Download:
pdf |
pdfU.S. DEPARTMENT OF HOMELAND SECURITY
FISCAL YEAR 2009
FREIGHT RAIL SECURITY GRANT PROGRAM
GUIDANCE AND APPLICATION KIT
NOVEMBER 2008
U.S. DEPARTMENT OF HOMELAND SECURITY
Title of Opportunity: FY 2009 Freight Rail Security Grant Program (FRSGP)
Funding Opportunity Number: DHS-09-GPD-075-1963
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: The Fiscal Year 2009 (FY 2009) Freight Rail
Security Grant Program (FRSGP) contains significant improvements based on
extensive outreach to grant participants and stakeholders. Some of the key changes
impacting the FY 2009 FRSGP as compared to the previous year’s program include:
Cost Sharing Requirement
Pursuant to the Consolidated Security, Disaster Assistance, and Continuing
Appropriations Act of 2009 (Public Law 110-329), participants of the FY 2009 FRSGP
will not be required to provide a cost share for funding they receive.
Eligibility
Railroad car owners transporting poisonous by inhalation/toxic inhalation hazardous
(TIH) materials are eligible recipients. These recipients may apply grant funds to
vulnerability assessments and security plans; security training for railroad frontline
employees; and Global Positioning System (GPS) tracking on railroad cars within the
Freight Rail industry.
i
CONTENTS
Contents......................................................................................................................... 1
Part I. FUNDING OPPORTUNITY DESCRIPTION......................................................... 2
Part II. AWARD INFORMATION .................................................................................... 6
Part III. ELIGIBILITY INFORMATION ............................................................................ 7
A.
Eligible Applicants................................................................................... 7
B.
Cost Sharing ............................................................................................ 9
C.
Restrictions ............................................................................................. 9
Part IV. APPLICATION AND SUBMISSION INFORMATION ...................................... 10
A.
Address to Request Application Package ........................................... 10
B.
Content and Form of Application ......................................................... 10
C.
Submission Dates and Times ............................................................... 29
D.
Intergovernmental Review .................................................................... 29
E.
Funding Restrictions ............................................................................. 29
Part V. APPLICATION REVIEW INFORMATION ........................................................ 33
A.
Review Criteria....................................................................................... 33
B.
Review and Selection Process ............................................................. 34
C.
Anticipated Announcement and Award Dates .................................... 34
Part VI. AWARD ADMINISTRATION INFORMATION ................................................. 35
A.
Notice of Award ..................................................................................... 35
B.
Administrative and National Policy Requirements ............................. 35
C.
Reporting Requirements ....................................................................... 42
Part VII. FEMA CONTACTS......................................................................................... 45
Part VIII. OTHER INFORMATION ............................................................................... 49
1
PART I.
FUNDING OPPORTUNITY DESCRIPTION
The Freight Rail Security Grant Program (FRSGP) is a component of the Transit
Security Grant Program (TSGP), which is one of six grant programs that constitute the
Department of Homeland Security (DHS) fiscal year (FY) 2009 focus on transportation
infrastructure security activities. The FRSGP is one tool among 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 FRSGP was created as a result of section 1513 of the Implementing
Recommendations of the 9/11 Commission Act of 2007 (Public Law 110-53) (the 9/11
Act). In FY 2009, the FRSGP will fund security training for railroad frontline employees1,
the completion of vulnerability assessments, the development of security plans, and
Global Positioning System (GPS) tracking on railroad cars within the Freight Rail
industry.
The purpose of this package is to provide: (1) an overview of the FY 2009 FRSGP; and
(2) the formal grant guidance and application materials needed to apply for funding
under the program. Also included is an explanation of DHS management requirements
for implementation of a successful application.
Making an application for significant Federal funds under programs such as this can be
complex. The Department’s job is to provide clear guidance and efficient application
tools to assist applicants. DHS customers are entitled to effective assistance during the
application process, and transparent, disciplined management controls to support grant
awards. The Department intends to be good stewards of precious Federal resources
and commonsense partners with State, local, and private sector colleagues.
The Department understands that individual railroad carriers have unique needs and
tested experience on how best to reduce risk locally. DHS subject matter experts will
evaluate grant applications with the overall goal of reducing risk, but will also be
sensitive to local needs and approaches. In short, DHS commits to respect flexibility
and local innovation as the Department funds national homeland security priorities.
Federal Investment Strategy
The FRSGP 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 FRSGP implements objectives addressed in a series of post-9/11
laws, strategy documents, plans, Executive Orders, and Homeland Security Presidential
Directives (HSPDs). Of particular significance are the National Infrastructure Protection
1
As defined in § 1501 of PL 110-53.
2
Plan (NIPP), the transportation sector-specific plan, the freight rail modal annex, and
Executive Order 13416 (Strengthening Surface Transportation Security). The National
Preparedness Guidelines are an all-hazards vision regarding the Nation’s four core
preparedness objectives: 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 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, 37 critical target capabilities are identified that DHS is making the focus of key
investments with State, local and Tribal partners.
