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pdfU.S. DEPARTMENT OF HOMELAND SECURITY
FISCAL YEAR 2009
INTERCITY BUS SECURITY GRANT PROGRAM
GUIDANCE AND APPLICATION KIT
NOVEMBER 2008
U.S. DEPARTMENT OF HOMELAND SECURITY
Title of Opportunity: FY 2009 Intercity Bus Security Grant Program
Funding Opportunity Number: DHS-09-GPD-057-1964
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 FY 2009 Intercity Bus Security Grant Program
(IBSGP) contains improvements based on outreach to grant participants and
stakeholders. The following are some of the key changes impacting the FY 2009
IBSGP as compared to the previous year’s program.
Backfill and Overtime
Under the FY 2008 IBSGP, backfill and overtime costs for private sector employees
associated with training, drills, and exercises were not allowable. For the FY 2009
IBSGP, overtime and backfill costs for private sector employees associated with
training, drills, and exercises are allowable.
Scoring Methodology
This FY 2009 IBSGP Grant Guidance contains more detail about the point ranges and
weights associated with the evaluation criteria that the National Review Panel uses to
score grant applications.
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CONTENTS
Contents......................................................................................................................... 1
Part I. FUNDING OPPORTUNITY DESCRIPTION......................................................... 2
Part II. AWARD INFORMATION .................................................................................... 7
Part III. ELIGIBILITY INFORMATION ............................................................................ 8
A.
Eligible Applicants................................................................................... 8
B.
Cost Sharing ............................................................................................ 9
C.
Restrictions ............................................................................................ 10
D.
Other ....................................................................................................... 10
Part IV. APPLICATION AND SUBMISSION INFORMATION ...................................... 11
A.
Address to Request Application Package ........................................... 11
B.
Content and Form of Application ......................................................... 11
C.
Submission Dates and Times ............................................................... 24
D.
Intergovernmental Review .................................................................... 24
E.
Funding Restrictions ............................................................................. 25
Part V. APPLICATION REVIEW INFORMATION ........................................................ 31
A.
Review Criteria....................................................................................... 31
B.
Review and Selection Process ............................................................. 32
C.
Anticipated Announcement and Award Dates .................................... 32
Part VI. AWARD ADMINISTRATION INFORMATION ................................................. 33
A.
Notice of Award ..................................................................................... 33
B.
Administrative and National Policy Requirements ............................. 33
C.
Reporting Requirements ....................................................................... 40
Part VII. FEMA CONTACTS......................................................................................... 44
Part VIII. OTHER INFORMATION ............................................................................... 48
1
PART I.
FUNDING OPPORTUNITY DESCRIPTION
The Intercity Bus Security Grant Program (IBSGP) is one of six grant programs that
constitute the Department of Homeland Security (DHS) Fiscal Year (FY) 2009 focus on
transportation infrastructure security activities. IBSGP 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 FY 2009 IBSGP is authorized by section
1532 of the Implementing Recommendations of the 9/11 Commission Act (Public Law
110-53) (the 9/11 Act) and the Consolidated Security, Disaster Assistance, and
Continuing Appropriations Act, 2009 (Public Law 110-329).
The vast bulk of America’s critical infrastructure is owned and/or operated by State,
local, and private sector partners. The funds provided by the IBSGP are primarily
intended to support the work of operators of fixed route intercity and charter bus
services.
The purpose of this package is to provide: (1) an overview of the IBSGP; 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 limited Federal resources, and
commonsense partners with State, local, and private sector stakeholders.
The Department understands that individual intercity bus systems will have unique
needs and tested experience about how best to reduce risk locally. DHS subject matter
experts will come to the task with a sense of urgency to reduce risk, but also with an
ability to listen carefully 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
IBSGP is an important part of the Administration’s larger, coordinated effort to
strengthen homeland security preparedness, including the security of America’s critical
infrastructure. IBSGP implements objectives addressed in a series of post-9/11 laws,
strategy documents, plans, Executive Orders, and Homeland Security Presidential
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Directives (HSPDs). Of particular significance are the National Preparedness
Guidelines and its associated work products, including the National Infrastructure
Protection Plan and its transportation sector-specific plans 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 also integral
to the Guidelines’ success.1 They outline 15 scenarios of terrorist attacks or national
disasters that form the basis of much of the Federal exercise and training regime. In
addition, it identifies some 37 critical capabilities that DHS is making the focus of key
investments with State, local, and Tribal partners.
DHS expects its critical infrastructure partners – including recipients of IBSGP– to be
familiar with this national preparedness architecture and to incorporate elements of this
architecture into their planning, operations, and investments to the degree practicable.
DHS 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 be found at
http://www.dhs.gov/xprepresp/publications.
Funding Priorities
The funding priorities for the FY 2009 IBSGP reflect the Department’s overall
investment strategy, in which two priorities are paramount: risk-based funding and
regional security cooperation. The funding priorities also reflect the 9/11 Act, which was
enacted by Congress in August 2007.
First, based upon ongoing intelligence analysis, extensive security reviews,
consultations with industry partners, and Congressional direction, DHS has once again
focused the available intercity bus grant funds on operators serving the Nation’s
highest-risk metropolitan areas.
Second, DHS places a very high priority on ensuring that all IBSGP applications reflect
robust regional coordination and an investment strategy that institutionalizes regional
security strategy integration.
In order to be eligible to receive FY 2009 IBSGP grant funding, the 9/11 Act requires
that all operators have completed a vulnerability assessment and developed a security
plan. If the operator has not completed a security plan or vulnerability
assessment, then the operator may use FY 2009 IBSGP grant funding for only the
1
The National Preparedness Guidelines and supporting documents were published in September 2007, and are
available at: http://www.ojp.usdoj.gov/odp/assessments/hspd8.htm .
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development of a security plan or vulnerability assessment. The operator cannot
apply for any other projects.
