TSGP Program Guidance

U.S. DEPARTMENT OF HOMELAND SECURITY

FISCAL YEAR 2009
TRANSIT SECURITY GRANT PROGRAM
GUIDANCE AND APPLICATION KIT

NOVEMBER 2008

U.S. DEPARTMENT OF HOMELAND SECURITY

Title of Opportunity: FY 2009 Transit Security Grant Program (TSGP)
Funding Opportunity Number: DHS-09-GPD-075-1961
Federal Agency Name: FEMA Grant Programs Directorate (GPD)
Announcement Type: Initial
Dates: Completed applications must be submitted no later than 11:59 PM EST,
January 13, 2009.
Additional overview information:
Changes have been implemented for the fiscal year (FY) 2009 Transit Security Grant
Program (TSGP). Changes from previous years are summarized below.
Eligible Applicants
Per the Consolidated Security, Disaster Assistance, and Continuing Appropriations Act,
2009 (Public Law 110-329), awards will be made directly to transit agencies; the State
Administrative Agency (SAA) is no longer the grantee. As such, transit agencies will be
responsible for submitting their own applications, including Investment Justifications and
Detailed Budgets, through the grants.gov website by the application submission
deadlines discussed in this grant guidance.
Eligible agencies were determined by the Urban Areas Security Initiative (UASI) urban
areas list and the National Transit Database based on unlinked passenger trips.
•
•

Tier I will continue to be comprised of the transit agencies in the eight highestrisk urban areas, and will continue to utilize the cooperative agreement process.
Tier II will consist of all other eligible transit agencies.

Cost Sharing Requirements
Pursuant to the Consolidated Security, Disaster Assistance, and Continuing
Appropriations Act, 2009 (Public Law 110-329), there is no cost share requirement for
the TSGP.
Cooperative Agreements in Tier I
Cooperative Agreements will be signed between DHS and each agency that is a
member of the Regional Transit Security Working Group (RTSWG) for each Tier I
region.
Funding Priorities
The funding priorities have been expanded to include the following project types that
were not included in the FY 2008 TSGP:
•
•
•

Interoperable Communications
Evacuation Plans
Anti-terrorism security enhancement measures for low-density stations

i

CONTENTS
Contents......................................................................................................................... 1
Part I. FUNDING OPPORTUNITY DESCRIPTION......................................................... 2
Part II. AWARD INFORMATION .................................................................................... 8
Part III. ELIGIBILITY INFORMATION .......................................................................... 10
A.
Eligible Applicants................................................................................. 10
B.
Cost Sharing .......................................................................................... 14
C.
Restrictions ............................................................................................ 14
D.
Other ....................................................................................................... 14
Part IV. APPLICATION AND SUBMISSION INFORMATION ...................................... 16
A.
Address to Request Application Package ........................................... 16
B.
Content and Form of Application ......................................................... 16
C.
Submission Dates and Times ............................................................... 29
D.
Intergovernmental Review .................................................................... 29
E.
Funding Restrictions ............................................................................. 30
Part V. APPLICATION REVIEW INFORMATION ........................................................ 40
A.
Review Criteria....................................................................................... 40
B.
Review and Selection Process ............................................................. 41
C.
Anticipated Announcement and Award Dates .................................... 42
Part VI. AWARD ADMINISTRATION INFORMATION ................................................. 43
A.
Notice of Award ..................................................................................... 43
B.
Administrative and National Policy Requirements ............................. 43
C.
Reporting Requirements ....................................................................... 50
Part VII. FEMA CONTACTS......................................................................................... 53
Part VIII. OTHER INFORMATION ............................................................................... 57

1

PART I.

FUNDING OPPORTUNITY DESCRIPTION
The Transit Security Grant Program (TSGP) is one of six grant programs that constitute
the Department of Homeland Security (DHS) Fiscal Year (FY) 2009 transportation
infrastructure security activities.1 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 TSGP is an important component of the Department’s effort to
enhance the security of the Nation’s critical infrastructure. The program provides funds
to owners and operators of transit systems (which include intra-city bus, commuter bus,
and all forms of passenger rail) to protect critical surface transportation infrastructure
and the traveling public from acts of terrorism, major disasters, and other emergencies.
The FY 2009 TSGP is authorized by section 1406 of the Implementing
Recommendations of the 9/11 Commission Act of 2007 (Public Law 110-53) (the 9/11
Act) and the Consolidated Security, Disaster Assistance, and Continuing Appropriations
Act of 2009 (Public Law 110-329).
The funding priorities for the FY 2009 TSGP reflect the Department’s overall investment
strategy. Of these priorities two have been paramount—risk-based funding and regional
security cooperation. This document also reflects changes called for in the 9/11 Act and
the Consolidated Security, Disaster Assistance, and Continuing Appropriations Act of
2009 (Public Law 110-329).
Federal Investment Strategy
The TSGP is an important part of the Administration’s larger, coordinated effort to
strengthen homeland security preparedness, including the security of America’s critical
infrastructure. The program implements objectives addressed in a series of post-9/11
laws, strategy documents, plans, Executive Orders, and Homeland Security Presidential
Directives. Of particular significance is the National Preparedness Guidelines and its
associated work products, including the National Infrastructure Protection Plan (NIPP)
and its transportation sector-specific plans and Executive Order 13416 (Strengthening
Surface Transportation Security). The National Preparedness Guidelines is an allhazards vision regarding the Nation’s four core preparedness objectives: to prevent,
protect against, respond to, and recover from terrorist attacks and catastrophic natural
disasters.
The National Preparedness Guidelines define a vision of what to accomplish, and
provides a set of tools to forge a unified national consensus about what to do and how
to work together at the Federal, State, Local, and Tribal levels. Private sector
participation is integral to the Guidelines’ success. It outlines 15 scenarios of terrorist
attacks or national disasters that form the basis of much of the Federal exercise and
training regime. In addition, it identifies 37 critical target capabilities that DHS is making
the focus of key investments with State, Local and Tribal partners.
1

The other components include grants targeted at marine ports, intercity bus companies, and the trucking industry.

2

DHS expects its critical infrastructure partners to be familiar with this national
preparedness architecture and to incorporate elements of this architecture into their
planning, operations and investment to the degree practicable. Our funding priorities
outlined in this document reflect the National Preparedness Guidelines’ priority
investments as appropriate. Programmatic requirements or priority investment
categories reflecting the national preparedness architecture for this grant program are
identified below. Additional information may be found at:
http://www.dhs.gov/xprepresp/publications.
Risk-Based Funding
Based upon ongoing intelligence analysis, extensive security reviews, consultations with
operations and security officials of mass transit and passenger rail agencies, State and
local government officials, and Federal security partners, and Congressional direction,
DHS once again intends to focus the bulk of its available transit grant dollars on the
highest-risk systems in our country’s largest metropolitan areas. Eligible agencies were
identified using a comprehensive, empirically-grounded risk analysis model that was
also used in FY 2008.
DHS has also identified priority project types and placed them into groups based on
their effectiveness to reduce risk. Certain types of projects that are effective at
addressing risk will be given priority consideration for funding. These groups have been
prioritized based upon Departmental priorities and their ability to elevate security on a
system-wide level, to elevate security to critical infrastructure assets, and to reduce the
risk of catastrophic events and consequences. Table 1 outlines in detail the groups and
sample project types. While the groups are prioritized, the projects within each group
are not. The sample project types are not comprehensive and projects not listed may
be eligible for funding if they fall into one of the project effectiveness group descriptions.
Project types that do not fall into one of the project effectiveness groups are not eligible
for funding in the FY 2009 TSGP.
Regional Security Coordination
DHS places a very high priority on ensuring that all TSGP applications reflect robust
regional coordination and can show an investment strategy that institutionalizes regional
security strategy integration. DHS will work with TSGP applicants to strengthen and
support regional consultation processes. Close coordination of the Federal TSGP
investments is encouraged in all applications and is reflected in the regional
collaboration component of the overall project score. DHS will continue to work
collaboratively with each region to discuss risk specific to the region, regional security
priorities to mitigate that risk, and the identification of projects with significant risk
mitigation potential.
Regional Transit Security Working Groups (RTSWG)
DHS strongly encourages a review and update of each region’s Regional Transit
Security Strategy (RTSS).
Tier I
In order to support the cooperative agreement process, each Tier I region must have a
RTSWG. The following entities must be invited to actively participate in the group and
3

have full membership rights in the RTSWG: eligible transit agencies and their security
providers, eligible law enforcement agencies (as sub-grantees), the State Office of
Homeland Security (OHS), and Amtrak (specifically in the National Capital Region,
Philadelphia, New York, Boston, Chicago, and Los Angeles). For agencies that share
assets with Amtrak, close coordination on the expenditure of funds for security
enhancements at shared facilities must occur. The RTSWGs must include representation
from the Urban Area Working Group(s), and freight railroad carriers if their operations
intersect with that of the transit agencies.
The RTSWG must also extend an invitation to the State Administrative Agency (SAA) to
serve as a co-chair on the RTSWG with any other current chairs/co-chairs established
by the region, however the SAA is under no obligation to accept this position. It is the
responsibility of the applicable co-chairs to serve as facilitators and coordinators for the
RTSWG meetings and any other regional transit security grants activities as determined
by each RTSWG.
TSA and the Federal Emergency Management Agency (FEMA) will serve as ex-officio
members of the RTSWG and meet with each Tier I RTSWG throughout the application
process to collaboratively develop project concepts, determine how projects will be
selected for funding, and develop detailed cost estimates and investment justifications.
Tier II
Given DHS’s preference to continue the promotion of regional risk mitigation strategies,
eligible transit agencies in Tier II are encouraged to develop RTSWGs in their areas if
they are not already in existence. Members should include eligible transit agencies and
their security providers, local law enforcement agencies, Amtrak and eligible freight
railroad carriers (where transit operations intersect). They also should include the SAA
and the State OHS. Formation of such RTSWGs would facilitate a regional approach to
security. Investment Justifications developed collaboratively that involve multiple eligible
entities in implementation will result in funding preferences as reflected by the regional
collaboration component of the overall project score.

4

Project Effectiveness Groups
DHS has identified several different project types, and grouped them into five prioritized
groups based on their effectiveness to reduce risk and alignment with Departmental
priorities.
Table 1: Project Effectiveness Groups Listed in Priority Order
Priority
Group #

Project
Effectiveness
Group Score

Project
Effectiveness
Group
Description

Project Types

•
•

1

2

3

4

5

5

Training,
Operational
Deterrence, Drills,
Public Awareness
Activities

4

Multi-User HighDensity Key
Infrastructure
Protection

3

Single-User HighDensity Key
Infrastructure
Protection

2

Key Operating
Asset Protection

1

Other Mitigation
Activities

Developing Security Plans
Training (basic before follow-on):
o Security Awareness
o DHS-Approved Behavior Recognition Detection
Courses
o Counter-Surveillance
o Immediate Actions for Security Threats/Incidents
• Operational Deterrence
o Canine Teams
o Mobile Explosives Screening Teams
o VIPR Teams
• Crowd Assessment
• Public Awareness
Anti-terrorism security enhancement measures, such as
intrusion detection, visual surveillance with live
monitoring, alarms tied to visual surveillance system,
recognition software, tunnel ventilation and drainage
system protection, flood gates and plugs, portal lighting,
and similar hardening actions for:
• Tunnel Hardening
• High-Density Elevated Operations
• Multi-User High-Density Stations
• Hardening of SCADA systems
• Anti-terrorism security enhancement measures for:
o High-Density Stations
o High-Density Bridges

• Physical Hardening/Security of Control Centers
• Secure stored/parked trains, engines, and buses
•
•
•
•

o Bus/Rail Yards
Maintenance Facilities
Interoperable Communications2
Evacuation Plans
Anti-terrorism security enhancement measures for
low-density stations

The sample project types are not comprehensive and projects not listed may be eligible
for funding if they fall into one of the project effectiveness group descriptions. Project
types that are not in Project Effectiveness Priority Groups 1-5 will not be considered for
funding under the FY 2009 TSGP.
2

Additional information on interoperable communications is included in the FY 2009 SAFECOM Recommended
Guidance for Federal Grant Programs, which can be found on:
http://www.safecomprogram.gov/SAFECOM/grant/default.htm

5

Operational Packages (OPacks)
Operational costs were introduced as an allowable expense element with the FY 2007
TSGP Supplemental. For FY 2009, eligible Tier I transit systems that have a dedicated
transit security/police force, a transit security operations dispatch center, and a daily
unlinked ridership of 200,000 or greater are eligible to apply for operational expenses.
Also, certain law enforcement agencies that act as the primary transit security provider
for large transit systems (as identified in Table 3) are eligible for these types of
operational activities as sub-recipients of the transit systems.
The allowance of operational expenses continues the initiative introduced with the FY
2007 TSGP Supplemental, and applies exclusively to counterterrorism activities. OPack
funds may not be used to supplant existing agency programs already supported by the
agency. OPack funds may only be used for new capabilities/programs. OPack
capabilities must be funded on a full-time basis, only for their intended purposes in line
with the capabilities and functions detailed within this guidance in Part IV, Section E.
Please also refer to Part IV, Section E for additional submission requirements related to
OPacks.
Pre-Priced Fast Track Training
Recent assessments and evaluations have highlighted the fact that security training for
frontline employees of transit systems is a critical vulnerability that must be addressed
as soon as possible. In order to ease the administrative burden associated with
submitting an Investment Justification, a pre-priced fast track training option is available
to Tier I and II agencies. If the pre-priced option, outlined below, does not meet the
needs of an agency, they may submit a full Investment Justification and detailed budget
to be considered in the competitive application review process.
Systems may submit a request for fast track training by using the training cost matrix
contained in Part VIII and providing a detailed budget worksheet found later in this
document. Eligible applicants should use this matrix to determine the amount of funding
that is pre-approved through the grant process for training classes, depending on the
type of course and the type of employees being trained. Applicants should ask for the
exact amount of funds specified in the matrix to ensure compliance with pre-approved
costs, and to expedite the award process. Additional costs above the pre-approved
amount will not be funded.
The matrix includes a number of different elements: the types of training (“Basic” and
“Follow-On”), employee categories, and course duration, and indications of what types
of employees should receive what type of training. Transit systems must meet “basic”
training requirements before requesting funds for “follow-on” training courses. Requests
for funding of follow-on training courses must include a statement that certifies that the
basic training requirements have been fulfilled or are not applicable otherwise they will
not be funded. Requests for follow-on training should include the following information:
• Type, name, and vendor of the basic training classes frontline employees have
received; and
• Dates when the employees received the training, including how many employees
attended each class.
6

To complete the training cost matrix, on the “Data Entry” sheet, transit systems should
enter the number of employees that should receive each type of training. The matrix
automatically calculates training cost based on the course type, number of employees,
and course duration. The calculation also includes appropriate management and
administration (M&A) costs for the transit agency. If the calculated training costs
exceed the actual costs incurred, the transit agency is permitted to reprogram the
excess funds, with DHS approval, and put these funds toward additional employee
training or other security-related projects. If however, the calculated training costs are
lower than what the transit agency incurred, the transit agency is expected to cover the
additional cost.
More information on the training cost matrix, as well as a list of approved courses and
vendors, can be found in Part VIII.
TSGP Program Management: Roles and Responsibilities at DHS
Within DHS, TSA has been given the legal mandate pursuant to the Aviation and
Transportation Security Act of 2001 (Public Law 107-71, November 19, 2001) and the
Homeland Security Act of 2002 (Public Law 107-296, November 25, 2002) to manage
the Department’s security programs and provide oversight for security of the transit
industry. TSA provides transit system subject matter expertise within DHS and
determines the primary security architecture for the TSGP program. Its subject matter
experts have the lead in crafting all selection criteria associated with the application
review process. TSA coordinates daily with the DHS Chief Intelligence Officer to review
intelligence reporting and craft intelligence risk assessments related to the
transportation sector.
FEMA has the lead for designing and operating the administrative mechanisms needed
to manage the Department’s core grant programs, including this grant program. In
short, FEMA is responsible for ensuring compliance with all relevant Federal grant
management requirements and delivering the appropriate grant management tools,
financial controls, audits and program management discipline needed to support the
TSGP.
While both TSA and FEMA collaborate and interface directly with our transit
stakeholders, pursuant to section 1406 and 1513 of the Implementing
Recommendations of the 9/11 Commission Act of 2007 (Public Law 110-53, August 3,
2007), TSA will prioritize specific investments and set security priorities associated with
the TSGP.
Effective management of the TSGP entails collaboration between agencies within DHS,
the boundaries of which have been defined by the DHS Secretary. In order to make this
partnership seamless to our external partners, upon award of a FY 2009 TSGP grant,
two individuals will be identified for each transit agency who will serve as primary
account managers—one individual from TSA and one from FEMA. These two
individuals will be assigned to be turnkey facilitators for our grant recipients. They will
meet directly with grantees as needed, and will coordinate with each other routinely to
facilitate support for the individual transit agencies in a given region. These individuals
will be the one-stop TSGP account managers for our transit agency customers.
7

PART II.

