FY 2017 TSGP NOFO FINAL GG.pdf

FY 2017 TSGP NOFO

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

Fiscal Year (FY) 2017 Transit Security Grant Program (TSGP)

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 Department of Defence (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 97.075

CFDA Title Rail and Transit Security Grant Program

Notice of Funding Opportunity Title Transit Security Grant Program

NOFO Number

DHS-17-GPD-075-00-03

Authorizing Authority for Program Section 1406 of the Implementing Recommendations of the 9/11 Commission Act of 2007 (Pub. L. No. 110-53) (6 U.S.C. 1135)

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 FY 2017 TSGP 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. TSGP 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. The FY 2017 TSGP will provide funds to eligible publicly owned operators of public transportation systems (which include intra-city bus, commuter bus, ferries, and all forms of passenger rail) to protect critical surface transportation infrastructure and the traveling public from acts of terrorism and to increase the resilience of transit infrastructure. Among the five basic homeland security missions noted in the DHS Quadrennial Homeland Security Review, the TSGP supports the goal to Strengthen National Preparedness and Resilience.

Objectives Recipients under the FY 2017 TSGP are encouraged to build and sustain core capabilities through activities such as:

• Strengthening governance integration

• Operational activities

• Operational Packages (OPacks) – K-9 teams, mobile screening teams, or anti-terrorism teams

• Top Transit Asset List (TTAL) remediation

• Other critical infrastructure asset remediation

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 FY 2017 TSGP plays an important role in the implementation of the National Preparedness System by supporting the development and sustainment of core capabilities. The core capabilities, outlined in the Goal, are essential for the execution of the Prevention, Protection, Mitigation, Response, and Recovery mission areas and the realization of a secure and resilient Nation. The development and sustainment of these core capabilities are not exclusive to any single level of government or organization, but rather require the combined effort of the whole community.

The FY 2017 TSGP supports all core capabilities across the five mission areas based on allowable costs. Examples of tangible outcomes from the TSGP include building and https://www.fema.gov/national-preparedness/whole-community sustaining emergency management capabilities through operational activities; operational packages; TTAL remediation; protection of high risk/high consequence underwater and underground rail assets; planning; use of visible, unpredictable deterrence; emergency preparedness drills and exercises; security training of employees; public awareness and preparedness campaigns; and protection of other high risk, high consequence areas or systems that have been identified through system wide risk assessments.

For additional information on program priorities and objectives for the FY 2017 TSGP, refer to Appendix B – Program Priorities.

B. Federal Award Information

Award Amounts, Important Dates, and Extensions

Available Funding for the TSGP: $88,000,000

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 – Additional Information of this

NOFO.

Projected Period of Performance Start Date: September 1, 2017

Projected Period of Performance End Date: August 31, 2020

Funding Instrument: Grant

C. Eligibility Information

Eligible Applicants Public Transportation Agencies as listed in Appendix A – Eligible Rail, Intra-city Bus, and Ferry Transit Agencies.

Eligibility Criteria Agencies eligible for the FY 2017 TSGP are determined based upon daily unlinked passenger trips (ridership) and transit systems that serve historically eligible Urban Area Security Initiative (UASI) jurisdictions as indicated in Appendix A. Certain ferry systems are eligible to participate in the FY 2017 TSGP and receive funds. However, any ferry system electing to participate and receive funds under the FY 2017 TSGP will not be eligible to participate under the FY 2017 Port Security Grant Program (PSGP) and will not be considered for funding under the FY 2017 PSGP. Likewise, any ferry system that participates in the PSGP will not be eligible for funding under the TSGP.

Sections 1405 (6 U.S.C. § 1134) and 1406 (6 U.S.C. § 1135) of the Implementing Recommendations of the 9/11 Commission Act of 2007 require that high risk public transportation agencies that receive grant funding develop a security plan based on a security assessment. Additionally, the statutes direct that grant funds be used to address items in the security assessment or the security plan. In order to be eligible for the FY 2017 TSGP, transit agencies must have developed, or updated, their security plan. The security plan must be based on a security assessment such as the Baseline Assessment for Security Enhancement (BASE), which is performed by the Transportation Security Inspectors-Surface division of the Transportation Security Administration (TSA). This security assessment must have been conducted within the last three years prior to receiving an FY 2017 TSGP award.

A copy of the security plan and security assessment must be available for DHS/FEMA review upon request. Please see Appendix G – Security Plan Requirements for more information on security plan requirements.

Entities providing transit security (e.g., city/county police department, public transportation agency’s own police department) for a public transportation agency must approve the security plan. The signature of a responsible official from the agency’s transit security provider serves as this approval. If there is more than one provider in the core service area, all transit security providers must review and concur with the plan.

Associated documentation of this approval must be provided to DHS/FEMA upon request. In addition, the agency’s transit security provider is encouraged to review the Investment Justifications (IJs) prior to submission.