DHS expects its critical infrastructure partners—including recipients of FRSGP grants—
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 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 also
be found at http://www.dhs.gov/xprepresp/publications.
Funding Priorities
The funding priorities for the FY 2009 FRSGP reflect the Department’s overall
investment strategy as well as requirements of the 9/11 Act. The key goals of the FY
2009 FRSGP are to establish the basis for capital security improvements by funding
vulnerability assessments and security plans, training to frontline personnel and GPS
tracking on railroad cars.
The Department, in alignment with the 9/11 Act, identifies the following specific priorities
for the FY 2009 FRSGP as the only allowable uses of funds under this year’s program:
1. Vulnerability Assessments and Security Plans. Freight railroad vulnerability
assessments will provide a broader picture of the mode’s preparedness, as well
as security risks that need to be mitigated. In an effort to “buy down” these
security risks, security plans will help target resources and mitigation strategies
toward gaps in the mode’s security identified by the vulnerability assessments.
The information captured in the vulnerability assessments and security plans
(including any mitigation strategies) will form the basis of funding priorities for this
grant program in future years, as appropriate. Freight railroad carriers without
complete vulnerability assessments and security plans will not be considered for
other projects in future grant years. DHS recognizes that Class II and Class III
railroad carriers vary greatly in their size and scope of operations. Therefore,
eligible railroad carriers should request the funds they believe are necessary for
comprehensive vulnerability assessments and security plans. Please note that
all applicants will be required to certify the existence of both a vulnerability
assessment and security plan that comply fully with the requirements of 49 CFR
3
172.802 to be eligible for any funding under the FY 2009 FRSGP. A certification
form can be found in Part IV Section B. Other Information and should be
submitted as part of the application submission.
2. Security training for railroad frontline employees. Effective employee
training programs address individual employee responsibilities and provide
heightened security awareness. Training should cover adequately assessing
and reporting incidents, appropriate employee response, crew communication
and coordination, and incident evacuation procedures. For example, a well
trained railroad employee can help ensure that trespassers on railroad property
are identified and reported.
3. Global Positioning System (GPS) tracking. Owners of railroad cars used in
the transportation of poisonous by inhalation/toxic inhalation hazardous (TIH) as
defined in Part III Section A of this FY 2009 Guidance document may apply for
Satellite GPS tracking equipment on those railroad cars. Satellite tracking
equipment must be able to meet specific communication protocol standards that
are outlined in Part IV Section A of this grant guidance document. The tracking
information obtained using this GPS equipment will be owned by the railcar
owner who will allow unrestricted access to DHS/Transportation Security
Administration (TSA) as a condition of the award.
Eligible applicants are divided into three groups based on the types of projects they can
apply for: Class I railroad carriers, Class II/III railroad carriers, and owners of railroad
cars. Eligible Class I railroad carriers may ONLY request funding for security
awareness and emergency response training for railroad frontline employees. This
grant program does not cover the expenses associated with conducting a vulnerability
assessment or developing a security plan for Class I carriers. In order to be eligible to
request this training funding, Class I carriers must certify to DHS that they have
completed both a vulnerability assessment and a security plan that meet the
requirements listed in Part IV Section B.
Eligible Class II and Class III railroad carriers may use grant funds received under this
program to complete a vulnerability assessment and security plan that meet the
requirements. If a plan has already been completed but does not meet these
requirements, the applicant may request funding to conduct a new vulnerability
assessment and to develop a new security plan to meet the requirements. Upon
completion of the vulnerability assessment and security plan, eligible Class II and Class
III railroad carriers may request funding for security awareness and emergency
response training for railroad frontline employees. In order for these projects to be
funded, the carrier must first certify that the requirements for vulnerability assessments
and security plans, listed in Part IV, Section B., have been met. If these items have
already been completed, an eligible applicant may request funds for training.
Eligible owners of railroad cars may use grant funds received under this program to
acquire and install satellite GPS tracking on cars that transport TIH. Satellite tracking
equipment must be able to meet specific communication protocol standards that are
outlined in Part IV Section A of this grant guidance document. The tracking information
4
obtained using this GPS equipment will be owned by the railroad car owner who will
allow unrestricted access to DHS/TSA as a condition of the award.
In order to request FY 2009 FRSGP funds, applicants must complete and submit an
Investment Justification, the outline of which is provided in Part IV of the FY 2009
FRSGP Grant Guidance.
FRSGP Program Management: Roles and Responsibilities at DHS
Within DHS, TSA by law has the lead for managing the Department’s security oversight
and security programs for the transit industry. TSA provides transit system subject
matter expertise within DHS and determines the primary security architecture for the
FRSGP 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.
The Federal Emergency Management Agency (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 FRSGP.
While both TSA and FEMA of necessity interface directly with our transit stakeholders,
TSA will prioritize specific investments and set security priorities associated with the
FRSGP.
Effective management of the FRSGP entails a partnership within DHS, the boundaries
of which have been defined by DHS. In order to make this partnership seamless to our
external partners, upon award of a FY 2009 FRSGP 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
FRSGP account managers for our transit agency customers.
5
PART II.