The 9/11 Act outlines several uses of funds for over-the-road bus security assistance in
section 1532 (b), which are all eligible costs under the FY 2009 IBSGP. Those uses of
funds are listed below in prioritized order for funding consideration for the FY 2009
IBSGP:
• Development of assessments or security plans:
o Development of a vulnerability assessment (VA) that includes, as
appropriate:
Identification and evaluation of critical assets and infrastructure,
including platforms, stations, terminals, and information systems
Identification of vulnerabilities to those assets and infrastructure
Identification of weaknesses in physical security; passenger and
cargo security; the security of programmable electronic devices,
computers, or other automated systems which are used in
providing over-the-road bus transportation; alarms, cameras, and
other protection systems; communications systems and utilities
needed for over-the-road bus security purposes, including
dispatching systems; emergency response planning; and employee
training
o Development of a security plan that includes, as appropriate:
The identification of a security coordinator having authority to
implement security actions, coordinate security improvements, and
receive communications from appropriate Federal officials
regarding over-the-road bus security
A list of needed capital and operational improvements
Procedures to be implemented or used by the operator in response
to a terrorist attack, including evacuation and passenger
communication plans that include individuals with disabilities
The identification of steps taken with State and local law
enforcement agencies, emergency responders, and Federal
officials to coordinate security measures and plans for response to
a terrorist attack
A strategy and timeline for conducting training to prepare front-line
employees for potential security threats and conditions
Enhanced security measures to be taken by the operator when the
Secretary of DHS declares a period of heightened security risk
Plans for providing redundant and backup systems required to
ensure the continued operation of critical elements of the operator’s
system in the event of a terrorist attack
• Operating and capital costs associated with over-the-road bus security
awareness, preparedness, and response training, including training for front-line
employees for potential security threats and conditions (must be DHS-approved
training courses)
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•
•
•
•
•
•
•
•
•
•
•
Live or simulated exercises for the purpose of assessing and improving the
capabilities of entities to prevent, prepare for, mitigate, respond to, and recover
from acts of terrorism (must be DHS-approved exercises)
Public awareness campaigns for enhanced over-the-road bus security (must be
DHS-approved)
Modifying over-the-road buses to increase their security
Installing cameras and video surveillance equipment on over-the-road buses and
at terminals, garages, and over-the-road bus facilities
Constructing and modifying terminals, garages, and facilities, including terminals
and other over-the-road bus facilities owned by State or local governments, to
increase their security
Establishing and improving an emergency communications system linking drivers
and over-the-road buses to the recipient’s operations center or linking the
operations center to law enforcement and emergency personnel
Implementing and operating passenger screening programs for weapons and
explosives
Protecting or isolating the driver of an over-the-road bus
Chemical, biological, radiological, or explosive detection, including canine patrols
for such detection
Acquiring, upgrading, installing, or operating equipment, software, or accessorial
services for collection, storage, or exchange of passenger and driver information
through ticketing systems or other means and for information links with
government agencies, for security purposes
Overtime reimbursement, including reimbursement of State, local, and tribal
governments for costs, for enhanced security personnel assigned to duties
related to over-the-road bus security during periods of Orange or Red Alert levels
or National Special Security Events
Note: As in FY 2008, the program will continue to encourage video systems with the
capability to stream live video to first responders as part of security systems that may
include items such as GPS, panic buttons, and remote disabling. The procurement of
closed-circuit television cameras (CCTV) for vehicles as a deterrent to terrorism without
the ability for live streaming video will continue to be de-emphasized.
IBSGP Program Management: Roles and Responsibilities at DHS
Within DHS, the Transportation Security Administration (TSA) has the lead for
managing the Department’s security oversight and security programs for the intercity
bus industry. TSA provides intercity bus system subject matter expertise within DHS
and determines the primary security architecture for the IBSGP. 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
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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 IBSGP. While both TSA and FEMA
interface directly with the intercity bus stakeholders, TSA will prioritize specific
investments and set security priorities associated with IBSGP.
Effective management of IBSGP entails a partnership within DHS, the boundaries of
which have been defined by Secretary Chertoff. TSA and FEMA will meet directly with
grantees as needed, and will coordinate with each other routinely to facilitate support for
the individual companies in a given region. TSA and FEMA grant managers will be the
one-stop IBSGP program managers for DHS customers.
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PART II.
AWARD INFORMATION
This section summarizes the award period of performance and the total amount of
funding available under the FY 2009 IBSGP, 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 IBSGP will be $11,658,000.
The available funding will be divided into two tiers, as summarized in Table 1. As with
the FY 2008 program, eligible FY 2009 IBSGP applicants will be placed into one of two
tiers. Tier I will be comprised of the larger intercity bus systems in the country that
operate at least 250 over-the-road buses and meet the other minimum eligibility
requirements. Tier II will be comprised of all other intercity bus systems that meet the
minimum eligibility requirements.
Table 1. FY 2009 IBSGP Funding by Tier
Risk Tier
FY 2009 Funding
$6,411,900
Tier I
Tier II
TOTAL
$5,246,100
$11,658,000
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PART III.
ELIGIBILITY INFORMATION
A. Eligible Applicants
The Consolidated Security, Disaster Assistance, and Continuing Appropriations Act,
2009 (Public Law 110-329) provides discretionary funds for grant programs to address
security enhancements for fixed route intercity and charter bus transportation services.
Per the 9/11 Act, the only eligible grantees for the FY 2009 IBSGP are private operators
providing transportation by an over-the-road bus.
Minimum Eligibility Requirements
Eligibility for funding under both tiers is limited to applicants meeting one or both of the
following criteria:
•
•
Operate fixed route intercity bus transportation providing services to a defined
Urban Areas Security Initiative (UASI) jurisdiction. See Part III Section D for a list
of FY 2009 UASI jurisdictions.
Operate a charter bus service using over-the-road buses and provide a minimum
of 50 trips annually to one or more defined UASI jurisdictions.
The following definitions are applicable for the purpose of meeting FY 2009 program
eligibility requirements:
•
Fixed route, intercity bus service is defined as passenger transportation
service provided to the general public for compensation over specified,
predetermined, and published routes between cities or terminals using over-theroad-buses.
•
Charter bus service is defined as a bus service that operates neither over fixed
routes nor on regular schedules. A charter bus service is characterized by the
rental of a bus and the services of a driver to a person or group where all
passengers embark and disembark at the same point. A charter bus service
must use over-the-road buses.
•
An over-the-road bus is defined as a vehicle designated for long-distance
transportation of passengers, characterized by integral construction with an
elevated passenger deck located over a baggage compartment and at least 35
feet in length with a capacity of more than 30 passengers.
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•
An Urban Areas Security Initiative (UASI) jurisdiction is defined in the
Homeland Security Grant Program (HSGP) FY 2009 Program Guidelines and
Application Kit. Part III Section D provides a list of FY 2009 UASI jurisdictions.
•
A trip is defined as a single bus journey from an embarkation point to the furthest
destination in that journey. For example, a trip from New York City to Denver to
San Francisco would be considered a single trip. A trip is made to a defined
UASI jurisdiction if at any point in the trip the bus stops in a UASI jurisdiction and
embarks or disembarks passengers. For example, a trip from Newburgh, NY to
Manhattan to Charleston, WV is a trip to a defined UASI jurisdiction if passengers
embark or disembark in Manhattan. Part III Section D provides a list of FY 2009
UASI jurisdictions.
•
Tier I is defined as intercity bus companies that have an operational fleet of 250
buses or more and meet the minimum eligibility requirements established above.
•
Tier II is defined as all other intercity bus systems that meet the minimum
eligibility requirements established above.
Note: Intracity bus service is not eligible for funding under the FY 2009 IBSGP.
Funding for intracity bus security is being addressed through the FY 2009 Transit
Security Grant Program.
Ineligible Service Categories
• School buses
• Fixed service routes under contract to transit authorities within UASI
jurisdictions
• Fixed service routes not stopping in qualifying UASI jurisdictions
• Intracity trolley and/or tour services
• Bus company owners that are not operators
Note: Eligible applicants may submit one application for funding of up to three projects.
If a bus company operates both a fixed route and a charter bus service, only one
application may be submitted for that company. However, the specific projects included
in that application may address one or both of the services, assuming both are eligible
under the FY 2009 IBSGP guidelines.
Eligible Applicants and the Role of State Administrative Agencies (SAA)
The Federal Emergency Management Agency (FEMA) will ensure that SAAs are aware
of bus projects funded under this program.
B. Cost Sharing
The maximum Federal share of any project supported through IBSGP is 75%.
Therefore, grantees are required to provide non-Federal funding (cash or in-kind) of at
least 25% of approved project costs for the FY 2009 IBSGP. For example, if the total
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project cost is $100,000, the maximum the DHS grant award would be is $75,000 with
the grantee required to provide the remaining 25%, or $25,000, of the project cost.
Please see 2 CFR Part 215.23 for further details on cost-sharing requirements for
IBSGP grantees.
