within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP review packets should be sent to gpdehpinfo@fema.gov.

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

https://www.dhs.gov/sites/default/files/publications/DHS_Instruction%20Manual%20023-01-001-01%20Rev%2001_508compliantversion.pdf https://www.dhs.gov/sites/default/files/publications/DHS_Instruction%20Manual%20023-01-001-01%20Rev%2001_508compliantversion.pdf https://www.fema.gov/media-library/assets/documents/118323 https://www.fema.gov/media-library/assets/documents/118323 mailto:gpdehpinfo@fema.gov https://www.dol.gov/whd/govcontracts/dbra.htm

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

For additional information on overtime for the FY 2017 IPR program, refer to Appendix B – Funding Guidelines.

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

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

For additional information on allowable costs and funding restrictions, refer to Appendix B – Funding Guidelines.

Management and Administration (M&A) Costs 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 TSGP funds, such as financial management and monitoring. M&A expenses must be based on actual expenses or known contractual costs; requests that are simple percentages of the award, without supporting justification, will not be allowed or considered for reimbursement.

M&A costs are not operational costs, they are the necessary costs incurred in direct support of the grant or as a consequence of the grant and should be allocated across the entire lifecycle of the grant. Examples include preparing and submitting required programmatic and financial reports, establishing and/or maintaining equipment inventory, documenting operational and equipment expenditures for financial accounting purposes;

and responding to official informational requests from state and federal oversight authorities.

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.

IPR Specific Application Instructions

Applicants must submit their IPR grant application, associated IJs including detailed budgets, and associated MOUs/MOAs as a file attachment within ND Grants prior to the application deadline.

Investment Justification (IJ) As part of the FY 2017 IPR application process, applicants must develop a formal IJ that addresses each initiative being proposed for funding, including a project’s M&A costs.

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

Applicants may submit up to 15 IJs. The IJ must demonstrate how proposed projects address gaps and deficiencies in current programs and capabilities and link to one or more core capabilities identified in the National Preparedness Goal. Applicants are encouraged to submit a separate IJ for each proposed project. IPR projects must be: 1) feasible and effective at reducing the risks for which the project was designed; and 2) able to be fully completed within the 3-year period of performance. Applicants must ensure that the IJs are consistent with all applicable requirements outlined in this application kit.

IJs must be submitted with the grant application as a file attachment within https://portal.fema.gov. Applicants must use the following file naming convention when submitting IJ attachments through https://portal.fema.gov as part of the FY 2017 IPR program:

Name of Applicant_IJ Number (Example: Amtrak_IJ 1)

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

I. Background II. Strategic and Program Priorities III. Impact IV. Funding/Implementation Plan

An IJ Template is provided in Appendix C – Program Investment Justification Template and may be used as a guide to assist in IJ preparation.

Detailed Budget Applicants must provide a detailed budget for the funds requested. The detailed budget must be submitted with the grant application as a file attachment within ND Grants. The budget must be complete, reasonable, and cost-effective in relation to the proposed project. The budget should provide the basis of computation of all project-related costs, any appropriate narrative, and a detailed justification of M&A costs.

Applicants must use the following file naming convention when submitting detailed budgets through https://portal.fema.gov as part of the FY 2017 IPR program:

Agency_IJ Number_Budget (Example: Amtrak_IJ 1_Budget)

A sample budget detail worksheet is provided in Appendix D – Sample Budget Detail Worksheet and may be used as a guide to assist in the preparation of the budget and budget narrative.

Sensitive Security Information (SSI) Requirements A portion of the information routinely submitted in the course of applying for funding or reporting under certain programs or provided in the course of an entity’s grant management activities under those programs which are under federal control may be https://portal.fema.gov/ https://portal.fema.gov/ subject to protection under an SSI marking, and must be properly identified and marked. SSI is a control designation used by DHS/FEMA to protect transportation security related information. It is applied to information about security programs, vulnerability and threat assessments, screening processes, technical specifications of certain screening equipment and objects used to test screening equipment, and equipment used for communicating security information relating to air, land, or maritime transportation. Further information can be found at 49 C.F.R. § 1520.7.

For the purposes of IPR, and due to the high-frequency of SSI found in IJs, all IJs shall be considered SSI and treated as such until they have been subject to review for SSI by DHS/FEMA. Therefore, applicants shall label all application documents as SSI in accordance with 49 C.F.R. § 1520.13.

E. Application Review Information

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. 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 awards; (4) reports and findings from audits; and (5) ability to effectively implement statutory, regulatory, or other requirements.

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

Investment justifications will be reviewed and selected based on the following criteria:

1. Funding priorities. Projects will be evaluated and prioritized based on the extent to which they address the specific funding priorities contained in the this NOFO (see Appendix A: FY 2017 IPR Program Priorities).