AWARD INFORMATION
This section summarizes the award period of performance and the total amount of
funding available under the FY 2009 FRSGP, 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. 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.
Available Funding
In FY 2009, the total amount of funds distributed under the FRSGP will be $15,000,000.
6
PART III.
ELIGIBILITY INFORMATION
A. Eligible Applicants
Eligible applicants for the FY 2009 FRSGP are determined by DHS as Class I, II, and III
freight railroad carriers that transport Security-Sensitive Materials (SSM) and owners of
railroad cars that transport TIH materials. A regulation defining SSM is currently under
development; however, a definition of SSM is provided below specifically for the
purposes of the FY 2009 FRSGP.
As designated by the Surface Transportation Board, a Class I railroad carrier is defined
as a railroad with annual operating revenues for 2005 over $319.2 million; a Class II
railroad carrier is defined as a railroad with annual operating revenues between $25.5
million and $319.2 million; and a Class III railroad carrier is defined as a railroad with
annual operating revenues of less than $25.5 million.
Class I, II, and III freight railroad carriers must also meet the following criteria in order to
be eligible:
•
Transport Rail SSM. For the purpose of this grant, SSM is defined as: 1) more
than 2,268 kg (5,000 lbs.) in a single carload of a Division 1.1, 1.2, or 1.3
explosive; 2) a tank car containing a material poisonous by inhalation, as defined
in 49 CFR 171.8, including anhydrous ammonia but excluding residue quantities
of these materials; and 3) a highway route-controlled quantity of a Class 7
(radioactive) material, as defined in 49 CFR 173.403.
•
Operate in or through a high threat urban area, as subject to the forthcoming
“Rail Transportation Security Final Rule,” and as identified in Table 1 of the FY
2009 Freight Rail Security Grant Program Guidance and Application Kit.
•
Certify they have developed and adhere to a vulnerability assessment and
security plan that conforms to the requirements of 49 CFR 172.8022.
2
The Secretary has determined that the security plans and the vulnerability assessment required under this section is
sufficient for initial eligibility and the requirements of section 1513 Railroad Security Assistance of PL 110-53
“Implementing Recommendations of the 9/11 Commission Act of 2007.”
7
Table 1. High Threat Urban Areas
(AZ)
Phoenix Area
(NC)
(AZ)
Tucson Area
(NJ)
Charlotte Area
Jersey City/Newark Area
(CA)
Los Angeles/Long Beach Area
(NV)
Las Vegas Area
(CA)
Bay Area
(NY)
New York City Area
(CA)
Riverside Area
(NY)
Albany Area
(CA)
Sacramento Area
(NY)
Buffalo Area
(CA)
San Diego Area
(NY)
Rochester Area
(CA)
Anaheim/Santa Ana Area
(NY)
Syracuse Area
(CA)
Oxnard Area
(OH)
Cincinnati Area
(CO)
Denver Area
(OH)
Cleveland Area
(CT)
Bridgeport Area
(OH)
Columbus Area
(CT)
Hartford Area
(OH)
Toledo Area
(DC)
National Capital Region
(OK)
Oklahoma City Area
(FL)
Fort Lauderdale Area
(OK)
Tulsa Area
(FL)
Jacksonville Area
(OR)
Portland Area
(FL)
Miami Area
(PA)
Philadelphia Area
(FL)
Orlando Area
(PA)
Pittsburgh Area
(FL)
Tampa Area
(PR)
San Juan Area
(GA)
Atlanta Area
(RI)
Providence Area
(HI)
Honolulu Area
(TN)
Memphis Area
(IL)
Chicago Area
(TN)
Nashville Area
(IN)
Indianapolis Area
(TX)
Houston Area
(KY)
Louisville Area
(TX)
Austin Area
(LA)
Baton Rouge Area
(TX)
Dallas/Fort Worth/Arlington Area
(LA)
New Orleans Area
(TX)
El Paso Area
(MA)
Boston Area
(TX)
San Antonio Area
(MD)
Baltimore Area
(UT)
Salt Lake City Area
(MI)
Detroit Area
(VA)
Richmond Area
(MN)
Twin Cities Area
(VA)
Norfolk Area
(MO)
Kansas City Area
(WA)
Seattle Area
(MO)
St. Louis Area
(WI)
Milwaukee Area
Freight railroad carriers may apply for training if they certify they have completed a
vulnerability assessment and security plan that meet the requirements outlined in
Part IV Section B. This grant program does not cover the expenses associated with
conducting a vulnerability assessment or developing a security plan for Class I freight
railroad carriers.
Eligible Class II and Class III freight railroad carriers that have completed a vulnerability
assessment and security plan that comply with 49 CFR 172.802 may request funding to
conduct a new vulnerability assessment and to develop a new security plan to meet the
requirements. Funds may also be used to improve upon an existing security plan to
meet the requirements. Eligible Class II and Class III freight railroad carriers may
request funding for security awareness and emergency response training for railroad
frontline employees if they can certify that the requirements for vulnerability
assessments and security plans have been met by their existing vulnerability
assessment and implemented security plan.