Each public transportation agency receiving funds through this program must participate in a Regional Transit Security Working Group (RTSWG) or develop a RTSWG if one does not already exist. The RTSWG should serve as the location regional partners discuss risk, planning efforts, and mitigation strategies. These discussions should be held regardless of funding to continue enhancing the overall security of the region.

Appendix A – Eligible Rail, Intra-city Bus, and Ferry Public Transportation Agencies provides a list of eligible transit agencies. Eligibility does not guarantee grant funding.

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). 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 DHS/FEMA grant funding https://www.fema.gov/training-0 https://www.fema.gov/implementation-guidance-and-reporting according to NIMS resource 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.

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

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 FEMA Headquarters (HQ) Program Analyst prior to the application deadline. If applicants do not know their FEMA HQ Program Analyst, please contact the Centralized Scheduling and Information Desk (CSID) 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 with any programmatic questions or concerns.

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”, read the registration requirements, and register, if necessary (allow up to 7-10 business days after submitting before the registration is active in SAM, then an additional 24 hours for Grants.gov to recognize the information). In order to obtain the application package select “Download a Grant Application Package.” Enter the CFDA and/or the funding opportunity number located on Page 1 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.

http://www.fema.gov/resource-management-mutual-aid http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/

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

Applications will be processed through the Grants.gov portal and DHS/FEMA’s 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 to comply with any of the required steps before the application submission deadline may disqualify the application from funding.

The steps for applicants to follow 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;

3. Updating or verifying their SAM Registration;

4. Establishing an Authorized Organizational Representative (AOR) in

Grants.gov;

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

6. Submitting the final application in 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.

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.

http://www.grants.gov/ https://portal.fema.gov/ http://www.grants.gov/ http://www.grants.gov/ https://portal.fema.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html http://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html

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

Obtain an Employer Identification Number (EIN) DHS/FEMA requires both the EIN and a DUNS number prior to the issuance of a financial assistance award and for grant award payment; both EIN and DUNS are also required to register with SAM. The EIN base for an organization is the Internal Revenue Service (IRS) Tax ID number and 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 (2) full weeks to obtain an EIN (https://www.irs.gov/businesses/small-businesses-self-employed/apply-for-an-employer-identification-number-ein-online). For assistance registering an EIN, please contact the IRS helpline at https://www.irs.gov/help-resources/telephone-assistance. DHS/FEMA cannot assist applicants with questions related to obtaining a current EIN.

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

http://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html. All applicants must register with SAM in order to apply online. Failure to register with 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 https://www.irs.gov/businesses/small-businesses-self-employed/apply-for-an-employer-identification-number-ein-online https://www.irs.gov/businesses/small-businesses-self-employed/apply-for-an-employer-identification-number-ein-online https://www.irs.gov/help-resources/telephone-assistance https://www.irs.gov/help-resources/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/ inactivity. To update or renew Entity records 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; please note that this step is often missed and it is crucial for valid submissions. To read more detailed instructions for creating a profile on Grants.gov visit: http://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html.

AOR Authorization After creating a profile on Grants.gov, the E-Biz Point of Contact (POC), a representative from the applicant organization listed as the contact for SAM, will receive an email to grant the AOR permission to submit applications on behalf of the organization. The E- Biz POC will then log in to Grants.gov and approve an individual as the AOR, thereby granting permission to submit applications. After AOR approval, an individual may submit their application online. To learn more about AOR Authorization, visit:

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

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

Electronic Signature Applications submitted through Grants.gov may 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 support@grants.gov.

DHS/FEMA may not make a TSGP 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.

http://www.sam.gov/ http://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html http://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html 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 file://HQEI8F7/GPDShare/FY%202016%20Grant%20Programs/TSGP/NOFOs/Grants.gov

Submitting an Initial Application in Grants.gov Following completion of the procedures above all applicants must submit their initial application through Grants.gov. Applicants may need to first create a Grants.gov user profile by visiting the Get Registered section of the Grants.gov website. Successful completion of this step is necessary for DHS/FEMA to determine eligibility of the applicant. Applicants should complete this initial step on-line which requires completing:

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

• Grants.gov Certification Regarding Lobbying Form.

Both forms are available in the Forms tab under SF-424 Family. The initial application cannot be started or submitted in Grants.gov until 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 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 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 in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement. Early registration will allow applicants to have adequate time to start and complete their application.

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

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

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

• Standard Form LLL, Disclosure of Lobbying Activities

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

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

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/ http://www.grants.gov/ https://portal.fema.gov/ https://portal.fema.gov/

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

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 (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 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.

Applicants should review Appendix C, Funding Guidelines, for detailed information on funding restrictions.

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 C: Funding Guidelines.

