SLTT NIEM NOFO_FINAL with appendix.pdf

State, Local, Tribal and Territorial National Information Exchange Model Cyber Pilot

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

State, Local, Tribal and Territorial National Information Exchange Model Cyber Pilot

NOTE: If you are going to apply for this funding opportunity and have not obtained a Data Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management (SAM), please take immediate action to obtain a DUNS Number, if applicable, and then to register immediately in SAM. It may take 4 weeks or more after you submit your SAM registration before your registration is active in SAM, then an additional 24 hours for Grants.gov to recognize your information. 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

1. Issued By U.S. Department of Homeland Security (DHS), Cybersecurity and Infrastructure Security Agency (CISA), Stakeholder Engagement Division (SED)

2. Assistance Listings (formerly Catalog of Federal Domestic Assistance (CFDA) Number) 97.128

3. Assistance Listings Title (formerly CFDA Title)

National Cybersecurity Awareness

4. Funding Opportunity Title

State, Local, Tribal and Territorial National Information Exchange Model Cyber Pilot

5. Funding Opportunity Number

DHS–20-CISA-128-NIEM001

6. Authorizing Authority for Program

Homeland Security Act of 2002, as amended by the Cybersecurity and Infrastructure Security Agency Act of 2018 (6 U.S.C. § 112(b)(2); 6 U.S.C. 659), National Cybersecurity Protection Act of 2014, Executive Order (EO) 13636, PPD-21 Executive http://www.grants.gov/web/grants/register.html

Order 13691 “Promoting Private Sector Cybersecurity Information Sharing” of February 13, 2015

7. Appropriation Authority for Program Pub. L. 116-93, Consolidated Appropriations Act, 2020, Division D - Department of Homeland Security Appropriations Act, 2020, Title III, Protection, Preparedness, Response and Recovery, Cybersecurity and Infrastructure Security Agency.

8. Announcement Type Initial

9. Program Overview, Objectives, and Priorities The Cybersecurity and Infrastructure Security Agency, Stakeholder Engagement Division seeks to award a new cooperative agreement for a pilot titled “State, Local, Tribal and Territorial National Information Exchange Model Cyber Pilot” in fiscal year 2020. The activities contemplated in this agreement advance CISA’s mission as defined in authorities within the Homeland Security Act of 2002, as amended by the Cybersecurity and Infrastructure Security Agency Act of 2018, specifically regarding providing shared situational awareness to enable real-time, integrated, and operational actions across the Federal Government and non-Federal entities to address cybersecurity risks and incidents.

The nature of the cybersecurity threat to America is growing, and our nation’s cyber adversaries move with speed and stealth. To keep pace, all types of organizations, including those beyond traditional critical infrastructure sectors, need to be able to share information and respond to cyber risk. The National Information Exchange Model (NIEM) is a common vocabulary that enables efficient information exchange across diverse public and private organizations. NIEM connects communities of people who share a common need to exchange information in order to advance their mission. For over 10 years, NIEM has facilitated information exchanges across a variety of mission spaces and subject areas. What began as a solution for the law enforcement and homeland security communities has since evolved into a wide range of subject matters and areas.

CISA is building on these community efforts by facilitating the implementation of the NIEM model to enhance data and information exchanges through the NIEM Cyber Domain.

The purpose of this cooperative agreement is to explore the development of a prototype data exchange standard format based on NIEM with a select group of States that can eventually be rolled out for implementation across State, Local, Tribal and Territorial (SLTT) agencies. This implementation will result in an effective model for cyber-physical information sharing. and development for improved SLTT information exchange capabilities.

In addition, the cooperative agreement will focus on:

• Assessment of cyber-physical data elements definitions and terminology.

• Evaluation of best practices and standards on data format interoperability for cyber-physical systems.

• Outreach and engagements across the SLTT community for the implementation and adoption of NIEM as a common data format for information exchange.

• Support for the development of marketing materials and procurement/contracting guidance for the SLTT community.

• Pilot NIEM with a select number of SLTTs.

• Align NIEM conformance specifications, architecture, data model and design rules for the creation of information exchanges.

To fulfill this requirement DHS will select an organization through an open and competitive process and enter into a cooperative agreement.

The grants officer will oversee the execution of the grant and the performance of grant execution based on input from the DHS, CISA, SED Program Office, discussion with the awardee, and Program Performance Reporting Requirements (found in Section F and Appendix A).

