fy12-ipr-foa.pdf

FY 2012 INTERCITY P ASSENGER RAIL (IPR) - AMTRAK

FUNDING OPPORTUNITY ANNOUNCEMENT (FOA)

OVERVIEW INFORMATION

Issued By U.S. Department of Homeland Security (DHS): Federal Emergency Management Agency (FEMA)

Catalogue of Federal Domestic Assistance (CFDA) Number 97.075

CFDA Title Rail and Transit Security Grant Program

Funding Opportunity Announcement Title Fiscal Year (FY) 2012 Intercity Passenger Rail (IPR) - Amtrak

Authorizing Authority for Program Implementing Recommendations of the 9/11 Commission Act of 2007 (Public Law 110- 53)

Appropriation Authority for Program The Consolidated Appropriations Act, 2012, Division D (Public Law 112-74)

FOA Number

DHS-12-GPD-075-000-01

Key Dates and Time Application Start Date: 02/17/2012 Application Submission Deadline Date: 05/04/2012 at 11:59:59 p.m. EDT Anticipated Funding Selection Date: 06/29/2012 Award Date: 09/30/2012

Other Key Dates Applying for FY 2012 IPR Program funds requires a two-step process. Step One: initial submission to determine eligibility and Step Two: full application. Applicants are encouraged to initiate Step One immediately after the FOA is published but no later than April 27, 2012. This involves submitting a complete Standard Form 424 to Grants.gov. Successful completion of this step is necessary for FEMA to determine eligibility of the applicant. Late submissions of Step One to Grants.gov could result in applicants missing the application deadline in Step Two. Once FEMA has determined an applicant to be eligible, applicants can proceed to Step Two which involves submitting the full application package via the Non Disaster (ND) Grants system. The submission deadline for the full application package is May 4, 2012. For additional details see Section X within the full FOA.

Intergovernmental Review Is an intergovernmental review required?

Yes No

FOA EXECUTIVE SUMMARY

Program Type Select the applicable program type:

New Continuing One-time

Date of origin for Program: 01/04/2007

Opportunity Category Select the applicable opportunity category:

Discretionary Mandatory Competitive Non-competitive Sole Source

Justification:

• Implementing Recommendations of the 9/11 Commission Act of 2007 (Public Law 110-53) (hereafter “9/11 Act”) SEC. 1513. Railroad Security Assistance

(a) Security Improvement Grants.—(1) The Secretary, in consultation with the Administrator of the Transportation Security Administration and other appropriate agencies or officials, is authorized to make grants to railroad carriers, the Alaska Railroad, security-sensitive materials offerors who ship by railroad, owners of railroad cars used in the transportation of security-sensitive materials, State and local governments (for railroad passenger facilities and infrastructure not owned by Amtrak), and Amtrak for intercity passenger railroad and freight railroad security improvements described in subsection (b) as approved by the Secretary.

• The Consolidated Appropriations Act, 2012, Division D, (Public Law 112-74) State And Local Programs For grants, contracts, cooperative agreements, and other activities, $1,349,681,000, which shall be distributed, according to threat, vulnerability, and consequence, at the discretion of the Secretary of Homeland Security based on the following authorities:

(5) Public Transportation Security Assistance and Railroad Security Assistance, under sections 1406 and 1513 of the Implementing Recommendations of the 9/11 Commission Act of 2007 (6 U.S.C. 1135 and 1163), including Amtrak security: Provided, that such public transportation security assistance shall be provided directly to public transportation agencies.

Application Process DHS makes all funding opportunities available through the common electronic “storefront” Grants.gov, accessible on the Internet at http://www.grants.gov. If you experience difficulties accessing information or have any questions please call the Grants.gov customer support hotline at (800) 518-4726.

http://www.grants.gov/�

Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov, select “Apply for Grants,” and then select “Download Application Package.” Enter the CFDA and/or the funding opportunity number located on the cover of this announcement. Select “Download Application Package,” and then follow the prompts to download the application package. To download the instructions, go to “Download Application Package” and select “Instructions.”

For additional details on how to apply please refer to Appendix A - Application Submission Information.

Eligible Applicants The following entities are eligible to apply directly to FEMA under this solicitation:

Other (Amtrak)

For additional information, see the Eligibility Information section of this FOA.