AWARD INFORMATION
This section summarizes the award period of performance and the total amount of
funding available under the FY 2009 TSGP, describes the basic distribution method
used to determine final grants awards, and identifies all eligible applicants for FY 2009
funding.
Award Period of Performance
The period of performance of this grant is 36 months with the exception of fast-track
training and OPacks as noted below. Extensions to the period of performance will be
considered only through formal requests to FEMA with specific and compelling
justifications why an extension is required.
The period of performance for fast-track training is 24 months.
The period of performance for OPacks is 30 months. Additionally, transit agencies that
have shown their staffing plan to hire permanent staff to fill OPack positions will be
allowed to fund overtime expenses for existing staff for the first 6 months of the grant
period of performance to ensure there is sufficient time for new-hire positions to be
fully trained and put into place.
Available Funding
In FY 2009, the total amount of funds distributed under the TSGP will be $388,600,000.
The funding distribution is summarized in Table 2 below.
Table 2: TSGP FY 2009 Available Funding
Transportation Mode
Tier I: Rail, Intracity Bus, &
Ferry
Tier II: Rail & Intracity Bus
Intercity Passenger Rail
(Amtrak)*
Freight Rail Security Grant
Program*
TOTAL

FY 2009 Funding
$312,000,000
$36,600,000
$25,000,000
$15,000,000
$388,600,000

*There are separate grant guidance and application kits for the Intercity Passenger Rail
and Freight Rail Security Grant Programs.

8

Tier I
The FY 2009 TSGP awards for Tier I agencies will be made in the form of cooperative
agreements with each Tier I agency. Under cooperative agreements, DHS will partner
with eligible transit agencies and their security providers in each Tier I region to address
risk in that region. In order to ensure the region addresses risk in a comprehensive and
collaborative manner, DHS will work collaboratively with each region to discuss the
regional risks and threats and then help agencies identify projects with the greatest
security impact. The scoring methodology described in this grant guidance will provide
the framework for how DHS will work with the regions to identify and prioritize security
projects for funding. DHS will work closely with the region, transit systems and security
providers, pre- and post-award, to ensure that the projects are being implemented
effectively. As in FY 2008, DHS will conduct extensive outreach and provide continuing
support to answer inquiries and to assist agencies with filing the strongest possible
applications.
Transit agencies in eight metropolitan areas are the Tier I transit investment agencies.
In each of these eight areas, DHS identifies a target funding level for the transit
agencies in that region. Dollar amounts for the FY 2009 funding to the TSGP were
determined in the same manner as for the previous years TSGP allocations. Funding
may move between tiers and/or regions to ensure that all FY 2009 TSGP funding goes
towards eligible projects that have the highest security return on investment.
Tier II
The FY 2009 TSGP awards for Tier II agencies will be competitively awarded. Eligible
transit agencies in each tier will compete for a single pool of funds for intracity bus and
rail security projects.

9

PART III.

ELIGIBILITY INFORMATION
A. Eligible Applicants
Agencies eligible for FY 2009 TSGP funding were identified using a comprehensive,
empirically-grounded risk analysis model. The risk methodology for the TSGP is
consistent across modes and is linked to the risk methodology used to determine
eligibility for the core DHS State and local grant programs. TSGP basic eligibility is
derived from the Urban Areas Security Initiative (UASI). Certain ferry systems are
eligible to participate in the FY 2009 TSGP, and receive funds under the Tier I
cooperative agreement process. However, any ferry system electing to participate and
receive funds under the FY 2009 TSGP cannot participate in the FY 2009 Port Security
Grant Program (PSGP), and will not be considered for funding under the FY 2009
PSGP. Likewise, any ferry system that participates in PSGP cannot be considered for
funding under TSGP.
The 9/11 Act sets a requirement for eligibility that agencies have either undergone a
security assessment by DHS or developed a security plan. Additionally, the legislation
directs that grant funds be used to address items in the security assessment or the
security plan. In order to be eligible for the FY 2009 TSGP, transit agencies must have
either undergone a security assessment conducted by DHS, such as the Baseline
Assessment for Security Enhancement (BASE) program security assessment
performed by TSA Transportation Security Inspectors-Surface, or developed and/or
updated their security plan, within the last three years.
Entities providing transit security (e.g., city/county police department, transit agency’s
own police department) for a transit agency must approve the security plan. The
signature of a responsible official from the agency’s transit security provider serves as
this approval. If there is more than one provider in the core service area, all transit
security providers must review and concur with the plan. Certification of the existence
of these documents must be provided to DHS as a part of the investment justification.
Security plans and associated documentation of this approval must be provided to DHS
upon request.
In addition, each Tier I investment justification should be reviewed by the agency’s
transit security provider prior to the submission to the RTSWG. Table 3 indicates the
transit security providers by transit agency. Review is encouraged whether or not the
investment specifically involves the security provider.
Within the TSGP, eligibility and target funding levels for Tier I and Tier II grant awards is
predicated on a systematic risk analysis that aggregates all of the eligible transit
agencies within a given metropolitan area, and then rates these clusters of eligible
systems for comparative risk.
The TSGP risk formula is based on a 100 point scale comprised of threat (20 points)
and vulnerability/consequences (80 points) variables. The DHS formula incorporates
multiple variables. Each variable set is assigned a weight as part of the overall formula,
10

and all eligible jurisdictions are empirically ranked in each instance on a numerical scale
from lowest to highest.
The DHS risk assessment methodology considers critical infrastructure system assets,
and characteristics that might contribute to their risk, such as: intelligence community
assessments of threat; potentially affected passenger populations, and the economic
impact of attack. The relative weighting of variables reflects DHS’ overall risk
assessment and FY 2009 program priorities. Specific variables include, but are not
limited to, the unlinked passenger trips for rail and bus systems, the number of
underground track miles, the number of underwater tunnels, and the location-specific
intelligence community risk analysis.
The FY 2009 TSGP makes provisions for law enforcement agencies that are principal
providers of transit security to a Tier I system, and that maintain dedicated transit units,
to receive funding only through a Tier I eligible agency under one or more of the
operational packages (OPacks) described fully in this guidance. FY 2009 TSGP
funding may be used to support transit-related security activities and not other
departmental operations.
Eligibility does not guarantee grant funding.

11

Table 3: Eligible Rail, Intracity Bus, Ferry Transit Agencies
and Law Enforcement Agencies
Tier I
Tier

State

Urban Area

Eligible System
Alameda-Contra Costa Transit District (AC Transit)

Bay Area

CA

Greater Los
Angeles Area (Los
Angeles/Long
Beach and
Anaheim/Santa
Ana UASI Areas)

DC/MD/VA

Greater National
Capital Region
(National Capital
Region and
Baltimore UASI
Areas)

GA

Atlanta Area

IL/IN

Chicago Area

MA

Boston Area

I

NY/NJ/CT

PA/NJ

New York
City/Northern New
Jersey Area (New
York City and
Jersey City/Newark
UASI Areas)

Philadelphia Area

Altamont Commuter Express (ACE)
Bay Area Rapid Transit (BART)
Central Contra Costa Transit Authority
City of Alameda Ferry Services (Blue and Gold Lines
Fleet)
City of Vallejo Transportation Program (ferry only)
Golden Gate Bridge, Highway and Transportation
District (including Ferry)
Transbay Joint Powers Authority
Peninsula Corridor Joint Powers Board (Caltrain)
San Francisco Municipal Railway (MUNI)
San Mateo County Transit Authority (SamTrans)
Santa Clara Valley Transportation Authority (VTA)
City of Los Angeles Department of Transportation
Foothill Transit
Long Beach Transit
Los Angeles County Metropolitan Transportation
Authority
Montebello Bus Lines
Omnitrans (San Bernardino)
Orange County Transportation Authority (OCTA)
Santa Monica’s Big Blue Bus
Southern California Regional Rail Authority (Metrolink)
City of Alexandria (Alexandria Transit Company)
Fairfax County Department of Transportation
Maryland Transit Administration (MTA)
Montgomery County Department of Transportation
Potomac and Rappahannock Transportation
Commission
Prince George’s County Department of Public Works
and Transportation
Virginia Railway Express (VRE)
Washington Metropolitan Area Transit Authority
Georgia Regional Transportation Authority
Metropolitan Atlanta Rapid Transit Authority (MARTA)
Chicago Transit Authority (CTA)
Northeast Illinois Commuter Railroad Corporation
(METRA)
Northern Indiana Commuter Transportation District
(NICTD)
PACE Suburban Bus
Massachusetts Bay Transportation Authority (MBTA)
(including Ferry)
Connecticut Department of Transportation
Connecticut Transit (Hartford)
Connecticut Transit New Haven Division
Metropolitan Transportation Authority (MTA) New York
City Transit (Subway)
MTA Long Island Bus
MTA New York City Transit (Bus)
MTA Bus
MTA Suburban Bus Authority
MTA Metro-North Commuter Railroad Company
MTA Long Island Railroad
New Jersey Transit Corp. (NJT)
New York City Department of Transportation (Ferry)
Port Authority of New York and New Jersey (PANYNJ)
(including Ferry)
Westchester County Department of Transportation
Delaware River Port Authority (DRPA)
Delaware Transit Corporation
Southeast Pennsylvania Transportation Authority
Pennsylvania Department of Transportation
New Jersey Transit

12

Transit Security Provider*
Alameda County Sheriff’s Office
Contra Costa County (CA) Office of the
Sheriff

FY 2009 Target

BART Police Department

$28,259,722

San Francisco Police Department

Los Angeles Sheriff’s Department
$13,333,678
Orange County Sheriff’s Department

Maryland MTA Police Department
$38,080,340

Metro Transit Police Department
MARTA Police Department
Chicago Police Department
METRA Police Department

MBTA Transit Police Department

$6,399,055

$24,856,829

$29,259,896

New York City Police Department
(NYPD)
New York City Police Department
(NYPD)
MTA Police Department
MTA Police Department
MTA Police Department
MTA Police Department
NJT Police Department

$153,256,664

Port Authority Police Department

$18,553,816
SEPTA Police Department
NJT Police Department

Tier

State

II
AZ

CA

Urban Area
Phoenix Area

FL

City of Tucson Transit

Fresno Area

Fresno Area Express

Sacramento Area

Denver Area
Jacksonville Area
Miami/Fort
Lauderdale Area
(Miami and Fort
Lauderdale UASI)
Orlando Area
Tampa Area

HI

IN

Honolulu Area
Urbana-Champaign
Area
Indianapolis Area

KY

Louisville Area

LA

New Orleans Area

MA

Springfield Area

IL

Valley Metro Regional Public Transportation Authority (Valley Metro)

Tucson Area

San Diego Area
CO

Eligible System
City of Phoenix Public Transit Department

Sacramento Regional Transit District
North San Diego County Transit District (NCTD)
San Diego Metropolitan Transit System (MTS)
Regional Transportation District
Jacksonville Transportation Authority
Broward County Division of Mass Transit
Miami-Dade Transit
South Florida Regional Transportation Authority (Tri-Rail)
Central Florida Regional Transportation Authority
Hillsborough Area Regional Transit Authority (HART)
Pinellas Sun Coast Transit Authority
City and County of Honolulu Department of Transportation Services
Champaign-Urbana Mass Transit District
Indianapolis Public Transportation Corporation
Transit Authority of River City
Jefferson Parish Department of Transportation
New Orleans Regional Transit Authority (NORTA)
Pioneer Valley Transit Authority
City of Detroit Department of Transportation

MI

Detroit Area
Lansing Area

MN
MO
NM
NV

Metro Transit

Kansas City Area

Kansas City Area Transportation Authority

St. Louis Area
Albuquerque Area
Las Vegas Area
Reno
Buffalo Area
Rochester Area

NC

Charlotte Area
Cincinnati Area

OH

Sun Tran of Albuquerque
Regional Transportation Commission of Southern Nevada
Regional Transportation Commission of Washoe County
Capital District Transportation Authority
Niagara Frontier Transportation Authority
Rochester Genesee Regional Transportation Authority
Charlotte Area Transit System (CATS)
Southwest Ohio Regional Transit Authority
Transit Authority of Northern Kentucky
The Greater Cleveland Regional Transit Authority

Columbus Area

Central Ohio Transit Authority

Portland Area
Eugene Area

PA

Bi-State Development Agency (Metro)
Madison County Transit District

Cleveland Area
Dayton Area

OR

Capital Area Transportation Authority

Twin Cities Area

Albany Area
NY

Detroit Transportation Corporation
Suburban Mobility Authority for Regional Transportation

Pittsburgh Area

Greater Dayton Regional Transit Authority
Clark County Public Transportation Benefit Area (C-TRAN)
Tri-County Metropolitan Transportation District (Tri-Met)
Lane Transit District
Port Authority of Allegheny County
Metropolitan Bus Authority

PR

San Juan Area

RI

Providence Area

TN

Memphis Area

Memphis Area Transit Authority

Nashville Area

Nashville Metropolitan Transit Authority

Austin Area

TX

Dallas/Fort
Worth/Arlington
Area

VA

Capital Metropolitan Transportation Authority
Dallas Area Rapid Transit (DART)
Fort Worth Transportation Authority (The T)
Trinity Railway Express (TRE)

Houston Area

Metropolitan Transit Authority of Harris County

El Paso Area

Mass Transit Department City of El Paso

San Antonio Area
UT

Puerto Rico Highway and Transportation Authority (heavy rail)
Rhode Island Public Transit Authority

Salt Lake City Area
Norfolk Area
Richmond Area

VIA Metropolitan Transit
Utah Transit Authority
Hampton Roads Transit
Greater Richmond Transit Company

13

FY 2009 Target
$36,600,000

Tier

State

Urban Area

Eligible System

FY 2009 Target

Central Puget Sound Regional Transit Authority (Sound Transit)
WA

Seattle Area

King County Department of Transportation
Pierce County Public Transportation Benefit Area Corporation (Pierce Transit)
Snohomish County Transportation Benefit Area Corporation (Community Transit)

Spokane Area
WI

Madison Area
Milwaukee Area

Spokane Transit Authority
Madison Metro Transit
Milwaukee County Transit System

Amtrak

$25,000,000

Freight Rail

$15,000,000
TOTAL

$388,600,000

*Indicates a new eligible transit system for FY 2009

B. Cost Sharing
Pursuant to the Consolidated Security, Disaster Assistance, and Continuing
Appropriations Act of 2009 (Public Law 110-329), participants of the FY 2009 TSGP will
not be required to provide a cost share for funding they receive. If an agency chooses
to include a cost share, enhanced consideration will be given during the scoring
process.
C. Restrictions
Please see Part IV., Section E for Management & Administration limits, and
allowable/unallowable costs guidance.
D. Other
Regional Transit Security Strategy
The program includes a requirement that transit systems selected for funding participate
in a RTSWG, as appropriate and described above, for the purpose of developing the
Regional Transit Security Strategy (RTSS), and to develop regional consensus on the
expenditure of FY 2009 TSGP funds.
The RTSS should serve as the integration point between the individual, risk-based
Security Emergency Preparedness Plans (SEPPs), and the overall security goals and
objectives of the region. Therefore, the RTSS must demonstrate a clear linkage to the
applicable state and urban area homeland security strategies developed or currently
being developed. It is expected that the SEPP and the RTSS will serve as the vehicle
through which transit agencies may justify and access other funding and resources
available on a region-wide basis through other grant programs, such as UASI and the
State Homeland Security Grant program.
General Requirements
The applicable eligible transit systems will be responsible for administration of the FY
2009 TSGP3. In administering the program, the eligible transit system(s) must comply
with the following general requirements:
1. Management and Administration limits. A maximum of three percent (3%) of
funds awarded may be retained by eligible transit agencies. Any funds retained are to
be used solely for management and administrative purposes associated with the
TSGP award.
3

As noted, Amtrak may apply for and receive a direct award through the Intercity Passenger Rail (IPR) program.