C. Restrictions
Please see Section IV.E. for Management and Administration (M&A) limits, and
allowable/unallowable costs guidance.
D. Other
FY 2009 Tier 1 Urban Areas
(CA)
Los Angeles/Long Beach Area
(NJ)
Jersey City/Newark Area
(CA)
Bay Area
(NY)
New York City Area
(DC)
National Capital Region
(TX)
Houston Area
(IL)
Chicago Area
FY 2009 Tier 2 Urban Areas
(AZ)
Phoenix Area
(NV)
Las Vegas Area
(AZ)
Tucson Area
(NY)
Albany Area
(CA)
Riverside Area
(NY)
Buffalo Area
(CA)
Sacramento Area
(NY)
Rochester Area
(CA)
San Diego Area
(NY)
Syracuse Area
(CA)
Anaheim/Santa Ana Area
(OH)
Cincinnati Area
(CA)
Oxnard Area
(OH)
Cleveland Area
(CO)
Denver Area
(OH)
Columbus Area
(CT)
Bridgeport Area
(OH)
Toledo Area
(CT)
Hartford Area
(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
(IN)
Indianapolis Area
(TN)
Nashville 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
(NC)
Charlotte Area
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PART IV.
APPLICATION AND SUBMISSION
INFORMATION
A. Address to Request Application Package
DHS participates in the Administration’s e-government initiative. As part of that
initiative, all applications must be filed using the Administration’s common electronic
“storefront” -- grants.gov. Eligible entities must apply for funding through this portal,
accessible on the Internet at http://www.grants.gov. To access application forms and
instructions, select “Apply for Grants,” and then select “Download Application Package.”
Enter the CFDA and/or the funding opportunity number located on the cover of this
announcement. Select “Download Application Package,” and then follow the prompts to
download the application package. To download the instructions, go to “Download
Application Package” and select “Instructions.” If you experience difficulties or have any
questions, please call the grants.gov customer support hotline at (800) 518-4726.
B. Content and Form of Application
1. On-line application. The on-line application must be completed and submitted
using grants.gov after Central Contractor Registry (CCR) registration is confirmed.
The on-line application includes the following required forms and submissions:
•
•
•
•
•
•
•
•
Investment Justification
Any additional Required Attachments
Standard Form 424, Application for Federal Assistance
Standard Form 424A, Budget Information
Standard Form 424B Assurances
Standard Form 424C, Budget Information-Construction Form (if applicable)
Standard Form 424D, Assurances-Construction Programs (if applicable)
Standard Form LLL, Disclosure of Lobbying Activities
The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is
“Intercity Bus Security Grant Program.” The CFDA number is 97.057.
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.
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3. DUNS number. The applicant must provide a Dun and Bradstreet Data Universal
Numbering System (DUNS) number with their application. This number is a required
field within grants.gov and for CCR Registration. Organizations should verify that
they have a DUNS number, or take the steps necessary to obtain one, as soon as
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 IBSGP application process,
applicants must develop a formal Investment Justification that addresses each
initiative being proposed for funding, including estimated M&A costs. 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.
IBSGP applicants must provide information in the following categories for each
proposed investment, as captured by the Investment Justification template detailed
on pages 13-18:
I. Background
II. Strategic and program priorities
III. Impact
IV. Funding and implementation Plan
Data Submission Requirements for Tier I and II
To be considered under for the FY 2009 IBSGP applicants must furnish fleet size
within their application in section I.C. of the investment justification template on page
14. Applicants that meet the minimum IBSGP eligibility requirements and maintain
an operational fleet of at least 250 over-the-road buses used in fixed route or charter
service categories will be designated as Tier I. Other applicants that meet the
minimum eligibility requirements will be considered in Tier II. Applicants are asked to
provide the following data within section I.C. of their investment justification:
• Total number of over-the-road buses in service (excluding vehicles not in
operation).
• Total number of over-the-road buses in eligible service categories.
• The number of over-the-road buses utilized in each eligible service category
and the UASI jurisdiction(s) being served. Also, identify how many of these
service multiple UASI jurisdictions.
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•
A source which would allow DHS to verify fleet size, such as standard
inventory documents, insurance policies on covered buses, copies of Unified
Carrier Registrations, Single State Registrations, Department of
Transportation numbers, etc.
Applicants that provide incorrect fleet size data may be ineligible to receive IBSGP
funding.
6. Detailed budget. The applicant must also provide a detailed budget for the funds
requested. The budget must be complete, reasonable, and cost-effective in relation
to the proposed project. The budget should provide the basis of computation of all
project-related costs, any appropriate narrative, and a detail of all M&A costs. The
budget should also demonstrate the required match.
The detailed budget must be submitted with the grant application as a file
attachment within grants.gov. Applicants must use the following file naming
convention when submitting required documents as part of the FY 2009 IBSGP:
Legal Name of Bus Company_IJ Number_Budget (Example: ABC Bus
Lines_IJ#1_Budget)
A detailed budget template is provided on pages 20-23.
7. Vulnerability Assessment and Security Plan Certification Statement (if
applicable). If an operator already has a current (updated within the last three years)
vulnerability assessment and security plan and wishes to apply for other projects,
they must certify as such using the certification statement on page 24.
Investment Justification Template
Investment Heading
State
Bus System Name
Urban Area(s) Served
Investment Name
Investment Phase
Requested 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. It will also be used to confirm eligibility.
I.A. Identify the bus system and that system’s point(s) of contact (POC) and Chief Executive
Officer (CEO), as well as the POC and CEO for additional bus systems/partners.
Not to exceed ½ page
Word Limit
13
Response Instructions
Identify the following:
• POC’s name and title;
• POC’s full mailing address;
• POC’s telephone number;
• POC’s fax number;
• POC’s email address;
• CEO’s name;
• CEO’s full mailing address;
• CEO’s telephone number;
• CEO’s email address;
• POC and CEO information (as above) for additional bus
systems/partners; and,
• Include the corresponding information for the single authorizing official
for your organization—i.e., the individual authorized to sign a grant
award.
I.B. Describe the extent of your operations in UASI jurisdictions. (Note – this response will help
DHS determine your eligibility to participate in the FY 2009 IBSGP.)
Not to exceed ¼ page
Page Limit
Response Instructions Provide:
• A list of UASI jurisdictions serviced;
• For charter services only, the number of trips annually to each UASI
jurisdiction (must be a minimum of 50 trips); and,
• A source, such as a web site or brochure, which would allow DHS to
verify service provided.
I.C. Describe the size of your fleet. (Note – this response will determine the Tier in which you will
compete for funding as part of the FY 2009 IBSGP.)
Not to exceed ¼ page
Page Limit
Response Instructions Provide:
• The number of over-the-road buses in your fleet; and,
• A source, such as a web site or brochure, which would allow DHS to
verify fleet size.
I.D. Describe your system infrastructure and scope of operations for fixed-route services and/or
charter services.
Not to exceed 2 pages
Page Limit
Response Instructions For fixed-route services, address each of the following factors:
o System Infrastructure;
o Area of Operations;
o Number of Passengers (Annually);
o Number of Miles Driven (Annually);
o Number of Employees (Specify categories, such as drivers,
administration, management, and mechanics);
o Description of Terminals/Bus Lots:
¾ Number of Terminals/Bus Lots (Owned/Leased and Operated);
¾ Location (street address and city) of each Terminal/Bus Lot
(within which UASI jurisdiction it is located);
o Passenger Traffic for Each Terminal;
o Other tenants at Each Terminal (other bus companies);
o Any other important system features.