10. Performance Metrics

Table 1 provides key quarterly performance parameters for measuring the effectiveness engagements, recruitment and collaboration during the performance period. Quarterly Performance Metrics must be submitted to the DHS Grants Officer no later than 30 days after the end of each quarter. Reports are due October 30, January 31, April 30 and July

31. Reports shall be submitted via GrantSolutions using guidance provided by the Grants Officer.

Table 1 - Performance Measures/Metrics Performance Objectives

Measures Threshold Objective Pilot Membership

Number of States in Pilot 3-5 3

Guidance, Materials and Reports

Best Practice Guide 1 1

Implementation Guide 1 1 mailto:GrantSolutions

Procurement and Contracting Guidance 1 1

Marketing and Branding Materials 1 1

Conformance Report 1 1

NIEM Conformance

SLTT conformance to NIEM specifications, rules and guidelines 3-5 4

SLTT conformance with NIEM design specification and defined information exchanges

3-5 4

SLTT conformance with NIEM Naming Design Rules 3-5 4

SLTT conformance with NIEM architecture and data model and its representation in eXtensible Markup Language (XML)

3-5 4

SLTT conformance with NIEM Normative Rules and non-normative guidance for building NIEM information exchanges

3-5 4

SLTT conformance with the NIEM Model Package Description 3-5 4

Number of NIEM Information Exchange Document Packages 1-10 5

Number of NIEM Information Exchange Package Documents published and used

1-5 5

B. Federal Award Information

1. Available Funding for the NOFO: $625,000.00

2. Projected number of Awards: 1 (one)

3. Period of Performance: up to 24 Months

Extensions to the Performance Period may be awarded but are not guaranteed.

Extension approvals will be based on the availability of funds within the award and acceptable performance.

4. Projected Period of Performance Start Date(s): 09/01/2020

5. Projected Period of Performance End Date(s): 08/31/2022

6. Funding Instrument Type: Cooperative Agreement

DHS will exercise substantial programmatic involvement through this cooperative agreement. This includes conducting site visits and quarterly monitoring of project progress;

providing technical assistance; overseeing agency review and approval required at the completion of one stage of the work prior to moving on to subsequent phases; reviewing and approving of subgrants that exceed standard regulatory approvals; work plans or modifications thereto; holding kickoff meetings; conducting bi-annual and programmatic reviews; coordinating standards development and self-certification activities. The grants officer will oversee the execution of the grant and the overall performance of the awardee from an administrative and financial perspective.

C. Eligibility Information

1. Eligible Applicants

a. Nonprofits with 501(c)(3) IRS status, other than institution of higher education

b. Nonprofits without 501(c)(3) IRS status, other than institution of higher education

c. Private institutions of higher education

d. Public & state-controlled institutions of higher education

e. University Affiliated Research Centers

f. Federally Funded Research and Development Centers

2. Applicant Eligibility Criteria

To be eligible for this program, the applicant must meet the below requirements.

a. Applicants must not be a Government organization. Pursuant to EO 13691, “Promoting Private Sector Cybersecurity Information Sharing” of February 13, 2015, the organization selected must be non-governmental to be eligible. DHS has interpreted this restriction to exclude federal, state, local, territorial, tribal, and foreign governmental entities from making a proposal for this announcement.

b. At the time of application, applicants must have at least three years of experience developing cybersecurity best practices for Government, SLTT or private sector organizations.

c. Applicants must have qualified and experienced to gather, analyze, and disseminate government and critical infrastructure information to SLTT. Recent and extensive experience providing cybersecurity-related information sharing and best practice development generally.

d. Applicants must have at least three years of experience coordinating engagements with existing ISACs, ISAOs, associations, SLTT, private companies, Federal agencies, and subject matter experts engaged in cybersecurity-related information sharing supporting their customers.

e. Applicants must have three years of experience conducting research and analysis on the most effective methods for information sharing in the SLTT community

f. Applicants must have deep knowledge of the National Infrastructure Protection Plan, Executive Order 13636, Executive Order 13691, and PPD-21.

(1) FFRDCs or laboratories funded by federal agencies may not apply.

(2) FFRDC employees may cooperate or collaborate with eligible applicants within the limits imposed by applicable legislation, regulations, and DHS policies.