Environmental Planning and Historic Preservation (EHP) Compliance As a Federal agency, DHS/FEMA is required to consider the effects of its actions on the environment and 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. Projects that may impact the environment include but are not limited to: construction of communication towers, modification or renovation of existing buildings, structures and facilities, or new construction including replacement of facilities. The EHP review process involves the submission of a detailed project description along with supporting documentation so that DHS/FEMA may determine whether the proposed project has the potential to impact environmental resources and/or historic properties. In some cases, DHS/FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed before funds are released to carry 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 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 EHP guidance can be found at: https://www.fema.gov/environmental-planning-and-historic-preservation-compliance.

SAFECOM

Recipients and subrecipients who receive awards under the TSGP that wholly or partially provide funding for emergency communication projects and related activities must omply with the most recent version of the SAFECOM Guidance on Emergency Communications Grants (https://www.dhs.gov/safecom). 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.

Direct Costs

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

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

NOFO.

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

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

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 https://www.dhs.gov/safecom

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

Construction and Renovation Construction and renovation costs to achieve capability targets related to preventing, preparing for, protecting against, or responding to acts of terrorism are allowed under this program. For construction costs to be allowed, they must be specifically approved by DHS/FEMA in writing prior to the use of any program funds for construction or renovation. Limits on the total amount of grant funding that may be used for construction or renovation may apply. See Appendix C for additional details. Additionally, recipients are required to submit a SF-424C Budget and budget detail citing the project costs.

Operational Overtime Operational Overtime costs are allowed under this program.

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.

Maintenance and Sustainment Maintenance and Sustainment related costs, such as maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable as described in FEMA Policy FP 205-402-125-1 (http://www.fema.gov/media-library/assets/documents/32474).

For additional details on allowable costs under the TSGP, see Appendix C of this NOFO

– FY 17 TSGP Funding Guidelines.

Management and Administration (M&A) Costs Management and administration costs are allowed. Recipients may use up to 5 percent (5%) of the amount of the award for their M&A and sub recipients may use up to 5 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 TSGP funds, such as financial management and monitoring. Management and administrative 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.

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

If an applicant uses an outside consultant or contractor to provide pre-award grant writing services or post-award grant management services, the following considerations and restrictions shall apply:

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.

DHS/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. A State must follow the same policies and procedures it uses for procurements from its non-Federal funds, pursuant to 2 C.F.R. § 200.317.

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.

By submitting the application, applicants are certifying all of the information contained therein is true and an accurate reflection of the organization, and that regardless of the applicant’s intent, the submission of information that is false or misleading may result in actions by DHS/FEMA. These actions include but are not limited to the submitted application not being considered for award, temporary withholding of funding under the existing award pending investigation, or referral to the DHS Office of the Inspector General.

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 separation 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.

Pre-Award Cost of up to $1,500 Eligible for Reimbursement To assist applicants with the cost of grant writing services, DHS/FEMA is permitting a one-time pre-award cost of no more than $1,500 per applicant per year for contractual grant writing services as part of the recipient’s M&A costs. This is only intended to cover costs associated with a grant writer and may not be used to reimburse the applicant for their own time and effort in the development of a grant application. Additionally, the applicant may be required to pay this fee with their own funds during the application preparation and submission period; if the applicant subsequently receives an award, they may then request to be reimbursed once grant funds become available for that cost, not to exceed $1,500. If the applicant does not receive an award, this cost will not be reimbursed by the Federal Government. The applicant must understand this risk and be able to cover this cost if an award is not made.

If an applicant intends to request reimbursement for this one-time pre-award cost, it must include this request in its application materials, including in the Budget Detail Worksheet for each Investment Justification. Failure to clearly identify this as a separate cost in the application may result in its disallowance. This is the only pre-award cost eligible for reimbursement.

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.

TSGP Specific Application Instructions

All applicants will submit their TSGP grant application and associated IJs, to include detailed budgets and associated Memorandum Of Understanding (MOU)/Memorandum Of Agreement (MOA) as a file attachment within ND Grants prior to the application deadline.

Investment Justification (IJ) As part of the FY 2017 TSGP application process, applicants must develop a formal IJ that addresses each initiative being proposed for funding, including a project’s M&A costs. An agency may submit up to eight IJs. Agencies may also submit up to five additional IJs for projects related to law enforcement providers that are not part of the public transportation agency. The IJ must demonstrate how proposed projects address gaps and deficiencies (identified in a current vulnerability assessment) in current programs and capabilities and link to one or more core capabilities identified in the Goal.

The applicant may attach the vulnerability assessment, or cite relevant sections/passages within the IJ to demonstrate the linkage between the project request and the identified vulnerability. The IJ should also describe the agency’s current security posture to demonstrate why the proposed project is necessary and appropriate. The IJ must demonstrate the ability to provide enhancements consistent with the purpose of the program and guidance provided by FEMA. Applicants shall submit a separate IJ for each proposed project. TSGP 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 three-year period of performance. Applicants must ensure that the IJ is consistent with all requirements outlined in this NOFO.