Type of Funding Instrument Select the applicable funding instrument:

Grant Cooperative Agreement

IPR Program Management: Roles and Responsibilities at DHS (Substantial Role of Federal Agency) Effective management of the IPR Program entails a collaborative effort and partnership within DHS, the dynamics of which require continuing outreach, coordination, and interface. For the FY 2012 IPR Program, FEMA is responsible for designing and operating the administrative mechanisms needed to implement and manage the grant program. The Transportation Security Administration (TSA) provides programmatic subject matter expertise for the transportation industry and assists by coordinating the myriad of intelligence information and risk/vulnerability assessments resulting in ranking and rating rail and mass transit assets nationwide against threats associated with potential terrorist attacks and in defining the parameters for identifying, protecting, deterring, responding, and recovering from such incidents. Together, these two agencies with additional assistance and cooperation of the Federal Transit Administration (FTA), for rail and mass transit systems, and the Federal Railroad Administration (FRA), as needed for freight rail operations, determine the primary security architecture of the IPR Program.

Cost Share or Match Select the applicable requirement:

Cost Match Cost Share None Required

Maintenance of Effort Is there a Maintenance of Effort (MOE) requirement?

Management and Administration Management and Administration (M&A) costs may not exceed five percent (5%) of the total award. FY 2012 IPR Program funds may be used for the following M&A costs:

• Hiring of full-time or part-time staff or contractors/consultants to assist with the management of the FY 2012 IPR Program or the design, requirements, and implementation of the IPR Program

• Hiring of full-time or part-time staff, contractors or consultants and M&A expenses related to pre-application submission management activities and application requirements or meeting compliance with reporting/data collection requirements, including data calls

• Development of operating plans for information collection and processing necessary to respond to DHS data calls

• Travel expenses

FULL FOA

I. Funding Opportunity Des crip tion

Program Overview and Priorities The IPR Program is one of the DHS’s FY 2012 grant programs which directly support transportation infrastructure security activities. These grant programs are part of a comprehensive set of measures authorized by Congress and implemented by the Administration to help strengthen the Nation’s critical infrastructure against risks associated with potential terrorist attacks. The IPR Program provides funds to Amtrak to protect critical surface transportation infrastructure and the traveling public from acts of terrorism and to increase the resilience of the Amtrak rail system.

Program Objectives The FY 2012 IPR Program plays an important role in the implementation of Presidential Policy Directive 8 (PPD-8) by supporting the development and sustainment of core capabilities. Core capabilities are essential for the execution of each of the five mission areas outlined in the National Preparedness Goal (NPG). 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 2012 IPR Program supports all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs.

Examples of tangible outcomes from FY 2012 IPR Program include building and sustaining core capabilities through:

• Protection of high risk/high consequence underwater and underground rail assets

• Planning

• Use of visible, unpredictable deterrence

For additional information on program priorities and objective for FY 2012 IPR Program, refer to Appendix A – FY 2012 IPR Program Priorities.

II. Funding Information

Award Amounts, Important Dates, and Extensions Available Funding for the FOA: $10,000,000 Projected Award Start Date(s): 09/30/2012 Projected Award End Date(s): 09/30/2014 Period of Performance: 24 months

The grantee must accept its grant awards no later than 90 days from the award date.

The grantee shall notify the awarding agency of its intent to accept and proceed with work under the award, or provide a written notice of intent to decline. Funds will remain on hold until the grantee accepts the award through official correspondence (e.g., written, electronic signature, signed letter or fax to the Grant Programs Directorate [GPD]) 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.

For details on funding amounts please refer to Appendix B – Funding Guidelines

Period of Performance Is an extension to the period of performance permitted?

The periods of performance outlined above support the effort to expedite the outlay of grant funding and provide economic stimulus. The grantee should request waivers sparingly, and they will be granted only due to compelling legal, policy, or operational challenges. For example, the grantee may request waivers from the deadlines outlined above for discretionary grant funds where adjusting the timeline for spending will constitute a verifiable legal breach of contract by the grantee with vendors or sub-recipients, or where a specific statute or regulation mandates an environmental review that cannot be completed within this timeframe or where other exceptional circumstances warrant a discrete waiver.

Additional Funding Information In FY 2012, the total amount of funds distributed under this grant program will be $10,000,000. The FY 2012 IPR Program funds will be allocated based on the funding priorities outlined in Appendix A – FY 2012 IPR Program Priorities.

III. Elig ib ility Information

The National Passenger Railroad Corporation (Amtrak) is the only entity eligible to apply for funding under the FY 2012 IPR Program.

DHS will partner with Amtrak to develop security enhancements for eligible intercity passenger rail operations in all eligible Urban Areas Security Initiative (UASI) Areas Amtrak passes through or services.

Amtrak is encouraged to fully integrate and coordinate with regional transit entities in the conduct of developing security enhancements.