14

2. Minimum project amounts. There is no minimum amount for training projects that
are submitted using the Training Cost Matrix. The minimum amount that may be
requested for projects focused on non-fast track training, exercises, public awareness,
and planning is $50,000. The minimum amount that may be requested for other
projects is $250,000.
3. Operating Cost Restrictions. The 9/11 Act limits how funds can be used for certain
operating projects, especially those projects which include operational costs
associated with security and counter-terrorism duties. Not more than 30 percent of
the funds available for this grant program may be used for “Operating uses” as
outlined in the 9/11 Act, Section 1406(b)(2)4. More information regarding this
limitation is provided in Part IV Section E.

4

9/11 Act (Public Law 110-53), Section 1406(m)(1)(C)

15

PART IV.

APPLICATION AND SUBMISSION
INFORMATION
A. Address to Request Application Package
DHS participates in the Administration’s e-government initiative. As part of that
initiative, all applications must be filed using the Administration’s common electronic
“storefront” -- grants.gov. Eligible entities must apply for funding through this portal,
accessible on the Internet at http://www.grants.gov. To access application forms and
instructions, 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.” If you experience difficulties or have any
questions, please call the grants.gov customer support hotline at (800) 518-4726.
B. Content and Form of Application
1. On-line application. The on-line application must be completed and submitted
using grants.gov after Central Contractor Registry (CCR) registration is confirmed.
The on-line application includes the following required forms and submissions:
•
•
•
•
•
•
•
•

Investment Justification
Any additional Required Attachments
Standard Form 424, Application for Federal Assistance
Standard Form 424A, Budget Information
Standard Form 424B, Assurances
Standard Form 424C, Budget Information-Construction Form (if applicable)
Standard Form 424D, Assurances-Construction Programs (if applicable)
Standard Form LLL, Disclosure of Lobbying Activities

The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is
“2009 Rail and Transit Security Grant Program.” The CFDA number is 97.075.
2. Application via grants.gov. FEMA participates in the Administration’s egovernment initiative. As part of that initiative, all applicants must file their
applications using the Administration’s common electronic “storefront” -- grants.gov.
Eligible entities must apply for funding through this portal, accessible on the Internet
at http://www.grants.gov.
3. DUNS number. The applicant must provide a Dun and Bradstreet Data Universal
Numbering System (DUNS) number with their application. This number is a required
field within grants.gov and for CCR Registration. Organizations should verify that
they have a DUNS number, or take the steps necessary to obtain one, as soon as
16

possible. Applicants can receive a DUNS number at no cost by calling the dedicated
toll-free DUNS Number request line at (866) 705-5711.

4. Valid Central Contractor Registry (CCR) Registration. The application process
also involves an updated and current registration by the applicant. Eligible
applicants must confirm CCR registration at http://www.ccr.gov, as well as apply for
funding through grants.gov.
5. Investment Justification. As part of the FY 2009 TSGP application process,
applicants must develop a formal Investment Justification that addresses each
initiative being proposed for funding. These Investment Justifications must
demonstrate how proposed projects address gaps and deficiencies in current
programs and capabilities. The Investment Justification must demonstrate the ability
to provide enhancements consistent with the purpose of the program and guidance
provided by DHS. Applicants must ensure that the Investment Justification is
consistent with all applicable requirements outlined in this application kit.
The Investment Justification must demonstrate the ability of the transit agency or
agencies to provide tangible, physical security enhancements consistent with the
purpose of the program and guidance provided by DHS. Applicants must ensure
that the Investment Justification is consistent with all applicable requirements
outlined in this application kit.
Applicants may propose up to ten investments within their Investment Justification
for individual systems and up to five investments for regional projects (regional
projects are those involving two or more eligible systems within the region).
Investment Justifications must be submitted with the grant application as a file
attachment within grants.gov. Applicants must use the following file naming
convention when submitting the Investment Justifications as part of the FY 2009
TSGP:
Investment Justification (through grants.gov file attachment)
State_Region_ IJ Number (Example: CO_Denver_IJ_1)
6. 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 grants.gov. The budget must be complete (with M&A costs included),
reasonable, and cost-effective in relation to the proposed project. The budget
should provide the basis of computation of all project-related costs and any
appropriate narrative.
Detailed budgets must be submitted with the grant application as a file attachment
within grants.gov. Applicants must use the following file naming convention when
submitting Detailed Budgets as part of the FY 2009 TSGP:
Detailed Budget (through grants.gov file attachment)
State_Region_IJ Number_Budget (Example: CO_Denver_IJ#1_Budget)
17

A detailed budget template is provided later on in this Part.
7. Vulnerability Assessment and Security Plan Certification Statement (if
applicable).
A transit agency must have a current (updated within the last three years)
vulnerability assessment and security plan in order to apply for other projects.
Agencies must certify that they have a current vulnerability assessment and security
plan using the certification statement below.
I, [insert name], as [insert title] of [insert name of transit agency], certify that a
security evaluation preparedness plan has been developed or updated for my
system within the last three years, and has the approval of the transit agency’s
primary security provider.
Signature
(Transit Agency)

Date

Signature
(Primary Security Provider)

Date

8. Eligible Tier I applicants electing to pursue OPacks, are required to submit additional
documentation and are subject to additional requirements.
For Eligible Tier I applicants electing to pursue OPacks, the following must also be
submitted:
1. A certification statement and supporting documentation from the agency’s chief
operating official or designee that certifies in writing:
o The current capability (without Federal funding) for each eligible position
(Canine, VIPR, etc).
o The agency’s understanding that funds being used under this provision will
only be used either to fill new dedicated full-time OPack positions, or to cover
initial overtime costs associated with establishing the OPack position
capability approved for FY 2009 TSGP funding by DHS until the new full-time
officers are in place.
o The agency’s understanding of the 6-month limitation on overtime referenced
above.
o The agency’s understanding that, after the 30-month period of performance,
the positions will become the responsibility of the employing agency to
sustain. Failure to sustain the level of capability established by the grant will
result in disqualification from using future TSGP awards for operational
expenses.
2. A detailed audit process to ensure that supported personnel are involved only
in counterterrorism activities as defined per the selected OPack position, and
that supported positions are above and beyond pre-grant capabilities. This
process must be develop and submitted for review within 60 days of the grant
award. The results of these audit activities must be submitted to DHS for
review on a semiannual basis.
3. A 5-year Security Capital and Operational Sustainment Plan. This plan must
include how the agency proposes to implement capital projects that will
18

decrease the need for operational activities, and/or demonstrate how the
agency will sustain the operational investments after grant funding has been
expended. Requests for OPacks will not be funded if the agency does
not have a Security Capital and Operational Sustainment Plan.
In addition, awardees must commit to minimum training standards to be set by the
Department for all federally funded security positions.
Below is the necessary certification statement.
I, [insert name], as the [insert title of insert agency name], request funds from the
fiscal year (FY) 2009 Transit Security Grant Program (TSGP) for operational
activities for the [insert region name] region in the amount of [insert dollar amount]. I
certify that these operational funds will only be used to fill new dedicated full-time
positions related to Operational Packages (OPacks) eligible under the FY 2009
Transit Security Grant Program (TSGP) or to pay for initial overtime costs associated
with establishing the OPack position capability approved for 2009 TSGP funding by
DHS until the new full-time officers are in place. I also confirm [agency name’s]
understanding that, after a 30-month period of performance, positions funded with
these operational funds will no longer qualify for Federal funding under this or future
TSGP awards. In all cases, the activities paid for by the FY 2009 TSGP funds will
result in additional capabilities not previously available and/or paid for by the
agency/region. I certify [agency name’s] understanding that failure to sustain the
level of capability established by these operational funds beyond the period of
performance will result in disqualification of [agency name] from using future TSGP
awards for operational activities.

________________________
Signature

________________________
Date

19

C. Investment Justification Template
TSGP applicants must submit a complete investment justification for each proposed
investment. The investment justification categories are:
I. Background
II. Strategic and Program Priorities
III. Impact
IV. Funding/Implementation Plan
Investment Heading
Date
State
Urban Area
Agency Name
Investment Name
Investment Phase
Is this a Multi-Agency
investment? If yes, which
agencies?
Investment Amount

$

I. Background
Note: This section only needs to be completed once per application, regardless of
the number of investments proposed. The information in this section provides
background/context for the investment(s) requested, but does not represent the
evaluation criteria used by DHS for rating individual investment proposals.
I.A. Identify the transit agency and that agency’s point(s) of contact for this investment.
Response Type
Response Instructions

Narrative
For the transit agency (or lead agency) undertaking the investment, identify the
following:
• Point of contact’s (POC) name and title;
• POC’s full mailing address;
• POC’s telephone number;
• POC’s fax number;
• POC’s email address; and,
• Also include the corresponding information for the single authorizing
official for your organization—i.e., the individual authorized to sign a
grant award.

Response:

I.B. Describe the operating system for the transit agency undertaking this investment.
Response Type
Narrative

20

Response Instructions

For the transit agency (or lead agency) undertaking this investment, describe
the following:
• Infrastructure;
• Ridership data;
• Number of passenger miles;
• Number of vehicles;
• Types of service and other important features;
• System map;
• Geographical borders of the system and the cities and counties
served; and,
• Other sources of funding being leveraged for security enhancements

Response
I.C. Discuss the capabilities the transit agency already has in place, and the capabilities the transit
agencies needs in the future.
Response Type
Narrative
Response Instructions
For the transit agency undertaking this investment, describe the following:
• Discuss the efforts/capabilities the transit agency has in place to
protect any underwater tunnel infrastructure from attacks involving
IEDs:
o Specific attention should be paid to any enhancements
achieved as a result of FY05/06/07/08 TSGP funding;
• Discuss the efforts/capabilities the transit agency has in place for
prevention, detection and response capabilities relative to IEDs and
CBRN devices generally:
o Specific attention should be paid to any enhancements in
these capabilities achieved as a result of FY05/06/07/08
TSGP funding;
• Discuss the efforts/capabilities the transit agency has in place for
visible and unpredictable deterrence:
o Specific attention should be paid to any enhancements in
these efforts achieved as a result of FY05/06/07/08 TSGP
funding;
• Discuss the efforts/capabilities the transit agency has in place for
additional high consequence risk mitigation efforts, visible and
unpredictable deterrent efforts, training programs for employees,
emergency drills and citizen awareness activities:
o Specific attention should be paid to any enhancements in
these capabilities achieved as a result of FY05/06/07/08
TSGP funding;
o Please provide the following information:
ƒ What percentages of employees have been trained in
the last three years in DHS-approved courses?
Please list the specific course names with the
percentages. At a minimum, provide information about
basic training courses, as listed in the training cost
matrix.
ƒ How many VIPR teams do you currently operate?
What is the composition of your VIPR teams?
ƒ How many K-9 teams do you currently operate?
ƒ How many explosive detection teams do you currently
operate?
• Discuss what the transit agency needs in the future relative to
protection of any underwater tunnel infrastructure from attacks
involving IEDs;
• Discuss what the transit agency needs in the future for prevention,
detection and response capabilities relative to IEDs and CBRN

21

•
•

devices (including sensors, canine units, etc.);
Discuss what the transit agency needs in the future for
visible/unpredictable deterrence efforts; and,
Discuss what the transit agency needs for high consequence risk
mitigation needs, anti-terrorism training programs for employees,
emergency drills and citizen awareness activities.

Response

II. Strategic and Program Priorities
II.A. Provide an abstract for this investment.
Response Type
Response Instructions

Narrative
• Describe what the project is, how it will be executed, and its purpose as it
relates to the needs outlined in section I.C.
• State which project effectiveness grouping the project falls under
• Define the vision, goals, and objectives for the risk reduction, and
summarizes how the proposed investment will fit into the overall effort to
meet the critical infrastructure security priorities (including integration into
existing security protocols);
• Describe the specific needs and/or resource limitations that need to be
addressed;
• Identify any potential partners and their roles and staffing requirements,
and provide information on any existing agreements such as Memoranda
of Understanding (MOU);
• Identify specific equipment needs (e.g., number of facility cameras,
number of security lights, amount of security fencing, etc.) and other
details for training, awareness, exercises, and other programs, if
applicable (e.g., number of people to be trained, length of training, type of
training, number of printed materials, number of agencies and staff
members involved in exercise planning, execution, and review);
• Describe progress made on the security project this investment will be
completing, if applicable; and,
• Reference use of prior year grant funds, if applicable
Note: Ensure that details on purchases within this section match what is
outlined in the detailed budget.