(3) FFRDC employees are not eligible to serve in a principal leadership role on a grant or cooperative agreement and may not receive salaries or in other ways augment their agency's appropriations through awards made by this program.

g. National laboratory employees may participate in planning, conducting, and analyzing the activities directed by the applicant, but may not direct projects on behalf of the applicant organization.

h. The applicant may provide funds through its assistance agreement with DHS to an FFRDC for project-specific, non-federal research personnel, supplies, equipment, facilities, data, and other expenses directly related to activities under this cooperative agreement.

i. Federal agencies may not apply. Federal employees are not eligible to serve in a principal leadership role on a grant or cooperative agreement and may not receive salaries or in other ways augment their agency's appropriations through awards made by this program.

(1) Nonetheless, federal employees may interact substantively with awardees in the form of cooperation.

(2) Cooperation involves consulting on the planning, management, and coordination and/or information sharing and analysis organization activities, sharing or comparing information, indicators, samples, equipment, facilities, data, models, or other support during the conduct of the standards development and related activities in which the interaction is substantial and requires the award of a cooperative agreement, rather than a grant.

(3) Substantial involvement occurs when the collaboration or cooperation of a federal employee or facility is necessary to achieving the overall goals of the activities supported by this cooperative agreement.

3. Other Eligibility Criteria

DHS will not consider applications that do not adhere to one or more of the following requirements:

a. Deadlines. DHS will not accept late applications. Without exception, applications must be received by Grants.gov on or before the deadline in this announcement or they will not be considered.

b. Application relevance. Applications that do not address the purpose of this announcement will not be considered.

c. Compliance and completeness. Applications must substantially comply with the application submission instructions and requirements in this announcement or they will not be considered.

d. Funding limits. Applications exceeding the funding limits will not be considered.

e. Proof of non-profit status. Non-profit applicants and any proposed sub-awardee of a non-profit must provide documentation of non-profit and/or public status. This requirement does not apply to for-profit applicants. Any of the following constitutes acceptable proof of non-profit status:

• A reference to the applicant organization’s listing in the Internal Revenue Service’s (IRS) most recent list of tax-exempt organizations described in section 501(c)(3) of the IRS Code.

• A copy of a currently valid IRS tax exemption certificate.

• A statement from a State taxing body, State attorney general, or other appropriate State official certifying that the applicant organization has a non-profit status and that none of the net earnings accrue to any private shareholders or individuals.

• A certified copy of the organization’s certificate of incorporation or similar document that clearly establishes non-profit status.

• Any of the items in the subparagraphs immediately above for a State or national parent organization and a statement signed by the parent organization that the applicant organization is a local non-profit affiliate.

• A signed statement on official letterhead by an official authorized to apply for grant funds on behalf of the public entity shall suffice.

In addition, DHS will not consider multiple applications from a single organization serving as the lead. If more than one application is submitted by a single organization as the lead, the later in time will be considered, unless the later application clearly indicates a unique role for that organization, other than as lead for this activity.

4. Maintenance of Effort (MOE)

There is no maintenance of effort requirement for this program. Requests for funds under this announcement shall not be used to take the place of activities described in the application that are currently supported with other funding. Also, grant funds shall not be used to support activities that are a normal part of the organization’s operations.

5. Cost Share or Match

There is no cost share or match requirement for this program.

D. Application and Submission Information

1. Key Dates and Times

a. Application Start Date: 06/29/2020

b. Application Submission Deadline: 07/27/2020 at 11:59:59

PM [EDT]

Late applications will not be accepted

c. Anticipated Funding Selection Date (Optional): No later than 08/17/2020

d. Anticipated Award Date (Optional): No later than 09/01/2020

e. Other Key Dates (If applicable)

2. Agreeing to Terms and Conditions of the Award By submitting an application, applicants agree to comply with the requirements of this NOFO and the terms and conditions of the award, should they receive an award.

3. Address to Request Application Package

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

For a hardcopy of the full NOFO, please write or fax a request to:

Jacqueline Greely Grants Officer Jacqueline.greely@hq.dhs.gov Phone: 202-447-0724

In addition, the following Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this Notice is: 1-800-518-4726 (Grants.gov Help Desk).

Applications will be processed through the Grants.gov portal. If you experience difficulties accessing information or have any questions, please call Grants.gov customer support at 1-800-518-4726.