8
Owners of railroad cars must meet the following criteria in order to be eligible:
•
Transport Rail TIH. For the purpose of this grant, TIH is defined as: a tank car
containing a material poisonous by inhalation, as defined in 49 CFR 171.8,
including anhydrous ammonia but excluding residue quantities of these
materials.
Please refer to Part IV Section B for examples of certification statements. These
statements should be submitted as part of the grant application, as applicable.
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 FRSGP
will not be required to provide a cost share for funding they receive.
C. Restrictions
Please see Section IV.E. for Management and Administration (M&A) limits, and
allowable/unallowable costs guidance.
9
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 LLL, Disclosure of Lobbying Activities
The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is
“Freight Rail 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
10
they have a DUNS number, or take the steps necessary to obtain one, as soon as
possible. Applicants can receive a DUNS number at no cost by calling the dedicated
toll-free DUNS Number request line at (866) 705-5711.
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 FRSGP 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 FEMA. Applicants must ensure that the Investment Justification is
consistent with all applicable requirements outlined in this application kit.
Applicants may propose up to two investments within their Investment Justification.
A separate Investment Justification must be submitted for each proposed project.
All investment justifications must be submitted with the application by January 13,
2009.
The Investment Justification must demonstrate the ability of the applicant 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. The format attached should be followed for these file attachments.
As a reminder, completed Applications must be submitted to DHS via grants.gov no
later than 11:59 pm EST, January 13, 2009. Applicants must submit one SF-424; as
well as an investment justification and detailed budget for each project.
Applicants must provide information in the following categories for each proposed
investment:
1. Background;
2. Impact;
3. Implementation Plan.
FRSGP applicants must provide responses to all questions. The noted page limits
are suggestions only.
11
Investment Heading
Railroad Carrier or
Owner of Railroad Car
Date of Application
Region and High
Population-Density
Area(s) Impacted
Investment Name
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 point(s) of contact for this investment.
Response Type
Page Limit
Response Instructions
Narrative
Not to exceed ½ page
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 your operating system as applicable.
Response Type
Page Limit
Response Instructions
Narrative
Not to exceed 2 pages
Describe the following:
• Infrastructure;
• Number of track miles;
• Number of rail cars (differentiating tank cars);
• Volume of SSM as defined for this grant, transported through High
Population-Density Areas annually. (Include separately the volume of
TIH transported in tank cars and the volume of TIH transported by bulk
loads.)
• System maps, including listing of High Density Population Areas
serviced; and,
• Other sources of funding being leveraged for security enhancements.
Response
12
I.C. Describe the status of your training program, as applicable.
Response Type
Page Limit
Response Instructions
Narrative
Not to exceed 2 pages
Describe the following:
• Number of staff
• Type of staff, including employment titles
• The number of employees who have received basic security
awareness training in the past two years
Response
II. Impact
II.A. Discuss how the implementation of this investment will decrease or mitigate risk.
Response Type
Page Limit
Response Instructions
Narrative
Not to exceed 1 page
• Discuss how this investment will reduce risk (e.g., reduce vulnerabilities or
mitigate the consequences of an event) by addressing the needs and
priorities identified in earlier analysis and review; and,
• 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).
• For training requests, provide how close the training request will get your
organization to having all railroad frontline employees trained for basic
security training. Also please explain your plan for getting everyone trained
in basic security.
• For owners of railroad cars, provide number of cars owned by Department
of Transportation (DOT) specification and number of GPS units requested
in this investment.
Response
II.B. Vulnerability assessments and security plan requests as applicable.
Response Type
Page Limit
Response Instructions
Narrative
Not to exceed 2 pages
For vulnerability assessment and security plan requests, please explain the
status of your current vulnerability assessment and security plan with regard to
the. If you deem your current vulnerability assessment and security plan do
not meet the requirements contained herein, please describe those aspects of
the plan that will be created and/or improved with grant funds.
• If using a vulnerability tool/methodology other than DHS Transit Risk
Assessment Module (TRAM) and the Intelligence Community’s
Analytical Risk Management (ARM) Process, you must provide the
commercial name of the assessment tool/methodology in the response
to facilitate evaluation of your proposed methodology;
• If it is not a commercial product, explain why you are not using one of
the approved methodologies and how your chosen methodology will
comply with the vulnerability assessment and security plan
• DHS may require the applicant to submit the entire vulnerability
assessment tool/methodology requested above.
Response
13
III. Funding and Implementation Plan
III.A. Investment Funding Plan.
Response Type
Page Limit
Response Instructions
Numeric and Narrative
Not to exceed 1 page
• Complete the chart below to identify the amount of funding you are
requesting for this Investment only;
• Funds should be requested by allowable cost categories (as identified in the
FY 2009 FRSGP Program Guidelines and Application Kit);
• 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 FRSGP)
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
Response
The following template illustrates how the applicants should indicate the amount of FY 2009
FRSGP funding required for the Investment, how these funds will be allocated across the
cost elements, and any match being offered:
Federal Request Total
Match
Grand Total
Vulnerability Assessment/
Security Plan Development
Training
GPS
M&A
Total
III.B. Identify up to five potential challenges to the effective implementation of this investment
(e.g. stakeholder buy-in, sustainability, aggressive timelines).
