UASI - NSGP FOA Guidance

FY 2012 Nonprofit Security Grant Program (NSGP)

Funding Opportunity Announcement (FOA)

Overview Information

Issued By

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

Catalog of Federal Domestic Assistance (CFDA) Number

97.008

CFDA Title

Non-Profit Security Grant Program

Funding Opportunity Announcement Title

Fiscal Year (FY) 2012 Urban Areas Security Initiative (UASI) Nonprofit Security Grant Program (NSGP)

Authorizing Authority for Program

Consolidated Security Disaster Assistance, and Continuing Appropriations Act of 2009 (Public Law 110-329); Implementing Recommendations of the 9/11 Commission Act of 2007, Public Law 110-53

Appropriation Authority for Program

The Consolidated Appropriations Act, 2012, Division D (Public Law 112-74)

FOA Number

DHS-12-GPD-008-000-01

Key Dates and Time

Application Start Date: 02/17/2012

Application Submission Deadline Date: 05/04/2012 at 11:59:59 p.m. EDT

Anticipated Funding Selection Date: 06/29/2012

Anticipated Award Date: 09/30/2012

Other Key Dates

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

Intergovernmental Review

Is an intergovernmental review required? Yes No

If yes, applicants must contact their State’s Single Point of Contact (SPOC) to find out about and comply with the State’s process under Executive Order 12372. Name and addresses of the SPOCs are maintained at the Office of Management and Budget’s (OMB) home page at http://www.whitehouse.gov/omb/grants_spoc to ensure currency.

FOA Executive Summary

Program Type

Select the applicable program type:

New Continuing One-time

Date of origin for Program: 01/04/2007

Opportunity Category

Select the applicable opportunity category:

Discretionary Mandatory Competitive Non-competitive Sole Source

Application Process

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

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

For additional details on how to apply, please refer to Section X of the Full FOA.

Eligible Applicants

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

State governments (on behalf of eligible nonprofit organizations)

For additional information, see the Eligibility Criteria section of the Full FOA.

Type of Funding Instrument

Select the applicable funding instrument:

Grant Cooperative Agreement

Cost Share or Match

Select the applicable requirement:

Cost Match Cost Share None Required

Maintenance of Effort

Is there a Maintenance of Effort (MOE) requirement?

Yes No

Management and Administration

A maximum of up to five percent (5%) of funds awarded may be retained by the State and any funds retained are to be used solely for management and administration (M&A) purposes associated with the NSGP award. Sub-grantees may also use up to five percent (5%) of the FY 2012 NSGP funds awarded to them by the State to be used solely for M&A purposes associated with the award.

Full FOA

1. Funding Opportunity Description

Program Overview and Priorities

The FY 2012 NSGP provides $10,000,000 in funding support for target hardening and other physical security enhancements and activities to nonprofit organizations that are at high risk of terrorist attack and located within one of the specific UASI-eligible Urban Areas. While this funding is provided specifically to high-risk nonprofit organizations under The Consolidated Appropriations Act, 2012, Division D (Public Law 112-74), the program seeks to integrate nonprofit preparedness activities with broader State and local preparedness efforts. It is also designed to promote coordination and collaboration in emergency preparedness activities among public and private community representatives, as well as State and local government agencies.

Program Objectives

The FY 2012 NSGP plays an important role in the implementation of Presidential Policy Directive 8 (PPD-8) by supporting the development and sustainment of core capabilities.  Core capabilities are essential for the execution of each of the five mission areas outlined in the National Preparedness Goal (NPG). The development and sustainment of these core capabilities are not exclusive to any single level of government or organization, but rather require the combined effort of the whole community.  The FY 2012 NSGP supports all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs.

Examples of tangible outcomes from the FY 2012 NSGP include building and sustaining emergency management capabilities through:

• Building and Sustaining Core Capabilities

• Whole Community Approach to Security and Emergency Management

For additional details on priorities for this program, please refer to Appendix B – FY 2012 NSGP Program-Specific Priorities.