IV. Funding Res tric tions

Restrictions on Use of Award Funds DHS grant funds may only be used for the purpose set forth in the grant, and must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other Federal grants/cooperative agreements, 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.

Pre-award costs are allowable only with the written consent of DHS and if they are included in the award agreement.

Federal employees are prohibited from serving in any capacity (paid or unpaid) on any proposal submitted under this program. Federal employees may not receive funds under this award.

For additional details on restrictions on the use of funds please refer to Appendix B - Funding Guidelines.

V. Applica tion Re view and Se lec tion Proces s

Application Review Information The completed application must be submitted to DHS via http://www.grants.gov (see below for details about this Federal grants application tool) by no later than 11:59 p.m.

EDT, May 4, 2012. DHS will evaluate and act on the application within 60 days following close of the application period.

Amtrak must comply with all administrative requirements described herein ― including Investment Justifications, budgets, and application process requirements. Having met all administrative requirements, the application will be evaluated based on:

1. Funding priorities. Projects will be evaluated and prioritized based on the extent to which they address the specific funding priorities contained in the FY 2012 IPR Program FOA

2. Cost effectiveness. Projects will be evaluated and prioritized on the expected impact on security relative to the investment

3. Ability to reduce risk of catastrophic events. Projects will be evaluated and prioritized on their ability to reduce risk

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

5. Timelines. Projects will be evaluated and prioritized on the ability of the applicant to complete the proposed project within submitted timeframes

Application Selection Process Based on previously cited statutory authorities, DHS has elected to enter into a cooperative agreement with Amtrak. The nature of the Federal involvement in the execution of this program may include joint participation in a project. Other examples of prospective substantial Federal involvement include the following:

• Collaboration, participation, and/or intervention in any activity covered by the cooperative agreement

• Approval from DHS prior to the selection of a new project or commencement of the next phase of an approved project

• Authority for DHS to halt an activity if detailed performance specifications are not met

• Authority for DHS to direct or redirect the scope of work of a project based on new circumstances

• Authority for DHS to create a working group of key Federal and private sector stakeholders to provide guidance and coordination for transit security activities

Funds will not be made available for obligation, expenditure, or drawdown until the applicant’s budget and budget narrative have been approved by FEMA.

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

VI. Pos t-Se lec tion and Pre -Award Guidelines

Notice of Award In addition to program-specific administrative, financial, and reporting requirements outlined below, successful applicants for all DHS grant and cooperative agreements are required to comply with DHS Standard Terms and Conditions available on page 6 of http://www.dhs.gov/xlibrary/assets/cfo-financial-management-policy-manual.pdf.

Upon approval of an application, the award will be made in the form of a cooperative agreement. The date the approval of award is entered in the system is the “award date.” Notification of award approval is made through the ND Grants system through an automatic e-mail to the grantee point of contact listed in the initial application. Once an award has been approved and recorded in the system, a notice is sent to the authorized grant official. Follow the directions in the notification to accept your award documents.

The authorized grant official should carefully read the award package for instructions on administering the grant and to learn more about the terms and conditions associated with responsibilities under Federal awards.

Administrative and Federal Financial Requirements The grantee is obliged to submit various financial and programmatic reports as a condition of their award acceptance. Please see below for a summary of financial and/or programmatic reports as required. Future awards and fund drawdowns may be withheld if these reports are delinquent.

1. Federal Financial Report (FFR) – required quarterly. Obligations and expenditures must be reported on a quarterly basis through the FFR (SF-425). A report must be submitted for every quarter of the period of performance, including http://www.dhs.gov/xlibrary/assets/cfo-financial-management-policy-manual.pdf� partial calendar quarters, as well as for periods where no grant activity occurs.

Future awards and fund draw downs may be withheld if these reports are delinquent.

The final FFR is due 90 days after the end date of the performance period. FFRs must be filed electronically through Payment and Reporting System (PARS).

2. Grant Close-Out Process. Within 90 days after the end of the period of performance, or after a Grant Adjustment Notice (GAN) has been issued to close out a grant, whichever comes first, the grantee must submit a final FFR and final progress report detailing all accomplishments throughout the period of performance.

After these reports have been reviewed and approved by FEMA, a close-out notice will be completed to close out the grant. The notice will indicate the period of performance as closed, list any remaining funds that will be deobligated, and address the requirement of maintaining the grant records for three years from the date of the final FFR. The grantee is responsible for returning any funds that have been drawn down but remain as unliquidated on grantee financial records.

