TSGP Program Guidance

FY 2012 TRANS IT S ECURITY GRANT P ROGRAM (TS GP )
FUNDING OP P ORTUNITY ANNOUNCEMENT (FOA)
O VERVIEW INFORMATION
Issued By
U.S. Department of Homeland Security (DHS): Federal Emergency Management
Agency (FEMA)
Catalog of Federal Domestic Assistance (CFDA) Number
97.075
CFDA Title
Transit Security Grant Program
Funding Opportunity Announcement Title
Fiscal Year (FY) 2012 Transit Security Grant Program (TSGP)
Authorizing Authority for Program
Implementing Recommendations of the 9/11 Commission Act of 2007 (Public Law 11053)
Appropriation Authority for Program
The Consolidated Appropriations Act, 2012, Division D (Public Law 112-74)
FOA Number
DHS-12-GPD-075-000-02
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 TSGP 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 (SF) 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

1

submission deadline for the full application package is May 4, 2012. For additional
details see Section X within 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
determine if the program has been selected for State review and comply with the State’s
process under Executive Order (EO) 12372. Names 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.

2

FOA E XECUTIVE S UMMARY
Program Type
Select the applicable program type:
New

Continuing

One-time

Date of origin for Program: 11/25/2002
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 within the full FOA.
Eligible Applicants
The following entities are eligible to apply directly to FEMA under this solicitation:
Transit Agencies
For additional information, see the Eligibility Criteria section of this FOA.
Type of Funding Instrument
Select the applicable funding instrument:
Grant

Cooperative Agreement

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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
Management and administration (M&A) costs may not exceed five percent (5%) of the
total award. FY 2012 TSGP funds may be used for the following M&A costs:
•
•

•
•
•

Hiring of full-time or part-time staff or contractors/consultants to assist with the
management of the FY 2012 TSGP or the design, requirements, and
implementation of the TSGP
Hiring of full-time or part-time staff, contractors or consultants and M&A
expenses related to pre-application submission TSGP management activities
and application requirements or meeting compliance with reporting/data
collection requirements, including data calls
Development of operating plans for information collection and processing
necessary to respond to DHS data calls
Travel expenses related to TSGP grant administration
Acquisition of authorized office equipment, including personal computers or
laptops for TSGP purposes.

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F ULL FOA
I.

Fu n d in g Op p o rtu n ity De s c rip tio n
Program Overview and Priorities
The TSGP is one of the Department of Homeland Security’s FY 2012 grant programs
that directly supports transportation infrastructure security activities. These grant
programs are part of a comprehensive set of measures authorized by Congress and
implemented by the Department of Homeland Security to strengthen the Nation’s critical
infrastructure against risks associated with potential terrorist attacks. TSGP provides
funds to owners and operators of transit systems (which include intra-city bus,
commuter bus, ferries, and all forms of passenger rail) to protect critical surface
transportation infrastructure and the traveling public from acts of terrorism and to
increase the resilience of transit infrastructure.
For additional details on priorities for this program please refer to Appendix B – FY 2012
TSGP Priorities.
Program Objectives
The FY 2012 TSGP 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 TSGP supports all core capabilities in the Prevention,
Protection, Mitigation, Response, and Recovery mission areas based on allowable
costs.
Grantees under FY 2012 TSGP are encouraged to build and sustain core capabilities
through activities such as:
•
•
•

Operational activities
Operational packages (OPacks)
Top Transit Asset List (TTAL) remediation

For additional information on program priorities and objective for FY 2012 TSGP, refer
to Appendix B – FY 2012 TSGP Priorities.

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II.

Funding Information

Award Amounts, Important Dates, and Extensions
Available Funding for this FOA: $87,500,000
Projected Number of Awards: 75
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, agencies 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 subrecipients, 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
$87,500,000. The FY 2012 TSGP funds will be allocated based on the funding priorities
outlined in Appendix B – FY 2012 TSGP Priorities.

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III.