Response Type
Page Limit
Response Instructions
Narrative
Not to exceed ½ page
• For each identified challenge, provide a brief description of how the
challenge will be addressed and mitigated, and indicate a probability of
occurrence (high, medium, or low);
• The response should focus on the implementation only;
• Consider the necessary steps and stages that will be required for successful
implementation of the investment;
• Identify areas of possible concern or potential pitfalls in terms of investment
implementation; and,
• Explain why those areas present the greatest challenge to a successful
investment implementation.
Response
14
III.C.
Describe the management team, including roles and responsibilities that will be accountable for the
oversight and implementation of this investment, and the overall management approach they will
apply for the implementation of this investment.
Response Type
Narrative
Page Limit
Not to exceed ½ page
Response Instructions
• Provide the high-level skill sets (e.g., budget execution, grant
administration, geospatial expert, outreach and communication liaison) that
members of the management team must possess for the successful
implementation and oversight of the investment;
• Discuss how those skill sets fulfill the oversight and execution
responsibilities for the investment, and how the management roles and
responsibilities will be distributed/assigned among the management team;
and,
• Explain how the management team members will organize and work
together in order to successfully manage the investment.
Response
III.D.
Provide a high-level timeline, milestones and dates, for the implementation of this investment. Up
to 10 milestones may be provided.
Response Type
Page Limit
Response Instructions
Narrative
Not to exceed 1 page
• 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 FRSGP 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
Investment Justification Submission and File Naming Convention
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 Investment Justifications as part of the FY 2009 FRSGP:
Detailed Budget (through grants.gov file attachment)
Company Name_IJ Number (Example: ABC Railroad_IJ#1)
15
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 _________
16
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
“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%).
Supply Items
Computation
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
17
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.
Cost
Item
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. These costs are
applicable to the overall M&A cap of three percent (3%).
Description
Computation
Cost
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
TOTAL _________
18
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
Cost
TOTAL _________
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
__________
19
Detailed Budget Submission and File Naming Convention
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 Detailed Budgets as part of the FY 2009 FRSGP:
Detailed Budget (through grants.gov file attachment)
Company Name_IJ Number_Budget (Example: ABC Railroad_IJ#1_Budget)
20
Vulnerability Assessment
Vulnerability Assessment Overview
Each railroad carrier must complete a Vulnerability Assessment of all railroad carrier
critical assets and infrastructure, and the carrier’s transportation and storage of SSM in
rail cars, excluding residue.
Vulnerability Assessment Structure
A rail carrier Vulnerability Assessment shall include:
•
The identification of all railroad carrier critical assets and infrastructure needed to
conduct railroad operations including intermodal terminals, tunnels, bridges,
switching and storage areas, SSM transported by the railroad carrier and
information systems as appropriate.
•
Each asset should be assessed as the target of at least the following acts of
terrorism (attack scenarios): a VBIED attack, an IED attack, and a cyber attack (if
applicable). Additional attack scenarios should be assessed if applicable.
•
The identification of the vulnerabilities of the identified critical railroad assets and
infrastructure to each applicable act of terrorism including the identification of
strengths and weaknesses and the existing countermeasures and their level of
effectiveness in reducing identified vulnerabilities taking into account the
following:
o Physical security including fencing, alarms, monitoring using cameras and
patrols, warning signs and lighting;
o Randomness of operations;
o Access control of employees, contractors, visitors and trespassers to critical
areas;
o Programmable electronic devices, computers, or other automated systems
which are used in providing the transportation;
o Communications systems and utilities needed for railroad security purposes
including dispatching and notification systems;
o Planning including the coordination with the public emergency responders
and law enforcement agencies;
o Employee and contractor personnel screening;
o Employee security training, and;
o Dwell time of rail cars containing SSM cars in rail yards, terminals, and on
railroad-controlled leased track.
21
•
The identification of redundant and backup systems required to provide for the
continued operation of critical elements of a railroad carrier’s system in the event
of an act of terrorism, including disruption of commercial electric power or
communications network.
•
An analysis of the consequences of each applicable act of terrorism on the
identified critical assets. This includes estimating the impact the act of terrorism
will have on railroad operations, the population, national security, and the
national economy.
•
A risk assessment for each identified critical railroad carrier asset and
infrastructure that takes into account the relative degree of risk in terms of the
consequences of the act of terrorism and the likelihood of a success of the act of
terrorism and threat information available to the rail carrier.
Vulnerability Assessment Methodologies
The rail carrier vulnerability assessment must be conducted using a tool or methods
which meet the above criteria and must be accepted by DHS/TSA.
Some examples of the publicly available methodologies that meet these criteria include
but are not limited to the DHS Transit Risk Assessment Module (TRAM) and the
Intelligence Community’s Analytical Risk Management (ARM) Process. Various
commercially available tools meet these criteria.
Applicants should send an email to [email protected] for additional information.