Programmatic Reporting Requirements

1. Program Performance Report (SF-PPR). Awardees are responsible for providing updated performance reports using the SF-PPR (Office of Management and Budget [OMB] Control Number: 0970-0334) on a semi-annual basis. The SF-PPR is due within 30 days after the end of the reporting period (July 30 for the reporting period of January 1 through June 30; and January 30 for the reporting period of July 1 through December 31). The SF-PPR can be accessed online at http://www.na.fs.fed.us/fap/SF-PPR_Cover%20Sheet.pdf.

2. Exercise Evaluation and Improvement. Exercises implemented with grant funds should evaluate performance of the capabilities required to respond to the exercise scenario. Guidance related to exercise evaluation and the implementation of improvements is defined in the Homeland Security Exercise and Evaluation Program located at https://hseep.dhs.gov.

3. Monitoring. Grant recipients will be monitored periodically by FEMA staff, both programmatically and financially, to ensure that the project goals, objectives, performance requirements, timelines, milestone completion, budgets, and other related program criteria are being met.

Monitoring may be accomplished through either a desk-based review or on-site monitoring visits, or both. Monitoring will involve the review and analysis of the financial, programmatic, performance, compliance and administrative processes, policies, activities, and other attributes of each Federal assistance award and will identify areas where technical assistance, corrective actions and other support may be needed.

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VII. DHS FEMA Con tac t Information

Contact and Resource Information This section describes several resources that may help applicants in completing a FEMA grant application. These points of contact are also available for successful applicants who may require assistance during execution of their award.

Financial and Administrative Information

1. Grant Programs Directorate. FEMA GPD’s Grant Operations Division Business

Office will provide fiscal support, including pre- and post-award administration and technical assistance, to the grant programs included in this solicitation. Callers will be directed to a point of contact who will be able to assist with their financial or administrative question. Additional guidance and information can be obtained by contacting the FEMA Call Center at (866) 927-5646 or via e-mail to ASK- GMD@dhs.gov.

2. FEMA Regions. FEMA Regions may also provide fiscal support, including pre- and post-award administration and technical assistance, to the grant programs included in this solicitation. For a list of contacts, please go to http://www.fema.gov/about/contact/regions.shtm.

3. GPD Environmental Planning and Historic Preservation (GPD-EHP). The FEMA

GPD-EHP Team provides guidance and information to grantees and sub-grantees related to submission of materials for EHP review. All EHP Review Packets should be sent to gpdehpinfo@fema.gov.

Programmatic Information

1. Centralized Scheduling and Information Desk (CSID). CSID is a non-emergency comprehensive management and information resource developed by DHS for grants stakeholders. CSID provides general information on all FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the Federal, State, and local levels. When necessary, grantees will be directed to a Federal point of contact who can answer specific programmatic questions or concerns. 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. – 5:30 p.m. (EST).

Systems Information

1. Grants.gov. For technical assistance with Grants.gov, please call the Grants.gov customer support hotline at (800) 518-4726.

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

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VIII. Other Critica l Information

National Incident Management System (NIMS) Implementation In accordance with Homeland Security Presidential Directive (HSPD)-5, Management of Domestic Incidents, the adoption of NIMS is a requirement to receive Federal preparedness assistance, through grants, contracts, and other activities.

Prior to allocation of any Federal preparedness awards in FY 2012, grantee must ensure compliance and/or alignment with FY 2011 NIMS implementation plan. The list of objectives against which progress and achievement are assessed and reported can be found at http://www.fema.gov/emergency/nims/ImplementationGuidanceStakeholders.shtm#item 2.

The primary grantee/administrator of FY 2012 IPR Program award funds is responsible for determining if sub-awardees have demonstrated sufficient progress in NIMS implementation to disburse awards.

IX. How to Apply

Application Instructions As part of the FY 2012 IPR Program application process, applicants must develop a formal Investment Justification (IJ) that addresses each initiative being proposed for funding, including M&A costs. Applicants may submit up to 15 IJs. These IJs must demonstrate how proposed projects address gaps and deficiencies in current programs and capabilities and link to one or more capabilities identified in the NPG. The IJ must demonstrate the ability to provide enhancements consistent with the purpose of the program and guidance provided by DHS. Applicants must ensure that the IJ is consistent with all applicable requirements outlined in this application kit.

IJs must be submitted with the grant application as a file attachment within https://portal.fema.gov. Applicants must use the following file naming convention when submitting their IJ attachments through https://portal.fema.gov as part of the FY 2012 IPR Program:

Name of Applicant_IJ Number (Example: Amtrak_IJ 1)

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

I. Background II. Strategic and Program Priorities III. Impact IV. Funding/Implementation Plan http://www.fema.gov/emergency/nims/ImplementationGuidanceStakeholders.shtm#item2� http://www.fema.gov/emergency/nims/ImplementationGuidanceStakeholders.shtm#item2� https://portal.fema.gov/�

Applicants will find an IJ Template in Appendix C – FY 2012 IPR Program Investment Justification Template. This worksheet may be used as a guide to assist applicants in the preparation of the IJ.

