FY_2017_THSGP_NOFO_Final.pdf

FY 2017 THSGP NOFO

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

Fiscal Year 2017 Tribal Homeland Security Grant Program (THSGP)

NOTE: Eligible recipients who plan to apply for this funding opportunity and have not obtained a Data Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management (SAM), 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

Notice of Funding Opportunity Title Tribal Homeland Security Grant Program

NOFO Number

DHS-17-GPD-067-00-02

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

Appropriation Authority for Program Department of Homeland Security Appropriations Act, 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 The Fiscal Year (FY) 2017 THSGP plays an important role in the implementation of the National Preparedness System by supporting the building, sustainment, and delivery of core capabilities essential to achieving the National Preparedness Goal (the Goal) of a secure and resilient Nation. Delivering core capabilities requires the combined effort of the whole community, rather than the exclusive effort of any single organization or level of government. The FY 2017 THSGP’s allowable costs support efforts to build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and Recovery mission areas described in the Goal. Among the five basic homeland security missions noted in the DHS Quadrennial Homeland Security Review, THSGP supports the goal to Strengthen National Preparedness and Resilience.

Objectives The objective of THSGP is to implement the National Preparedness System by building and sustaining core capabilities that support terrorism preparedness, such as:

• Advancing whole community approach to security and emergency management

• Strengthening a tribal community’s emergency management program

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

• Developing or updating emergency, response, and recovery plans

• Completing the Threat and Hazard Identification and Risk Assessment (THIRA) process

• Designing and conducting exercises that engage the whole community of stakeholders and validate core capabilities

• Conducting training (see Appendix B – FY 2017 THSGP Funding Guidelines for additional details)

Priorities The National Preparedness 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 anticipated effects of the THSGP grant funds are to increase the ability of Tribes to prevent, prepare for, protect against, and respond to acts of terrorism, to meet their capability targets, and to otherwise reduce the overall security risk to Tribes.

For additional information on program priorities and objectives for the FY 2017 THSGP, refer to Appendix A – FY 2017 THSGP Funding Priorities.

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

B. Federal Award Information

Award Amounts, Important Dates, and Extensions

Available Funding for the THSGP: $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: Grant

C. Eligibility Information

Eligible Applicants Directly eligible Tribes

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

Federally recognized Tribes are those Tribes appearing on the list published by the Secretary of the Interior pursuant to the Federally Recognized Indian Tribe List Act of 1994 (Pub. L. No. 103-454) (25 U.S.C. § 479a-1).

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

(A) Any Indian Tribe -

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

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

(iii)

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

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

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

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

(iv) that certifies to the Secretary [of Homeland Security] that a State has not provided funds under section 2003 [UASI] or 2004 [SHSP] of [the Homeland Security Act of 2002, as amended] to the Indian Tribe or consortium of Indian Tribes for the purpose for which direct funding is sought; and

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

In FY 2017, applicants must self-certify as to whether they meet the eligibility requirements. Self-certification will be provided on the THSGP Eligibility Certification Form as part of application Investment Justification (IJ). Additionally, DHS/FEMA will verify grant recipient eligibility against this criteria. Any questions regarding an applicant’s proximity to a Critical Infrastructure (CI) site, as described in the eligibility criteria, may be directed to the State Administrative Agency (SAA) for the state with which the Tribal Nation shares a border. The State Administrative Contacts List can be found at http://www.fema.gov/media-library/assets/documents/28689?id=6363.

Other Eligibility Criteria

National Incident Management System (NIMS) Implementation Prior to allocation of any Federal preparedness awards in FY 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).

Emergency Incident management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment and/or supplies) to meet incident needs. Utilization of the standardized resource management concepts such as typing, credentialing, and inventorying promote a strong national mutual aid capability needed to support delivery of core capabilities. Recipients should manage resources purchased or supported with FEMA grant funding according to NIMS resource http://www.fema.gov/media-library/assets/documents/28689?id=6363 https://www.fema.gov/training-0 https://www.fema.gov/implementation-guidance-and-reporting management guidance. Additional information on resource management and NIMS resource typing definitions and job titles/position qualifications is available under http://www.fema.gov/resource-management-mutual-aid.

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

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

Additional information is available from the http://www.fema.gov/nims-doctrine-supporting-guides-tools. This includes information on how communities can use its 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.