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For charter services, address each of the following factors:
o Company Infrastructure;
o Area of Operations;
o Number of Passengers (Annually);
o Number of Employees (Specify categories, such as drivers,
administration, management, and mechanics);
o Description of Bus Lots:
¾ Number of Bus Lots (Owned/Leased and Operated);
¾ Location of each Bus Lot (within which UASI jurisdiction it is
located); and,
o Any other important features of the charter service.
II. Strategic and Program Priorities
II.A. Provide an abstract for this investment.
Not to exceed 1 page
Page Limit
Response Instructions Provide a statement summarizing this investment, addressing the following
questions:
• What bus security risk will the project address?
• How will the investment address a transportation security need?
• How will the investment enhance overall system security?
II.B. Describe how the investment will address one or more of the Intercity Bus Security
Fundamentals.
Page Limit
Response Instructions
Not to exceed 1 page
• Describe how, and the extent to which, the proposed investment
addresses one or more of the following:
o Development of assessments or security plans
o Operating and capital costs associated with over-the-road bus
security awareness, preparedness, and response training,
including training for front-line employees for potential security
threats and conditions as well as training developed by institutions
of higher education and by non-profit employee labor
organizations, for over-the-road bus employees
o Live or simulated exercises for the purpose of assessing and
improving the capabilities of entities to prevent, prepare for,
mitigate, respond to, and recover from acts of terrorism
o Public awareness campaigns for enhanced over-the-road bus
security.
o Operational costs to hire, train, and employ police and security
officers, including canine units, assigned to full-time security or
counterterrorism duties related to over-the-road bus transportation,
including reimbursement of State, local, and tribal government
costs for such personnel
o Modifying over-the-road buses to increase their security
o Installing cameras and video surveillance equipment on over-theroad buses and at terminals, garages, and over-the-road bus
facilities
o Constructing and modifying terminals, garages, and facilities,
including terminals and other over-the-road bus facilities owned by
State or local governments, to increase their security
15
o
o
o
o
o
o
Establishing and improving an emergency communications system
linking drivers and over-the-road buses to the recipient’s
operations center or linking the operations center to law
enforcement and emergency personnel.
Implementing and operating passenger screening programs for
weapons and explosives
Protecting or isolating the driver of an over-the-road bus
Chemical, biological, radiological, or explosive detection, including
canine patrols for such detection
Acquiring, upgrading, installing, or operating equipment, software,
or accessorial services for collection, storage, or exchange of
passenger and driver information through ticketing systems or
other means and for information links with government agencies,
for security purposes
Overtime reimbursement, including reimbursement of State, local,
and tribal governments for costs, for enhanced security personnel
assigned to duties related to over-the-road bus security during
periods of high or severe threat levels, National Special Security
Events, or other periods of heightened security as determined by
the Secretary of DHS
Note: If this investment is for a facility security enhancement, you must
identify the exact location of the facility.
•
Regardless which priority above is addressed through the investment,
ensure that your response includes a justification for your approach to
accomplishing your goals and objectives. Provide an explanation that
considers answering such questions as:
o Has a security assessment been conducted? If so, identify who
conducted the assessment, when it was completed, and
summarize the results;
o How does the proposed approach achieve the best possible
balance of enhanced security and cost effectiveness available to
your organization?
o Other unique, organization-specific factors leading to this project
investment?
III. Impact
III.A. Describe how the project offers the highest risk reduction potential at the least cost.
Not to exceed ½ page
Page Limit
Response Instructions
• Discuss how the project will reduce risk in a cost effective manner.
o 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,
o Identify the nature of the risk, why you consider it a 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).
III.B. Discuss the anticipated impacts of the investment in terms of outputs and outcomes.
Not to exceed ½ page
Page Limit
16
Response Instructions
• Outline the expected, high-level impacts this investment is expected to attain/
achieve if implemented.
• Explain at a high level how IBSGP funding will help achieve these impacts –
briefly define your metrics of success in either:
• Outputs (i.e., X people will be trained as a result of this program), or
• Outcomes (i.e., This training has been shown to increase X standard of
preparedness by Y% and therefore we estimate that we will increase our
baseline preparedness by Z% after the implementation of this project)
IV. Funding & Implementation Plan
IV.A. Investment Funding Plan.
Not to exceed 1 page
Page Limit
Response Instructions • Complete the chart below to identify the amount of funding that is being
requested for this investment only;
• Funds should be requested by allowable cost categories (as identified in the
FY 2009 IBSGP Guidance 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 IBSGP) will
be leveraged for this investment.
Note: Investments will be evaluated on the expected impact on security
relative to the amount of the investment (i.e., cost effectiveness). An
itemized Budget Detail Worksheet and Budget Narrative must also be
completed for this investment. See Page 20 of this document for a
sample format.
Federal IBSGP
Request
Total Match
(Cash or In-Kind)
Grand Total
Facility Security Enhancements
Enhanced Ticket Identification and
Passenger Screening
Vehicle and Driver Security
Enhancements
Emergency Communications
Coordination with Local Police
and Emergency Responders
Training
Exercises
Development of Vulnerability
Assessments/Security Plans
M&A
Total
IV.B. Identify up to five (5) potential challenges to the effective implementation of this investment
(e.g., stakeholder buy-in, sustainability, aggressive timelines).
Not to exceed ½ page
Page Limit
Response Instructions To identify potential challenges:
• 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
17
implementation; and,
• Explain why those areas present the greatest challenge to a successful
investment implementation.
Identify the top challenges (up to 5):
• 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.
IV.C. Discuss funding resources beyond this fiscal year’s funding that have been identified and will
be leveraged to support the implementation and sustainment of this investment, including
matching resources.
Not to exceed ½ page
Page Limit
Response Instructions • In addition to the required match discuss other funding sources (e.g., nonIBSGP grant programs, public or private agreements, future fiscal year grants)
that you plan on utilizing for the implementation and/or continued sustainment
of this investment;
• If no other funding resources have been identified beyond the required
match, or if none are necessary, provide rationale as to why the requested FY
2009 IBSGP funding is sufficient for the implementation and sustainment of
this investment.
IV.D. Provide a high-level timeline, milestones and dates, for the implementation of this
investment. Up to 10 milestones may be provided.
Not to exceed 1 page
Page Limit
Response Instructions Applicants should supply a timeline indicating the proposed milestones within
the project keeping in mind the performance period on the grant is up to 36
months. The sample table below may aid the applicant.
• 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 to sufficiently describe the project;
• Milestones are for this discrete investment – those that are covered by the
requested FY 2009 IBSGP 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).
• Examples of possible milestones:
• Define kill switch implementation plan
• Complete installation
• Complete successful test of kill switches
18
SAMPLE MILESTONES
Sample Project Milestones
Anticipated Dates
Grant is awarded
Award Date
Grantee works on EHP and Financial clearance
Award Date + 3 months
Grantee receives confirmation that special conditions
are released
Release of Funds Date
Grantee works with vendors to obtain GPS Unit
contract
Release Date + 1 month
Vendor equips GPS units onto buses
Release Date + 6 months
Grantee trains staff on new GPS units
Release Date + 7 months
GPS Project is complete
Release Date + 9 months
Grantee submits final closeout documents to FEMA
GPD
Release Date + 12 months
19
Sample Budget Detail Worksheet
Purpose. The Budget Detail Worksheet may be used as a guide to assist applicants in the
preparation of the budget and budget narrative. You may submit the budget and budget
narrative 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 3day 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
TOTAL _________
20
Computation
Cost
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. Supply 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
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal ___________
21
Cost
Consultant Expenses: List all expenses to be paid from the grant to the individual consultant in
addition to their fees (i.e., travel, meals, lodging, etc.)