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

Applicants must use the following file naming convention when submitting detailed budgets through https://portal.fema.gov as part of the FY 2012 IPR Program:

Agency_IJ Number_Budget (Example: Amtrak_IJ 1_Budget)

Applicants will find a sample Budget Detail Worksheet in Appendix D – Sample Budget Detail Worksheet. This worksheet may be used as a guide to assist applicants in the preparation of the budget and budget narrative.

Operational Packages (OPacks) The applicant may elect to pursue OPack funding, such as Canine Teams, Mobile Explosive Screening Teams, and Anti Terrorism Teams, for new capabilities as well as to sustain existing OPacks.

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

Sensitive Security Information (SSI) Requirements Information 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 is under Federal control is subject to protection under SSI, and must be properly identified and marked. SSI is a control designation used by the Department of Homeland Security related to protecting information related to transportation security. 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. The applicable information is spelled out in greater detail in Title 49, Part 1520, Section 7 of the Code of Federal Regulations (49 CFR 1520.7).

For the purposes of the IPR Program, all Investment Justifications shall be considered SSI and treated as such. This requires that the grantee label the IJ as SSI and password protect it prior to submission. The passwords for protected documents must be sent in a separate email from the IJ to the following e-mail address askcsid@dhs.gov. If you have any additional questions please contact CSID at (800) 368-6498, Monday through Friday, 9:00 a.m. – 5:30 p.m. (EST).

The subject line of the email should identify:

• Applicant name

• Application number

The body of the e-mail should clearly identify:

• Applicant name

• IJ number and/or summary description

• Point of Contact (POC) information

NOTE: A single password should be provided for all SSI documents within the same application.

Environmental and Historic Preservation Review FEMA is legally required to consider the potential impacts of all IPR Program projects on environmental resources and historic properties. The grantee must comply with all applicable EHP laws, regulations, and Executive Orders (EO) in order to draw down their FY 2012 IPR Program grant funds. To avoid unnecessary delays in starting a project, the grantee is encouraged to pay close attention to the reporting requirements for an EHP review. For more information on FEMA’s EHP requirements, the grantee should refer to Information Bulletins (IB) 329 and 345 (http://www.fema.gov/government/grant/bulletins/index.shtm).

FY 2012 IPR Program if the grantee uses funds for construction projects must comply with the Davis-Bacon Act (40 U.S.C. 3141 et seq.). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers employed directly at the work-site no less than the prevailing wages and fringe benefits paid on projects of a similar character. Additional information, including Department of Labor wage determinations, is available from the following website:

http://www.dol.gov/compliance/laws/comp-dbra.htm.

When applying for construction funds, including communications towers, at the time of application, the grantee is highly encouraged to submit evidence of approved zoning ordinances, architectural plans, any other locally required planning permits and documents, and to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., completing the Federal Communications Commission’s [FCC] Section 106 review process for tower construction projects; coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects).

Projects for which the grantee believes an Environmental Assessment (EA) may be needed, as defined in 44 CFR 10.8 and 10.9, must also be identified to the FEMA Program Analyst within six (6) months of the award and completed EHP review packets mailto:askcsid@dhs.gov� http://www.fema.gov/government/grant/bulletins/index.shtm� http://www.dol.gov/compliance/laws/comp-dbra.htm� must be submitted no later than 12 months before the end of the Period of Performance. EHP review packets should be sent to gpdehpinfo@fema.gov.

X. Applica tion and Submis s ion Information

Address to Request Application Package FEMA makes all funding opportunities available on the Internet at http://www.grants.gov. If you experience difficulties accessing information or have any questions please call the Grants.gov customer support hotline at (800) 518-4726.

Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov, select “Apply for Grants”, enter the CFDA number (97.075) or the FOA number (DHS-12-GPD-075-000-01), and select “Download Application Package.” Enter the CFDA and/or the funding opportunity number located on the cover of this announcement. Select “Download Application Package,” and then follow the prompts to download the application package. To download the instructions, go to “Download Application Package” and select “Instructions.”

Content and Form of Application

1. Application via Grants.gov. All applicants must file their applications using the

Administration’s common electronic “storefront” – http://www.grants.gov. The eligible grantee must apply for funding through this portal, accessible on the Internet at http://www.grants.gov.