2. Funding Information

Award Amounts, Important Dates, and Extensions

Available Funding for this FOA: $10,000,000

Projected Number of Awards: 150

Projected Award Start Date(s): 09/30/2012

Projected Award End Date(s): 09/30/2014

Period of Performance: 24 months

Grantees must accept their grant awards no later than 90 days from the award date.  The grantee shall notify the awarding agency of its intent to accept and proceed with work under the award, or provide a written notice of intent to decline. Funds will remain on hold until the grantee accepts the award through official correspondence (e.g., written, electronic signature, signed letter or fax to the Grant Programs Directorate [GPD]), and all other conditions of award have been satisfied, or the award is otherwise rescinded. Failure to accept the grant award within the 90 day timeframe may result in a loss of funds.

Period of Performance

Is an extension to the period of performance permitted?

Yes No

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

Additional Funding Information

In FY 2012, the total amount of funds distributed under this grant program will be $10,000,000. Each nonprofit organization must apply through their SAA for up to a $75,000 grant award. The FY 2012 NSGP funds will be allocated to organizations characterized as “Section 501(c)(3)” organizations under the Internal Revenue Code of 1986 (26 U.S.C.) and deemed at high risk by the Secretary of DHS. Such nonprofit organizations must be located within one of the designated FY 2012 UASI-eligible Urban Areas.

3. Eligibility Information

Eligibility Criteria

The SAA is the only entity eligible to apply for FY 2012 NSGP funds on behalf of eligible nonprofit organizations (as described under section 501(c)(3) of the Internal Revenue Code of 1986) determined to be at high risk of terrorist attack and are located within one of the designated FY 2012 UASI-eligible Urban Areas, which are listed in Appendix A – FY 2012 UASI-Eligible Urban Areas. Eligible nonprofit organizations must provide their applications to their respective SAA in order to be considered for FY 2012 NSGP funding.

SAAs, in coordination with the Urban Area Working Groups (UAWGs), are encouraged to notify and actively inform eligible nonprofit organizations of the availability of the FY 2012 NSGP—especially organizations that have not previously applied for or received NSGP funding. It is important to ensure that ALL eligible nonprofit organizations are afforded an opportunity to seek funding.

Criteria for determining eligible applicants that are at high risk of terrorist attack include, but are not limited to:

• Identification and substantiation (e.g., police reports or insurance claims) of prior threats or attacks against the nonprofit organization or closely related organizations (within or outside the U.S.) by a terrorist organization, network, or cell

• Symbolic value of the site(s) as a highly recognized national or historical institution that renders the site as possible target of terrorism

• Role of the applicant nonprofit organization in responding to or recovering from terrorist attacks

• Findings from previously conducted risk assessments including threat or vulnerability

4. Funding Restrictions

Restrictions on Use of Award Funds

DHS grant funds may only be used for the purpose set forth in the grant and must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other Federal grants/cooperative agreements, lobbying, or intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal funds may not be used to sue the Federal government or any other government entity.

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

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

For additional details on restrictions on the use of funds, please refer to Appendix C – Funding Guidelines.

5. Application Review Information and Selection Process

Application Review Information

Applications will be reviewed through a two-phased State and Federal review process for completeness, adherence to programmatic guidelines, feasibility, and how well the Investment Justification (IJ) (project description and justification) addresses the identified risk. For additional information on how IJs are reviewed and scored at the State and Federal level, please refer to Appendix D – FY 2012 NSGP Investment Justification and Selection Criteria.

FY 2012 NSGP evaluation criteria include items such as:

• Identification and substantiation of prior threats or attacks (from within or outside the U.S.) by a terrorist organization, network, or cell against the applicant

• Symbolic value of the site(s) as a highly recognized national or historical institution(s) that renders the site as possible target of terrorism

• Role of the applicant nonprofit organization in responding to terrorist attacks

• Findings from previously conducted threat and/or vulnerability assessments

• Integration of nonprofit preparedness with broader State and local preparedness efforts

• Complete, feasible IJs that address an identified risk, including threat and vulnerability, and build or sustain a core capability identified in the NPG

• Not having received prior years’ NSGP funding

• Risk profile

Application Selection Process

Applications will be reviewed in two phases to leverage local knowledge and understanding of the applicant’s risk of a terrorist attack, while also ensuring coordination and alignment with Federal, State, and local preparedness efforts.