Response
II.B. Describe how this investment specifically addresses one or more of the project effectiveness groups
identified in the current year’s Grant Guidance, and how it addresses the agency’s security plan and
Regional Transit Security Strategy.
Response Type
Narrative
Response Instructions
Describe how the investment addresses one or more of the following:
• Training, operational deterrence, drills, public awareness activities
• Multi-user high-density key infrastructure protection
• Single-user high-density key infrastructure protection
• Key operating asset protection
• Other Mitigation Activities
Outline how the investment specifically addresses the transit agency’s security
plan and regional strategies.
Response

22

III. Impact
III.A. Discuss how the implementation of this investment will decrease or mitigate risk. Describe how the
project offers the highest risk reduction potential at the least cost. Include output and outcome metrics
Response Type
Narrative
Response Instructions
• Discuss how this investment will reduce risk (e.g., reduce
vulnerabilities or mitigate the consequences of an event) in a cost
effective manner by addressing the needs and priorities identified in
earlier analysis and review;
• Identify the nature of the risk and how the risk and need are related to
show how addressing the need through this investment will also
mitigate risk (e.g., reduce vulnerabilities or mitigate the consequences
of an event); and,
• Outline the expected, high-level impacts this investment is expected to
attain or achieve if implemented, and potential negative impacts if the
investment is not implemented.
Response

IV. Funding & Implementation Plan
IV.A. Investment Funding Plan.
Response Type
Numeric and Narrative
Response Instructions
• Complete the chart below to identify the amount of funding being
requested for this investment only;
• Funds should be requested by allowable cost categories (i.e.,
planning, organization, equipment, training, exercises, and
management and administration.);
• Applicants must make funding requests that are reasonable and
justified by direct linkages to activities outlined in this particular
investment; and,
• Applicants must indicate whether additional funding (non-FY 2009
TSGP) will be leveraged for this investment.
Note: Investments will be evaluated on the expected impact on security
relative to the amount of the investment (i.e., cost effectiveness). An itemized
Budget Detail Worksheet and Budget Narrative must also be completed for this
investment. See the next section of this document for a sample format.
Response

The following template illustrates how applicants should indicate the amount of FY 2009
TSGP funding required for the investment, how these funds will be allocated across the
cost elements, and what non-FY 2009 TSGP funds will be utilized where appropriate:
Federal Grant
Request Total

Other Funding Sources
Applied

Planning
Operational Packages
Equipment
Training
Exercises
M&A
Total

23

Grand Total

IV.B. Discuss funding resources beyond this grant request that have been identified and will be
leveraged to support the implementation and sustainment of this investment. Discuss your long-term
sustainability plans for the investment after these grant funds have been expended, if applicable.
Response Type
Narrative
Response Instructions
• Give the expected total life-span for this investment if fully
implemented and sustained through completion;
• Discuss other funding sources (e.g., non-TSGP grant programs, public
or private agreements, future fiscal year grants) that you plan on
utilizing for the implementation and/or continued sustainment of this
investment;
• If no other funding resources have been identified, or if none are
necessary, provide rationale as to why the requested FY 2009 TSGP
funding is sufficient for the implementation and sustainment of this
investment; and,
• Investments will be evaluated on the extent to which they exhibit a
likelihood of success, or continued success, without requiring
additional Federal assistance. Investments will also be evaluated on if
the transit agency provides a match.
Response

IV.C. Provide a high-level timeline, milestones and dates, for the implementation of this investment. Up
to 10 milestones may be provided.
Response Type
Response Instructions

Narrative
• Only include major milestones that are critical to the success of the
investment;
• While up to 10 milestones may be provided, applicants should only list
as many milestones as necessary;
• Milestones are for this discrete investment – those that are covered by
the requested FY 2009 TSGP funds and will be completed over the
36-month grant period;
• Milestones should be kept to high-level, major tasks that will need to
occur;
• Identify the planned start date associated with the identified milestone.
The start date should reflect the date at which the earliest action will
be taken to start achieving the milestone;
• Identify the planned completion date when all actions related to the
milestone will be completed and overall milestone outcome is met;
and,
• List any relevant information that will be critical to the successful
completion of the milestone (such as those examples listed in the
question text above).

Response

Note: After completing each the template for each investment, applicants should review
the information provided to ensure accuracy, particularly the Milestone Dates and the
Investment Funding Plan.

24

Responsible Transit Security Provider
Investment Justification Approval Form
Name of Investment Justification
Name
Title
Signature of Responsible Transit
Agency Security Provider
Name
Title
Signature of Transit Agency
Name of Investment Justification
Name
Title
Signature of Responsible Transit
Agency Security Provider
Name
Title
Signature of Transit Agency
Name of Investment Justification
Name
Title
Signature of Responsible Transit
Agency Security Provider
Name
Title
Signature of Transit Agency
Name of Investment Justification
Name
Title
Signature of Responsible Transit
Agency Security Provider
Name
Title
Signature of Transit Agency
Name of Investment Justification
Name
Title
Signature of Responsible Transit
Agency Security Provider
Name
Title
Signature of Transit Agency

25

Sample Budget Detail Worksheet
Purpose. The Budget Detail Worksheet is provided as a guide to assist applicants in
the preparation of the budget and budget narrative, when required. You may submit the
budget information using this form or in the format of your choice (plain sheets, your
own form, or a variation of this form). However, all required information (including the
budget narrative) must be provided. Any category of expense not applicable to your
budget may be deleted.
A. Personnel. List each position by title and name of employee, if available. Show the
annual salary rate and the percentage of time to be devoted to the project.
Compensation paid for employees engaged in grant activities must be consistent with
that paid for similar work within the applicant organization.
Name/Position

Computation

Cost

Note: Personnel costs are only allowable for direct management and administration of
the grant award, i.e., preparation of mandatory post-award reports.
TOTAL _________
B. Fringe Benefits. Fringe benefits should be based on actual known costs or an
established formula. Fringe benefits are for the personnel listed in budget category (A)
and only for the percentage of time devoted to the project.
Name/Position

Computation

TOTAL

_________

Total Personnel & Fringe Benefits

_________

Cost

C. Travel. Itemize travel expenses of project personnel by purpose (e.g., staff to
training, field interviews, advisory group meeting, etc.). Show the basis of computation
(e.g., six people to 3-day training at $X airfare, $X lodging, $X subsistence). In training
projects, travel and meals for trainees should be listed separately. Show the number of
trainees and unit costs involved. Identify the location of travel, if known. Indicate
source of Travel Policies applied, Applicant or Federal Travel Regulations.
Purpose of Travel

Location

Item Computation

Cost

TOTAL _________
D. Equipment. List non-expendable items that are to be purchased. Non-expendable
equipment is tangible property having a useful life of more than two years. (Note:
Organization’s own capitalization policy and threshold amount for classification of
equipment may be used). Expendable items should be included either in the “Supplies”
category or in the “Other” category. Applicants should analyze the cost benefits of
purchasing versus leasing equipment, especially high cost items and those subject to
rapid technical advances. Rented or leased equipment costs should be listed in the
26

“Contractual” category. Explain how the equipment is necessary for the success of the
project. Attach a narrative describing the procurement method to be used.
Item

Computation

Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
TOTAL _________
E. Supplies. List items by type (office supplies, postage, training materials, copying
paper, and other expendable items such as books, hand held tape recorders) and show
the basis for computation. (Note: Organization’s own capitalization policy and threshold
amount for classification of supplies may be used). Generally, supplies include any
materials that are expendable or consumed during the course of the project. These costs
are applicable to the overall M&A cap of three percent (3%).

Computation

Supply Items

Cost

TOTAL _________
F. Consultants/Contracts. Indicate whether applicant’s formal, written Procurement
Policy or the Federal Acquisition Regulations are followed.
Consultant Fees: For each consultant enter the name, if known, service to be
provided, hourly or daily fee (8-hour day), and estimated time on the project.
Name of Consultant

Service Provided

Computation

Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal ___________
Consultant Expenses: List all expenses to be paid from the grant to the individual
consultant in addition to their fees (i.e., travel, meals, lodging, etc.)
Item

Location

Computation

Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal __________
Contracts: Provide a description of the product or services to be procured by contract
and an estimate of the cost. Applicants are encouraged to promote free and open
competition in awarding contracts. A separate justification must be provided for sole
source contracts in excess of $100,000.
Item

Cost
27

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal ________
TOTAL __________
G. Other Costs. List items (e.g., rent, reproduction, telephone, janitorial or security
services, and investigative or confidential funds) by major type and the basis of the
computation. For example, provide the square footage and the cost per square foot for
rent, and provide a monthly rental cost and how many months to rent.
Description

Computation

Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Important Note: If applicable to the project, construction costs should be included in
this section of the Budget Detail Worksheet.
TOTAL _________
H. Indirect Costs. Indirect costs are allowed only if the applicant has a Federally
approved indirect cost rate. A copy of the rate approval, (a fully executed, negotiated
agreement), must be attached. If the applicant does not have an approved rate, one
can be requested by contacting the applicant’s cognizant Federal agency, which will
review all documentation and approve a rate for the applicant organization, or if the
applicant’s accounting system permits, costs may be allocated in the direct costs
categories.
Description

Computation

TOTAL _________

28

Cost

Budget Summary. When you have completed the budget worksheet, transfer the
totals for each category to the spaces below. Compute the total direct costs and the
total project costs. Indicate the amount of Federal funds requested and the amount of
non-Federal funds that will support the project.
Budget Category

Federal Amount

Non-Federal Amount

A.

Personnel

__________

___________

B.

Fringe Benefits

__________

___________

C.

Travel

__________

___________

D.

Equipment

__________

__________

E.

Supplies

__________

___________

F.

Consultants/Contracts

__________

___________

G.

Other

__________

___________

Total Direct Costs

__________

________ __

Indirect Costs

__________

___________

* TOTAL PROJECT COSTS __________

_____ _____

H.

I. Total Grantee Contribution

Federal Request

__________

C. Submission Dates and Times
Completed applications must be submitted electronically through www.grants.gov no
later than 11:59 PM EST, January 13, 2009. Late applications will neither be
considered nor reviewed. Upon successful submission, a confirmation e-mail message
will be sent with a grants.gov tracking number, which is needed to track the status of the
application.
D. Intergovernmental Review
Executive Order 12372 requires applicants from State and local units of government or
other organizations providing services within a State to submit a copy of the application
to the State Single Point of Contact (SPOC), if one exists, and if this program has been
selected for review by the State. Applicants must contact their State SPOC to
determine if the program has been selected for State review. Executive Order 12372
can be referenced at http://www.archives.gov/federal-register/codification/executiveorder/12372.html. The names and addresses of the SPOCs are listed on OMB’s home
29

page available at:
http://www.whitehouse.gov/omb/grants/spoc.html.
Tier I
Tier I agencies must submit the following through grants.gov by January 13, 2009:
• SF-424 (Application for Federal Assistance) for their allocation amount
• Investment Justification concepts
• Detailed budgets
DHS will work with the regions to improve formal projects and investment justifications
that address the region’s security needs, and are in alignment with Departmental
priorities in accordance with the cooperative agreement approach. Tier I systems will
be required to submit the final investment justifications developed with DHS via the
Secure Portal by February 13, 2009. Extensions will not be granted.
Tier II
For Tier II systems, the eligible transit system must submit by January 13, 2009 an SF424 application (including all required assurances and certifications described in Part III
following) together with an investment justification and detailed budget for each project
for which funding is being requested.
E. Funding Restrictions
Specific investments made in support of the funding priorities discussed in this guidance
generally fall into one of six allowable cost categories:
1.
2.
3.
4.
5.
6.

Planning
Operational Activities
Equipment Acquisitions
Training
Exercises
Management and Administration

The 9/11 Act limits how funds can be used for certain operating projects, especially
those projects which include operational costs associated with security and counterterrorism duties. Not more than 30 percent of the funds available for this grant program
may be used for “operating uses” as outlined in section 1406(b)(2) of the 9/11 Act which
includes security training, exercises, public awareness campaigns, canine patrols,
development of security plans, overtime reimbursement, and operational costs
associated with security or counter-terrorism duties. Further, within the “operational
costs” sub-category of “operating uses,” which includes reimbursement of State, local,
and tribal governments for costs for personnel assigned to full-time or part-time security
or counterterrorism duties related to public transportation, there is a limitation that grant
funding used for this expense cannot total more than 10 percent of the total grant funds
received by a public transportation agency in any one year5. Projects funded under a
FY 2009 TSGP award must be consistent with the limitations imposed by the 9/11 Act.

5

9/11 Act (Public Law 110-53), Section 1406(b)(2)(G)

30

The following provides guidance on allowable costs within each of these areas:
1. Planning Costs. FY 2009 TSGP funds may be used for the following types of
planning activities:
•

Public education and outreach (such as reproduction of Transit Watch materials).
Where possible, such activities should be coordinated with local Citizen Corps
Council(s).

•

Public alert and warning systems and security education efforts.

•

Development and implementation of homeland security support programs and
adoption of ongoing DHS national initiatives (including, for example, building or
enhancing preventive radiological and nuclear detection programs).

•

Development and enhancement of security plans and protocols.

•

Development or further strengthening of security assessments, including multiagency 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.

•

Travel and per diem related to professional planning activities.

•

Other project planning activities with prior approval from DHS.

2. Operational Activities. Three Operational Packages (OPacks) have been
developed to support operational activities. These OPacks are available for funding to
an eligible Tier I transit system that has a dedicated transit security/police force, a
transit security operations dispatch center, and a daily unlinked ridership of 200,000 or
greater. Certain law enforcement agencies are also eligible as sub-recipients of Tier I
transit systems. Tier I transit systems that meet the eligibility requirements can apply
for funding to support one or more of the three available OPacks. DHS considers
OPacks to be effective tactics for supporting the FY 2009 funding priorities for the
TSGP.
DHS encourages transit systems and subgrantees to develop innovative layered
approaches to enhance both the human and facility security on transit systems. Helping
mass transit systems increase randomness, unpredictability, and ultimate effectiveness
of monitoring and patrol in their security and terrorism prevention programs is critical to
National transit security. Implementation of one of the three OPack modules supports
these efforts. It is expected that OPack modules will be applied to address the Transit
Security priorities. The following OPacks complement existing security systems and
provide appropriate, practical, and cost-effective means of protecting assets.

31

Security Capital Plan and Operational Sustainment
Any Tier I transit system that requests funding for OPacks must also submit a 5-year
Security Capital and Operational Sustainment Plan. This plan must include how the
agency proposes to implement capital projects that will decrease the need for
operational activities, and/or demonstrate how the agency will sustain the operational
investments after grant funding has been expended. Requests for OPacks will not be
funded if the agency does not have a Security Capital and Operational
Sustainment Plan.
•

Explosives Detection Canine Teams

When combined with the existing capability of a transit security/police force, the
added value provided through the addition of a canine team is significant.
Explosives Detection Canine Teams are a proven, reliable resource to detect
explosives and are a key component in a balanced counter-sabotage program.
Canine teams also provide the added psychological deterrent achieved solely
through their presence. Such operational efficiency can not be obtained through
borrowed use of local police force-operated canine teams, as the needs of the local
jurisdiction will always be their first priority. Therefore, the TSGP will provide funds
to establish dedicated transit security/police force canine teams. Each canine team
will be composed of one dog and one handler. Funds for these canine teams may
not be used to fund drug detection and apprehension technique training. Only
explosives detection training for the canine teams will be funded.
•

Visible Intermodal Protection and Response (VIPR) Teams

The VIPR capability provided through the OPack program will offer TSGP funding for
dedicated transit VIPR capability on a regular basis, rather than using VIPR teams
for the surge capacity provided by DHS in the past. The VIPR initiative aligns with
DHS’ risk-based strategy in confronting terrorist threats to potentially vulnerable
public transit systems. VIPR teams do not supersede other local transit security
forces; rather, they augment current capabilities with the unique strengths and
expertise leveraged through the specialized skill sets possessed by each individual
within the VIPR team. Each VIPR team may consist of four individuals, including
two overt elements (e.g., uniformed transit sector law enforcement officer, canine
team, mobile explosive screeners), and two discreet observer elements. Funds for
these canine teams may not be used to fund drug detection and apprehension
technique training. Only explosives detection training for the canine teams will be
funded.
•

Mobile Explosive Screening Team

The Mobile Explosive Screening Team OPack will allow transit systems the flexibility
to deploy combinations of trained individuals and technologies that will assist in
making screening decisions where there are large numbers of individuals with hand
carried items. This screening technology will be coupled with mobile explosive
screening technologies to resolve the problem of screening a large number of items
and individuals.

32

Funding Availability for OPacks
OPacks will be funded for a 30 month period. The monetary figures presented below
are stated in terms of cost per period of performance (which indicates actual/complete
funding for the 30 month period). Additionally, any OPack costs after the 30 month
period of performance (including expenses related to the maintenance, personnel,
equipment, etc.) are the responsibility of the applicable transit system or law
enforcement sub-recipient. If these positions are not sustained the state or local agency
will not be eligible for this personnel support in the future.
Table 4: Available Funding for OPacks
Operational Package

Funding per Year
(12 months)

Funding per Period of
Performance
(30 months)

1.

Explosives Detection Canine
Teams

$150,000 per team

$375,000 per team

2.

Visible Intermodal Protection and
Response (VIPR) Teams

$500,000 per team

$1,250,000 per team

$600,000 per team

$1,500,000 per team

3. Mobile Explosive Screening Team
OPack Requirements

TSGP OPack funds may only be used for new positions and cannot be used to pay for
existing capabilities/programs (e.g., canine teams) already supported by the transit
system. Non-supplanting restrictions apply.