The application must be started and submitted using Grants.gov after Central Contractor Registration (CCR) is confirmed. The on-line application includes the following required form:

• Standard Form 424, Application for Federal Assistance

Applying for FY 2012 IPR Program funds requires a two-step process. Step One:

initial submission to determine eligibility and Step Two: full application. Applicants are encouraged to initiate Step One as soon after the FOA is published but no later than April 27, 2012. This involves submitting a complete Standard Form 424 to http://www.grants.gov. The Standard Form 424 will be retrieved by ND Grants and the system will automatically populate the relevant data fields in the application.

Successful completion of this step is necessary for FEMA to determine eligibility of the applicant. Late submissions to Grants.gov to complete Step One could result in applicants missing the application deadline in Step Two. Once FEMA has determined an applicant to be eligible, applicants can proceed to Step Two which involves submitting the full application package via the ND Grants system. The submission deadline for the full application package is May 4, 2012.

The application must be completed and final submission made through the ND Grants system located at https://portal.fema.gov. If you need assistance registering mailto:gpdehpinfo@fema.gov� http://www.grants.gov/� http://www.grants.gov/� http://www.grants.gov/� http://www.grants.gov/� for the ND Grants system, please contact ndgrants@fema.gov or (800) 865-4076.

Applicants are encouraged to begin their ND Grants registration at the time of solicitation to ensure they have adequate time to start and complete their application submission. Unless otherwise referenced, the ND Grants system includes the following required forms and submissions:

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

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

• Standard Form 424C, Budget Information (Construction)

• Standard Form 424D, Standard Assurances (Construction)

• Standard Form LLL, Disclosure of Lobbying Activities (if the grantee has engaged or intends to engage in lobbying activities)

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

• FEMA Form 20-16C, Certifications Regarding Lobbying; Debarment, Suspension and Other Responsibility Matters; and Drug-Free Workplace Requirements

• Investment Justification (see Appendix C – FY2012 IPR Program Investment Justification Template)

• Budget Detail Worksheet (see Appendix D – Sample Detailed Budget Worksheet)

The program title listed in the CFDA is “Rail and Transit Security Grant Program.” The CFDA number is 97.075.

2. Dun and Bradstreet Data Universal Numbering System (DUNS) Number. The applicant must provide a DUNS number with their application. This number is a required field within http://www.grants.gov and for CCR. Organizations should verify that they have a DUNS number, or take the steps necessary to obtain one, as soon as possible. Applicants can receive a DUNS number at no cost by calling the dedicated toll-free DUNS number request line at (866) 705-5711.

3. Valid CCR. The application process also involves an updated and current registration by the applicant, which must be confirmed at http://www.ccr.gov.

Applicants will obtain FOA Overviews and Full Announcement information from the Grants.gov website where the full FOA is posted.

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

Applications will be processed through the Grants.gov portal or the ND Grants system.

Hard copies of the application will not be accepted.

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Appendix A – FY 2012 IPR Program Priorities

Appendix A – FY 2012 IPR Program Priorities

Presidential Policy Directive 8: National Preparedness Presidential Policy Directive 8: National Preparedness (PPD-8), signed on March 30, 2011, describes the Nation’s approach to preparing for the threats and hazards that pose the greatest risk to the security of the United States. National preparedness is the shared responsibility of our whole community. Every member contributes, including individuals, communities, the private and nonprofit sectors, faith-based organizations, and Federal, State, and local governments. We describe our security and resilience posture through the core capabilities that are necessary to address risks, and we will use an integrated, layered, and all-of-Nation approach as our foundation. We define success as a secure and resilient Nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk.

National preparedness is the shared responsibility of all levels of government, the private and nonprofit sectors, and individual citizens. The objective of PPD-8 is to facilitate an integrated, all-of-Nation, risk informed, capabilities-based approach to preparedness.

Using the core capabilities, we achieve the NPG by:

• Preventing, avoiding, or stopping a threatened or an actual act of terrorism.

• Protecting our citizens, residents, visitors, and assets against the greatest threats and hazards in a manner that allows our interests, aspirations, and way of life to thrive.

• Mitigating the loss of life and property by lessening the impact of future disasters.

• Responding quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident.

• Recovering through a focus on the timely restoration, strengthening, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by a catastrophic incident.

The core capabilities contained in the NPG are the distinct critical elements necessary for our success. They are highly interdependent and will require us to use existing preparedness networks and activities, improve training and exercise programs, promote innovation, and ensure that the administrative, finance, and logistics systems are in place to support these capabilities. The core capabilities represent an evolution from the Target Capabilities List (TCL). The transition from TCL to core capabilities expands the focus to include mitigation and allows greater focus on prevention and protection activities.