• State Review: Applications must be submitted by the nonprofit organization to the SAA/UAWG (if they are separate entities), no later than 11:59 p.m. EDT, April 4, 2012 to ensure adequate time for a State review of nonprofit applications.

The SAA, in coordination with the UAWG, is encouraged to conduct an initial review of all submitted applications from nonprofit organizations to first determine eligibility based on the established criteria. Once eligibility has been determined, the SAA will review and score compliant IJs using the FY 2012 NSGP Scoring Worksheet (see Appendix E- Investment Justification Scoring Worksheet) and FY 2012 Prioritization of Investment Justifications Template (OMB Control Number: 1660-0110/FEMA Form 089-24). The SAA should provide the scores from the State review along with a prioritized list of NSGP projects. Each application should receive a unique rank. Rankings should be developed based on these two factors:

• Need – The relative need for the nonprofit organization compared to the other applicants

• Impact – The potential impact of the nonprofit organization in achieving maximum prevention and/or protection results at minimal cost

The SAA should ensure that information noted in the Prioritization of Investment Justifications accurately reflects the data noted in each organization’s IJ. While completing the Prioritization of Investment Justifications, the SAA should verify the Dun and Bradstreet Data Universal Numbering System (DUNS) number, Central Contractor Registration (CCR), 501(c)(3) number, and legal organization name. Tracker information submitted by the SAA pertaining to a nonprofit(s) “Organization Type” and “Total Project Cost” will be considered during FEMA’s review and scoring process.

• Federal Review: The highest-scoring IJs from each submitting Urban Area will be reviewed by a panel of Federal evaluators. In order to determine the number of applications that will advance to the Federal Review, FEMA will multiply the available FY 2012 NSGP funding by 1.5 (150%). Applicants will then be selected from each submitting Urban Area, based on their State scores, using a top-down approach until the cumulative funding amount requested has reached 150 percent (150%).

• Final Score: To calculate the final score, the sum of each applicant’s Federal and State scores will be multiplied by a factor of three (3) for nonprofit groups that are at a high risk of terrorist attacks due to their ideology, beliefs and mission, by a factor of two (2) for medical and educational institutions, and by a factor of one (1) for all others. All final application scores will then be sorted in descending order and awardees will be selected for funding from highest to lowest until the available FY 2012 NSGP funding has been exhausted. In the event of a tie during the funding determination process, priority will be given to nonprofit organizations that have not received prior year funding and those ranked highest by their SAA. FEMA will use the final results to make funding recommendations to the Secretary of Homeland Security.

NOTE: Upon award, recipients may only fund Investments that were included within the FY 2012 IJs that were submitted to FEMA and evaluated through the Federal review process.

6. Post-Selection and Pre-Award Guidelines

Notice of Award

All successful applicants for all DHS grant and cooperative agreements are required to comply with DHS Standard Administrative Terms and Conditions available within Section 6.1.1of http://www.dhs.gov/xlibrary/assets/cfo-financial-management-policy-manual.pdf.

Upon approval of an application, the award will be made in the form of a grant. The date the approval of award is entered in the system is the “award date.” Notification of award approval is made through the ND Grants system through an automatic e-mail to the grantee point of contact listed in the initial application. Once an award has been approved and recorded in the system, a notice is sent to the authorized grant official. Follow the directions in the notification to accept your award documents. The authorized grant official should carefully read the award package for instructions on administering the grant and to learn more about the terms and conditions associated with responsibilities under Federal awards.

Administrative and Federal Financial Requirements

Grantees are obligated to submit various financial and programmatic reports as a condition of their award acceptance. Please see below for a summary of financial and/or programmatic reports as required. Future awards and funds drawdown may be withheld if these reports are delinquent.