Item
Location
Computation
Cost
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal __________
Contracts: Provide a description of the product or services to be procured by contract and an
estimate of the cost. Applicants are encouraged to promote free and open competition in
awarding contracts. A separate justification must be provided for sole source contracts in
excess of $100,000.
Item
Cost
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal ________
TOTAL __________
G. Other Costs. List items (e.g., reproduction, 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
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Important Note: If applicable to the project, construction costs should be included in this
section of the Budget Detail Worksheet.
TOTAL _________
22
Cost
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
H. Indirect Costs
* TOTAL PROJECT COSTS
Federal Request
Non-Federal Amount
__________
__________
23
Vulnerability Assessment and Security Plan Certification Statement
Operators that have already completed vulnerability assessments and developed
security plans can use the below statement as their certification, and submit it as part of
their grant application. For operators that request funds for those purposes, this
statement must be submitted upon request.
I, [insert name], as [insert title] of [insert name of bus company], certify that a
vulnerability assessment has been completed and a security evaluation
preparedness plan has been developed or updated for my company within the
last three years.
____________________________________________________________________
Signature
Date
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.
During the application period, 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 IBSGP, and to help in submission of projects
that will have the highest impact on reducing risks for the intercity bus systems and their
customers.
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.
24
E. Funding Restrictions
In administering the program, the eligible intercity bus system(s) must comply with the
following general requirements:
1. Management and Administration. Any management and administration (M&A)
costs associated with individual projects submitted for consideration of funding under
the FY 2009 IBSGP must be included in the budget for that project. M&A costs
associated with managing the overall IBSGP award itself must be accounted for
separately. M&A costs may not exceed three percent (3%) of the total grant award.
FY 2009 IBSGP funds may be used for the following M&A costs:
• Hiring of full-time or part-time staff or contractors/consultants: To assist with
the management of the FY 2009 IBSGP
• Travel expenses: To assist with the management of the FY 2009 IBSGP
• Meeting-related expenses: To assist with the management of the FY 2009
IBSGP
For a complete list of allowable meeting-related expenses, please review FAR, Part
31.2.
2. Minimum Project Amounts
• For Tier I applicants, the minimum amount that may be requested for projects
focused on training and/or exercises is $50,000. There is no minimum
amount for vulnerability assessment or security plan development. The
minimum amount that may be requested for other projects is $100,000.
• For Tier II applicants, the minimum amount that may be requested for projects
focused on training and/or exercises is $5,000. There is no minimum amount
for vulnerability assessments or security plan development. The minimum
amount that may be requested for other projects is $25,000.
3. Construction Projects Guidance
• FY 2009 IBSGP recipients using funds for construction projects must comply
with the Davis-Bacon Act. Grant recipients must ensure that their contractors
or subcontractors for construction projects pay workers employed directly at
the work-site no less than the prevailing wages and fringe benefits paid on
projects of a similar character. Additional information, including Department
of Labor wage determinations, is available from the following website:
http://www.dol.gov/esa/programs/dbra/.
4. Vulnerability Assessment and Security Plan. Per the 9/11 Act, in order to be
eligible, the operator must have conducted a vulnerability assessment and
developed a security plan. If the operator already has a current (updated within
the last three years) vulnerability assessment and security plan, they must certify as
such. (Please see Part IV. Section B for a certification statement.) If the operator
25
has not conducted a vulnerability assessment and/or developed a security plan, then
FY 2009 IBSGP funding may be used to meet those requirements.
If the operator does not have a vulnerability assessment and/or security plan,
or if they are not current, then the only project that they can propose is for the
vulnerability assessment and security plan development. Other project
requests will not be considered until the vulnerability assessments and
security plans are developed and/or certified by the bus operator. Further:
• Tier I operators must complete them within one year of the grant award. The
assessments and plans must be submitted to DHS through the cooperative
agreement quarterly meetings. If a grant recipient does not submit a
vulnerability assessment or security plan within one year, the recipient will be
required to return their grant award, in full, to DHS.
• Tier II operators are highly encouraged to complete them within one year of
the grant award. Tier II operators should be prepared to submit them upon
request.
Eligible grantees in both Tier I and Tier II may request FY 2009 IBSGP funding to
conduct a vulnerability assessment and develop a security plan, and must still meet
the above requirements. See Part IV, Section B for the Vulnerability
Assessment/Security Plan certification form.
A security plan template is available on the following website:
http://www.tsa.gov/join/grants/ibsgp.shtm.
5. Corporate Security Review (CSR) and Audit. By accepting a FY 2009 IBSGP
award, the grantee must allow DHS to perform a CSR and audit upon request.
Grantees will be required to provide basic information concerning critical assets,
threat assessments, vulnerability assessments, management and oversight of the
security plan, personnel security, training, secure areas, exercises, cyber security,
and physical security countermeasures.
6. Allowable Costs. Specific investments made in support of the funding priorities
discussed in Part I of the grant guidance generally fall into one of seven categories.
Applicants may only request funding for 3 projects under the FY 2009 IBSGP. Project
components should be related as defined by the project types below. FY 2009 IBSGP
allowable costs are therefore divided into the following seven categories:
Facility Security Enhancements
FY 2009 IBSGP funds may be used for the following facility security enhancement
costs:
• Capital Projects. Grant funds may be used on projects that focus on lighting,
fencing, securing gates, door access codes, cameras, etc.
• Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff or
contractors/consultants may be hired to support facility security
enhancement-related activities. The applicant's formal written procurement
policy or 2 CFR Part 215 must be followed.
26
Vehicle/Driver Security Enhancements
FY 2009 IBSGP funds may be used for the following costs:
• Vehicle security enhancements focus on theft prevention, real-time bus
inventory and inventory control, tracking, monitoring, and locating
technologies. Applicants are discouraged from submitting projects that
propose the use of CCTV as an on-board deterrent to terrorism. Driver
security enhancements focus on protection for the bus driver to prevent
would-be terrorists from immobilizing the driver and/or hijacking the bus.
• Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff or
contractors/consultants may be hired to support security enhancementrelated activities. The applicant's formal written procurement policy or 2 CFR
Part 215.40, Procurement Standards, must be followed.
Passenger Screening
FY 2009 IBSGP funds may be used for the implementation and operation of
passenger screening programs. These screening programs should focus on
weapons and explosives.
Training
FY 2009 IBSGP funds may be used for the following training activities:
• Training Workshops and Conferences. Grant funds may be used to plan and
conduct training workshops or conferences to include costs related to
planning, meeting space and other meeting costs, facilitation costs, materials
and supplies, travel and training plan development.
• Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff may
be hired to support training-related activities. The services of
contractors/consultants may also be procured by the State in the design,
development, conduct, and evaluation of CBRNE training. The applicant's
formal written procurement policy or 2 CFR Part 215.40, Procurement
Standards, must be followed.