Event Suggested Deadline for Completion Obtaining DUNS Number Four weeks before actual submission deadline Obtaining a valid EIN Four weeks before actual submission deadline Updating SAM registration Four weeks before actual submission deadline Starting application in Grants.gov One week before actual submission deadline http://www.grants.gov/ mailto:Jacqueline.greely@hq.dhs.gov

4. Steps Required to Submit an Application, Unique Entity Identifier, and System for Award Management (SAM)

To apply for an award under this program, all applicants must:

a. Apply for, update, or verify their Data Universal Numbering System (DUNS)

Number from Dun & Bradstreet (D&B) and Employer ID Number (EIN)

b. In the application, provide a valid Data Universal Numbering System DUNS number, which is currently the unique entity identifier;

c. Have an account with login.gov;

d. Register for, update, or verify their SAM account and ensure the account is active before submitting the application;

e. Create a Grants.gov account;

f. Add a profile to a Grants.gov account;

g. Establish an Authorized Organizational Representative (AOR) in Grants.gov; and

h. Continue to maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency.

Applicants are advised that DHS may not make a federal award until the applicant has complied with all applicable DUNS and SAM requirements. Therefore, an applicant’s SAM registration must be active not only at the time of application, but also during the application review period and when DHS is ready to make a federal award. Further, as noted above, an applicant’s or recipient’s SAM registration must remain active for the duration of an active federal award. If an applicant’s SAM registration is expired at the time of application, expires during application review, or expires any other time before award, DHS may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

The Standard Language for Using Grants.gov to Apply is provided to aid in fulfilling these requirements (if applicable), based off of https://www.grants.gov/web/grants/grantors/grantor-standard-language.html

5. Electronic Delivery

DHS is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. DHS encourages or requires applicants to submit their applications online through Grants.gov.

6. How to Register to Apply through Grants.gov

a. Registering in Grants.gov is a multi-step process. Read the instructions below about registering to apply for DHS funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before https://www.login.gov/ https://www.grants.gov/web/grants/grantors/grantor-standard-language.html beginning the registration process will alleviate last-minute searches for required information.

The registration process can take up to four weeks to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required application submission deadlines.

Organizations must have a Data Universal Numbering System (DUNS) Number, active System for Award Management (SAM) registration, and Grants.gov account to apply for grants. If individual applicants are eligible to apply for this grant funding opportunity, refer to: https://www.grants.gov/web/grants/applicants/organization-registration.html. Organization applicants can find complete instructions here:

https://www.grants.gov/web/grants/applicants/organization-registration.html

Obtain a DUNS Number: All entities applying for funding, including renewal funding, must have a Data Universal Numbering System (DUNS) number from Dun & Bradstreet (D&B). Applicants must enter the DUNS number in the data entry field labeled "Organizational DUNS" on the SF-424 form. For more detailed instructions for obtaining a DUNS number, refer to:

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

(1) Register with SAM: All organizations applying online through Grants.gov must register with the System for Award Management (SAM). Failure to register with SAM will prevent your organization from applying through Grants.gov. SAM registration must be renewed annually.

(2) For more detailed instructions for registering with SAM, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html

(3) Create a Grants.gov Account: The next step is to register an account with Grants.gov. Follow the on-screen instructions or refer to the detailed instructions here: https://www.grants.gov/web/grants/applicants/registration.html

(4) Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single applicant organization the user represents (i.e., an applicant) or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to one Grants.gov account to access all of your grant applications. To add an organizational profile to your Grants.gov account, enter the DUNS Number for the organization in the DUNS field while adding a profile.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/registration/add-profile.html https://www.grants.gov/web/grants/applicants/organization-registration.html https://www.grants.gov/web/grants/applicants/organization-registration.html https://www.grants.gov/web/grants/applicants/organization-registration.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-%20obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-%20obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/registration.html https://www.grants.gov/web/grants/applicants/registration/add-profile.html

(5) EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an Organization Applicant Profile, the organization applicant's request for Grants.gov roles and access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html

(6) Track Role Status: To track your role request, refer to:

https://www.grants.gov/web/grants/applicants/registration/track-role-status.html

(7) Electronic Signature: When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize people who are able to make legally binding commitments on behalf of the organization as a user with the AOR role; this step is often missed, and it is crucial for valid and timely submission.