33

Table 5: OPack Requirements
OPacks

Requirements

Explosives
Detection Canine
Team

•

Please refer to 34 for detailed information regarding
Explosives Detection Canine Teams under the TSGP.

VIPR Team

•

Specific for the Canine Team within the VIPR Team:

•

Each canine team, composed of one dog and one
handler, must be certified by an appropriate, qualified
organization

•

Canines should receive an initial basic training course and
also weekly maintenance training sessions thereafter to
maintain the certification

•

The basic training averages 10 weeks for the team, with
weekly training and daily exercising (comparable training
and certification standards, such as those promulgated by
the TSA Explosive Detection Canine Program, the
National Police Canine Association (NPCA), the United
States Police Canine Association (USPCA), or the
International Explosive Detection Dog Association
(IEDDA) may be used to meet this requirement.

•

The individuals hired for the covert and overt elements
must be properly trained law enforcement officers

•

Certifications should be on file with the grantee and must
be made available to DHS upon request.

•

Certifications should be on file with the grantee and must
be made available to DHS upon request.

Mobile Explosives
Screening Team

34

Allowable Expenses for OPacks
Table 6 identifies allowable expenses for the various OPacks. Please see the inserted
footnotes for clarification of certain allowable costs.
Canine Costs7

OPacks

Training and
Certification6
Equipment
Costs
Purchase and
Train a Canine

Salary and
Fringe
Benefits

Table 6: Allowable Expenses for OPacks

1. Explosives Detection
Canine Team

D

D

D

D8

D

2. VIPR

D

D

D

D

D

3. Mobile Explosives
Screening Team

D

D9

Specific Guidance for Explosives Detection Canine Teams (EDCT)
When combined with the existing capability of a transit security/police force, the added
value provided through the addition of a canine team is significant. Explosives Detection
Canine Teams (EDCT) are a proven, reliable resource to detect explosives and are a
key component in a balanced counter-sabotage program. Canine teams also provide
the added psychological deterrent achieved solely through their presence. Such
operational efficiency can not be obtained through borrowed use of local police forceoperated canine teams, as the needs of the local jurisdiction will always be their first
priority. Therefore, the TSGP will provide funds to establish dedicated transit
security/police EDCTs. Funds for these canine teams may not be used to fund drug
detection and apprehension technique training. Only explosives detection training for
the canine teams will be funded.
Each EDCT, composed of one dog and one handler, must be certified by an
appropriate, qualified organization. TSA Certified Explosives Detection Canine Teams
will meet or exceed certification standards set for by the TSA National Explosives
Detection Canine Team Program (NEDCTP). Grantee EDCTs that do not participate in
the NEDCTP will be required to certify annually under their respective agency, local and
state regulations. The grantee will maintain certification, utilization and training data to
6

Travel costs associated with training for personnel, handlers, and canines are allowable.
Canine costs include but are not limited to: veterinary, housing, and feeding costs.
8
Training specific to the detection of common explosives odors is allowable.
9
Equipment and other costs can include but are not limited to: explosives detection; stainless steel search tables; consumables
such as gloves, swabs, and alcohol; and land mobile radios.
7

35

show compliance in meeting or exceeding those guidelines set forth by the Scientific
Working Group on Dog and Orthogonal Detection Guidelines (SWGDOG), formulated
as of September 14, 2007, in addition to requirements set forth in the grant guidance.
The grantee will ensure that certified EDCTs are available to respond to the mass
transit system 24 hours a day, 7 days per week on an on-duty or off-duty on call basis.
If TSGP funded EDCTs are not available, other EDCTs (non-TSGP funded) may be
utilized for this response. The intent is to provide maximum coverage during peak mass
transit system operating hours, and to maintain the ability to promptly respond to threats
that affect public safety or mass transit operations.
The grantee will ensure that a written plan, or standard operating policy and procedure
(SOPP), exists that describes EDCT deployment policy to include visible and
unpredictable deterrent efforts and on-call EDCTs rapid response times as dictated by
the agency’s SOPP. The plan must be made available to TSA upon request.
EDCTs under this grant are single purpose and will be trained to detect “live” not
“simulated” explosives only. EDCTs must not have received previous training to detect
any other substances.
The grantee will ensure that each EDCT receives on-site proficiency training at a
minimum of four (4) hours per week/duty cycle. This training shall include, but not
limited to: mass transit passenger cars, terminal/platform, luggage, freight/warehouse,
and vehicles. Complete, detailed and accurate training records must be maintained for
all proficiency training conducted by each EDCT. These records must be made
available to TSA upon request.
The grantee will conduct appropriate training or other canine activities, within view of the
public, to increase public awareness of EDCTs and provide a noticeable deterrent to
acts, which affect public safety or mass transit operations. The grantee will also ensure
that such activities include, over a period of time, a presence in operational areas of the
mass transit system during peak and off-peak hours. The grantee agrees that EDCTs
will be utilized at least 80% of their duty time, annually, in the mass transit system.
The grantee will comply with requirements for the proper storage, handling and
transportation of all explosive training aids in accordance with BATF Federal Explosive
Law and Regulations as outlined in publication ATF P 5400.7 (09/00).
The grantee will ensure that a written security procedure plan exists for the safekeeping
of all explosive training aids, to include safe transportation. The grantee will document
the removal, use and return of explosive training aids used during training exercises or
for any other reason. The plan and all documentation must be made available to the
TSA upon request.
The grantee will provide safe and sanitary kennel facilities for program canines. This
applies to kenneling canine at the mass transit system, handlers’ residences or
commercial boarding facilities. Canines must not be left in makeshift accommodations
or without proper supervision, protection and care. The grantee will ensure that canines
are transported on-duty and off-duty in vehicles configured with adequate temperature
control, padding and screening to ensure proper health, safety and security.
36

The grantee will ensure that adequate routine and emergency veterinary care for all
canines is provided.
TSA reserves the right to conduct an on-site operational and record review upon fortyeight hour notice to ensure compliance with the grant guidelines
3. Equipment Acquisition Costs. FY 2009 TSGP funds may be used for the following
categories of equipment. A comprehensive listing of allowable equipment categories
and types is found on the web-based Authorized Equipment List (AEL) on the
Responder Knowledge Base (RKB) at https://www.rkb.us/lists.cfm. These costs include:
•

Explosive device mitigation and remediation equipment

•

Terrorism incident prevention equipment

•

Physical security enhancement equipment

•

Cyber security enhancement equipment

•

Detection equipment

Unless otherwise noted, equipment must be certified that it meets required regulatory
and/or DHS-adopted standards to be eligible for purchase using these funds.
Equipment must comply with the OSHA requirement for certification of electrical
equipment by a nationally recognized testing laboratory, and demonstrate compliance
with relevant DHS-adopted standards through a supplier’s declaration of conformity with
appropriate supporting data and documentation per ISO/IEC 17050, parts 1 and 2. In
addition, agencies must have all necessary certifications and licenses for the requested
equipment, as appropriate prior to the request.
A list of applicable standards is found at the following website: http://rkb.mipt.org. DHS
adopted standards are found at http://www.dhs.gov/xfrstresp/standards.
4. Training Costs. FY 2009 TSGP funds may be used for the following training
activities:
•

Training workshops and conferences. Grant funds may be used to plan and
conduct training workshops or conferences to include costs related to planning,
meeting space and other meeting costs, facilitation costs, materials and supplies,
travel and training plan development.

•

Certain full or part-time staff and contractors or consultants. Full or parttime staff may be hired to support training-related activities. The services of
contractors or consultants may also be procured by the State in the design,
development, conduct and evaluation of CBRNE training. The applicant's formal
written procurement policy or the Federal Acquisition Regulations must be
followed.

•

Public Sector Overtime and backfill costs. Payment of overtime expenses will
be for work performed by award or sub-award employees of public agencies in
excess of the established work week (usually 40 hours). Further, overtime
payments and backfill costs associated with sending personnel to training are
allowable, provided that it is DHS approved training. These costs are allowed
37

only to the extent the payment for such services is in accordance with the
policies of the State or unit(s) of local government and has the approval of the
State or the awarding agency, whichever is applicable. In no case is dual
compensation allowable. That is, an employee of a unit of government may not
receive compensation from their unit or agency of government AND from an
award for a single period of time (e.g., 1:00 pm to 5:00 pm), even though such
work may benefit both activities.
•

Travel. Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as
expenses by employees who are on travel status for official business related to
the planning and conduct of the training project(s) or for attending DHS-approved
courses or DHS-sponsored technical assistance programs.

•

Supplies. Supplies are items that are expended or consumed during the course
of the planning and conduct of the training project(s) (e.g., copying paper, gloves,
tape, and non-sterile masks).

•

Other items. These costs may include the rental of space/locations for planning
and conducting training, badges, and similar materials.

5. Exercise Costs. FY 2009 TSGP funds may be used for the following exercise
activities:
•

Exercise planning workshop. Grant funds may be used to plan and conduct
an exercise planning workshop, to include costs related to planning, meeting
space and other meeting costs, facilitation costs, materials and supplies, travel
and exercise plan development.

•

Certain full or part-time staff and contractors or consultants. Full or parttime staff may be hired to support exercise-related activities. Payment of salaries
and fringe benefits must be in accordance with the policies of the State or unit(s)
of local government and have the approval of the State or the awarding agency,
whichever is applicable. The services of contractors or consultants may also be
procured to support the design, development, conduct and evaluation of CBRNE
exercises. The applicant's formal written procurement policy or the Federal
Acquisition Regulations must be followed.

•

Overtime and backfill costs. Overtime and backfill costs associated with the
design, development and conduct of CBRNE exercises are allowable expenses.
Payment of overtime expenses will be for work performed by award in excess of
the established work week (usually 40 hours) related to the planning and conduct
of the exercise project(s). Further, overtime payments and backfill costs
associated with sending personnel to exercises are allowable, provided that the
event being attended is a DHS sponsored exercise. These costs are allowed
only to the extent the payment for such services is in accordance with the
policies of the State or unit(s) of local government and has the approval of the
State or the awarding agency, whichever is applicable. In no case is dual
compensation allowable. That is, an employee of a unit of government may not
receive compensation from their unit or agency of government AND from an
award for a single period of time (e.g., 1:00 pm to 5:00 pm), even though such
work may benefit both activities.

38

•

Travel. Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as
expenses by employees who are on travel status for official business related to
the planning and conduct of the exercise project(s).

•

Supplies. Supplies are items that are expended or consumed during the course
of the planning and conduct of the exercise project(s) (e.g., copying paper,
gloves, tape, non-sterile masks, and disposable protective equipment).

•

Other Items. These costs may include the rental of space/locations for exercise
planning and conduct, exercise signs, badges, etc.

6. Management and Administration (M&A) costs. FY 2009 TSGP 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 2009 TSGP or the design, requirements, and
implementation of the TSGP.

•

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.

•

Meeting-related expenses

•

Acquisition of authorized office equipment, including personal computers or
laptops

Construction Projects Guidance. FY 2009 TSGP recipients using funds for
construction projects must comply with the Davis-Bacon Act. 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/esa/programs/dbra/. See also, Part VI.4.7, Environmental and
Historic Preservation Compliance.
Specific unallowable costs include:
•

Expenditures for items such as general-use software (word processing,
spreadsheet, graphics, etc), general-use computers and related equipment (other
than for allowable M&A activities, or otherwise associated preparedness or
response functions), general-use vehicles, licensing fees, weapons systems and
ammunition;

•

Personnel costs (except as detailed above);

•

Activities unrelated to the completion and implementation of the TSGP; and,

•

Other items not in accordance with the AEL or previously listed as allowable
costs.
39

PART V.

APPLICATION REVIEW INFORMATION
A. Review Criteria
All Applicants must comply with all administrative requirements -- including Investment
Justifications, budgets and application process requirements -- described in this
guidance.
The criteria used by the national review panel to evaluate Risk Mitigation and Regional
Collaboration for Tier II are defined below. Each project submitted for funding will be
evaluated by a National Review Panel based on:
Cost effectiveness with regard to the impact on security relative to the investment.
The investment justification should provide evidence of the security impact, as well as
justification for the strategic use of the proposed budget. The project cost levels should
be commensurate with the security impact, and the proposed solution should be
reasonable and advantageous over other possible solutions. Highly-scored projects will
exhibit economical returns in which the benefits, expected impacts on security, will be
great relative to the financial investment.
Feasibility with regard to the likelihood of increasing security effectively. The
investment justification should show a high likelihood of improved security when
implemented as designed. Projects will be scored based on their likelihood of being
successful.
Timelines with regard to the ability to complete the proposed project within submitted
timeframes specified in the grant guidance. The investment justification should provide
a timeline and schedule, and demonstrate evidence of ability to complete it within
submitted timeline based on proposed strategy, potential implementation challenges,
resource plan, and reasonableness of anticipated schedule.
Sustainability without additional Federal funds and leveraging of other funding,
including exhibiting a likelihood of success, or continued success, without requiring
additional Federal assistance. The investment justification should show potential or
confirmed additional funding if/as appropriate. It should also show a high likelihood of
success or continued success without additional Federal assistance, as well as offer a
long-term sustainability plan. Projects will receive additional preference based on the
commitment of an applicant to provide a cash match or operational equivalent,
regardless of amount and source.
A project’s Risk Mitigation score will be based on all four factors above.

40

Regional Collaboration in regard to the ability to leverage the impact of the investment
by including other regional partners over and above expected/necessary collaboration.
The investment justification should provide details as to the extent to which regional
security partners (other transit agencies, local law enforcement, emergency responders,
etc.) are included and coordinated with for the successful implementation of a project,
as appropriate.
B. Review and Selection Process
Scoring Methodology
In the effort to promote transparency and focus on effective risk-mitigating projects, a
scoring methodology has been adopted that promotes the consistent and accurate
evaluation of projects.
The scoring methodology consists of five parts:
1. The agency’s risk group score (Sensitive Security Information will be provided
separately),
2. The project effectiveness group score (see Table 1),
3. The potential risk mitigation of the project (as determined by the information
provided in the Investment Justification and described in Section A above),
4. A regional collaboration component (where appropriate), and
5. Presence of a match (where appropriate).
Final project scores will be calculated as follows:
(Risk Group Score X Project Effectiveness Group Score) + Risk Mitigation Score +
Regional Collaboration Component + Match Component.
Selection Process
The following process will be used to make awards for the program:
•

DHS will verify compliance with each of the administrative and eligibility criteria
identified in the application kit.

•

DHS will work with RTSWGs to develop Investment Justifications based on the
agencies’ risk groupings, project effectiveness group, and regional collaboration.

•

For Tier II applications, the Department will calculate a total score to aid with
funding selections. The total score will consist of four individual parts: an
agency-based risk score, a score associated with an application’s alignment to
the project effectiveness groups, a score based on project risk mitigation, and the
degree of regional collaboration.

•

Eligible applications will be reviewed by a panel to determine the risk mitigation
and regional collaboration scores. This panel will consist of Federal officials from
multiple government agencies that will review each application and score it
based on the following criteria: cost effectiveness, feasibility, timelines, and
sustainability without additional Federal funds.
41

•

TSA will make recommendations for funding to the Secretary of Homeland
Security based on the funding priorities and scoring methodology.

C. Anticipated Announcement and Award Dates
FEMA will evaluate and act on applications within 60 days following close of the
application period, consistent with the Consolidated Security, Disaster Assistance, and
Continuing Appropriations Act, 2009 (Public Law 110-329). Awards will be made on or
before September 30, 2009.

42

PART VI.