Eligibility Information

Eligibility Criteria
Agencies eligible for FY 2012 TSGP are determined based upon daily unlinked
passenger trips (ridership) and transit systems that serve historically eligible Urban Area
Security Initiative (UASI) jurisdictions. Certain ferry systems are eligible to participate in
the FY 2012 TSGP and receive funds. However, any ferry system electing to
participate and receive funds under the FY 2012 TSGP will not be eligible to participate
under the FY 2012 Port Security Grant Program (PSGP) and will not be considered for
funding under the FY 2012 PSGP. Likewise, any ferry system that participates in the
PSGP will not be eligible for funding under the TSGP.
The 9/11 Act requires that high risk public transportation agencies, including those that
receive grant funding, must develop a security plan based on a security assessment.
Additionally, the legislation directs that grant funds be used to address items in the
security assessment or the security plan. In order to be eligible for the FY 2012 TSGP,
transit agencies must have developed and/or updated their security plan, which must be
based on a security assessment such as the Baseline Assessment and Security
Enhancement (BASE) performed by Transportation Security Inspectors-Surface from
the Transportation Security Administration (TSA), within the last three years. A copy of
the Security Plan and security assessment must be available for DHS review upon
request. Please see Appendix F – Security Plan Requirements for more information on
security plan requirements.
Entities providing transit security (e.g., city/county police department, transit agency’s
own police department) for a transit agency must approve the security plan. The
signature of a responsible official from the agency’s transit security provider serves as
this approval. If there is more than one provider in the core service area, all transit
security providers must review and concur with the plan. Associated documentation of
this approval must be provided to DHS upon request. In addition, the agency’s transit
security provider is encouraged to review the Investment Justifications (IJ) prior to
submission.
Each Regional Transit Security Working Group (RTSWG) is required to develop and
update at least every three years a Regional Transit Security Strategy (RTSS). As the
owners and/or operators of infrastructure that is vital to the well being of the States and
Urban Areas they serve, it is imperative that transit systems be incorporated into
regional preparedness planning efforts.
Appendix A – Eligible Rail, Intra-city Bus, and Ferry Transit Agencies provides a list of
eligible transit agencies. Eligibility does not guarantee grant funding.

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IV.

Fu n d in g Re s tric tio n s
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.

V.

Ap p lic a tio n Re vie w In fo rm a tio n a n d S e le c tio n P ro c e s s
Application Review Information
Grantees must comply with all administrative requirements described herein ―
including the submission of IJs, budgets, and other application materials as required.
Having met all administrative requirements, the application will be scored based on a
methodology that will ensure consistent and accurate evaluations of projects and
proposals.
Applications requesting funds for operational projects in Funding Priority Area A will be
reviewed first. Those requesting funds for remediation of assets on the TTAL in
Funding Priority Area B will be considered next. Applications requesting funds for
OPacks and surge patrol projects in Funding Priority Area C will be reviewed after
projects in Funding Priority Area B. Finally, applications for Other Capital Security
Projects in Funding Priority Area D will be reviewed after selections have been made for
Funding Priority Areas A – C.
1. Risk Group Score. The agency’s risk group score will be provided separately in
accordance with proper Sensitive Security Information [SSI] handling
2. Funding Priority Areas. Projects will be evaluated and prioritized based on the
extent to which they align with the Priority Funding Areas (see Table 3 in
Appendix B - FY 2012 TSGP Priorities).
3. Risk Mitigation Score*. The potential risk mitigation of the project (as
determined by the information provided in the IJ). This score has several
possible components, described below, and shown in Table 1.
a. Cost effectiveness. Projects will be evaluated and prioritized on the
expected impact on security relative to the investment.