1. Federal Financial Report (FFR) – required quarterly. Obligations and expenditures must be reported on a quarterly basis through the FFR (SF-425). A report must be submitted for every quarter of the period of performance, including partial calendar quarters, as well as for periods where no grant activity occurs. Future awards and fund draw downs may be withheld if these reports are delinquent. The final FFR is due 90 days after the end date of the performance period. FFRs must be filed electronically through the Payment and Reporting System (PARS).

2. Grant Close-Out Process. Within 90 days after the end of the period of performance or after a Grant Adjustment Notice (GAN) has been issued to close out a grant, whichever comes first, grantees must submit a final FFR and final progress report detailing all accomplishments throughout the period of performance. After these reports have been reviewed and approved by FEMA, a close-out notice will be completed to close out the grant. The notice will indicate the period of performance as closed, list any remaining funds that will be deobligated, and address the requirement of maintaining the grant records for three years from the date of the final FFR. The grantee is responsible for returning any funds that have been drawn down but remain as unliquidated on grantee financial records.

Programmatic Reporting Requirements

1. Performance Progress Report (SF-PPR). Awardees are responsible for providing updated performance reports using the SF-PPR (OMB Control Number: 0970-0334) on a semi-annual basis. The SF-PPR is due within 30 days after the end of the reporting period (July 30 for the reporting period of January 1 through June 30; and January 30 for the reporting period of July 1 through December 31). Grantees should submit the SF-PPR as an attachment to the ND Grants system. The SF-PPR can be accessed online at http://www.na.fs.fed.us/fap/SF-PPR_Cover%20Sheet.pdf. 

2. Biannual Strategy Implementation Reports (BSIR). Grantees are responsible for completing and submitting the BSIR reports, as a complement to the programmatic performance report/SF-PPR. The BSIR is due within 30 days after the end of the reporting period (July 30 for the reporting period of January 1 through June 30; and January 30 for the reporting period of July 1 through December 31). Updated obligations and expenditure information must be provided within the BSIR to show progress made toward meeting strategic goals and objectives. The first BSIR is not due until at least six months after the award notice has been received by the grantee.

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

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

4. State Preparedness Report (SPR) Submittal. Section 652(c) of the Post-Katrina Emergency Management Reform Act of 2006 (Public Law 109-295), 6 U.S.C. §752(c), requires any State that receives Federal preparedness assistance to submit an SPR to FEMA. States submitted the most recent SPR in December 2011 thus satisfying this requirement in order to receive funding under the FY 2012 NSGP.

7. DHS FEMA Contact Information

Contact and Resource Information

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

Financial and Administrative Information

1. Grant Programs Directorate (GPD). FEMA GPD’s Grant Operations Division Business Office will provide fiscal support, including pre- and post-award administration and technical assistance, to the grant programs included in this solicitation. Callers will be directed to a point of contact who will be able to assist with their financial or administrative question. Additional guidance and information can be obtained by contacting the FEMA Call Center at (866) 927-5646 or via e-mail to [email protected].

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

3. GPD Environmental Planning and Historic Preservation (GPD-EHP). The FEMA GPD-EHP Team provides guidance and information to grantees and sub-grantees related to submission of materials for EHP review. All EHP Review Packets should be sent to [email protected].

Programmatic Information

1. Centralized Scheduling and Information Desk (CSID). CSID is a non-emergency comprehensive management and information resource developed by DHS for grants stakeholders. CSID provides general information on all FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the Federal, State, and local levels. When necessary, grantees will be directed to a Federal point of contact who can answer specific programmatic questions or concerns. CSID can be reached by phone at (800) 368-6498 or by e-mail at [email protected], Monday through Friday, 9:00 a.m. – 5:30 p.m. EST.

Systems Information

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

2. Non Disaster (ND) Grants. For technical assistance with the ND Grants system, please contact [email protected] or (800) 865-4076.

8. Other Critical Information

Emergency Management Assistance Compact (EMAC) Membership

In support of the NPG, NSGP recipients must belong to or be located in member States of EMAC.