7. How to Submit an Application to DHS via Grants.gov

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different webforms within an application. For each NOFO, you can create individual instances of a workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities using Workspace, refer to:

https://www.grants.gov/web/grants/applicants/workspace-overview.html

a. Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting.

b. Complete a Workspace: Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission. The Workspace progress bar will display the state of your application process as you apply. As you apply using Workspace, you may click the blue question mark icon near the upper-right corner of each page to access context-sensitive help.

https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html https://www.grants.gov/web/grants/applicants/registration/track-role-status.html https://www.grants.gov/web/grants/applicants/workspace-overview.html

c. Adobe Reader: If you decide not to apply by filling out webforms you can download individual PDF forms in Workspace. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at:

https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

d. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

e. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS number.

To trigger this feature, an applicant must complete the SF-424 information first.

Once it is completed, the information will transfer to the other forms.

f. Submit a Workspace: An application may be submitted through workspace by clicking the Sign and Submit button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24- 48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

g. Track a Workspace Submission: After successfully submitting a workspace application, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the Confirmation page that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace.

For additional training resources, including video tutorials, refer to:

https://www.grants.gov/web/grants/applicants/applicant-training.html

Applicant Support: Grants.gov provides applicants 24/7 support via the toll-free number 1-800-518-4726 and email at support@grants.gov. For questions related to the specific grant opportunity, contact the number listed in the application package of the grant you are applying for.

If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist DHS with tracking your issue and understanding background information on the issue.

8. Timely Receipt Requirements and Proof of Timely Submission https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html https://www.grants.gov/web/grants/applicants/applicant-training.html mailto:support@grants.gov

a. Online Submission. All applications must be received by 11:59:59 PM Eastern time on the due date established for each program. Proof of timely submission is automatically recorded by Grants.gov. An electronic date/time stamp is generated within the system when the application is successfully received by Grants.gov. The applicant with the AOR role who submitted the application will receive an acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of their application. This applicant with the AOR role will also receive the official date/time stamp and Grants.gov Tracking number in an email serving as proof of their timely submission.

When DHS successfully retrieves the application from Grants.gov, and acknowledges the download of submissions, Grants.gov will provide an electronic acknowledgment of receipt of the application to the email address of the applicant with the AOR role who submitted the application. Again, proof of timely submission shall be the official date and time that Grants.gov receives your application. Applications received by Grants.gov after the established due date for the program will be considered late and will not be considered for funding by DHS.

Applicants using slow internet, such as dial-up connections, should be aware that transmission can take some time before Grants.gov receives your application. Again, Grants.gov will provide either an error or a successfully received transmission in the form of an email sent to the applicant with the AOR role attempting to submit the application. The Grants.gov Support Center reports that some applicants end the transmission because they think that nothing is occurring during the transmission process. Please be patient and give the system time to process the application.

9. Intergovernmental Review An intergovernmental review may be required. Applicants must contact their state’s Single Point of Contact (SPOC) to comply with the state’s process under Executive Order 12372. (See https://www.archives.gov/federal-register/codification/executive-order/12372.html; https://www.whitehouse.gov/wp-content/uploads/2019/02/SPOC- February-2019.pdf).

10. Funding Restrictions

As well as any funding restrictions stated in the Budget Narrative section or any section within this document, the following are restrictions on use of award funds:

DHS cooperative agreement funds may only be used for the purpose set forth in the cooperative agreement and must be consistent with the statutory authority for the award.

Cooperative agreement funds and non-monetary support may not be used for matching contributions for other federal grants or cooperative agreements, lobbying, or intervention in federal regulatory or adjudicatory proceedings. 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. In addition, https://www.archives.gov/federal-register/codification/executive-order/12372.html https://www.archives.gov/federal-register/codification/executive-order/12372.html https://www.whitehouse.gov/wp-content/uploads/2019/02/SPOC-February-2019.pdf https://www.whitehouse.gov/wp-content/uploads/2019/02/SPOC-February-2019.pdf federal funds may not be used to sue the Federal Government or any other government entity.

DHS substantial programmatic involvement and performance/progress reviews may result in funding restrictions in conjunction with initial and annual continuation awards.

11. Allowable Costs

a. Management and Administration (M&A) Costs

M&A is allowable by the primary recipient, if applicable.

b. Indirect Facilities & Administrative (F&A) Costs Indirect Costs are allowable for the grantee and any proposed sub-awardee (if applicable). The applicant must attach a copy of the latest indirect cost rate agreement negotiated with a cognizant federal agency. If the applicant is in the process of initially developing or renegotiating a rate, upon notification that an award will be made, it should immediately develop a tentative indirect cost rate proposal based on its most recently completed fiscal year, in accordance with the cognizant agency's guidelines for establishing indirect cost rates, and submit it to the cognizant agency. Applicants awaiting approval of their indirect cost proposals may also request indirect costs. When an indirect cost rate is requested, those costs included in the indirect cost pool should not also be charged as direct costs to the award. If the applicant is requesting a rate which is less than what is allowed under the program, the authorized representative of the applicant organization must submit a signed acknowledgement that the applicant is accepting a lower rate than allowed.