8

b. Ability to reduce risk of catastrophic events. Projects will be evaluated
and prioritized on their ability to reduce risk, including how quickly a project
can be implemented
c. 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.
d. Timelines. Projects will be evaluated and prioritized on the ability of the
applicant to complete the proposed project within submitted timeframes, and
how quickly the project can be implemented once funding is received due to
planning activities, contracting issues, construction requirement, or other such
factors.
e. BASE Deficiency. Projects will be evaluated and prioritized on linkages to
deficiencies identified in their BASE or a comparable vulnerability
assessment/security plan.
f. TTAL Remediation (for Priority B projects only). Projects will be
evaluated and prioritized based on their ability to fully remediate known
vulnerabilities of assets on the TTAL.
4. Regional Collaboration. Where appropriate, projects will be evaluated and
prioritized based on the collaboration of agencies within a specified region.
Final project scores will be calculated as follows:
Risk Group Score
+
Funding Priority Area Score
+
Risk Mitigation Score*
+
Regional Collaboration Component
*As outlined in Table 1, the “risk mitigation” component will have different review factors
based on the project type.

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Table 1: Funding Priority Areas Risk Mitigation Score Components
Priority

A

B

C

D

Project Types
Operational
Activities

•
•
•

TTAL
Remediation

•
•
•
•

OPacks/Surge
Patrols

•
•
•
•

All Other
Projects

•
•
•
•
•
•

Risk Mitigation Score Components
Cost effectiveness
Ability to reduce risk of catastrophic events
Sustainability without additional Federal funds/leveraging of other
funding
Timelines
Cost effectiveness
Ability to reduce risk of catastrophic events
Sustainability without additional Federal funds/leveraging of other
funding
Timelines
Cost effectiveness
Ability to reduce risk of catastrophic events
Sustainability without additional Federal funds/leveraging of other
funding
Timelines
Cost effectiveness
Ability to reduce risk of catastrophic events
Sustainability without additional Federal funds/leveraging of other
funding
Timelines
Other capital use of funds, as outlined in Public Law 110-53 Section
1406(b)(1)

Application Selection Process
The following process will be used to make awards for the program:
•
•

•

•

DHS will verify compliance with each of the administrative and eligibility criteria
identified in the application kit.
The Department will calculate a total score to aid with funding selections. The
total score will consist of four individual parts: an agency-based risk score, a
score associated with an application’s alignment to the funding priority areas, a
score based on project risk mitigation, and the degree of regional collaboration.
Eligible applications will be reviewed by a panel to determine the risk mitigation
and regional collaboration scores. This panel will consist of Federal officials from
multiple government agencies that will review each application and score it
based on the following criteria: cost effectiveness, feasibility, timelines, and
sustainability without additional Federal funds.
FEMA and TSA will make recommendations for funding to the Secretary of
Homeland Security based on the funding priorities and scoring methodology

Funds will not be made available for obligation, expenditure, or drawdown until the
applicant’s budget and budget narrative have been approved by FEMA.
The applicant must provide a detailed budget for the funds requested. The detailed
budget must be submitted with the grant application as a file attachment within
http://www.grants.gov. The budget must be complete, reasonable, and cost-effective in
relation to the proposed project. The budget should provide the basis of computation of

10

all project-related costs, any appropriate narrative, and a detailed justification of M&A
costs.
VI.

P o s t-S e le c tio n a n d P re -Awa rd Gu id e lin e s
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 6.1.1 of http://www.dhs.gov/xlibrary/assets/cfo-financial-management-policymanual.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 fund drawdowns 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.

11

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/SFPPR_Cover%20Sheet.pdf.
Grantees will be required to report on progress towards implementing plans
described in their application.
2. Exercise Evaluation and Improvement. Exercises implemented with grant funds
should evaluate performance of the capabilities required to respond to the exercise
scenario. Guidance related to exercise evaluation and the implementation of
improvements is defined in the Homeland Security Exercise and Evaluation Program
located at https://hseep.dhs.gov.
3. 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.
VII.

DHS FEMA Co n ta c t In fo rm a tio n
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

12

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

Other Critical Information

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, grantee 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.