National Incident Management System (NIMS) Implementation

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

Prior to allocation of any Federal preparedness awards in FY 2012, grantees must ensure compliance and/or alignment with FY 2011 NIMS implementation plan. The list of objectives against which progress and achievement are assessed and reported can be found at http://www.fema.gov/emergency/nims/ImplementationGuidanceStakeholders.shtm#item2.

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

FEMA has developed the NIMS Guideline for Credentialing of Personnel to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes and identifies tools which Federal Emergency Response Officials (FERO) and emergency managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses.  

Although State, local, tribal, and private sector partners to include nongovernmental organizations are not required to credential their personnel in accordance with these guidelines, FEMA strongly encourages them to do so in order to leverage the Federal investment in the Federal Information Processing Standards (FIPS) 201 infrastructure and facilitating interoperability for personnel deployed outside their home jurisdiction.  Additional information can be found at http://www.fema.gov/pdf/emergency/nims/nims_alert_cred_guideline.pdf.   

9. How to apply

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

Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov, select “Apply for Grants,” 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.”

10. Application and Submission Information

Address to Request Application Package

FEMA makes all funding opportunities available on the Internet at http://www.grants.gov. If you experience difficulties accessing information or have any questions please call the Grants.gov customer support hotline at (800) 518-4726. Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov, select “Apply for Grants,” then select the CFDA number (97.008) or the FOA number (DHS-12-GPD-008-000-01) and “Download Application Package.” Enter the CFDA and/or the funding opportunity number located on the cover of this announcement. Select “Download Application Package,” and then follow the prompts to download the application package. To download the instructions, go to “Download Application Package” and select “Instructions.”

Content and Form of Application

1. Application via Grants.gov. All applicants must file their applications using the Administration’s common electronic “storefront” – http://www.grants.gov. Eligible grantees must apply for funding through this portal, accessible on the Internet at http://www.grants.gov.

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

• Standard Form 424, Application for Federal Assistance

Applying for FY 2012 NSGP funds requires a two-step process. Step One: initial submission to determine eligibility and Step Two: full application. Applicants are encouraged to initiate Step One as soon after the FOA is published but no later than April 27, 2012. This involves submitting a complete Standard Form 424 to www.grants.gov. The Standard Form 424 will be retrieved by ND Grants and the system will automatically populate the relevant data fields in the application.  Successful completion of this step is necessary for FEMA to determine eligibility of the applicant. Late submissions to Grants.gov to complete Step One could result in applicants missing the application deadline in Step Two. Once FEMA has determined an applicant to be eligible, applicants can proceed to Step Two which involves submitting the full application package via the ND Grants system. The submission deadline for the full application package is May 4, 2012.

The application must be completed and final submission made through the ND Grants system located at https://portal.fema.gov. If you need assistance registering for the ND Grants system, please contact [email protected] or (800) 865-4076.  Applicants are encouraged to begin their ND Grants registration at the time of solicitation to ensure they have adequate time to start and complete their application submission. Unless otherwise referenced, the ND Grants system includes the following required forms and submissions:

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

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

• Standard Form 424C, Budget Information (Construction)

• Standard Form 424D, Standard Assurances (Construction)

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

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

• FEMA Form 20-16C, Certifications Regarding Lobbying; Debarment, Suspension and Other Responsibility Matters; and Drug-Free Workplace Requirements (available at http://www.fema.gov/library/viewRecord.do?id=2628)

• Investment Justifications from eligible nonprofits (OMB Control Number: 1660-0110/FEMA Form 089-25)

• SAA Prioritization of Investment Justifications (in rank order) in FEMA-provided template (OMB Control Number: 1660-0110/FEMA Form 089-24)

The program title listed in the CFDA is “Non-profit Security Grant Program.” The CFDA number is 97.008.

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

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

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

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

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

Hard copies of the application will not be accepted.