Cost Share or Match Cost share or cost match is not required under this 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 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. Applicants experiencing technical issues, must notify the respective FEMA Headquarters (HQ) Program Analyst as soon as possible. Applicants should contact the Centralized Scheduling and http://www.fema.gov/resource-management-mutual-aid http://www.fema.gov/nims-doctrine-supporting-guides-tools http://www.fema.gov/nims-doctrine-supporting-guides-tools http://www.fema.gov/resource-management-mutual-aid

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 (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 following Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this Notice is: (800) 462-7585.

Applications will be processed through the Grants.gov portal and FEMA’s Non-Disaster Grants (ND Grants) System.

Content and Form of Application Submission Applying for an award under this program is a multi-step process. 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 their application may disqualify their application from funding.

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

1. Applying for, updating or verifying their Data Universal Numbering System

(DUNS) Number;

2. Applying for, updating or verifying their Employer Identification 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 complete application in ND Grants system.

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

mailto:askcsid@dhs.gov http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ https://portal.fema.gov/ http://www.grants.gov/web/grants/applicants/applicant-resources.html

Unique Entity Identifier and System for Award Management (SAM) Before applying for a DHS 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 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) 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. The EIN base for an organization is the Internal Revenue Service (IRS) Tax ID number, for individuals it is their social security number, (both the EIN and social security number are nine-digit numbers). Organizations and individuals submitting their applications must correctly differentiate the EIN from the DUNS since both are nine-digit numbers. If these numbers are not correctly identified in the application, 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 registering an EIN, please contact the IRS helpline. DHS/FEMA cannot assist applicants with questions related to obtaining a current EIN.

Register with the System for Award Management (SAM) Applicants applying for grant funds electronically through Grants.gov must register with the Federal System for Award Management (SAM). Step-by-step instructions for registering with SAM can be found here:

http://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html. All applicants must register with SAM in order to apply online. Failure http://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html http://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html http://www.irs.gov/Businesses/Small-Businesses-&-Self-Employed/Apply-for-an-Employer-Identification-Number-(EIN)-Online http://www.irs.gov/Businesses/Small-Businesses-&-Self-Employed/Apply-for-an-Employer-Identification-Number-(EIN)-Online https://www.grants.gov/ 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 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 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 Organization 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. 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), 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 approves 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 j required submission deadlines. Approval as an AOR is necessary in order to submit applications online.

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

Electronic Signature Applications submitted through Grants.gov constitute a submission as electronically signed applications. The registration and account creation with Grants.gov with E-Biz POC approval, establishes an AOR. When submitting the application through Grants.gov, the name of the applicant’s AOR will be inserted into the signature line of the application. Applicants must register the individual who is able to make legally binding commitments for the applicant organization as the AOR; this step often is overlooked and it is crucial for valid submissions.

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

Submitting an Initial Application in Grants.gov Following completion of the pre-application procedures, all 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 Form Certification Regarding Lobbying Form.

Both forms are available in the Forms tab under SF-424 Family. The initial application cannot be started or submitted in Grants.gov unless the applicant’s registration in SAM is confirmed.

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

Applicants are strongly encouraged to submit their initial application in Grants.gov at least ten days before the June 22, 2017 5:00PM EDT 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 applicants 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, eligible applicants will be notified by DHS/FEMA and asked to proceed with submitting their complete application package http://www.grants.gov/web/grants/applicants/applicant-resources.html https://www.grants.gov/ https://www.grants.gov/ http://www.grants.gov/web/grants/applicants/applicant-resources.html https://www.grants.gov/ http://www.grants.gov/web/grants/applicants/applicant-resources.html http://www.grants.gov/web/grants/applicants/applicant-resources.html http://www.grants.gov/web/grants/applicants/applicant-resources.html http://www.grants.gov/web/grants/applicants/grant-application-process.html mailto:support@grants.gov?subject=GRANTS.GOV%20Support%20Center 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 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:

• THSGP Investment Justification (OMB Control Number: 1660- 0113/FEMA Form: 089-22) (see Appendix C – FY 2017 THSGP Investment Justification (IJ) Outline for a description of the IJ and the IJ submission process);

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

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

• Indirect Cost Agreement, if applicable.

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

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 Information Bulletin (IB) 407a: Use of Grant Funds for Controlled Equipment, which has placed further restrictions on controlled equipment. For more information on the Controlled Equipment List and Prohibited Equipment, see Appendix B – FY 2017 THSGP Funding Guidelines.