Applicants will find an IJ Template in Appendix E – Investment Justification Template.

This worksheet may be used as a guide to assist applicants in IJ preparation.

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

A. Background B. Strategic and Program Priorities C. Impact D. Funding/Implementation Plan

Applicants must use the following file naming convention when submitting the IJs as part of the FY 2017 TSGP:

Region_ Agency_IJ Number (Example: Chicago_CTA_IJ 1)

Operational Packages (OPacks) Applicants that meet basic OPack eligibility requirements 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. Applicants pursuing both new OPacks and sustainment funding for existing OPacks must indicate in their IJs which is the higher priority for their agency. Additionally, applicants pursuing either new teams or sustainment of existing teams must include the number of OPack teams already in place (either funded by the agency, or by the TSGP).

In addition, recipients must commit to minimum training standards to be set by the Department for all Federally-funded security positions.

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.

Applicants will find a sample Budget Detail Worksheet in Appendix F – Sample Budget Detail Worksheet. 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. A recipient may not obligate, expend, or draw down funds until a budget and budget narrative have been approved by FEMA. The budget detail worksheet may be used as a guide to assist applicants in the preparation of the budget and budget narrative.

Note: Design and Planning/Engineering costs must be clearly identified in a separate line item in order for partial funding to be released prior to EHP review and approval.

Detailed budgets must be submitted with the grant application as a file attachment within ND Grants. Applicants must use the following file naming convention when submitting detailed budgets as part of the TSGP:

Region_Agency_IJ Number_Budget (Example: Chicago_CTA_IJ _1_Budget)

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 subject to protection under an SSI marking, and must be properly identified and marked. SSI is a control designation used by DHS 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 the TSGP, 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, DHS/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.

Additionally, FY 2017 TSGP applications will be evaluated through a review process for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed investments. For additional information, please see Appendix D - Evaluation Plan, Scoring Criteria, and Score Sheet.

Applications requesting funds will be reviewed and selected based on the following criteria:

1. Risk Group Score. The agency’s risk group score is a score of 1-10 generated for each transit agency based on assessed risk to the transit system. This score is calculated by a risk process developed and maintained by DHS/FEMA and TSA.

2. Funding Priority Areas. Projects will be awarded up to seven (7) points based on the extent to which they align with the TSGP Funding Priority Areas (see Appendix B – FY 2017 TSGP Program Priorities).

3. Risk Mitigation Score. Projects will be evaluated based on the potential risk mitigation of the project (as determined by the information provided in the IJ).

This score has several components, and is calculated by the average of the applicable sub-components described below. The total possible score for risk mitigation is 28.

a. Cost effectiveness. Projects will be awarded up to 12 points based on the expected impact on security relative to the investment.

b. Ability to reduce risk of catastrophic events. Projects will be awarded up to

12 points based on the applicant’s ability to reduce risk associated with potential terrorist attacks and all other types of hazards.

c. Sustainability without additional Federal funds and leveraging of other funding. Projects will be awarded up to two (2) points based on the extent to which the applicant exhibits a likelihood of success, or continued success, without requiring additional Federal assistance.

d. Timelines. Projects will be awarded up to two (2) points based on an evaluation of the applicant’s ability to complete the proposed project within submitted timeframes, and how quickly the project can be implemented once funding is received due to planning activities, contracting issues, construction requirement, or other such factors.

4. Regional Collaboration. Projects will be given an additional 0-1.5 points based on the degree of collaboration with other regional partners.

DHS/FEMA headquarters grants management specialists will also conduct a financial risk assessment using the following criteria:

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

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

Part 200.

Review and Selection Process

Recipients must comply with all administrative requirements described herein ― including the submission of IJs, budgets, and other application materials as required.

Having met all administrative requirements, the application will be scored based on the methodology described above, which ensures consistent and accurate evaluations of projects and proposals.

Please note TSGP does not have a cost-match requirement and identifying a non-Federal cost match will not be considered during the application review.

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 three-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)

• Previous project phases completed

• Evidence of linkage to a recent vulnerability assessment

• Description of current security posture of the requesting agency

• Project schedule

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

The following process will be used to make awards for the program:

• DHS/FEMA will verify compliance with each of the administrative and eligibility criteria identified in the NOFO.

• Eligible applications will be reviewed by a National Review Panel (NRP) to determine the risk mitigation and regional collaboration scores. The NRP will consist of officials from various Federal agencies. Each panelist will independently review each application and score it based on the criteria outlined above using a standard scoring sheet.

• The NRP will meet to review and compare scores with discussion of project criteria. Each panelist will then confirm their final scores.