To support building, sustaining, and delivering these core capabilities the grantee will use elements of the National Preparedness System (NPS). The NPS is to be an integrated set of guidance, programs, and processes that can be implemented and measured at all levels of government, thereby enabling the Nation to achieve the Goal.

Building and Sustaining Core Capabilities Capabilities are the means to accomplish a mission, function, or objective based on the performance of related tasks, under specified conditions, to target levels of performance. The most essential of these capabilities are the core capabilities identified in the NPG. Complex and far-reaching threats and hazards require the whole community to integrate preparedness efforts in order to build, sustain, and deliver the core capabilities and achieve the desired outcomes identified in the NPG.

Working together subject matter experts, government officials, and elected leaders can develop strategies to allocate resources effectively, as well as leverage available assistance to reduce risk. These strategies consider both how to sustain current levels of capability and address gaps in order to achieve the NPG. Achieving the NPG will require participation and resource support from all levels of government. Not all capabilities can be addressed in a given funding cycle, nor can funding be expected to flow from any one source. Officials must prioritize the achievement of capabilities to most effectively ensure security and resilience while understanding the effects of not addressing identified gaps. Building and sustaining capabilities will include a combination of organizational resources, equipment, training, and education. Grants and technical assistance may also be available to support building and sustaining capabilities. Consideration must also be given to finding, connecting to, and strengthening community resources by leveraging the expertise and capacity of individuals, communities, private and nonprofit sectors, faith-based organizations, and all levels of government. Jurisdictions may also choose to use mutual aid agreements to fill gaps or work with partners to develop regional capabilities. Ultimately, a jurisdiction may need to rely on other levels of government to address a gap in capability. This expectation should be communicated well before the time arises when the capabilities are most urgently needed.

As these issues are considered in light of the eligible activities an effective risk assessment must guide jurisdictions’ efforts. This risk picture will cover the range of threats and hazards, from those a community faces daily to those infrequent events that would stress the core capabilities of a jurisdiction. Coupled with the desired outcomes established by a community, this combined perspective is crucial to enabling all levels of government to effectively estimate the level of capabilities required to address its risks.

Files and information on PPD-8 can be found at http://www.fema.gov/ppd8.

The President’s FY 2013 budget has proposed substantial changes to DHS grant programs. FY 2012 grant programs will prepare grantees for the transition to new requirements in FY 2013 in the following ways:

http://www.fema.gov/ppd8�

• Begin the process of transitioning from separate preparedness grant programs in FY 2011 to a more streamlined model within the construct of the FY 2012 appropriations

• Continue the transition to address the core capabilities outlined in the NPG

• Implement a two year period of performance with very limited extensions

Grantees are encouraged to familiarize themselves with the grant proposals in the President’s FY 2013 budget.

FY 2012 IPR Program and Alignment to PPD-8 The FY 2012 IPR Program plays an important role in the implementation of PPD-8 by supporting the development and sustainment of core capabilities. Core capabilities are essential for the execution of each of the five mission areas outlined in the NPG. 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 2012 IPR Program supports all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs.

Sustaining IPR Program Capabilities In this time of limited resources, IPR Program grantees should ensure that grant funding is utilized to sustain core capabilities within the NPG that were funded by past IPR Program funding cycles. New capabilities should not be built at the expense of maintaining current, essential capabilities. However, if new capabilities are being built utilizing IPR Program funding, grantees must ensure that the capabilities have a clear linkage to one or more core capabilities in the NPG.

The Department has identified the following project types for the FY 2012 IPR Program.

Protection of high risk/high consequence underwater and underground rail assets. Many of the Nation’s largest transit systems have significant track miles and support large concentrations of riders in rail systems that run underground and underwater. It is the highest priority of the FY 2012 IPR Program to support measures that protect assets on the Top Transit Asset List, including underground rail system assets ― particularly underwater assets ― from terrorist attacks by improvised explosive devices (IED) or other threats that can damage or significantly breach such assets. Active coordination and regular testing of emergency evacuation plans can greatly reduce loss of life in serious incidents.

Use of visible, unpredictable deterrence. Visible and unpredictable security activities enhance security awareness in the riding public, and help prevent attacks by disrupting the ability of terrorists to prepare for and execute attacks. Examples include the mobile screening of passengers and luggage; the acquisition, training, and certification of explosives detection canine teams; training of law enforcement, security officials and front-line employees in behavioral pattern recognition; and procurement of mobile detection or screening equipment to identify the presence of explosives, residue, and other suspicious items on persons or in packages.