AWARD ADMINISTRATION INFORMATION
A. Notice of Award
Upon approval of an application, the grant will be awarded to the grant recipient. The
date that this is done is the “award date.” Notification of award approval is made
through the Grants Management System (GMS). Once an award has been approved, a
notice is sent to the authorized grantee official. Follow the directions in the notification
and log into GMS to access the award documents. The authorized grantee official
should carefully read the award and special condition documents. If you do not receive
a notification, please contact your Program Analyst for your award number. Once you
have the award number, contact the GMS Help Desk at (888) 549-9901, option 3, to
obtain the username and password associated with the new award.
The period of performance is 36 months. Any unobligated funds will be deobligated at
the end of the 90 day close-out period. Extensions to the period of performance will be
considered only through formal requests to FEMA with specific and compelling
justifications why an extension is required.
B. Administrative and National Policy Requirements
1. Standard Financial Requirements. The grantee and any subgrantee shall comply
with all applicable laws and regulations. A non-exclusive list of regulations
commonly applicable to DHS grants are listed below:
1.1 -- Administrative Requirements.
•

44 CFR Part 13, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments

•

2 CFR Part 215, Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other
Non-Profit Organizations (OMB Circular A-110)

1.2 -- Cost Principles.
•

2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal
Governments (OMB Circular A-87)

•

2 CFR Part 220, Cost Principles for Educational Institutions (OMB Circular
A-21)

•

2 CFR Part 230, Cost Principles for Non-Profit Organizations (OMB
Circular A-122)

•

Federal Acquisition Regulations (FAR), Part 31.2 Contract Cost Principles
and Procedures, Contracts with Commercial Organizations
43

1.3 -- Audit Requirements.
•

OMB Circular A-133, Audits of States, Local Governments, and Non-Profit
Organizations

1.4-- Duplication of Benefits. There may not be a duplication of any federal
assistance, per A-87, Basic Guidelines Section C.3 (c), which states: Any cost
allocable to a particular Federal award or cost objective under the principles
provided for in this Circular may not be charged to other Federal awards to
overcome fund deficiencies, to avoid restrictions imposed by law or terms of the
Federal awards, or for other reasons. However, this prohibition would not preclude
governmental units from shifting costs that are allowable under two or more awards
in accordance with existing program agreements.
2. Non-supplanting Requirement. Grant funds will be used to supplement existing
funds, and will not replace (supplant) funds that have been appropriated for the
same purpose. Applicants or grantees may be required to supply documentation
certifying that a reduction in non-Federal resources occurred for reasons other than
the receipt or expected receipt of Federal funds.
3. Technology Requirements.
3.1 -- National Information Exchange Model (NIEM). FEMA requires all
grantees to use the latest NIEM specifications and guidelines regarding the use
of Extensible Markup Language (XML) for all grant awards. Further information
about the required use of NIEM specifications and guidelines is available at
http://www.niem.gov.
3.2 -- Geospatial Guidance. Geospatial technologies capture, store, analyze,
transmit, and/or display location-based information (i.e., information that can be
linked to a latitude and longitude). FEMA encourages grantees to align any
geospatial activities with the guidance available on the FEMA website at
http://www.fema.gov/grants.
3.3 -- 28 CFR Part 23 guidance. FEMA requires that any information
technology system funded or supported by these funds comply with 28 CFR Part
23, Criminal Intelligence Systems Operating Policies, if this regulation is
determined to be applicable.
4. Administrative Requirements.
4.1 -- Freedom of Information Act (FOIA). FEMA recognizes that much of the
information submitted in the course of applying for funding under this program or
provided in the course of its grant management activities may be considered law
enforcement sensitive or otherwise important to national security interests. While
this information under Federal control is subject to requests made pursuant to the
Freedom of Information Act (FOIA), 5 U.S.C. §552, all determinations concerning
the release of information of this nature are made on a case-by-case basis by the
FEMA FOIA Office, and may likely fall within one or more of the available
exemptions under the Act. The applicant is encouraged to consult its own State
44

and local laws and regulations regarding the release of information, which should
be considered when reporting sensitive matters in the grant application, needs
assessment and strategic planning process. The applicant may also consult
FEMA regarding concerns or questions about the release of information under
State and local laws. The grantee should be familiar with the regulations
governing Sensitive Security Information (49 CFR Part 1520), as it may provide
additional protection to certain classes of homeland security information.
4.2 -- Protected Critical Infrastructure Information (PCII). The PCII Program,
established pursuant to the Critical Infrastructure Information Act of 2002 (Public
Law 107-296) (CII Act), created a new framework, which enables State and local
jurisdictions and members of the private sector to voluntarily submit sensitive
information regarding critical infrastructure to DHS. The Act also provides
statutory protection for voluntarily shared CII from public disclosure and civil
litigation. If validated as PCII, these documents can only be shared with
authorized users who agree to safeguard the information.
PCII accreditation is a formal recognition that the covered government entity has
the capacity and capability to receive and store PCII. DHS encourages all
entities to pursue PCII accreditation to cover their State government and
attending local government agencies. Accreditation activities include signing a
memorandum of agreement (MOA) with DHS, appointing a PCII Officer, and
implementing a self-inspection program. For additional information about PCII or
the accreditation process, please contact the DHS PCII Program Office at [email protected].
4.3 -- Compliance with Federal civil rights laws and regulations. The
grantee is required to comply with Federal civil rights laws and regulations.
Specifically, the grantee is required to provide assurances as a condition for
receipt of Federal funds that its programs and activities comply with the following:
•

Title VI of the Civil Rights Act of 1964, as amended, 42. U.S.C. 2000 et.
seq. – no person on the grounds of race, color, or national origin will be
excluded from participation in, be denied the benefits of, or be otherwise
subjected to discrimination in any program or activity receiving Federal
financial assistance.

•

Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794
– no qualified individual with a disability in the United States, shall, by
reason of his or her disability, be excluded from the participation in, be
denied the benefits of, or otherwise be subjected to discrimination in any
program or activity receiving Federal financial assistance.

•

Title IX of the Education Amendments of 1972, as amended, 20 U.S.C.
1681 et. seq. – discrimination on the basis of sex is eliminated in any
education program or activity receiving Federal financial assistance.

•

The Age Discrimination Act of 1975, as amended, 20 U.S.C. 6101 et. seq.
– no person in the United States shall be, on the basis of age, excluded
45

from participation in, denied the benefits of or subjected to discrimination
under any program or activity receiving Federal financial assistance.
Grantees must comply with all regulations, guidelines, and standards adopted
under the above statutes. The grantee is also required to submit information, as
required, to the DHS Office for Civil Rights and Civil Liberties concerning its
compliance with these laws and their implementing regulations.
4.4 -- Services to limited English proficient (LEP) persons. Recipients of
FEMA financial assistance are required to comply with several Federal civil rights
laws, including Title VI of the Civil Rights Act of 1964, as amended. These laws
prohibit discrimination on the basis of race, color, religion, natural origin, and sex
in the delivery of services. National origin discrimination includes discrimination
on the basis of limited English proficiency. To ensure compliance with Title VI,
recipients are required to take reasonable steps to ensure that LEP persons have
meaningful access to their programs. Meaningful access may entail providing
language assistance services, including oral and written translation, where
necessary. The grantee is encouraged to consider the need for language
services for LEP persons served or encountered both in developing their
proposals and budgets and in conducting their programs and activities.
Reasonable costs associated with providing meaningful access for LEP
individuals are considered allowable program costs. For additional information,
see http://www.lep.gov.
4.5 -- Integrating individuals with disabilities into emergency planning.
Section 504 of the Rehabilitation Act of 1973, as amended, prohibits
discrimination against people with disabilities in all aspects of emergency
mitigation, planning, response, and recovery by entities receiving financial from
FEMA. In addition, Executive Order 13347, Individuals with Disabilities in
Emergency Preparedness signed in July 2004, requires the Federal Government
to support safety and security for individuals with disabilities in situations
involving disasters, including earthquakes, tornadoes, fires, floods, hurricanes,
and acts of terrorism. Executive Order 13347 requires the Federal government
to encourage consideration of the needs of individuals with disabilities served by
State, local, and tribal governments in emergency preparedness planning.
FEMA has several resources available to assist emergency managers in
planning and response efforts related to people with disabilities and to ensure
compliance with Federal civil rights laws:
•

Comprehensive Preparedness Guide 301 (CPG-301): Interim
Emergency Management Planning Guide for Special Needs
Populations: CPG-301 is designed to aid tribal, State, territorial, and
local governments in planning for individuals with special needs. CPG301 outlines special needs considerations for: Developing Informed
Plans; Assessments and Registries; Emergency Public
Information/Communication; Sheltering and Mass Care; Evacuation;
Transportation; Human Services/Medical Management; Congregate
Settings; Recovery; and Training and Exercises. CPG-301 is available
at http://www.fema.gov/pdf/media/2008/301.pdf.
46

•

Guidelines for Accommodating Individuals with Disabilities in
Disaster: The Guidelines synthesize the array of existing accessibility
requirements into a user friendly tool for use by response and recovery
personnel in the field. The Guidelines are available at
http://www.fema.gov/oer/reference/.

•

Disability and Emergency Preparedness Resource Center: A webbased “Resource Center” that includes dozens of technical assistance
materials to assist emergency managers in planning and response efforts
related to people with disabilities. The “Resource Center” is available at
http://www.disabilitypreparedness.gov.

•

Lessons Learned Information Sharing (LLIS) resource page on
Emergency Planning for Persons with Disabilities and Special
Needs: A true one-stop resource shop for planners at all levels of
government, non-governmental organizations, and private sector entities,
the resource page provides more than 250 documents, including lessons
learned, plans, procedures, policies, and guidance, on how to include
citizens with disabilities and other special needs in all phases of the
emergency management cycle.
LLIS.gov is available to emergency response providers and homeland
security officials from the Federal, State, and local levels. To access
the resource page, log onto http://www.LLIS.gov and click on
Emergency Planning for Persons with Disabilities and Special Needs
under Featured Topics. If you meet the eligibility requirements for
accessing Lessons Learned Information Sharing, you can request
membership by registering online.

4.6 -- Compliance with the National Energy Conservation Policy and Energy
Policy Acts. In accordance with the Consolidated Security, Disaster Assistance,
and Continuing Appropriations Act, 2009 (Public Law 110-329), grant funds must
comply with the following two requirements:
•

None of the funds made available shall be used in contravention of the
Federal buildings performance and reporting requirements of
Executive Order 13123, part 3 of title V of the National Energy
Conservation Policy Act (42 USC 8251 et. Seq.), or subtitle A of title I
of the Energy Policy Act of 2005 (including the amendments made
thereby).

•

None of the funds made available shall be used in contravention of
section 303 of the Energy Policy Act of 1992 (42 USC13212).

4.7 -- Environmental and Historic Preservation Compliance. FEMA is
required to consider the potential impacts to the human and natural environment
of projects proposed for FEMA funding. FEMA, through its Environmental and
47

Historic Preservation (EHP) Program, engages in a review process to ensure that
FEMA-funded activities comply with various Federal laws including: National
Environmental Policy Act, National Historic Preservation Act, Endangered
Species Act, and Executive Orders on Floodplains (11988), Wetlands (11990)
and Environmental Justice (12898). The goal of these compliance requirements
is to protect our nation’s water, air, coastal, wildlife, agricultural, historical, and
cultural resources, as well as to minimize potential adverse effects to children
and low-income and minority populations.
The grantee shall provide any information requested by FEMA to ensure
compliance with applicable Federal EHP requirements. Any project with the
potential to impact EHP resources cannot be initiated until FEMA has completed
its review. Grantees may be required to provide detailed information about the
project, including the following: location (street address or map coordinates);
description of the project including any associated ground disturbance work,
extent of modification of existing structures, construction equipment to be used,
staging areas, access roads, etc.; year the existing facility was built; natural,
biological, and/or cultural resources present in the project vicinity; visual
documentation such as site and facility photographs, project plans, maps, etc;
and possible project alternatives.
For certain types of projects, FEMA must consult with other Federal and State
agencies such as the U.S. Fish and Wildlife Service, State Historic Preservation
Offices, and the U.S. Army Corps of Engineers, as well as other agencies and
organizations responsible for protecting natural and cultural resources. For
projects with the potential to have significant adverse effects on the environment
and/or historic properties, FEMA’s EHP review and consultation may result in a
substantive agreement between the involved parties outlining how the grantee
will avoid the effects, minimize the effects, or, if necessary, compensate for the
effects.
Because of the potential for significant adverse effects to EHP resources or
public controversy, some projects may require an additional assessment or
report, such as an Environmental Assessment, Biological Assessment,
archaeological survey, cultural resources report, wetlands delineation, or other
document, as well as a public comment period. Grantees are responsible for the
preparation of such documents, as well as for the implementation of any
treatment or mitigation measures identified during the EHP review that are
necessary to address potential adverse impacts. Grantees may use these funds
toward the costs of preparing such documents and/or implementing treatment or
mitigation measures. Failure of the grantee to meet Federal, State, and local
EHP requirements, obtain applicable permits, and comply with any conditions
that may be placed on the project as the result of FEMA’s EHP review may
jeopardize Federal funding.
Recipient shall not undertake any project having the potential to impact EHP
resources without the prior approval of FEMA, including but not limited to
communications towers, physical security enhancements, new construction, and
modifications to buildings, structures and objects that are 50 years old or
greater. Recipient must comply with all conditions placed on the project as the
48

result of the EHP review. Any change to the approved project scope of work will
require re-evaluation for compliance with these EHP requirements. If ground
disturbing activities occur during project implementation, the recipient must
ensure monitoring of ground disturbance, and if any potential archeological
resources are discovered, the recipient will immediately cease construction in
that area and notify FEMA and the appropriate State Historic Preservation
Office. Any construction activities that have been initiated without the
necessary EHP review and approval will result in a non-compliance finding
and will not eligible for FEMA funding.
For more information on FEMA’s EHP requirements, grantees should refer to
FEMA’s Information Bulletin #271, Environmental Planning and Historic
Preservation Requirements for Grants, available at
http://ojp.usdoj.gov/odp/docs/info271.pdf. Additional information and resources
can also be found at http://www.fema.gov/plan/ehp/ehp-applicant-help.shtm.
4.8 -- Royalty-free License. Applicants are advised that FEMA reserves a
royalty-free, non-exclusive, and irrevocable license to reproduce, publish, or
otherwise use, and authorize others to use, for Federal government purposes: (a)
the copyright in any work developed under an award or sub-award; and (b) any
rights of copyright to which an award recipient or sub-recipient purchases
ownership with Federal support. Award recipients must agree to consult with
FEMA regarding the allocation of any patent rights that arise from, or are
purchased with, this funding.
4.9 -- FEMA GPD Publications Statement. Applicants are advised that all
publications created with funding under any grant award shall prominently
contain the following statement: "This document was prepared under a grant
from FEMA’s Grant Programs Directorate, U.S. Department of Homeland
Security. Points of view or opinions expressed in this document are those of the
authors and do not necessarily represent the official position or policies of
FEMA’s Grant Programs Directorate or the U.S. Department of Homeland
Security."
4.10 -- Equipment Marking. Applicants are advised that, when practicable, any
equipment purchased with grant funding shall be prominently marked as follows:
"Purchased with funds provided by the U.S. Department of Homeland Security."
4.11 -- Disadvantaged Business Requirement. Applicants are advised that, to
the extent that recipients of a grant use contractors or subcontractors, such
recipients shall use small, minority, women-owned or disadvantaged business
concerns and contractors or subcontractors to the extent practicable.
4.12 -- National Preparedness Reporting Compliance. The Government
Performance and Results Act (Public Law 103-62) (GPRA) requires that the
Department collect and report performance information on all programs. For
grant programs, the prioritized Investment Justifications and their associated
milestones provide an important tool for assessing grant performance and
complying with these national preparedness reporting requirements. FEMA will
work with grantees to develop tools and processes to support this requirement.
49