13

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

How to Apply

Application Instructions
As part of the FY 2012 TSGP application process, applicants must develop a formal IJ
that addresses each initiative being proposed for funding, including a project’s M&A
costs. An agency may submit up to 8 IJs per region. Agencies may also submit up to 5
additional IJs for projects related to law enforcement providers that are not part of the
organization. The IJ must demonstrate how proposed projects address gaps and
deficiencies in current programs and capabilities and link to one or more core
capabilities identified in the NPG The IJ must demonstrate the ability to provide
enhancements consistent with the purpose of the program and guidance provided by
DHS. Applicants must ensure that the IJ is consistent with all applicable requirements
outlined in this application kit.
IJs must be submitted with the grant application as a file attachment within
https://portal.fema.gov. Applicants must use the following file naming convention when
submitting the IJs as part of the FY 2012 TSGP:
Investment Justification (through https://portal.fema.gov) ensure file
attachment:
Region_ Agency_IJ Number (Example: Chicago_CTA_IJ 1)
Applicants must provide information in the following categories for each proposed
investment:
I. Background
II. Strategic and Program Priorities
III. Impact
IV. Funding/Implementation Plan
Applicants will find an IJ Template in Appendix D – FY 2012 TSGP Investment
Justification Template. This worksheet may be used as a guide to assist applicants in
the preparation of the IJ.
Detailed Budget
The applicant must also provide a detailed budget for the funds requested. The detailed
budget must be submitted with the grant application as a file attachment within
https://portal.fema.gov. 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 detailed justification of M&A
costs. A grantee may not obligate, expend, or draw down funds until a budget and
budget narrative have been approved by the Grants Management Division.

14

Applicants must use the following file naming convention when submitting detailed
budgets as part of the FY 2012 TSGP:
Detailed Budget Narrative (through https://portal.fema.gov) ensure file
attachment:
Region_Agency_IJ Number_Budget (Example: Chicago_CTA_IJ 1_Budget)
Applicants will find a sample Budget Detail Worksheet in Appendix E – Sample Budget
Detail Worksheet. This worksheet may be used as a guide to assist applicants in the
preparation of the budget and budget narrative. Note: Design and Planning/Engineering
costs must be a separate line item and clearly identified as such in order for partial
funding to be released prior to EHP review and approval of the project concerned.
Operational Packages
The applicant may elect to pursue OPack funding, such as Canine Teams, Mobile
Explosive Screening Teams, and Anti-Terrorism Teams, for new capabilities as well as
to sustain existing OPacks.
In addition, awardees must commit to minimum training standards to be set by the
Department for all federally funded security positions.
SSI Requirements
Information submitted in the course of applying for funding or reporting under certain
programs or provided in the course of an entity’s grant management activities under
those programs which is under Federal control is subject to protection under SSI, and
must be properly identified and marked. SSI is a control designation used by the
Department of Homeland Security related to protecting information related to
transportation security. It is applied to information about security programs, vulnerability
and threat assessments, screening processes, technical specifications of certain
screening equipment and objects used to test screening equipment, and equipment
used for communicating security information relating to air, land, or maritime
transportation. The applicable information is spelled out in greater detail in Title 49, Part
1520, Section 7 of the Code of Federal Regulations (49 CFR 1520.7).
For the purposes of the TSGP, all IJs shall be considered SSI and treated as such.
This means labeling as SSI and password protecting appropriate documents prior to
submission. The passwords for protected documents must be sent (in a separate email
from that containing the documents) to the following e-mail address [email protected].
If you have any additional questions please contact CSID at (800) 368-6498, Monday
through Friday, 9:00 a.m. – 5:30 p.m. EST.

15

The subject line of the email should identify:
•
•

Applicant name
Application number

The body of the e-mail should clearly identify:
•
•
•
•

Applicant name
IJ number(s) and/or summary description
Urban Area
POC information

NOTE: A single password should be provided for all SSI documents within the same
application.
X.