22
Security Plan
Security Plan Overview
The security plan must be based on and supported by the railroad carrier’s vulnerability
assessment. The security plan ensures that security processes and procedures are in
place to effectively prevent and respond to threat incidents and terrorist attacks.
Freight Rail Security Plan Structure
The Plan should address the following elements, as applicable:
•
Rail Carrier’s Statement of Security Plan Objectives (what the plan sets out to
do).
•
Designation of “Rail Security Coordinator(s)”—Team responsible for developing,
managing, and ensuring the security countermeasures are implemented during
raised alert levels or response to a security threat/incident.
•
Roles and Responsibilities of those designated with security responsibilities
•
Procedures in place to communicate, disseminate, and respond to threat
information.
•
Procedures for updating information and ensuring security countermeasures are
being implemented during raised alert levels (Process needs to be set up to get
the latest information internally and to be able to externally communicate the
status of their security response related to a terrorist attack or security incident).
•
Security countermeasures to be implemented by your railroad in response to a
terrorist attack or threat incident at each alert level (blue to red).
•
Procedures in place for periodic audits, exercises and drills for security plans,
and for its amendment in response to experience.
•
Measures to prevent unauthorized access to designated or restricted areas.
•
Measures to prevent the introduction of dangerous substances and devices to
designated restricted areas and/or railroad property.
•
Procedures and expected timeframes for responding to security threats or
breaches of security, including provisions for maintaining security of
infrastructure and operations on railroad property.
•
Identifications of security processes to work with State and local law enforcement
agencies, emergency responders, and Federal officials in response to a terrorist
attack.
•
Procedures for evacuating railroad facilities or conveyances in case of reliable
security threats or breaches of security.
•
Procedures in place for protection of railroad carrier designated critical
infrastructures.
23
•
Procedures for employee identification and background checks for employees
and contractors.
•
Identification of, and methods to communicate with railroad, system and facility
security officers, company security officers, field operating and security officers
and management personnel, public safety officers and emergency response
personnel, crisis management organizational representatives in local areas,
including 24 hour contact details.
•
Security measures designed to ensure security of local communities, critical
infrastructure, special events, railroad facilities, railroad conveyances/equipment,
passengers and passenger trains operating on railroad tracks owned or operated
by your railroad, cargo and cargo handling equipment owned by you or your
customer and other railroad interdependencies covered by contractual
agreements.
•
Procedures to address secure handling and storage of toxic inhalation hazardous
materials when threat conditions warrant.
•
Plans to minimize the occasions when loaded tank cars carrying TIH materials
are unattended in High Threat Urban Area (HTUA’s).
•
Plan for employee security awareness training to include timeline for conducting
employee training
•
Plans for a positive and secure handoff of SSM rail cars at points of interchange
with shippers, receivers and other carriers.
•
Plans and procedures to provide redundant and backup systems required to
ensure continued railroad operations.
•
Procedures to respond to and facilitate the recovery of the railroad operations
after a transportation security incident.
•
Procedures for cyber security.
•
Appendix containing risk mitigation strategies for addressing vulnerabilities
identified in the vulnerability assessment but not sufficiently addressed by the
security plan. This should include:
o
o
o
o
Outstanding vulnerabilities
Mitigation options and associated costs of alternatives
Preferred mitigation strategy
Comprehensive funding plan and schedule for risk remediation
24
GPS Tracking Requirements
Satellite communication system operational and functional requirements
•
The ability to report location of a railcar with an accuracy of +/- 55 meters 100% of
the time and +/- 10 meters 90% of the time.
•
The capability to remotely adjust (up or down) the elapsed time between the
system’s location reports. Reporting interval from a minimum of once every 15
minutes to a maximum of once every 8 hours.
•
The systems latency (processing time) must be 5 minutes or less.
•
The ability of an operator to send a command to the system (e.g., to report its
location or to change reporting interval) and get verification from the system that the
command has been successfully executed. On-demand locating must be within 15
minutes following command (ping).
•
The ability to receive and record location and other data at a specified interval.
Location must be reported and recorded no lower than 98% of the transmissions.
•
Unit location if in defined geofenced area-site code/zone (on site), High Threat
Urban Area.
Minimum data elements required
•
Location data
o Device ID number
o Railcar number
o Latitude / longitude (include proximity, in miles, to closest city)
o Health of the device (battery life, system, etc.)
o Sensor(s) status
•
Shipment Data
o Origin
o Destination
o Routing
o Commodity
o Load Status
25
TSA Remote access requirements
•
The ability to log in through a secure web portal with user name and pass code.
•
The ability to visually display all railcars with GPS tracking technology on GIS based
platform.
•
The ability to upload railcar tracking history to commonly used GIS based platforms
(i.e., Google Earth, ESRI, etc.).
•
The ability to link shipment and device data to place marks on the GIS platform.
•
The capability for DHS/TSA to (ping) a subject railcar(s) that might be of interest.
26
Vulnerability Assessment and Security Plan
Certification Statement
Railroad carriers that have already completed a vulnerability assessment and
developed and implemented a security plan that meet the requirements can use the
statement below as their certification, and submit it as part of their grant application. All
railroad carriers that use this certification form must be able to provide both their
existing vulnerability assessment and security plan upon request.