Appendix A – FY 2012 UASI-Eligible Urban Areas

State/Territory	Urban Area
Arizona	Phoenix Area
California	Anaheim/Santa Ana Area
	Bay Area
	Los Angeles/Long Beach Area
	Riverside Area
	San Diego Area
Colorado	Denver Area
District of Columbia	National Capital Region
Florida	Miami/Fort Lauderdale Area
	Orlando Area
	Tampa Area
Georgia	Atlanta Area
Illinois	Chicago Area
Indiana	Indianapolis Area
Louisiana	New Orleans Area
Maryland	Baltimore Area
Massachusetts	Boston Area
Michigan	Detroit Area
Minnesota	Twin Cities Area
Missouri	Kansas City Area
	St. Louis Area
Nevada	Las Vegas Area
New Jersey	Jersey City/Newark Area
New York	New York City Area
North Carolina	Charlotte Area
Oregon	Portland Area
Pennsylvania	Philadelphia Area
Texas	Dallas/Fort Worth/Arlington Area
	Houston Area
	San Antonio Area
Washington	Seattle Area

Appendix B – FY 2012 NSGP Priorities

Presidential Policy Directive 8: National Preparedness

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

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

Using the core capabilities, we achieve the NPG by:

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

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

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

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

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

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

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

Building and Sustaining Core Capabilities

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

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

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

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

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

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

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

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

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

FY 2012 NSGP and Alignment to PPD-8

The FY 2012 NSGP plays an important role in the implementation of PPD-8 by supporting the development and sustainment of core capabilities.  Core capabilities are essential for the execution of each of the five mission areas outlined in the NPG.  The development and sustainment of these core capabilities are not exclusive to any single level of government or organization, but rather require the combined effort of the whole community.  The FY 2012 NSGP supports all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs.

Priority for FY 2012 NSGP

Advancing “Whole Community” Approach to Security and Emergency Management

Advancing “Whole Community” Approach to Security and Emergency Management provides a critical approach to implement PPD-8. Communities are challenged to develop collective, local abilities to withstand the potential impacts of natural disasters and terrorist threats, Through NSGP, nonprofit organizations will be better able to protect against and prevent terrorist attacks. For more information on the “Whole Community Approach to Emergency Management” see: http://www.fema.gov/library/viewRecord.do?id=4941.

Appendix C – Funding Guidelines

NSGP grant recipients and sub-recipients may only use NSGP grant funds for the purpose set forth in the grant, and must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other Federal grants/cooperative agreements, lobbying, or intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal funds may not be used to sue the Federal government or any other government entity.

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

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

The following pages outline general allowable and unallowable NSGP costs guidance.

1. Management and Administration (M&A). A maximum of up to five percent (5%) of funds awarded may be retained by the State and any funds retained are to be used solely for M&A purposes associated with the NSGP award. Sub-grantees may also use up to five percent (5%) of the FY 2012 NSGP funds awarded to them by the State to be used solely for M&A purposes associated with the award. M&A costs include the following categories of activities:

• Hiring of full-time or part-time staff or contractors/consultants:

• To assist with the management of NSGP funds

• To assist with design, requirements, and implementation of the NSGP

• Meeting compliance with reporting/data collection requirements, including data calls

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

• Travel expenses directly related to the M&A of NSGP funds

• Meeting-related expenses directly related to M&A of NSGP funds

2. Allowable Costs

Equipment

Allowable costs are focused on target hardening activities. Funding can be used for the acquisition and installation of security equipment on real property (including buildings and improvements) owned or leased by the nonprofit organization, specifically in prevention of and/or protection against the risk of a terrorist attack. This equipment is limited to two categories of items on the Authorized Equipment List (AEL):

• Physical Security Enhancement Equipment (Category 14)

• Inspection and Screening Systems (Category 15)

The two allowable prevention and protection categories and equipment standards for the FY 2012 NSGP are listed on the web-based version of the AEL on the Responder Knowledge Base (RKB), at http://www.rkb.us. Unless otherwise stated, equipment must meet all mandatory regulatory and/or DHS-adopted standards to be eligible for purchase using these funds, including the American Disabilities Act. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Costs associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children and adults with disabilities are allowable.