Any non-Federal entity that has never received a negotiated indirect cost rate (except for those non-federal entities described in Appendix VII to Part 200 States and Local Government and Indian Tribe Indirect Cost Proposals, paragraph D.1.b) may elect to charge a de minimis rate of 10% of modified total direct costs (MTDC) which may be used indefinitely. As described in §200.403 Factors Affecting Allowability of Costs, costs must be consistently charged as either indirect or direct costs but may not be double charged or inconsistently charged as both. If chosen, this methodology once elected must be used consistently for all federal awards until such time as a non-federal entity chooses to negotiate for a rate, which the non-federal entity may apply to do at any time. For more information, see 2 CFR Part 200.414.

Other Submission Requirements To access application forms and instructions for this funding opportunity, go to Grants.gov click on the “Search Grants” tab. Enter the FOA Number located on the cover of this announcement. Click on the highlighted Funding Opportunity # that appears and then click on the various tabs to: read the Synopsis; review the Version History; read the Full Announcement; and, complete the Application Package.

Please read the entire FOA Application Package carefully before preparing and submitting an application. Application must be submitted in electronic format only.

If you experience difficulties accessing information or have any questions, please call the grants.gov customer support hotline at (800) 518-4726.

E. Application Review Information

1. Application Evaluation Criteria Prior to making a federal award, the Grants and Financial Assistance Division is required by 31 U.S.C. § 3321 note, 41 U.S.C. § 2313, and 2 C.F.R. § 200.205 to review information available through any OMB-designated repositories of government wide eligibility qualification or financial integrity information. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant:

a. Financial stability.

b. Quality of management systems and ability to meet management standards.

c. History of performance in managing federal award.

d. Reports and findings from audits.

e. Ability to effectively implement statutory, regulatory, or other requirements.

DHS will use the following criteria to evaluate applications deemed eligible and responsive. Applicants can receive up to 100 points.

a. Capacity to provide leadership in the development, adoption and implementation of cyber-physical information sharing and data exchange standards and specifications used to mitigate the impacts of cyber incidents. (40 Points)

The extent to which the applicant demonstrates:

Ability to support SLTT government efforts to respond to cyber incidents by standardizing data and information exchange reporting structures and mechanisms.

(10 points)

Experience in working with standards developing organizations and in the development of consensus-based cybersecurity standards, specifications and best practices. (10 points)

Experience in utilizing existing, widely adopted, industry standards and specifications for data and information exchange. (10 Points)

Experience in the adoption of standard data formats and protocols so that SLTT can more effectively and efficiently share information and collaborate on common challenges. (10 points)

b. Develop documentation including design, policies and procedures, CONOPS, and operations manual(s). (20 Points)

The extent to which the applicant demonstrates:

Background with cybersecurity-related information sharing that focus on regional information sharing, communications and outreach, for the improvement of SLTT government capabilities and capacity. (10 Points)

Experience in working with SLTT to develop common-standardized vocabularies, repositories, reporting forms and mechanisms that enable efficient data and information exchange in a multi-sector environment for cybersecurity and infrastructure security by also exploring and evaluating effective policies and procedures based on regional sharing models. (10 Points)

c. Capacity to Provide Wide Outreach (20 Points)

The extent to which the applicant demonstrates:

Ability to deliver transparent coordination engagements with SLTT and existing Information Sharing and Analysis Centers and Organizations, associations, private companies, Federal agencies, and subject matter experts engaged in cyber-physical related data and information sharing. (20 Points)

d. Cost Effectiveness and Balance (20 Points)

The extent to which the applicant’s proposed budget shows an effective use of grant funds. (20 points)

2. Supplemental Financial Integrity Criteria and Review Prior to making a federal award where the anticipated total federal share will be greater than the simplified acquisition threshold, currently $250,000 (see Section 805 of the National Defense Authorization Act for Fiscal Year 2018, Pub. L. No. 115-91, OMB

Memorandum M-18-18 at https://www.whitehouse.gov/wp-content/uploads/2018/06/M- 18-18.pdf):

1) DHS GFAD is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM, which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS) and is accessible through the SAM website.