Planning. Planning for how to prevent, protect against, respond to, and recover from acts of terrorism is a core component in an agency’s security framework. Vulnerability assessments, security plans, continuity of operations plans and risk mitigation plans all work to help identify focus areas that must be addressed to remediate risk, including action plans for how those identified risks will be addressed.

Targeted counter-terrorism training for key front line staff. Effective employee training programs address individual employee responsibilities and provide basic security awareness to front line employees, including equipment familiarization, assessing and reporting incident severity, suspicious activity reporting, appropriate responses to protect self and passengers, use of protective devices, crew communication and coordination, and incident evacuation procedures.

Emergency preparedness drills and exercises. In order to assess and enhance a system’s capability to respond under a variety of serious incidents, transit agencies are encouraged to maintain an emergency drill and exercise program to test key operational protocols, including coordination with first responders. The IPR Program can support exercises related to terrorist attack scenarios (such as IEDs or chemical, biological, radiological, nuclear, and explosive [CBRNE] weapons attacks, cyber attacks and denials of service), natural disasters, continuity disruptions, and other emergencies.

Such programs can take various forms, from table-top exercises to more comprehensive multi-agency full-scale exercises. IPR Program funds also support rigorous after-action assessments to identify further system improvements.

Public awareness and preparedness campaigns. A public awareness and preparedness program can employ announcements and postings in stations, transit vehicles, or other media to promote constant vigilance and provide awareness of heightened alert or threat conditions. Effective awareness programs including the “See Something, Say SomethingTM” public awareness campaign enlist the public and explain specific actions the public can take to contribute to strengthening system security.

Protection of other high risk, high consequence areas or systems that have been identified through system wide risk assessments. Transit agencies should focus countermeasure resources on the highest risk, highest consequence areas or systems.

The IPR Program will support the development and enhancement of capabilities to prevent, protect against, and respond to terrorist attacks employing CBRNE weapons, IEDs and cyber system disruptions. For example, a system wide assessment may highlight the need to segregate critical security infrastructure from public access. One solution is an integrated intrusion detection system, which controls access to these critical facilities or equipment. Transit systems should consider security technologies to reduce the burden on security manpower. Using smart closed-circuit television (CCTV) systems in remote locations could free up security patrols to focus on more high risk areas.

Other. Security projects in line with, or addressing one or more of the 22 permitted uses of funds outlined in Sec. 1513 of the 9/11 Act will be considered.

Appendix B – Funding Guidelines

Appendix B – Funding Guide lines

IPR Program grant recipients and sub-recipients may only use IPR Program grant funds for the purpose set forth in the grant, and must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other Federal grants/cooperative agreements, 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.

Pre-award costs are allowable only with the written consent of DHS and if they are included in the award agreement.

Federal employees are prohibited from serving in any capacity (paid or unpaid) on any proposal submitted under this program. Federal employees may not receive funds under this award.

The following pages outline general allowable and unallowable IPR Program costs guidance.

1. Management and Administration. M&A costs may not exceed five percent (5%) of the total award. FY 2012 IPR Program funds may be used for the following M&A costs:

• Hiring of full-time or part-time staff or contractors/consultants to assist with the management of the FY 2012 IPR Program or the design, requirements, and implementation of the IPR Program

• Hiring of full-time or part-time staff, contractors or consultants and M&A expenses related to pre-application submission management activities and application requirements or meeting compliance with reporting/data collection requirements, including data calls

• Development of operating plans for information collection and processing necessary to respond to DHS data calls

• Travel expenses

2. Allowable Costs. Specific investments made in support of the funding priorities discussed above generally fall into one of the following five allowable expense categories:

• Planning

• Operational Activities

• Equipment

• Training

• Exercises

The following provides guidance on allowable costs within each of these areas:

Planning FY 2012 IPR Program funds may be used for the following types of planning activities:

• Development and enhancement of security plans and protocols

• Development or further strengthening of security assessments, including multi-agency and multi-jurisdictional partnerships and conferences to facilitate planning activities

• Hiring of full or part-time staff and contractors or consultants to assist with planning activities (not for the purpose of hiring public safety personnel)

• Materials required to conduct planning activities

• Other project planning activities with prior approval from DHS

Operational Activities Three OPacks have been developed to support operational activities and are available for funding to Amtrak. DHS considers OPacks to be effective tactics for supporting the FY 2012 funding priorities for the IPR Program.

Amtrak’s request for OPacks funding must include the submission of a…