Much of the equipment purchased with NSGP funds requires Environmental and Historic Preservation (EHP) review. FEMA is legally required to consider the potential impacts of all NSGP projects on environmental resources and historic properties. Grantees must comply with all applicable environmental planning and historic preservation laws, regulations, and Executive Orders (EOs) in order to draw down their FY 2012 NSGP grant funds. To avoid unnecessary delays in starting a project, grantees are encouraged to pay close attention to the reporting requirements for an EHP review. For more information on FEMA’s EHP requirements, SAAs should refer to Information Bulletins 329 and 345 (http://www.fema.gov/government/grant/bulletins/index.shtm). Projects for which an Environmental Assessment will be needed must be identified to the FEMA Program Analyst within six (6) months of the award, and completed EHP review packets must be submitted no later than 12 months before the end of the Period of Performance. EHP review packets should be sent to [email protected]. The need for Environmental Assessments is defined in 44 CFR 10.8 and 10.9.

Training

Nonprofit organization security personnel may only use FY 2012 NSGP funds to attend security-related training courses and programs within the United States. Allowable training-related costs under the FY 2012 NSGP are limited to attendance fees for training, and related expenses, such as materials, supplies, and/or equipment. Overtime, backfill, and/or travel expenses are not allowable costs. Allowable training topics are limited to the protection of critical infrastructure key resources, including physical and cyber security, target hardening, and terrorism awareness/employee preparedness. Training conducted using FY 2012 NSGP funds must address a specific threat and/or vulnerability, as identified in the nonprofit’s IJ. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the training cycle.

Proposed attendance at training courses and all associated costs leveraging the FY 2012 NSGP must be included in the nonprofit organization’s IJ.

3. Unallowable Costs. The following projects and costs are considered ineligible for award consideration:

• Hiring of Public Safety Personnel

• Construction

• General-use Expenditures

• Overtime and Backfill

• Initiatives that do not address the implementation of programs/initiatives to build prevention and protection-focused capabilities directed at identified facilities and/or the surrounding communities

• The development of risk/vulnerability assessment models

• Initiatives that fund risk or vulnerability security assessments or the development of the IJ

• Initiatives in which Federal agencies are the beneficiary or that enhance Federal property

• Initiatives which study technology development

• Proof-of-concept initiatives

• Initiatives that duplicate capabilities being provided by the Federal government

• Organizational operating expenses

• Reimbursement of pre-award security expenses

Appendix D – FY 2012 NSGP Investment Justification and Selection Criteria

Question	Scoring Criteria
I. APPLICANT INFORMATION
Identify the following: Legal Name of the Organization Physical Address of the Facility to include the City and/or County Name Year the Original Facility was Constructed Organization Type (Short description of organization’s ideology, beliefs and mission) 501(c)(3) Number (If Applicable) Dun and Bradstreet Number1 FY 2012 Urban Area2 FY 2012 NSGP Federal Funding Request FY 2012 NSGP Total Project Cost Any Current Contract with DHS3 (Yes/No – if yes, please describe) Investment Phase – New or Ongoing (1,500 character limit not including spaces)	This information will not be scored
II. BACKGROUND
Background: Describe the nonprofit organization including: Membership and community served Symbolic value of the site(s) as a highly recognized national or historical institution that renders the site as a possible target of terrorism Any role in responding to or recovering from terrorist attacks (1,800 character limit not including spaces)	The information provided will be scored in terms of its contribution to setting context and its relationship to other questions. Out of 40 points, this section is worth 2 possible points.