I, [insert name], as [insert title] of [insert name of freight railroad carrier], certify that a
vulnerability assessment has been completed and a security plan has been developed
and implemented. This vulnerability assessment includes all elements required as
listed in the FY 2009 Freight Rail Security Grant Program Guidance and Application Kit.
This security plan includes all elements required as listed in the FY 2009 Freight Rail
Security Grant Program Guidance and Application Kit.
Signature
Date
27
Vulnerability Assessment and Security Plan
Certification Statement for 49 CFR Part 172
Railroad carriers that have already completed a vulnerability assessment and
developed and implemented a security plan in accordance with 49 CFR Part 172 can
use the statement below as their certification and submit it as part of their grant
application. All railroad carriers that use this certification form must be able to provide
both the vulnerability assessment and security plan upon request.
I, [insert name], as [insert title] of [insert name of freight railroad carrier], certify that a
vulnerability assessment has been completed and a security plan has been developed
and implemented. This vulnerability assessment and security plan is in compliance with
49 CFR Part 172.
Signature
Date
28
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
page available at:
http://www.whitehouse.gov/omb/grants/spoc.html.
E. Funding Restrictions
In FY 2009, the FRSGP will fund security training for railroad frontline employees, the
completion of vulnerability assessments, the development of security plans and the
acquisition of GPS tracking on railroad cars within the Freight Rail industry.
Any management and administrative (M&A) costs associated with individual projects
submitted for consideration under the FY 2009 FRSGP must be included in the budget
for that project. M&A costs may not exceed three percent (3%) of the funds awarded for
each individual project.
Specific investments made in support of the funding priorities discussed above
generally fall into four categories:
1.
2.
3.
4.
Vulnerability Assessments and Security Plans
Training
Global Positioning System (GPS) tracking on railroad cars
Management and Administration
Awardees must commit to minimum training standards to be set by the Department for
all Federally-funded security personnel. Costs associated with meeting these training
standards will be an allowable expense.
Freight railroad carriers that submit training requests should request “basic” training
before “follow-on” training courses. Requests for follow-on training courses should
include a statement that the basic training course has been fulfilled or is not applicable.
Requests for follow-on training should include the following information:
29
•
•
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.
The following provides additional detail about each of these allowable expense
categories, and identifies several specific unallowable costs:
1. Development of Vulnerability Assessments and Security Plans. FY 2009
FRSGP funds may be used by Class II and Class III railroad carriers for the following
types of activities:
Vulnerability Assessments
• Development of all required content, as specified in Part IV. B., are
allowable expenses.
Security Plans
• Development of all required content, as specified in Part IV. B., are
allowable expenses.
2. Training Costs. FY 2009 FRSGP funds may be used by Class I, II, and III railroad
carriers—once they have completed and certified that they maintain and implement a
vulnerability assessment and security plan for the following training activities. These
costs must be in accordance with the FAR Part 31.2:
•
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.
•
Public sector employee overtime and backfill costs. Payment of overtime
expenses will be for work performed by award or sub-award employees 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. Fringe benefits on overtime
hours are limited to Federal Insurance Contributions Act, Workers’ Compensation
and Unemployment Compensation. Overtime and backfill of private sector
employees are not eligible.
•
Travel. Travel costs (i.e., airfare, mileage, per diem, hotel, etc.) 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. These costs must be in accordance with State law as highlighted in
FAR Part 31.2. Recipients must also follow State regulations regarding travel. If
a grantee does not have a travel policy they must follow Federal guidelines and
rates, as explained in 2 CFR Part 215.
30
Private sector employee travel costs are not allowable.
•
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.
3. Global Positioning System (GPS) tracking.
•
Purchase of units: Basic GPS unit capable of reporting requirements as
specified in GPS Tracking requirements Part IV Section B. Additional sensory
capability costs are not eligible and, if included, must be assumed by the railroad
car owner.
•
Installation: Applicable installation costs for the GPS units are allowable
•
Activity Feeds: In accordance with the satellite Communication system and
functional requirements as specified in the GPS Tracking Requirements Part IV
Section B. Cost of additional sensory information is not eligible and, if included,
must be assumed by the railroad car owner.
4. Management and Administration (M&A) costs. FY 2009 FRSGP funds may be
used for the following M&A costs and is limited to three percent (3%) of the total grant
award:
•
Hiring of full-time or part-time staff or contractors/consultants to assist with the
management of the FY 2009 FRSGP or the design, requirements, and
implementation of the FRSGP.
•
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 (For a complete list of allowable meeting-related
expenses, please review the FAR Part 31.2.
•
Acquisition of authorized office equipment, including personal computers or
laptops.
Specific unallowable costs include:
•
Expenditures for items such as general-use software (word processing,
spreadsheet, graphics, etc), general-use computers and related equipment
31
(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 FRSGP.
• Other items not in accordance with the Authorized Equipment List or
previously listed as allowable costs.
32
PART V.