FEMA anticipates using this information to inform future-year grant program
funding decisions. Award recipients must agree to cooperate with any
assessments, national evaluation efforts, or information or data collection
requests, including, but not limited to, the provision of any information required
for the assessment or evaluation of any activities within their grant agreement.
This includes any assessments, audits, or investigations conducted by the
Department of Homeland Security, Office of the Inspector General, or the
Government Accountability Office.
C. Reporting Requirements
Reporting requirements must be met throughout the life of the grant (refer to the
program guidance and the special conditions found in the award package for a full
explanation of these requirements. Please note that FEMA Payment and Reporting
System (PARS) contains edits that will prevent access to funds if reporting requirements
are not met on a timely basis.
1. Financial Status Report (FSR) -- required quarterly. Obligations and
expenditures must be reported on a quarterly basis through the FSR, which is due
within 30 days of the end of each calendar quarter (e.g., for the quarter ending
March 31, FSR is due no later than April 30). A report must be submitted for every
quarter of the period of performance, including 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 FSR is due 90 days after the
end date of the performance period.
FSRs must be filed online through the PARS.
Reporting periods and due dates:
• October 1 – December 31; Due January 30
• January 1 – March 31; Due April 30
• April 1 – June 30; Due July 30
• July 1 – September 30; Due October 30
2. Categorical Assistance Progress Report (CAPR). Following an award, the
awardees will be responsible for submitting CAPRs on a semi-annual basis; CAPRs
should address performance measures and activities as described in the Investment
Justification(s). The applicable entities are responsible for completing and submitting
the CAPR reports.
The CAPR 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 though December 31). Future awards and fund drawdowns may be
withheld if these reports are delinquent.
CAPRs must be filed online at https://grants.ojp.usdoj.gov. Guidance and
instructions can be found at https://grants.ojp.usdoj.gov/gmsHelp/index.html.
Required submission: CAPR (due semi-annually).
50

3. Exercise Evaluation and Improvement. Exercises, implemented with grant funds,
should be threat and performance-based and should evaluate performance of the
targeted capabilities required to respond to the exercise scenario. Guidance related
to the conduct exercise evaluations and the implementation of improvement is
defined in the Homeland Security Exercise and Evaluation Program (HSEEP)
Manual located at http://www.fema.gov/government/grant/administration.shtm.
Grant recipients must report on scheduled exercises and ensure that an After Action
Report (AAR) and Improvement Plan (IP) are prepared for each exercise conducted
with FEMA support (grant funds or direct support) and submitted to the FEMA
secure Portal (https://preparednessportal.dhs.gov/) within 60 days following
completion of the exercise.
The AAR documents the demonstrated performance of targeted capabilities and
identifies recommendations for improvements. The IP outlines an exercising
jurisdiction(s) plan to address the recommendations contained in the AAR. At a
minimum, the IP must identify initial action items and be included in the final AAR.
Guidance for the development of AARs and IPs is provided in the HSEEP manual.
Required submissions: AARs and IPs (as applicable).
4. Financial and Compliance Audit Report. Recipients that expend $500,000 or
more of Federal funds during their fiscal year are required to submit an organizationwide financial and compliance audit report. The audit must be performed in
accordance with the U.S. General Accountability Office, Government Auditing
Standards, located at http://www.gao.gov/govaud/ybk01.htm, and OMB Circular A133, Audits of States, Local Governments, and Non-Profit Organizations, located at
http://www.whitehouse.gov/omb/circulars/a133/a133.html. Audit reports are
currently due to the Federal Audit Clearinghouse no later than nine months after the
end of the recipient’s fiscal year. In addition, the Secretary of Homeland Security
and the Comptroller General of the United States shall have access to any books,
documents, and records of recipients of FY 2009 Transit Security Grant Program
assistance for audit and examination purposes, provided that, in the opinion of the
Secretary or the Comptroller, these documents are related to the receipt or use of
such assistance. The grantee will also give the sponsoring agency or the
Comptroller, through any authorized representative, access to, and the right to
examine all records, books, papers or documents related to the grant.
The grantee shall require that sub-grantees comply with the audit requirements set
forth in OMB Circular A-133. Recipients are responsible for ensuring that subrecipient audit reports are received and for resolving any audit findings.
Monitoring
Grant recipients will be monitored periodically by DHS 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. Programmatic monitoring may also include the Regional Federal Preparedness
Coordinators, when appropriate, to ensure consistency of project investments with
Regional and National goals and policies, as well as to help synchronize similar
investments ongoing at the Federal, State, and local levels.
51

Monitoring will be accomplished through a combination of office-based reviews and onsite monitoring visits. Monitoring will involve the review and analysis of the financial,
programmatic, performance and administrative issues relative to each program and will
identify areas where technical assistance and other support may be needed.
The recipient is responsible for monitoring award activities, to include sub-awards, to
provide reasonable assurance that the Federal award is administered in compliance
with requirements. Responsibilities include the accounting of receipts and
expenditures, cash management, maintaining of adequate financial records, and
refunding expenditures disallowed by audits.
Grant Close-Out Process
Within 90 days after the end of the period of performance, grantees must submit a final
FSR and final CAPR detailing all accomplishments throughout the project. 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 project 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 FSR. The grantee is
responsible for returning any funds that have been drawndown but remain as
unliquidated on grantee financial records.
Required submissions: (1) final SF-269a, due 90 days from end of grant period;
and (2) final CAPR, due 90 days from the end of the grant period.

52

PART VII.

FEMA CONTACTS
This section describes several resources that may help applicants in completing a
FEMA grant application. During the application period DHS will identify multiple
opportunities for a cooperative dialogue between the Department and applicants. This
commitment is intended to ensure a common understanding of the funding priorities and
administrative requirements associated with the FY 2009 TSGP and to help in
submission of projects that will have the highest impact on reducing risks.
1. Centralized Scheduling & Information Desk (CSID) Help Line. CSID is a nonemergency resource for use by emergency responders across the nation. CSID is a
comprehensive coordination, management, information, and scheduling tool
developed by DHS through FEMA for homeland security terrorism preparedness
activities. CSID provides general information on all FEMA grant programs and
information on the characteristics of CBRNE, agro-terrorism, defensive equipment,
mitigation techniques, and available Federal assets and resources.
CSID maintains a comprehensive database containing key personnel contact
information for homeland security terrorism preparedness programs and events.
These contacts include personnel at the Federal, State and local levels. CSID can
be contacted at (800) 368-6498 or [email protected]. CSID hours of operation are
from 8:00 am–6:00 pm (EST), Monday-Friday.
2. Grant Programs Directorate (GPD). FEMA GPD will provide fiscal support,
including pre- and post-award administration and technical assistance, to the grant
programs included in this solicitation. Additional guidance and information can be
obtained by contacting the FEMA Call Center at (866) 927-5646 or via e-mail to
[email protected].
3. GSA’s State and Local Purchasing Programs. The U.S. General Services
Administration (GSA) offers two efficient and effective procurement programs for
State and local governments to purchase products and services to fulfill homeland
security and other technology needs. The GSA Schedules (also referred to as the
Multiple Award Schedules and the Federal Supply Schedules) are long-term,
indefinite delivery, indefinite quantity, government-wide contracts with commercial
firms of all sizes.
•

Cooperative Purchasing Program
Cooperative Purchasing, authorized by statute, allows State and local
governments to purchase a variety of supplies (products) and services under
specific GSA Schedule contracts to save time, money, and meet their
everyday needs and missions.

53

The Cooperative Purchasing program allows State and local governments to
purchase alarm and signal systems, facility management systems, firefighting
and rescue equipment, law enforcement and security equipment, marine craft
and related equipment, special purpose clothing, and related services off of
Schedule 84 and Information Technology products and professional services
off of Schedule 70 and the Consolidated Schedule (containing IT Special Item
Numbers) only. Cooperative Purchasing for these categories is authorized
under Federal law by the Local Preparedness Acquisition Act (Public Law
110-248) and Section 211 of the E-Government Act of 2002 (Public Law 107347).
Under this program, State and local governments have access to GSA
Schedule contractors who have voluntarily modified their contracts to
participate in the Cooperative Purchasing program. The U.S. General
Services Administration provides a definition of State and local governments
as well as other vital information under the frequently asked questions section
on its website at http://www.gsa.gov/cooperativepurchasing.
•

Disaster Recovery Purchasing Program
GSA plays a critical role in providing disaster recovery products and services
to Federal agencies. Now State and Local Governments can also benefit
from the speed and savings of the GSA Federal Supply Schedules.
Section 833 of the John Warner National Defense Authorization Act for Fiscal
Year 2007 (Public Law 109-364) amends 40 U.S.C. §502 to authorize GSA to
provide State and Local governments the use of ALL GSA Federal Supply
Schedules for purchase of products and services to be used to facilitate
recovery from a major disaster declared by the President under the Robert T.
Stafford Disaster Relief and Emergency Assistance Act or to facilitate
recovery from terrorism or nuclear, biological, chemical, or radiological
attack.

GSA provides additional information on the Disaster Recovery Purchasing Program
website at http://www.gsa.gov/disasterrecovery.
State and local governments can find a list of contractors on GSA’s website,
http://www.gsaelibrary.gsa.gov, denoted with a
or
symbol.
Assistance is available from GSA on the Cooperative Purchasing and Disaster
Purchasing Program at the local and national levels. For assistance at the local
level, visit http://www.gsa.gov/csd to find a local customer service director in your
area. For assistance at the national level, contact Tricia Reed at
[email protected], (571) 259-9921. More information is available on all GSA
State and local programs at: www.gsa.gov/stateandlocal.
4. Exercise Direct Support. FEMA provides support to Regions, States, and local
jurisdictions in accordance with State Homeland Security Strategies and the
Homeland Security Exercise and Evaluation Program (HSEEP). Support is available
to conduct a Training and Exercise Plan (TEP) workshop, to develop a Multi-year
TEP, and to build or enhance the capacity of a jurisdiction to design, develop,
conduct, and evaluate effective exercises
54

In FY 2009, support for planning and conduct of exercises has shifted in strategy
from a State-focused approach, organized by National Preparedness Directorate
Headquarters, to a regional (multi-State) approach, organized by the FEMA
Regions, to more effectively integrate national, regional, territorial, tribal, State, and
local preparedness exercises. At this time, the Regional Exercise Support Program
will support discussion-based exercises (i.e., seminar, workshop or tabletop),
operations-based exercises (i.e. drills, functional exercises, full scale exercises), and
TEP workshops within each of the 10 FEMA Regions. The Regional Exercise
Support Program support is not limited to new exercise initiatives and can be applied
to ongoing exercises to maintain continuity of existing planning schedules.
Applicants are encouraged to coordinate requests for exercise support through the
appropriate FEMA Regional Exercise Officer. State requests for support will be
considered, however, priority will be given to exercise initiatives that support
collaboration within a Region.
Additional guidance on the Regional Exercise Support Program to include the
application process and information on the HSEEP is available on the HSEEP
website, https://hseep.dhs.gov.
5. Homeland Security Preparedness Technical Assistance Program. The
Homeland Security Preparedness Technical Assistance Program (HSPTAP)
provides direct support assistance on a first-come, first-served basis (and subject to
the availability of funding) to eligible organizations to enhance their capacity and
preparedness to prevent, protect against, respond to, and recover from terrorist and
all hazard threats. In addition to the risk assessment assistance already being
provided, FEMA also offers a variety of other direct support assistance programs.
More information can be found at http://www.fema.gov/about/divisions/pppa_ta.shtm.
6. Lessons Learned Information Sharing (LLIS) System. LLIS is a national, online,
secure website that houses a collection of peer-validated lessons learned, best
practices, AARs from exercises and actual incidents, and other relevant homeland
security documents. LLIS facilitates improved preparedness nationwide by providing
response professionals with access to a wealth of validated front-line expertise on
effective planning, training, equipping, and operational practices for homeland
security.
The LLIS website also includes a national directory of homeland security officials, as
well as an updated list of homeland security exercises, events, and conferences.
Additionally, LLIS includes online collaboration tools, including secure email and
message boards, where users can exchange information. LLIS uses strong
encryption and active site monitoring to protect all information housed on the
system. The LLIS website is https://www.llis.gov.

7. Information Sharing Systems. FEMA encourages all State, regional, local, and
Tribal entities using FY 2009 funding in support of information sharing and
intelligence fusion and analysis centers to leverage available Federal information
sharing systems, including Law Enforcement Online (LEO) and the Homeland
55

Security Information Network (HSIN). For additional information on LEO, contact the
LEO Program Office at [email protected] or (202) 324-8833. For additional
information on HSIN and available technical assistance, contact the HSIN Help Desk
at (703) 674-3003.

56

PART VIII.

OTHER INFORMATION
Requirements Specific to For-Profit Entities
For-profit organizations are eligible to apply for funding under the TSGP. The following
requirements apply specifically to for-profit entities receiving Federal funding from
FEMA.
1. Recipients of TSGP funds must comply with the contract cost principles as defined
in the Federal Acquisition Regulations (FAR), Part 31.2 Contract Cost Principles and
Procedures, Contracts with Commercial Organizations.
2. For purposes of financial and procedural administration of the TSGP, recipients must
comply with 2 CFR Part 215, Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit
Organizations (OMB Circular A-110) will apply, excluding Sections 40-48.
3. Recipient of TSGP funds agree that this award may be terminated in accordance
with 2 CFR Part 215.61. If the Federal Government determines that a grant will be
terminated, it will be carried out in accordance with the process specified in Part 49
of the FAR.
4. Recipients of TSGP funds may not make a profit as a result of this award or charge
a management fee for the performance of this award.
5. Recipients of TSGP funds must have a financial audit and compliance audit
performed by qualified individuals who are organizationally, personally, and
externally independent from those who authorize the expenditure of federal funds.
This audit must be performed in accordance with the United States General
Accountability Office Government Auditing Standards. The audit threshold contained
in OMB Circular A-133 applies. This audit must be performed on a program-wide
basis to ascertain the effectiveness of financial management systems and internal
procedures that have been established to meet the terms and conditions of the
award. The management letter must be submitted with the audit report. Recipient
audit reports must be submitted no later than nine (9) months after the close of each
fiscal year during the term of the award. The distribution of audit reports shall be
based on requirements in the current edition of 2 CFR Part 215, Uniform
Administrative Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and Other Non-Profit Organizations (OMB Circular A-110).
Note: If your audit disclosed findings or recommendations, you must include with
your audit report a corrective action plan containing the following: (1) The name and
number of the contact person responsible for the corrective action plan; (2) specific
steps taken to comply with the recommendations; (3) a timetable for performance or
implementation dates for each recommendation; and (4) descriptions of monitoring
to be conducted to ensure implementation.
57

Table 7: Training Cost Matrix and Vendor/Course List
BASIC MASS TRANSIT SECURITY TRAINING PROGRAM

Training
Description

Focus

Standard

Categories of Employees to Receive

Front-Line
Station
Employees Managers

Security
Awareness

Enhance capability to identify,
report, and react to suspicious
activity and security incidents

Recognize behaviors
associated with terrorists'
reconnaissance and planning
Behavior
activities, including the
Recognition
conduct of surveillance.
Applies lessons learned from
the Israeli security meeting.
Prepare passenger rail train
operators to deal with
Immediate explosive detonations,
Emergency incendiaries, released
Response chemical hazards, and similar
threats in the confines of trains
and system infrastructure.
Ensure transit agency
emergency preparedness and
National
response personnel gain and
Incident
retain the knowledge and skills
Management
necessary to operate under
System
NIMS in accordance with the
(NIMS)
National Response Plan
(NRP).
Identify security vulnerabilities.
Understand and exercise role
of OCC personnel in
preventing terrorist attacks.
Distinguish characteristics of
improvised explosive devices
(IEDs) and weapons of mass
Operations
destruction.
Control
Specify priorities during a
Center
terrorist attack and manage
Readiness
incident response.
Apply transit agency's
operational plans for
response to IED and WMD
scenarios, directing and
coordinating activities in the
system.