• Overtime and Backfill Costs. Overtime and backfill costs associated with the
design, development, and conduct of CBRNE training are allowable
expenses. Payment of overtime expenses will be for work performed by
recipient or sub-recipient employees in excess of the established work week
(usually 40 hours) related to the planning and conduct of the training
project(s). Further, overtime payments and backfill costs associated with
sending personnel to training are allowable, provided that the event being
attended is a DHS-approved course. Grant funds cannot be used for
personnel or salary costs for employees to attend training sessions.
Grantees seeking to claim overtime or backfill costs will be required to submit
verification. Straight time costs are not eligible expenses.
• 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
27
•
•
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.
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 include the rental of space/locations for planning
and conducting training, badges, etc.
Note: FY 2009 IBSGP funding is not intended as a hiring program and funds may
not be used to support hiring that would support new or existing full-time employee
positions.
Exercises
FY 2009 IBSGP funds may be used for the following exercise activities:
• Exercise Planning Workshop. Grant funds may be used to plan and conduct
an Exercise Planning Workshop to include costs related to planning, meeting
space and other meeting costs, facilitation costs, materials and supplies,
travel and exercise plan development.
• Contractors/Consultants. Contractors/Consultants staff may be hired to
support exercise-related activities. The services of contractors/consultants
may also be procured to support the design, development, conduct, and
evaluation of terrorism exercises. The applicant's formal written procurement
policy or 2 CFR Part 215.40, Procurement Standards, must be followed.
• Overtime and Backfill Costs. Overtime and backfill costs associated with the
design, development, and conduct of terrorism exercises are allowable
expenses. Payment of overtime expenses will be for work performed by
employees of public sector recipients or sub-recipients in excess of the
established work week (usually 40 hours) related to the planning and conduct
of the exercise project(s). Further, overtime payments and backfill costs
associated with sending personnel to exercises are allowable, provided that
the event being attended is a DHS sponsored exercise. Grant funds cannot
be used for personnel or salary costs for employees to attend exercises.
Grantees seeking to claim overtime or backfill costs will be required to submit
verification. Straight time costs are not eligible expenses.
• 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 exercise project(s). 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 State or
Territory does not have a travel policy they must follow Federal guidelines
and rates, as explained in 2 CFR Part 215.
• Supplies. Supplies are items that are expended or consumed during the
course of the planning and conduct of the exercise project(s) (e.g., copying
paper, gloves, tape, non-sterile masks, and disposable protective equipment).
28
•
Other Items. These costs include the rental of space/locations for exercise
planning and conduct, exercise signs, badges, etc.
Development of Vulnerability Assessment and Security Plans
FY 2009 IBSGP funds may be used for the following types of activities:
Vulnerability Assessments
• The identification and evaluation of critical assets and infrastructure, including
platforms, stations, terminals, and information systems
• The identification of vulnerabilities to those assets and infrastructure
• The identification of weaknesses in physical security; passenger and cargo
security; the security of programmable electronic devices, computers, or other
automated systems which are used in providing over-the-road bus
transportation; alarms, cameras, and other protection systems;
communications systems and utilities needed for over-the-road bus security
purposes, including dispatching systems; emergency response planning; and
employee training
Security Plans
• The identification of a security coordinator having authority to implement
security actions, coordinate security improvements, and receive
communications from appropriate Federal officials regarding over-the-road
bus security
• A list of needed capital and operational improvements
• Procedures to be implemented or used by the operator in response to a
terrorist attack, including evacuation and passenger communication plans that
include individuals with disabilities
• The identification of steps taken with State and local law enforcement
agencies, emergency responders, and Federal officials to coordinate security
measures and plans for response to a terrorist attack
• A strategy and timeline for conducting training to prepare front-line employees
for potential security threats and conditions
• Enhanced security measures to be taken by the operator when the Secretary
declares a period of heightened security risk
• Plans for providing redundant and backup systems required to ensure the
continued operation of critical elements of the operator’s system in the event
of a terrorist attack
Other Authorized Expenditure Guidance
• Emergency communications technology that focus on theft prevention, realtime bus inventory, tracking, monitoring, and locating technologies.
• Coordinating with local police and emergency responders that are evaluated
as activities to address the response to and recovery of a catastrophic event
and/or a terrorist attack.
• Training and Exercises that focus on domain awareness training and
participating in exercises to coordinate and prepare for an incident or attack.
29
•
Improvement of ticket identification and further implementation of passenger
and baggage screening enhancements that focus on programs which utilize
an established methodology for screening passengers, their carry-on
baggage, and/or their checked baggage, for weapons and/or explosives.
Note: For equipment, unless otherwise noted, equipment must be certified that it
meets required regulatory and/or DHS-adopted standards to be eligible for purchase
using these funds. Equipment must comply with the Occupational Safety and Health
Administration (OSHA) requirement for certification of electrical equipment by a
nationally recognized testing laboratory, and demonstrate compliance with relevant
DHS-adopted standards through a supplier’s declaration of conformity with
appropriate supporting data and documentation per ISO/IEC 17050, parts 1 and 2.
In addition, agencies must have all necessary certifications and licenses for the
requested equipment, as appropriate prior to the request. Any equipment purchased
with IBSGP funds must be solely used for IBSGP projects and cannot have a dualuse function. For instance, a computer used to monitor a CCTV system cannot also
be used for general office work.
A list of applicable standards is found at the following website: http://rkb.mipt.org.
7. Unallowable Costs
FY 2009 IBSGP funds may not be used for the following activities:
• Expenditures for items such as general-use software (word processing,
spreadsheet, graphics, etc), general-use computers and related equipment
(other than for allowable M&A activities, or otherwise associated
preparedness or response functions), general-use vehicles, licensing fees,
recurring operating costs (e.g., cell phone services, maintenance contracts,
etc.), weapons systems, and ammunition
• Activities unrelated to the completion and implementation of projects
approved under the IBSGP
• Personnel costs (except as noted under Allowable Training, Exercise, and
Management & Administration Costs above)
• Maintenance costs
• Monthly service charges or recurring costs
• Pre-agreement costs (i.e., costs incurred prior to the start of the grant period)
• Other indirect costs (i.e. property purchase, depreciation, or amortization
expenses)
30
PART V.
APPLICATION REVIEW INFORMATION
A. Review Criteria
The review panel uses the following criteria to score applications. Applicants can score
up to 110 points.
Funding priorities. Projects will be evaluated and prioritized based on the extent to
which they address the specific funding priorities contained in Part I of this FY 2009
Program Guidance and Application Kit. The investment justification should provide
details on specific needs to be addressed, vision, goals and objectives. It should also
provide evidence of how the project fits into an overall effort to meet critical
infrastructure security requirements, and how the investment provides significant
security impact.
Possible Review Panel Score: 0-55 points
Cost effectiveness. Projects will be evaluated and prioritized on the expected impact
on security relative to the investment. The investment justification should provide
evidence of the security impact, as well as justification for the strategic usage of the
proposed budget. The project cost levels should be commensurate with the security
impact, and the proposed solution should be reasonable and advantageous over other
possible solutions.
Possible Review Panel Cost Effectiveness Score: 0-10 points
Ability to reduce risk of catastrophic events. Projects will be evaluated and
prioritized on their ability to reduce risk. The investment justification should
demonstrate an ability to reduce risk, providing evidence of the project’s security impact,
consequence of not funding the project, and strategy to address specific risk areas.
Possible Review Panel Risk Reduction Score: 0-15 points
Sustainability without additional Federal funds and leveraging of other funding.