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

3. Sustainability without additional federal funds and leveraging of other funding. Projects will be evaluated and prioritized regarding the extent to which they exhibit a likelihood of success, or continued success, without requiring additional federal assistance.

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

Grant projects must be: 1) both feasible and effective at reducing the risks for which the project was designed; and 2) able to be fully completed within the 3-year period of performance.

DHS/FEMA will use the information provided in the application, as well as any supporting documentation, to determine the feasibility and effectiveness of the grant project. Information that would assist in the feasibility and effectiveness determination includes the following:

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

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

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

• Project schedule

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

Review and Selection Process Amtrak is the only eligible entity for the FY 2017 IPR program.

Supplemental Financial Integrity Review Prior to making a Federal award where the Federal share is expected to exceed the simplified acquisition threshold, currently $150,000, DHS/FEMA is required to review and consider any information about the applicant in the Federal Awardee Performance and Integrity Information System (FAPIIS), which is also accessible through the SAM website.

• An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a Federal awarding agency previously entered.

• DHS/FEMA will consider any comments by the applicant, in addition to the

FAPIIS information, in making a judgment about the applicant’s integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants, as described in 2 CFR §200.205.

F. Federal Award Administration Information

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

Funds will remain on hold until the applicant accepts the award through ND Grants System and all other conditions of award have been satisfied, or the award is otherwise rescinded. Failure to accept the award within the 90 day timeframe may result in a loss of funds.

Recipients must accept their award 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 https://www.fapiis.gov/fapiis/index.action https://www.fapiis.gov/fapiis/index.action https://www.sam.gov/portal/SAM/#1 under the award, through the ND Grants system. Instructions on accepting or declining an award in the ND Grants system can be found in the ND Grants Grantee Training Manual.

Administrative and National Policy Requirements All 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: DHS Standard Terms and Conditions.

The applicable DHS Standard Administrative Terms and Conditions will be those in effect at the time the award was made.

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

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

Federal Financial Reporting Requirements

Federal Financial Report (FFR) Recipients must report obligations and expenditures on a quarterly basis through the FFR (SF-425) to DHS/FEMA. Recipients must file the FFR electronically using the Payment and Reporting Systems (PARS). A FFR report must be submitted quarterly throughout the period of performance, including partial calendar quarters, as well as for periods where no grant award activity occurs. The final FFR is due 90 days after the end of the performance period. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate lack of progress, or are insufficient in detail.

The Federal Financial Reporting Form (FFR) (SF-425) is available online at:

https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1, SF-425 OMB #4040-0014.

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 https://www.fema.gov/media-library/assets/documents/25949 https://www.fema.gov/media-library/assets/documents/25949 http://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions https://isource.fema.gov/sf269/execute/OnlineUserRegistration https://isource.fema.gov/sf269/execute/OnlineUserRegistration

Financial and Compliance Audit Report For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000 or more from all federal funding sources during their fiscal year are required to submit an organization-wide financial and compliance audit report. The audit must be performed in accordance with the requirements of GAO’s Government Auditing Standards, located at http://www.gao.gov/govaud/ybk01.htm, and the requirements of Subpart F of 2 C.F.R. Part 200, located at http://www.ecfr.gov/cgi-bin/text-idx?SID=876f827f6fae2c4bce610e9427a6d229&node=sp2.1.200.f&rgn=div6.

Program Performance Reporting Requirements

Performance Progress Reports (PPR) Recipients are responsible for providing updated performance reports to DHS/FEMA on a biannual basis. The Performance Progress Report (PPR) should include the following:

• Status Summary: The summary should o Provide a brief narrative of the overall status of projects o Identify accomplishments and milestones achieved as they relate to the approved projects and o Describe any potential issues that may affect project completion.

• Best Practices / Lessons Learned Summary: The summary should describe any best practices or lessons learned identified to date through the program.

The purpose of this information is to develop and enhance guidance materials, tools, templates, and lessons learned and best practices summaries.

• Issues List: The list should identify any program-related challenges that may require assistance or impact successful and on time completion of the funded project.

Program Performance Reporting Periods and Due Dates The following reporting periods and due dates apply for the PPR:

Reporting Period Report Due Date January 1 – June 30 July 30 July 1 – December 31 January 30

Closeout Reporting Requirements DHS/FEMA will close out the grant award when it determines that all applicable administrative actions and all required work of the IPR award have been completed by the recipient. This section summarizes the actions that recipients must take to complete the closeout process in accordance with 2 C.F.R. § 200.343 at the end of the grant’s period of performance or the issuance of a Grant Amendment Notice issued to close out the grant.

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