For additional information on allowable costs and Funding Restrictions, refer to Appendix B – FY 2017 THSGP Funding Guidelines.

https://portal.fema.gov/ https://portal.fema.gov/ mailto:ndgrants@fema.gov http://www.fws.gov/policy/library/rgeo12372.pdf http://www.whitehouse.gov/omb/grants_spoc 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-data/1485452831667-ab397ce1d370652ec49c25a280419af4/IB_407a_Controlled_Equipment_FY2017_Update_GPD_FINAL_508.pdf

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 grant funded projects, comply with Federal EHP regulations, laws and Executive Orders as applicable. Recipients and subrecipients proposing projects that have the potential to impact the environment, including but not limited to construction of communication towers, modification or renovation of existing buildings, structures and facilities, or new construction including replacement of facilities, must participate in the DHS/FEMA EHP review process. The EHP review process involves the submission of a detailed project description 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 and approved before funds are released to carry out the proposed project; otherwise, 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 and further GPD EHP guidance can be found at: https://www.fema.gov/environmental-planning-and-historic-preservation-compliance.

SAFECOM

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

Pre-award Costs Pre-award costs are not allowable and will not be approved, with the exception of costs resulting from pre-award grant writing services provided by an independent contractor that shall not exceed $1,500. See Authorized Use of Contractual Grant Writers and/or Grant Managers below for additional details and restrictions.

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.

https://www.fema.gov/media-library/assets/documents/85376 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

Direct Costs

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

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

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

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

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

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

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

International travel is not an allowable cost under this program unless approved in advance by 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. See Appendix B – FY 2017 THSGP Funding Guidelines for additional details. Additionally, recipients are required to submit a SF-424C Form and Budget detail citing the project costs.

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

NOFO.

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

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

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

Management and Administration (M&A) Management and administration costs are allowed. Recipients may use up to five percent (5%) of the amount of the award for M&A. Where applicable, sub-recipients may use up to five percent (5%) of the amount they receive for M&A. M&A activities are those defined as directly relating to the management and administration of THSGP funds, such as financial management and monitoring. Management and administrative expenses must be based on actual expenses or known contractual costs. M&A requests that are simple percentages of the award, without supporting justification, will not be allowed or considered for reimbursement.

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

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

Authorized Use of Contractual Grant Writers and/or Grant Managers A grant applicant may procure the services of a contractor to provide support and assistance for pre-award grant development services (grant writing) or post-award grant management and administrative services (grant management). As with all grant-funded procurements, grant writer or grant management services must be procured in accordance with the Federal procurement standards at 2 C.F.R. §§ 200.317 – 200.326. For entities other than States, such procurements must comply with the recipient’s written standards of conduct covering conflicts of interest as required by the Federal procurement standards at 2 C.F.R. § 200.318 (c)(1). Included in this requirement, no employee, officer, or agent of the recipient may participate in the selection, award, or administration of a contract supported by a Federal award if he or she has a real or apparent conflict of interest.

FEMA considers a contracted grant-writer to be an agent of the recipient for any subsequent contracts the recipient procures under the same Federal award in which the grant-writer provided grant writing services.

Grant Writers Grant writing contractors may assist the applicant in preparing, writing, and finalizing grant application materials and assisting the applicant with handling online application and submission requirements in Grants.gov and ND Grants. Grant writers may assist in a variety of ways up to and including the actual submission of the application. Ultimately, the applicant that receives an award is solely responsible for all grant award and administrative responsibilities.

Grant Managers Grant management contractors provide support in the day to day management of an active grant and their services may be incurred as Management and Administration costs (M&A) of the award. Additionally, recipients may retain grant management contractors at their own expense. Regardless of whether an applicant or recipient uses grant writing and/or grant management services, the recipient is solely responsible for the fiscal and programmatic integrity of the grant and its authorized activities and expenditures. They must ensure adequate internal controls, including separate of duties, to safeguard grant assets, processes, and documentation, in keeping with the terms and conditions of its award, including this NOFO and 2 C.F.R. Part 200.

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.

E. Application Review Information

Application Evaluation Criteria FY 2017 THSGP applications will be evaluated through a three part review and selection process:

1. Applications will first be reviewed by a FEMA HQ Program Analyst to ensure the applicant meets all eligibility requirements. To determine eligibility, the FEMA HQ Program Analyst will review submitted applications for completeness.