Projects will be evaluated and prioritized regarding the extent to which they exhibit a
likelihood of success, or continued success, without requiring additional Federal
assistance, as well as offer a long-term sustainability plan.
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Possible Review Panel Sustainability Score: 0-10 points
Timelines. Projects will be evaluated and prioritized on the ability of the applicant to
complete the proposed project within submitted timeframes. The investment
justification should provide a timeline and schedule, and demonstrate evidence of ability
to complete it within submitted timeline based on proposed strategy, identified
implementation challenges, management and resource plan, and reasonableness of
anticipated schedule.
Possible Review Panel Timelines Score: 0-10 points
Risk to critical infrastructure as determined by TSA. Priority will be given to bus
systems serving Tier 1 and Tier 2 UASI jurisdictions within the Homeland Security Grant
Program and to systems with routes passing through underwater tunnels.
Possible Review Panel Critical Infrastructure Score: 0-10 points
B. Review and Selection Process
The FY 2009 IBSGP will use risk-based prioritization consistent with DHS policy. The
following method of selection will be followed under this program:
•
FEMA, in conjunction with the Transportation Security Administration (TSA),
will verify compliance with each of the administrative and eligibility criteria
identified in the application kit.
•
Eligible applications will be reviewed and scored by a Federal interagency
working group, including representatives from TSA, Federal Motor Carrier
Safety Administration (FMCSA), and FEMA.
•
TSA and FEMA will review the interagency recommendations and make
recommendations for funding to the Secretary of Homeland Security.
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.
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PART VI.
AWARD ADMINISTRATION INFORMATION
A. Notice of Award
Upon approval of an application, the grant will be awarded to the grant recipient. The
date that this is done is the “award date.” Notification of award approval is made
through the Grants Management System (GMS). Once an award has been approved, a
notice is sent to the authorized grantee official. Follow the directions in the notification
and log into GMS to access the award documents. The authorized grantee official
should carefully read the award and special condition documents. If you do not receive
a notification, please contact your Program Analyst for your award number. Once you
have the award number, contact the GMS Help Desk at (888) 549-9901, option 3, to
obtain the username and password associated with the new award.
The period of performance is 36 months. Any unobligated funds will be deobligated at
the end of the 90 day close-out period. Extensions to the period of performance will be
considered only through formal requests to FEMA with specific and compelling
justifications why an extension is required.
B. Administrative and National Policy Requirements
1. Standard Financial Requirements. The grantee and any subgrantee shall comply
with all applicable laws and regulations. A non-exclusive list of regulations
commonly applicable to DHS grants are listed below:
1.1 -- Administrative Requirements.
• 44 CFR Part 13, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments
• 2 CFR Part 215, Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other
Non-Profit Organizations (OMB Circular A-110)
1.2 -- Cost Principles.
• 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal
Governments (OMB Circular A-87)
• 2 CFR Part 220, Cost Principles for Educational Institutions (OMB Circular
A-21)
• 2 CFR Part 230, Cost Principles for Non-Profit Organizations (OMB
Circular A-122)
• Federal Acquisition Regulations (FAR), Part 31.2 Contract Cost Principles
and Procedures, Contracts with Commercial Organizations
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1.3 -- Audit Requirements.
• OMB Circular A-133, Audits of States, Local Governments, and Non-Profit
Organizations
1.4 -- Duplication of Benefits. There may not be a duplication of any federal
assistance, per A-87, Basic Guidelines Section C.3 (c), which states: Any cost
allocable to a particular Federal award or cost objective under the principles
provided for in this Circular may not be charged to other Federal awards to
overcome fund deficiencies, to avoid restrictions imposed by law or terms of the
Federal awards, or for other reasons. However, this prohibition would not
preclude governmental units from shifting costs that are allowable under two or
more awards in accordance with existing program agreements.
2. Non-supplanting Requirement. Grant funds will be used to supplement existing
funds, and will not replace (supplant) funds that have been appropriated for the
same purpose. Applicants or grantees may be required to supply documentation
certifying that a reduction in non-Federal resources occurred for reasons other than
the receipt or expected receipt of Federal funds.
3. Technology Requirements.
3.1 -- National Information Exchange Model (NIEM). FEMA requires all
grantees to use the latest NIEM specifications and guidelines regarding the use
of Extensible Markup Language (XML) for all grant awards. Further information
about the required use of NIEM specifications and guidelines is available at
http://www.niem.gov.
3.2 -- Geospatial Guidance. Geospatial technologies capture, store, analyze,
transmit, and/or display location-based information (i.e., information that can be
linked to a latitude and longitude). FEMA encourages grantees to align any
geospatial activities with the guidance available on the FEMA website at
http://www.fema.gov/grants.
3.3 -- 28 CFR Part 23 Guidance. FEMA requires that any information
technology system funded or supported by these funds comply with 28 CFR Part
23, Criminal Intelligence Systems Operating Policies, if this regulation is
determined to be applicable.
4. Administrative Requirements.
4.1 -- Freedom of Information Act (FOIA). FEMA recognizes that much of the
information submitted in the course of applying for funding under this program or
provided in the course of its grant management activities may be considered law
enforcement sensitive or otherwise important to national security interests. While
this information under Federal control is subject to requests made pursuant to the
Freedom of Information Act (FOIA), 5 U.S.C. §552, all determinations concerning
the release of information of this nature are made on a case-by-case basis by the
34
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
and local laws and regulations regarding the release of information, which should
be considered when reporting sensitive matters in the grant application, needs
assessment and strategic planning process. The applicant may also consult
FEMA regarding concerns or questions about the release of information under
State and local laws. The grantee should be familiar with the regulations
governing Sensitive Security Information (49 CFR Part 1520), as it may provide
additional protection to certain classes of homeland security information.
4.2 -- Protected Critical Infrastructure Information (PCII). The PCII Program,
established pursuant to the Critical Infrastructure Information Act of 2002 (Public
Law 107-296) (CII Act), created a new framework, which enables State and local
jurisdictions and members of the private sector to voluntarily submit sensitive
information regarding critical infrastructure to DHS. The Act also provides
statutory protection for voluntarily shared CII from public disclosure and civil
litigation. If validated as PCII, these documents can only be shared with
authorized users who agree to safeguard the information.
PCII accreditation is a formal recognition that the covered government entity has
the capacity and capability to receive and store PCII. DHS encourages all
entities to pursue PCII accreditation to cover their State government and
attending local government agencies. Accreditation activities include signing a
memorandum of agreement (MOA) with DHS, appointing a PCII Officer, and
implementing a self-inspection program. For additional information about PCII or
the accreditation process, please contact the DHS PCII Program Office at [email protected].
4.3 -- Compliance with Federal civil rights laws and regulations. The
grantee is required to comply with Federal civil rights laws and regulations.
Specifically, the grantee is required to provide assurances as a condition for
receipt of Federal funds that its programs and activities comply with the following:
•
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C.§ 2000 et.
seq. – no person on the grounds of race, color, or national origin will be
excluded from participation in, be denied the benefits of, or be otherwise
subjected to discrimination in any program or activity receiving Federal
financial assistance.
•
Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C.§
794 – no qualified individual with a disability in the United States, shall, by
reason of his or her disability, be excluded from the participation in, be
denied the benefits of, or otherwise be subjected to discrimination in any
program or activity receiving Federal financial assistance.