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 (97.075) or the FOA number (DHS-12-GPD-075-000-02) 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 Central
Contractor Registration (CCR) is confirmed. The on-line application includes the
following required form:
•

Standard Form 424, Application for Federal Assistance

Applying for FY 2012 TSGP 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

16

http://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://fema.gov/library/viewRecord.do?id=2628).
Investment Justification (OMB Control Number: 1660-0112/FEMA Form 0894)
Budget Detail Worksheet (see Appendix D – FY 2012 TSGP Investment
Justification Template)
RTSS Outline (see Appendix E – Sample Budget Detailed Worksheet)

The program title listed in the CFDA is “Transit Security Grant Program.” The CFDA
number is 97.075.
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.

17

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.

18

Appendix A – Eligible Rail, Intra-city Bus, and Ferry Transit
Agencies
State

AZ

Urban Area

Phoenix Area
Tucson Area
Fresno Area
Greater Los
Angeles Area
(Los
Angeles/Long
Beach and
Anaheim/Santa
Ana UASI Areas)
Sacramento Area

CA

San Diego Area

San Francisco
Bay Area

CO

Denver Area

DC/
MD/V
A

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

FL

Jacksonville Area
Miami/Fort
Lauderdale Area
(Miami and Fort
Lauderdale
UASI)

Eligible System
City of Phoenix Public Transit Department
Valley Metro Regional Public Transportation Authority (Valley
Metro)
City of Tucson Transit
Fresno Area Express
City of Los Angeles Department of Transportation
Foothill Transit
Long Beach Transit
Los Angeles County Metropolitan Transportation Authority
Montebello Bus Lines
Omnitrans (San Bernardino)
Orange County Transportation Authority (OCTA)
Santa Monica's Big Blue Bus
Southern California Regional Rail Authority (Metrolink)
Sacramento Regional Transit District
North San Diego County Transit District (NCTD)
San Diego Metropolitan Transit System (MTS)
Alameda-Contra Costa Transit District (AC Transit)
Altamont Commuter Express (ACE)
Central Contra Costa Transit Authority
City of Alameda Ferry Services (Blue and Gold Lines Fleet)
City of Vallejo Transportation Program (Ferry only)
Golden Gate Bridge, Highway and Transportation District
Peninsula Corridor Joint Powers Board (Caltrain)
San Francisco Bay Area Rapid Transit District (BART)
San Francisco Municipal Railway (MUNI)
San Mateo County Transit Authority (SamTrans)
Santa Clara Valley Transportation Authority (VTA)
Transbay Joint Powers Authority
Regional Transportation District
Arlington Transit (ART)
City of Alexandria (Alexandria Transit Company)
Fairfax County Department of Transportation
Maryland Transit Administration (MTA)
Montgomery County Department of Transportation
Potomac and Rappahannock Transportation Commission
Prince George's County Department of Public Works and
Transportation
Virginia Railway Express (VRE)
Washington Metropolitan Area Transit Authority
Jacksonville Transportation Authority
Broward County Division of Mass Transit
Miami-Dade Transit
South Florida Regional Transportation Authority (Tri-Rail)

19
Appendix A – Eligible Rail, Intra-city Bus, and Ferry Transit Agencies

Asset
on DHS
TTAL

X

X

X

State

Urban Area
Orlando Area
Tampa Area

GA

Atlanta Area

HI

Honolulu Area

IL

UrbanaChampaign Area

IL/IN

Chicago Area

IN
KY

Indianapolis Area
Louisville Area
New Orleans
Area
Boston Area
Springfield Area

LA
MA

MI
MN
MO
MOIL
NC
NM
NV
NY

NY/N
J/ CT

Detroit Area
Lansing Area
Twin Cities
Kansas City Area
St. Louis Area
Charlotte Area
Albuquerque
Area
Las Vegas Area
Reno Area
Albany Area
Buffalo Area
Rochester Area
New York
City/Northern
New Jersey Area
(New York City
and Jersey
City/Newark
UASI Areas)
Cincinnati Area

OH

OR
PA

Cleveland Area
Columbus Area
Dayton Area
Eugene Area
Portland Area
Pittsburgh Area