Question		Scoring Criteria
III. RISK
Risk: DHS defines risk as the product of three principal variables: Threat, Vulnerability, and Consequences. In the space below, describe findings from previously conducted risk assessments, including A) Threats, B) Vulnerabilities, and C) Potential Consequences of an attack. (2,200 character limit not including spaces)	The information provided will be scored based on the indication of an understanding of the organization’s risk, including threat and vulnerabilities, as well as potential consequences of an attack. Out of 40 points, this section is worth 12 possible points.
III.A. Threat: In considering threat, the applicant should discuss the identification and substantiation of prior threats or attacks against the nonprofit organization or closely related organization by a terrorist organization, network, or cell. The applicant should also discuss findings from risk assessment, police findings, and/or insurance claims.
III.B. Vulnerabilities: In considering vulnerabilities, the applicant should discuss the organization’s susceptibility to destruction, incapacitation, or exploitation by a terrorist attack
III.C. Potential Consequences: In considering potential consequences, the applicant should discuss potential negative effects on the organization’s asset, system, and/or network if damaged, destroyed, or disrupted by a terrorist attack
IV. TARGET HARDENING
Target Hardening: In this section, describe the proposed target hardening activity, including the total Federal funds requested, that addresses the identified threat or vulnerability. Allowable costs are focused on target hardening activities as well as security-related training courses and programs limited to the protection of critical infrastructure key resources, including physical and cyber security, target hardening, and terrorism awareness/employee preparedness. Funding can also be used for the acquisition and installation of security equipment on real property (including buildings and improvements) owned or leased by the nonprofit organization, specifically in prevention of and/or in protection against the risk of a terrorist attack. This equipment is limited to two categories of items on the Authorized Equipment List (AEL). Physical Security Enhancement Equipment (AEL Category 14) Inspection and Screening Systems (AEL Category 15) The equipment categories are listed on the web based AEL on the Responder Knowledge Base (RKB), which is sponsored by DHS and located at http://www.rkb.us/. The description must identify the respective AEL category for all requested equipment. (2,200 character limit not including spaces)	Target hardening activity and impact address prevention of, protection against, and/or mitigation of the identified risk(s). Out of 40 points, this section is worth 8 possible points.
V. MILESTONES
Milestones: Provide description and associated key activities that lead to the milestone event over the FY 2012 NSGP period of performance. Start dates should reflect the start of the associated key activities and end dates should reflect when the milestone event will occur. (1,000 character limit not including spaces)		Milestones collectively present a clear sequence of events that will allow the Investment to reach its objectives for this period of performance. Out of 40 points, this section is worth 9 possible points.
VI. PROJECT MANAGEMENT
Describe the project management, including: Who will manage the project Description of any challenges to the effective implementation of this project Coordination of the project with State and local homeland security partners (2,000 character limit not including spaces)		Response describes, at a high-level, the roles and responsibilities of the management team, governance structures, and subject matter expertise required to manage the Investment. Out of 40 points, this section is worth 5 possible points.
VII. IMPACT
Impact: What measurable outputs and outcomes will indicate that this Investment is successful at the end of the FY 2012 NSGP period of performance? Which specific NPG core capabilities does this investment work to achieve? Explain how this Investment supports the building or sustaining of these NPG core capabilities. (2,200 character limit not including spaces)		Response describes how the outcomes will mitigate risks outlined in the Background and Risk sections, as well as how the investment supports building or sustaining the identified NPG core capabilities. Out of 40 points, this section is worth 4 possible points.
BONUS
FUNDING HISTORY
Funding History – Previous Request Name and Funding: If the nonprofit organization has received NSGP funding in the past, provide the funding source, funding amount, funding year, and the investment type (700 character limit not including spaces)		Due to the competitive nature of this program, preference will be given to nonprofit organizations that have not received prior years funding. Applicants that have not received NSGP funding in the past will receive an additional one bonus point to their total State application score at the time of submission to FEMA.

Appendix E – FY 2012 NSGP Investment Justification Scoring Worksheet

1 Applications can only be submitted with a current and valid DUNS number; pending DUNS numbers will not be accepted.

2 The applicant must be located within one of the specific eligible Urban Areas listed in the FY 2012 NSGP FOA. Please refer to Appendix A – FY 2012 UASI-Eligible Urban Areas to determine the organization’s Urban Area designation.

3 This does not include any DHS or NSGP grant funds previously awarded to the nonprofit organization.

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