35
•
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:
36
•
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:
37
•
None of the funds made available shall be used in contravention of the
Federal buildings performance and reporting requirements of
Executive Order 13123, part 3 of title V of the National Energy
Conservation Policy Act (42 USC §8251 et Seq.), or subtitle A of title I
of the Energy Policy Act of 2005 (including the amendments made
thereby).
•
None of the funds made available shall be used in contravention of
section 303 of the Energy Policy Act of 1992 (42 USC §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
38
report, such as an Environmental Assessment, Biological Assessment,
archaeological survey, cultural resources report, wetlands delineation, or other
document, as well as a public comment period. Grantees are responsible for the
preparation of such documents, as well as for the implementation of any
treatment or mitigation measures identified during the EHP review that are
necessary to address potential adverse impacts. Grantees may use these funds
toward the costs of preparing such documents and/or implementing treatment or
mitigation measures. Failure of the grantee to meet Federal, State, and local
EHP requirements, obtain applicable permits, and comply with any conditions
that may be placed on the project as the result of FEMA’s EHP review may
jeopardize Federal funding.
Recipient shall not undertake any project having the potential to impact EHP
resources without the prior approval of FEMA, including but not limited to
communications towers, physical security enhancements, new construction, and
modifications to buildings, structures and objects that are 50 years old or
greater. Recipient must comply with all conditions placed on the project as the
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
39
authors and do not necessarily represent the official position or policies of
FEMA’s Grant Programs Directorate or the U.S. Department of Homeland
Security."
4.10 -- Equipment Marking. Applicants are advised that, when practicable, any
equipment purchased with grant funding shall be prominently marked as follows:
"Purchased with funds provided by the U.S. Department of Homeland Security."
4.11 -- Disadvantaged Business Requirement. Applicants are advised that, to
the extent that recipients of a grant use contractors or subcontractors, such
recipients shall use small, minority, women-owned or disadvantaged business
concerns and contractors or subcontractors to the extent practicable.
4.12 -- National Preparedness Reporting Compliance. The Government
Performance and Results Act (Public Law 103-62) (GPRA) requires that the
Department collect and report performance information on all programs. For
grant programs, the prioritized Investment Justifications and their associated
milestones provide an important tool for assessing grant performance and
complying with these national preparedness reporting requirements. FEMA will
work with grantees to develop tools and processes to support this requirement.
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.
40
FSRs must be filed online through the PARS.
Reporting periods and due dates:
• October 1 – December 31; Due January 30
• January 1 – March 31; Due April 30
• April 1 – June 30; Due July 30
• July 1 – September 30; Due October 30
2. Categorical Assistance Progress Report (CAPR). Following an award, the
awardees will be responsible for submitting CAPRs on a semi-annual basis; CAPRs
should address performance measures and activities as described in the Investment
Justification(s). The applicable entities are responsible for completing and submitting
the CAPR reports.
The CAPR is due within 30 days after the end of the reporting period (July 30 for the
reporting period of January 1 through June 30; and January 30 for the reporting
period of July 1 though December 31). Future awards and fund drawdowns may be
withheld if these reports are delinquent.
CAPRs must be filed online at https://grants.ojp.usdoj.gov. Guidance and
instructions can be found at https://grants.ojp.usdoj.gov/gmsHelp/index.html.
Required submission: CAPR (due semi-annually).
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).
41
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 IBSGP assistance for audit and
examination purposes, provided that, in the opinion of the Secretary or the
Comptroller, these documents are related to the receipt or use of such assistance.
The grantee will also give the sponsoring agency or the Comptroller, through any
authorized representative, access to, and the right to examine all records, books,
papers or documents related to the grant.
The 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
42
remaining funds that will be deobligated, and address the requirement of maintaining
the grant records for three years from the date of the final FSR. The grantee is
responsible for returning any funds that have been drawndown but remain as
unliquidated on grantee financial records.
Required submissions: (1) final SF-269a, due 90 days from end of grant period;
and (2) final CAPR, due 90 days from the end of the grant period.
43
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 IBSGP 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
44
specific GSA Schedule contracts to save time, money, and meet their
everyday needs and missions.
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.
45
4. Exercise Direct Support. FEMA provides support to Regions, States, and local
jurisdictions in accordance with State Homeland Security Strategies and the
Homeland Security Exercise and Evaluation Program (HSEEP). Support is available
to conduct a Training and Exercise Plan (TEP) workshop, to develop a Multi-year
TEP, and to build or enhance the capacity of a jurisdiction to design, develop,
conduct, and evaluate effective exercises
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.
46
Additionally, LLIS includes online collaboration tools, including secure email and
message boards, where users can exchange information. LLIS uses strong
encryption and active site monitoring to protect all information housed on the
system. The LLIS website is https://www.llis.gov.
7. Information Sharing Systems. FEMA encourages all State, regional, local, and
Tribal entities using FY 2009 funding in support of information sharing and
intelligence fusion and analysis centers to leverage available Federal information
sharing systems, including Law Enforcement Online (LEO) and the Homeland
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.
47
PART VIII.
OTHER INFORMATION
Specific to For-Profit Entities
For-profit organizations are eligible to apply for funding under the IBSGP. The following
requirements apply specifically to for-profit entities receiving Federal funding from
FEMA.
1. Recipients of IBSGP 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 IBSGP, 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 IBSGP 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 IBSGP 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 IBSGP funds must have a financial audit and compliance audit
performed by qualified individuals who are organizationally, personally, and
externally independent from those who authorize the expenditure of federal funds.
This audit must be performed in accordance with the United States General
Accountability Office Government Auditing Standards. The audit threshold contained
in OMB Circular A-133 applies. This audit must be performed on a program-wide
basis to ascertain the effectiveness of financial management systems and internal
procedures that have been established to meet the terms and conditions of the
award. The management letter must be submitted with the audit report. Recipient
audit reports must be submitted no later than nine (9) months after the close of each
fiscal year during the term of the award. The distribution of audit reports shall be
based on requirements in the current edition of 2 CFR Part 215, Uniform
Administrative Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and Other Non-Profit Organizations (OMB Circular A-110).
Note: If your audit disclosed findings or recommendations, you must include with
your audit report a corrective action plan containing the following: (1) The name and
number of the contact person responsible for the corrective action plan; (2) specific
48
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 424A, SF 424B, SF 424C (if applicable), SF 424D (if applicable), and
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?
•
Is the type of service provided easily identifiable in the application package
(Fixed Route, Charter, or Both)?
•
For charter bus companies, are the number of UASI service areas identified?
•
Are minimum funding requirements satisfied, as addressed in Part IV?
•
For Tier I, is the cost-share requirement addressed?
•
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? (for example, a camera equipment budget line item should be
addressed in narrative form in the investment justification as it pertains to
the overall security program)
o Does the information in the detailed budget align with the budget summary
in the IJ narrative?
•
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? Does it
specify the current state of the company’s security program, the gaps that must
be filled to reduce risk, and how the project will fill that gap?
•
Is the cost effectiveness of the project clearly explained in the IJ? How does this
project provide a high security return on investment?
•
Are timelines realistic and detailed?
•
Are possible hurdles addressed in a clear and concise fashion?
•
Does the M&A total no more than 3% of the total project cost?
49
| File Type | application/pdf |
| File Title | Microsoft Word - FY 2009 IBSGP Guidance FINAL.doc |
| File Modified | 2008-11-04 |
| File Created | 2008-11-04 |