Eligible System
Central Florida Regional Transportation Authority
Hillsborough Area Regional Transit Authority (HART)
Pinellas Sun Coast Transit Authority
Georgia Regional Transportation Authority
Metropolitan Atlanta Rapid Transit Authority (MARTA)
City and County of Honolulu Department of Transportation
Services

Asset
on DHS
TTAL

X

Champaign-Urbana Mass Transit District
Chicago Transit Authority (CTA)
Northeast Illinois Commuter Railroad Corporation (METRA)
Northern Indiana Commuter Transportation District (NICTD)
PACE Suburban Bus
Indianapolis Public Transportation Corporation
Transit Authority of River City
Jefferson Parish Department of Transportation
New Orleans Regional Transit Authority (NORTA)
Massachusetts Bay Transportation Authority (MBTA)
Pioneer Valley Transit Authority
City of Detroit Department of Transportation
Detroit Transportation Corporation
Suburban Mobility Authority for Regional Transportation
Capital Area Transportation Authority
Metro Transit
Kansas City Area Transportation Authority
Bi-State Development Agency (Metro)
Madison County Transit District
Charlotte Area Transit System (CATS)

X

X

Sun Tran of Albuquerque
Regional Transportation Commission of Southern Nevada
Regional Transportation Commission of Washoe County
Capital District Transportation Authority
Niagara Frontier Transportation Authority
Rochester Genesee Regional Transportation Authority
Connecticut Department of Transportation
Connecticut Transit
Metropolitan Transportation Authority (MTA) (all components)
New Jersey Transit Corp. (NJT)
New York City Department of Transportation
Port Authority of New York and New Jersey (PANYNJ)
Westchester County Department of Transportation
Southwest Ohio Regional Transit Authority
Transit Authority of Northern Kentucky
The Greater Cleveland Regional Transit Authority
Central Ohio Transit Authority
Greater Dayton Regional Transit Authority
Lane Transit District
Clark County Public Transportation Benefit Area (C-TRAN)
Tri-County Metropolitan Transportation District (Tri-Met)
Port Authority Of Allegheny County

20
Appendix A – Eligible Rail, Intra-city Bus, and Ferry Transit Agencies

X
X
X
X

State

PA/D
E/ NJ

Urban Area

Philadelphia Area

PR

San Juan Area

RI

Providence Area
Memphis Area
Nashville Area
Austin Area
Dallas/Fort
Worth/Arlington
Area
El Paso Area
Houston Area
San Antonio Area
Salt Lake City
Area
Norfolk Area
Richmond Area

TN

TX

UT
VA

WA

WI

Seattle Area

Spokane Area
Madison Area
Milwaukee Area

Eligible System
Delaware River Port Authority (DRPA)
Delaware Transit Corporation
New Jersey Transit
Pennsylvania Department of Transportation
Southeastern Pennsylvania Transportation Authority
Metropolitan Bus Authority
Puerto Rico Highway and Transportation Authority (heavy rail)
Rhode Island Public Transit Authority
Memphis Area Transit Authority
Nashville Metropolitan Transit Authority
Capital Metropolitan Transportation Authority
Dallas Area Rapid Transit (DART)
Fort Worth Transportation Authority (The T)
Trinity Railway Express (TRE)
Mass Transit Department City of El Paso
Metropolitan Transit Authority of Harris County
VIA Metropolitan Transit
Utah Transit Authority
Hampton Roads Transit
Greater Richmond Transit Company
Central Puget Sound Regional Transit Authority (Sound Transit)
King County Department of Transportation
Pierce County Public Transportation Benefit Area Corporation
(Pierce Transit)
Snohomish County Transportation Benefit Area Corporation
(Community Transit)
Spokane Transit Authority
Madison Metro Transit
Milwaukee County Transit System

21
Appendix A – Eligible Rail, Intra-city Bus, and Ferry Transit Agencies

Asset
on DHS
TTAL

X
X

Appendix B – FY 2012 TSGP Priorities
Presidential Policy Directive 8: National Preparedness (PPD-8)
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 TCL 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
22
Appendix B – FY 2012 TSGP Priorities