Completeness is determined by the FEMA HQ Program Analyst by confirming:

• The applicant has submitted the self-certification form stating the Tribe’s eligibility per the Homeland Security Act of 2002, as amended. (See section III.A. Eligibility Criteria, for further information);

• The information provided in the self-certification form is accurate;

• Activities under each investment are allowable; and

• The application meets all of the administrative criteria identified in this

NOFO, to include the required submission of an IJ by the established due dates.

2. Eligible and complete applications will then be reviewed through a Federal review process, in which proposed investments will be individually scored.

Scoring is based on the following four criteria (see Appendix C – FY 2017 THSGP Investment Justification Outline for more details):

• Overview (description of the investment);

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

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

• Accomplishments and Impacts (outcomes).

3. FEMA HQ Grants Management Specialists will conduct a financial risk assessment of the top scoring investments using the following criteria:

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

• Whether the recipient meets the financial and legal requirements listed in 2

C.F.R. Part 200.

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.

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.

Review and Selection Process A panel of reviewers will analyze and score the investments from all applications that the Program Analysts determine to be complete and eligible. Reviewers may consist of a combination of Federal tribal grant mangers, FEMA regional tribal liaisons, and FEMA regional grant mangers. DHS/FEMA will assign reviewers who meet one or more of the following criteria:

• Experience working with tribes and Tribal professionals;

• Federal employees experienced in a variety of disciplines, including homeland security, emergency management, law enforcement, fire and rescue, etc.; and/or

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

https://www.fapiis.gov/fapiis/index.action https://www.fapiis.gov/fapiis/index.action https://www.sam.gov/portal/SAM/#1

The reviewers will analyze and score the anticipated effectiveness of each individual proposed investment. Effectiveness is determined based on completeness and adherence to programmatic guidelines.

Reviewers will score each investment individually using six questions to assess how well the investments satisfy the four criteria sections in the Investment Justification template:

Overview, Baseline, Project Management and Milestones, and Accomplishments and Impact.

The questions the reviewers will score are:

A. Overview Section of Investment

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

B. Baseline Section of Investment

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

C. Project Management and Milestones Section of Investment

• How well does the Investment support the selected core capabilities outlined in the Goal?

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

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

D. Accomplishments and Impact Section of Investment

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

Each of the six questions that the reviewers score is worth a maximum of five (5) points.

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

1 = Little to None 2 = Inadequate 3 = Adequate 4 = Substantial 5 = Strong

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

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

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

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

All final investment scores will be sorted in descending order and investments will be selected for recommendation from the highest score to lowest score until available FY 2017 THSGP funding has been exhausted. In the event of a tie during the investment recommendation determination process, DHS/FEMA will give priority to the tribal entity that has not received prior year funding.

All investments selected for recommendation will also undergo a financial risk review conducted by the FEMA HQ Grants Management Specialist. Using their subject matter expertise, the questions the FEMA HQ Grants Management Specialist will assess are:

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

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

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

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

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

• If indirect costs are included, has the applicant provided an approved Indirect

Cost Rate agreement?

• Is the applicant delinquent on any Federal debt?

• Has the applicant had substandard performance in a prior award?

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

DHS/FEMA will use the results of the review process to make funding recommendations to the Secretary of Homeland Security. Final funding determinations will be made by the Secretary of Homeland Security.

F. Federal Award Administration Information

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

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

Recipients must accept their awards no later than 90 days from the award date. The recipient shall notify the awarding agency of its intent to accept and proceed with work under the award through the ND Grants system. 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 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 AOR should review the award package. The award package includes instructions on administering the grant award and the terms and conditions associated with responsibilities under Federal Awards. The applicant must accept all conditions in this NOFO as well as any Special Terms and Conditions in the Notice of Award to receive an award under this program.

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

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

Federal Financial Requirements

Federal Financial Report (FFR) Grant recipients must report obligations and expenditures ported 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 must be submitted quarterly throughout the period of performance, including partial calendar quarters, as well as for periods where no grant award activity occurs. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate lack of progress, or are insufficient in detail.

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

https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html, 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

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 Government Accountability Office’s (GAO) 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?node=sp2.1.200.f.

Program Performance Reporting Requirements

Performance Progress Report (PPR) Recipients will be required to report on progress towards implementing projects described in their application on a biannual basis.

Program Performance Reporting Periods and Due Dates The following reporting periods…