2 Hours
Annually
(minimum)
Recurring

X

X

2 Hours
Annually
(minimum)
Recurring

X

X

4 Hours
Annually
(minimum)
Recurring

X

X

Train on NIMS
once; reinforce
in drills and
exercises

Administrative
Maintenance
Mid-Level
Senior
and Support
Workers
Management Management
Staff

X

X

Law
Enforcement
Officers

Security
Guards

Law
Enforcement

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

Train for OCC
readiness
once; reinforce
in drills and
exercises

Operations
Control Center
Staff

X

58

Table 8: Mass Transit Security Follow-On Courses
MASS TRANSIT SECURITY FOLLOW-ON COURSES
Training Description

Management of
Transit Emergencies I
(4-day course)

Management of
Transit Emergencies II
(1-day course)

Coordinated
Interagency
Emergency Response

Managing
Counterterrorism
Programs

Prevention and
Mitigation - IEDS and
WMD: T4 3-day
course

Prevention and
Mitigation - IEDS and
WMD: CBRNE
Incident Management
1-day course

Transit Vehicle
Hijacking Prevention
and Response

Integrated AntiTerrorism Security
Program

Transit System
Security Design

Focus
Ensure employees
throughout the transit
agency understand
individual roles in
emergency response
and the transit system's
role in emergencies or
disasters in the system
and the broader
community.
Ensure employees
throughout the transit
agency understand
individual roles in
emergency response
and the transit system's
role in emergencies or
disasters in the system
and the broader
community.
Advance
interoperability of the
transit agency with
multiple responding
entities in emergency
response.
Enable transit agency
management officials to
develop and manage a
counterterrorism
program in a transit
system.
Enhance capabilities to
identify threats from
improvised explosive
devices and weapons
of mass destruction
(chemical, biological,
radiological, nuclear) to
identify, report, and
react to suspicious
activity and security
incidents
Enhance capabilities to
identify threats from
improvised explosive
devices and weapons
of mass destruction
(chemical, biological,
radiological, nuclear) to
identify, report, and
react to suspicious
activity and security
incidents
Enable employees to
develop and implement
plans and procedures
to respond to transit
vehicle hijackings and
workplace violence
Enhance capabilities of
transit agency security
officials, law
enforcement personnel,
and others with
interaction with
passengers to detect,
deter, and prevent acts
of terrorism.
Expand integration of
security considerations
into designs of new
transit systems and
improvements of
existing systems.

Front-Line
Employees

StationManagers

Administrative
and Support
Staff

Maintenance
Workers

Mid-Level
Management

Senior
Management

Operations
Control
Center Staff

Security
Guards

Law
Enforcement

X

x

X

X

X

X

X

X

X

X

x

X

X

X

X

X

X

X

X

x

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

59

X

X

X

X

X

Table 9: Train-The-Trainer Courses
TRAIN-THE-TRAINER COURSES
Training
Description

Focus

Standard

Categories of Employees to Receive

Front-Line
Employees

Station
Managers

Administrative
and Support
Staff

Maintenance
Workers

Mid-Level
Management

Senior
Management

Operations
Control
Center
Staff

Security
Guards

Law
Enforcement
Officers

Security
Awareness

Enhance
capability to
identify, report,
and react to
suspicious
activity and
security
incidents

X

X

X

X

X

X

X

X

X

Behavior
Recognition

Recognize
behaviors
associated with
terrorists'
reconnaissance
and planning
activities,
including the
conduct of
surveillance.
Applies lessons
learned from
the Israeli
security
meeting.

X

X

X

X

X

X

X

X

Training courses requested must be DHS-approved courses. For areas where there
are no identified courses, transit agencies are encouraged to develop their own training
programs, or see which other emergency management courses already offered may be
adaptable to cover this subject area.
The vendors providing the training do not necessarily need to be DHS-approved
vendors. Please try and schedule your training with one of the approved vendors listed
in the above table. If for some reason you are having difficulties scheduling the training
with an approved vendor, or no approved vendors have been identified, you may
identify other vendors to provide the training, provided such courses generally align with
or exceed the curriculum and performance measures set in the equivalent or analogous
Federally-sponsored product. Transit systems must receive approval from DHS if they
choose to use other vendors for their training courses.
Training must be completed within 24 months.

60

DHS is providing transit systems with several options. Once a transit system is
approved for fast-track training, they may proceed with the best combination of options
for the system’s needs.
Option A
Transit agencies may use FTA/TSA-funded training courses.
Transit agencies may send their employees to the FTA/TSA-funded training courses
listed in the table below. These courses are scheduled throughout the year at various
locations around the country. Contact the Federally-sponsored vendor for course
availability. Providers are the National Transit Institute (NTI), the Transportation Safety
Institute (TSI), and Johns Hopkins University (JHU). Contact information for these
providers is provided below:
National Transit Institute (NTI)
120 Albany Street
Tower Two, Suite 250
New Brunswick, NJ 08901-2163
POC: Coleen Meyer, Senior Program Coordinator, Workplace Safety and Security;
732-932-1700, ext. 231
Transportation Safety Institute (TSI)
Transit Safety & Security Division
RTI-80 P. O. Box 25082
Oklahoma City, OK 73125-9967
POC: Radonna Snider, Program Analyst; 405-954-4799
Johns Hopkins University (JHU)
6740 Alexander Bell Drive # 200
Columbia, MD 21046
POC: Dr. Phyllis McDonald; 410-312-4413
Option B
Transit agencies may use Federally-sponsored providers of training courses.
Transit agencies may use the Federally-sponsored providers of training courses listed in
Table 10 below. Information on the courses and providers is available in the FEMA
National Preparedness Directorate, Training and Education Division catalog: at
http://www.ojp.usdoj.gov/odp/docs/TED_Course_Catalog2007.pdf. Courses in this
category have identifiers ‘AWR’, ‘PER’, ‘ICS’, and ‘IS’ in Table 10 below.
Some of these courses are internet or computer-based. Others are mobile and may be
in your agency’s area. The transit agency should request these courses through its
State Administrative Agency or State Training Point of Contact. For assistance, please
e-mail [email protected] or call 1-800-368-6498.

61

Option C
Transit agencies may use other vendors for training courses.
Transit agencies may use other vendors for training courses, provided such courses
generally align with or exceed the curriculum and performance measures set in the
equivalent or analogous Federally-sponsored product. Transit systems must receive
approval from DHS if they choose to use other vendors for their training courses.
Table 11 below contains the course headings as listed in the training cost matrix,
approved course titles, and a list of training vendors that are qualified to teach each
course. As outlined above, however, transit agencies may use other vendors for
training courses and other courses, provided the courses align with or exceed the
curriculum for the DHS-approved course and are approved by DHS.
Train-the-Trainer Options: Key Subject Areas
Many of the available course offerings include “train-the-trainer” versions that enable a
transit system to gain certification for designated employees who can then conduct that
training on a regular basis for the transit system.
DHS has identified additional “train-the-trainer” course opportunities in Security
Awareness, Behavior Recognition, and Immediate Emergency Response. These
opportunities are listed in Table 11 below. Train-the-trainer courses enable the transit
system to gain certification for designated employees who can then conduct the training
for your agency. This option affords an opportunity to build an “in house” training
infrastructure. If a transit system received funds for one of those training courses, they
may elect to send select employees to those train-the-trainer courses so that those
employees could then teach the course to the rest of the frontline employees who were
approved to receive the training. All training must still be completed with the awarded
funding; no additional funding will be provided under this option.

62

Table 10: Approved Course and Vendor List
Training Category

Security
Awareness

Behavior
Recognition

Immediate
Emergency
Response

National Incident
Management
System (NIMS)

Operations Control
Center Readiness
Management of
Transit
Emergencies
Coordinated
Interagency
Emergency
Response
Managing
Counterterrorism
Programs

Approved Courses
System Security Awareness for Transportation Employees (SSA)
AWR-110-W – WMD/Terrorism Awareness for Emergency Responders
(Internet-based) (3-4 hours)
AWR-150 – Terrorism Awareness: Protecting the US Public Transportation
System (8 hours)
AWR-160 – WMD Awareness Level Training (6 hours)
AWR-190-W – Foundational Awareness of WMD/Terrorism (Internetbased) (1 ½ hours)
AWR-122 – Prevention and Deterrence of Terrorist Acts by Law
Enforcement (8 hours)
AWR-122-1 – Law Enforcement Prevention and Deterrence of Terrorist
Acts (16 hours)
AWR-140 – WMD Radiological/Nuclear Awareness Course (6 Hours)
Terrorist Activity Recognition and Reaction (TARR) (4 hours)

Approved
Vendors
NTI
TEEX
LACMTA
NDPC
ARC
LSU
LSU
NTS
NTI

AWR-185 – Frontline Responder Training Course (Protecting Soft Targets)
(2 days)
AWR-130 – Incident Response to Terrorist Bombings: Awareness (4
hours)
AWR-131 – Prevention of and Response to Suicide Bombing Incidents (4
hours)
PER-230 – Incident Response to Terrorist Bombing (6 hours)
PER-231 – Prevention and Response to Suicide Bombing Incidents (4
hours)
PER-250 – Emergency Response to Terrorism: Operations Course (2
days)
AWR-120 – Law Enforcement Response to WMD (2 days)
PER-264 – WMD Law Enforcement Protective Measures (1 day)
PER-265 – WMD Law Enforcement Response Actions (1 day)
PER-282 – Virtual Terrorism Response Academy (2+ days) (Computerbased training)
AWR-190-W – An Introduction to NIMS/National Response Plan (NRP)
(Internet-based) (1 ½ hrs)
IS-700 – National Incident Management System: An Introduction
IS-800A – National Response Plan: An Introduction
ICS-100 – Introduction to the Incident Command System
ICS-200 – Incident Command System for Single Resources and Initial
Action Incidents
ICS-300 – Intermediate Incident Command System
ICS-400 – Advanced Incident Command System
Rail Operations Control Center Response to WMD Incidents (OCC)

FEMA EMI
FEMA EMI
NTI

Effectively Managing Transit Emergencies (FT00456)

TSI

Connecting Communities Forum
PER-268 – WMD Incident Complexities (1 day)

TSA/FTA/
FEMA
CDP

Strategic Counter Terrorism for Transit Managers (SCTTM)

JHU

63

UNLV
NMT
NMT
NMT
NMT
IAFF
LSU
CDP
CDP
Dartmouth
ARC
FEMA IS
FEMA IS
FEMA IS
FEMA IS

Training Category
Prevention and
Mitigation – IEDs
and WMDs
Prevention and
Mitigation – IEDs
and WMD: CBRNE
Incident
Management
Transit Vehicle
Hijacking
Prevention and
Response
Integrated AntiTerrorism Security
Program
Transit System
Security Design

Approved Courses
AWR-157 – Transit Terrorist Tools and Tactics

Approved
Vendors
FEMA/
Grants

Transit Explosives Incident Management Seminar (FT00438)

TSI

Transit Response to Bus or Rail Hijackings Seminar (FT00544)

TSI

Land Transportation Anti-Terrorism Training Program

FLETC

Transit System Security (prerequisite)
Transit System Security Design Review (FT00538)

TSI
TSI

Table 11: Train-the-Trainer Courses
Training
Category
Security
Awareness Trainthe-Trainer
Behavior
Recognition Trainthe-Trainer

Immediate
Emergency
Response

Approved Courses
System Security Awareness Train-the-Trainer (SSATTT)
AWR-141 – WMD Radiological/Nuclear Awareness Course: Train-the-Trainer (1
day)
AWR-160-1 – WMD Awareness Level Training: Train-the-Trainer (1 ½ days)
Terrorist Activity Recognition and Reaction (TARR) Train-the-Trainer (TARRTTT)

PER-230-1 – Incident Response to Terrorist Bombing, Train-the-Trainer (4 ½ days)
PER-231-1 Prevention and Response to Suicide Bombing Incidents, Train-theTrainer (4 ½ days)
PER-251 – Emergency Response to Terrorism: Operations Course Train-theTrainer (2 days)
AWR-120 – Law Enforcement Response to WMD: Train-the-Trainer (2 days)
PER-264-1 – WMD Law Enforcement Protective Measures: Train-the-Trainer (1
day)

64

Approved
Vendors
NTI
NTS
NDPC
NTI

NMT
NMT
IAFF
LSU
CDP

Using the Training Cost Matrix
The TSGP Training Cost Matrix was created to assist transit systems in developing preapproved training costs when requesting TSGP funds for employee security training
investments.
To use the TSGP Training Cost Matrix:
1. Download and save the file to your hard drive (available on
http://www.tsa.gov/join/grants/tsgp.shtm).
2. Read over the course descriptions and review the appropriate categories of
employees to receive the training on the “Training Reference Sheet” tab. Identify
how many employees in each category should take each training course.
3. To start entering data and calculating training costs, go to the “DATA ENTRY
SHEET – Cost Sheet” tab.
4. For each training course, enter in the number of employees, by category that will
attend each course.
5. After relevant information for all employees and all training courses is entered,
the last row will calculate total training funds requested in the Investment
Justification. If the total exceeds $500,000, revisit the cost matrix and remove
employees and/or training courses until the total is equal to or less than
$500,000.
Training Cost Matrix Submission and File Naming Convention
The training cost matrix must be submitted with the grant application as a file
attachment within grants.gov. Applicants must use the following file naming convention
when submitting Training Cost Matrices:
Training Cost Matrix (through grants.gov file attachment)
State_Region_IJ Number_Training Cost Matrix (Example:
CO_Denver_IJ#1_Training Cost Matrix)
If you have any questions regarding the Training Cost Matrix, or the FY 2009 TSGP,
please contact the Centralized Scheduling and Information Desk (CSID) at
[email protected] or 1-800-368-6498 between 8:00 a.m. and 6:00 p.m. EST.

65

Helpful Hints for Applicants
Are the following components included in the application package?
•

Investment Justification

•

Any additional Required Attachments

•

Standard Form 424, Application for Federal Assistance

•

Standard Form 424A, Budget Information

•

Standard Form 424B, Assurances

•

Standard Form 424C, Budget Information-Construction Form (if
applicable)

•

Standard Form 424D, Assurances-Construction Programs (if applicable)

•

Standard Form LLL, Disclosure of Lobbying Activities

Are the following items addressed within the investment justification narratives and
detailed budgets?
•

Is the transit agency as well as the transit agencies point of contact(s) identified
in the IJ?

•

Are the transit agencies current capabilities identified in the IJ?

•

Are minimum funding requirements satisfied, as addressed in Part IV?

•

Does the IJ and the detailed budget only include allowable costs?
o Are all of the expenses in the detailed budget addressed in the IJ
narrative? (for example, a camera equipment budget line item should be
addressed in narrative form in the investment justification as it pertains to
the overall security program)
o Does the information in the detailed budget align with the budget summary
in the IJ narrative?

•

Does the IJ clearly explain how the projects fit into a funding priority area (as
identified in Part I)?

•

Does the IJ discuss how this investment will specifically address on or more of
the project effectiveness groups identified in the current year’s Grant Guidance?

•

Does the IJ discuss how this investment will decrease or mitigate risk?

•

Is the cost effectiveness of the project clearly explained in the IJ? How does this
project provide a high security return on investment?

•

Are timelines realistic and detailed?

•

Are possible hurdles addressed in a clear and concise fashion?

•

Does the M&A total no more than 3% of the total project cost?

66