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

3) DHS GFAD will consider any comments by the applicant, in addition to the other information in FAPIIS, in making a judgment about the applicant’s integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 C.F.R. § 200.205.

2. Review and Selection Process

DHS will conduct an initial review of applications to determine the responsiveness of the application. If an applicant is determined to be ineligible (see Section C. Eligibility Information) or an application is determined to be non-responsive, DHS will notify the applicant. All responsive and eligible applications will be reviewed as described below:

a. DHS will assemble reviewers which may include both federal and non-federal reviewers to review the eligible applications. Reviews of submitted applications will be conducted either on site or by remote review.

b. Technical reviewers will review each eligible application against the evaluation criteria. The reviewers will assign a score and provide summary comments based on the evaluation criteria identified above.

c. An application may be selected for a post-review quality control and possible rescoring if it received significantly diverging scores and comments from reviewers.

d. An internal review panel consisting of DHS staff will review the highest ranked applications and make final funding recommendations. The internal review panel may take applications out of rank order in consideration of strategic program priorities, which are identified below.

e. DHS may perform an additional review of the applicant organization and any and/or its key personnel. This may include reviewing audit reports, publicly available materials and/or government databases and may have a bearing on award outcome.

DHS may request additional materials from the applicant as part of this review, including:

• The summary letter from the applicant’s most recent audit report; and

• Documentation of previous grant award completion that includes the name of the grantor, amount awarded, and whether the grant recipient sufficiently https://www.whitehouse.gov/wp-content/uploads/2018/06/M-18-18.pdf https://www.whitehouse.gov/wp-content/uploads/2018/06/M-18-18.pdf https://www.fapiis.gov/fapiis/index.action https://www.fapiis.gov/fapiis/index.action https://www.sam.gov/SAM/ completed the requirements of the grant award (e.g., a final close-out report, certification of grant award completion, etc.)

After the technical review and before making final funding decisions, DHS may contact the highest-ranking applicants to seek clarification and to negotiate technical and programmatic aspects of the application. If an application includes a sub-awardee, DHS may request to speak with all parties included in the application to ensure sufficient planning and coordination has taken place prior to making an award.

4. Confidentiality and Conflict of Interest.

Technical and cost proposals submitted under this funding opportunity will be protected from unauthorized disclosure in accordance with applicable laws and regulations. DHS may use one or more support contractors in the logistical processing of proposals.

However, funding recommendations and final award decisions are solely the responsibility of DHS personnel.

DHS screens all technical reviewers for potential conflicts of interest. To determine possible conflicts of interest, DHS requires potential reviewers to complete and sign conflicts of interest and nondisclosure forms. DHS will keep the names of submitting institutions and individuals as well as the substance of the applications confidential except to reviewers and DHS staff involved in the award process. DHS will destroy any unsuccessful applications after three years following the funding decision.

DHS strongly discourages, and will not consider, any materials submitted by or on behalf of the applicant (e.g., letters of support) other than those materials specifically requested in this notice of funding opportunity.

DHS will notify all applicants electronically of funding decisions. Unfunded applicants may send a written request to the Grants Officer, jacqueline.greely@hq.dhs.gov to receive a written summary of comments related to the evaluation criteria, along with the points awarded to the application for each of the evaluation criteria. DHS will send the written summary to the applicant within 60 days of the request. Additional information beyond that described here will not be provided.

Applications will be evaluated relative to the requirements of the funding opportunity announcement. Therefore, interested parties should be aware that evaluators will distinguish between what is required information and rationalizations, “brochuremanship,” or extraneous information. Final consideration will, however, take into consideration additional information submitted that supports claims in proposals for this opportunity. The Project Narrative evaluation will be conducted based on requirements outlined in Section A. of the funding opportunity announcement and set forth below. Section A provides the minimum requirements that the applicants must be able to meet for their applications to be considered responsive or acceptable.

mailto:jacqueline.greely@hq.dhs.gov

The applicant has the responsibility to provide information that clearly demonstrates its ability to satisfactorily respond to the requirements of the funding opportunity announcement.

Project Participants. Evaluators will assess if qualified participants are included and assess the impact of any additional participants.