APPLICATION REVIEW INFORMATION
A. Review Criteria
Separate sets of factors that will be considered in the evaluation of the Investment
Justifications and Detailed Budgets depending on the type of project being requested.
Having met all administrative requirements, applications will be evaluated and ranked
based on:
1. Training Evaluation Criteria:
a. Compliance. Projects will be evaluated by completeness of Investment
Justifications and certification documents.
b. Feasibility. Projects will be evaluated on the feasibility of the plan for completing
the training requested within the period of performance.
2. Security Plans and Vulnerability Assessment Evaluation Criteria:
a. Compliance. Projects will be evaluated by completeness of Investment
Justifications and certification documents.
b. Cost Appropriateness. Projects will be evaluated and prioritized based on the
cost appropriateness of the request to conduct the assessment and develop the
plan, which will be determined by the carrier’s characteristics such as assets,
location, infrastructure, and size.
c. Timelines. Projects will be evaluated and prioritized on the ability of the applicant
to complete the proposed project within the proposed timeframes.
3. Global Positioning System (GPS) Tracking Criteria:
a. Feasibility. Projects will be evaluated on the feasibility of the plan for completing
the training requested within the period of performance.
b. Cost Appropriateness. Projects will be evaluated and prioritized based on the
cost appropriateness of the request to conduct the assessment and develop the
plan, which will be determined by the carrier’s characteristics such as assets,
location, infrastructure, and size.
33
c. Timelines. Projects will be evaluated and prioritized on the ability of the applicant
to complete the proposed project within the proposed timeframes.
d. Sustainability. Projects will be evaluated and prioritized based on the ability of
the applicant to sustain the investment after Federal grant funding has been
expended.
DHS is committed to focusing the bulk of available funds on high-risk areas. As such,
the risk associated with operating within each high-density population area will also be
considered in the funding of project submissions. Risk is a function of average dwell
time, track mileage, the volume of SSM being transported through the area, and other
factors DHS considers relevant.
During the application period, and in conjunction with industry associations, DHS will
identify multiple opportunities for a cooperative dialogue between the Department and
potential applicants. This commitment is intended to ensure a common understanding
of the funding priorities and administrative requirements associated with the FY 2009
FRGSP, and to help in submission of projects that will have the highest impact on
reducing risks for the transit systems and their customers.
B. Review and Selection Process
The FY 2009 FRSGP will use risk-based prioritization consistent with DHS policy
outlined in the FRSGP Program Guidance and Application Kit. Applications will be
reviewed and scored based on the review criteria outlined above. All applicants must
comply with all administrative requirements -- including Investment Justifications,
budgets and application process requirements.
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.
34
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 de-obligated 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 sub-grantee 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
35
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 C.F.R. Part 23 Guidance. FEMA requires that any information
technology system funded or supported by these funds comply with 28 C.F.R.
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
36
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 (CII
Act), created a new framework, which enables State and local jurisdictions and
members of the private sector voluntarily to 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:
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.
37
•
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
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:
38
•
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.
•
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
39
Executive Order 13123, part 3 of title V of the National Energy
Conservation Policy Act (42 U.S.C. §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 U.S.C. §13212).
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
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
40
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
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
41
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.
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
42
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 report.
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 draw downs 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).
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 FRSGP assistance for audit and
43
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 State 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 FEMA staff, both programmatically
and financially, to ensure that the project goals, objectives, performance requirements,
timelines, milestone completion, budgets, and other related program criteria are being
met. 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.
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 de-obligated, 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 drawn down 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.
44
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 FRSGP 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.
45
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
46
TEP, and to build or enhance the capacity of a jurisdiction to design, develop,
conduct, and evaluate effective exercises
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.
47
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
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.
48
PART VIII.
OTHER INFORMATION
Requirements Specific to For-Profit Entities
For-profit organizations are eligible to apply for funding under the FRSGP. The following
requirements apply specifically to for-profit entities receiving Federal funding from
FEMA:
1. Recipients of FRSGP 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 FRSGP, 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 FRSGP 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 FRSGP 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 FRSGP 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
49
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.
Helpful Hints for Applicants
Are the following components included in the application package?
•
SF 424, SF 424 A, SF 424B, SF LLL
•
Investment Justifications for projects
•
Detailed Budgets containing only allowable costs
•
Vulnerability Assessment/Security Plan Certification (if applicable)
Are the following items addressed within the investment justification narratives and
detailed budgets?
•
Are minimum funding requirements satisfied, as addressed in Part IV?
•
Do 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?
o Does the information in the detailed budget align with the budget summary
in the IJ narrative?
•
Do IJs clearly explain how the projects fit into a funding priority area (as identified
in Part I)?
•
Does the IJ detail the value that this investment has in reducing the risk?
•
Is the cost appropriateness of the project clearly explained in the IJ?
•
Does the M&A total no more than 3% of the total project cost?
50
| File Type | application/pdf |
| File Title | Microsoft Word - FY 2009 FRSGP Guidance FINAL.doc |
| File Modified | 2008-11-04 |
| File Created | 2008-11-04 |