Need for Assistance. Evaluators will assess the application for thoroughness and completeness documenting the need for assistance, existing capabilities and coordination.

Evaluators will focus on innovativeness of approach including ability to meet deliverables.

DHS has developed an Objective Review Plan (ORP). The Objective Review Plan Evaluators will assign ratings for each applicant. The ORP will then meet to develop a group consensus rating for the criteria listed in the NOFO.

The ORP Chairperson will be responsible for incorporating the evaluation into the ORP Report, based on the final consensus ratings assigned by the ORP.

The DHS approving official shall review and consider evaluations from departments and agencies to inform the selection process. However, the DHS approving official is not required to develop a consensus government-wide view or to adopt a majority view. No one single factor or a single review is dispositive; rather, the totality of the information is to be considered by the approving official in his/her discretion.

NOTE: There is no cost share or match requirement for this program, therefore an applicant’s proposed cost sharing will not be considered in the review process.

F. Federal Award Administration Information

1. Notice of Award Before accepting the award, the AOR and recipient should carefully read the award package. The award package includes instructions on administering the grant award and the terms and conditions associated with responsibilities under federal awards.

Recipients must accept all conditions in this NOFO as well as any special terms and conditions in the Notice of Award to receive an award under this program.

DHS issues formal award notification documents following fulfillment of DHS Congressional notifications. All DHS grants and cooperative agreements are subject to the standard DHS Award Terms and Conditions, which are attached to this package.

A grant award will be executed by a DHS Grants Officer authorized to obligate DHS funding. Unsuccessful applicants will be contacted as well and will be encouraged to apply for future grant award programs. Announcements for future programs will be listed at http://www.grants.gov.

2. Administrative and National Policy Requirements All successful applicants for DHS grant and cooperative agreements are required to comply with DHS Standard Terms and Conditions, which are available online at: DHS Standard Terms and Conditions.

The applicable DHS Standard Terms and Conditions will be those in effect at the time the award was made, unless the application is for a continuation award. In that event, the terms and conditions in effect at the time the original award was made will generally apply.

What terms and conditions will apply for the award will be clearly stated in the award package at the time of award.

3. Reporting

a. Federal Financial Reporting Requirements

The Federal Financial Report (FFR) form is available online at: SF-425 OMB #4040-

Quarterly Federal Financial Reports. The Recipient shall submit a Federal Financial Report (SF425) to the DHS Grants Officer no later than 30 days after the end of each quarter. Reports are due October 30, January 31, April 30, and July 31. The report shall be submitted using the FFR submission guidance found here:

https://www.grantsolutions.gov/support/granteeUsers.html Final Federal Financial Report.

The Recipient shall submit the final Federal Financial Report (SF425) to the DHS Grants Officer no later than 90 days after the end of the Project Period end date. The report shall be submitted using the FFR submission guidance found here:

https://www.grantsolutions.gov/support/granteeUsers.html

Quarterly Federal Financial Reports (Cash Transaction). The Recipient shall submit the Federal Financial Report (SF425) Cash Transaction Report to the Department of Health and Human Services, Payment Management System. Quarterly Cash Transaction reports shall be submitted no later than 1/30, 4/30, 7/30, and 10/30.

The Recipient shall be paid in advance using the U.S. Department of Health and Human Services/Payment Management System, provided it maintains or demonstrates the willingness and ability to maintain procedures to minimize the time http://www.grants.gov/ http://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions http://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grantsolutions.gov/support/granteeUsers.html elapsing between the transfer of the funds from the DHS and expenditure disbursement by the Recipient.

When these requirements are not met, the Recipient will be required to be on a reimbursement for costs incurred method.

Any overpayment of funds must be coordinated with the U.S. Department of Health and Human Services/Payment Management System.

b. Programmatic Performance Reporting Requirements The recipient is required to submit the following performance reports:

Quarterly Performance Reports must be submitted to the DHS Grants Officer no later than 30 days after the end of each quarter. Reports are due October 30, January 31, April 30, and July 31. Reports shall be submitted via the GrantSolutions Grant Notes feature using the Grant Note submission guidance found here:

https://www.grantsolutions.gov/support/granteeUsers.html. Performance reports must provide information on the overall progress of the pilot. These reports shall also include:

Summary reports on the strategic vision and activities; management efforts;

performance reports on each funded project, along with explanations of any changes from the initially approved work plan, discussion of progress for each milestone and explanations of why milestones were not reached, the…