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. Ultimately, a jurisdiction may need to rely on other levels of
government to address a gap in capability. This expectation should be communicated
before capabilities are needed.
As these issues are considered in light of the eligible activities, 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:
23
Appendix B – FY 2012 TSGP Priorities

•
•
•

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 TSGP and Alignment to PPD-8
The FY 2012 TSGP 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 TSGP supports all core capabilities in the Prevention,
Protection, Mitigation, Response, and Recovery mission areas based on allowable
costs.
Sustaining TSGP Capabilities
In this time of limited resources, TSGP grantees should ensure that grant funding is
utilized to sustain core capabilities within the NPG that were funded by past TSGP
funding cycles. New capabilities should not be built at the expense of maintaining
current, essential capabilities. However, if new capabilities are being built utilizing
TSGP funding, grantees must ensure that the capabilities have a clear linkage to one or
more core capabilities in the NPG.
Risk-Based Funding
Based upon ongoing intelligence analysis, extensive security reviews, consultations with
operations and security officials of mass transit and passenger rail agencies, State and
local government officials, and Federal security partners, DHS once again intends to
focus its available transit security grant dollars on the highest-risk systems in our
country’s largest metropolitan areas. Eligible agencies were identified using a
comprehensive, empirically-grounded risk analysis model.
Top Transit Asset Remediation
DHS has identified critical infrastructure assets of national concern through the TTAL.
Critical infrastructure assets are those vital to the functionality and continuity of a major
transit system such that their incapacitation or destruction would have a debilitating
effect on security, national economic security, public health or safety, or any
combination thereof. This specifically includes critical underwater tunnels, underground
stations or tunnels, shared transportation facilities and other interdependencies of the
system, critical systems, and any other asset or facility that would severely impact the
overall system if lost or damaged. With the creation of the TTAL, DHS can now target
funding to the remediation of those assets on the list in an informed and risk-based
approach.
24
Appendix B – FY 2012 TSGP Priorities

The TTAL is dynamic in nature and will be adjusted, as appropriate. Transit agencies
may submit assets they feel should be considered for inclusion on the TTAL by sending
an email to [email protected].
The TTAL is considered SSI. See 49 CFR Part 1520 and
http://www.tsa.gov/what_we_do/ssi/ for more information. Agencies that have assets on
the TTAL are identified in Appendix A – Eligible Rail, Intra-city Bus, and Ferry Transit
Agencies. TSA will provide those agencies with the list of their assets that appear on
the TTAL in accordance with proper SSI handling.
Agencies that have complete remediation plans may apply for funds to remediate the
asset itself. When applying for remediation funds, agencies must include a remediation
plan for review and approval within their IJ. If an agency owns an asset that is not on
the TTAL, they may still submit remediation projects for those assets to be considered
either as a potential addition to the TTAL, or as part of the non-TTAL capital projects
review.
Regional Security Coordination
DHS places a very high priority on ensuring that all TSGP applications reflect robust
regional coordination and can show an investment strategy that institutionalizes regional
security strategy integration. DHS will work with TSGP applicants to strengthen and
support regional consultation processes. Close coordination of the Federal TSGP
investments is encouraged in all applications.
Regional Transit Security Working Groups
Each transit agency receiving funds through this program must participate in a RTSWG or
develop a RTSWG if one does not already exist. The RTSWG should serve as the place
where regional partners discuss risk, planning efforts, and mitigation strategies. These
discussions should be held regardless of funding in order to continue to enhance the
overall security of the region. Further, IJs that are developed collaboratively and that
involve multiple eligible entities in implementation will result in funding preferences, as
reflected by the regional collaboration component of the overall project score. Examples
of regional efforts include regional drills and exercises, security training courses,
interoperable communications, and public awareness campaigns.
RTSWG Membership
The following entities must be invited to actively participate in the group and have full
membership rights in the RTSWG: eligible transit agencies and their security providers,
eligible law enforcement agencies (as sub-grantees), the State Office of Homeland
Security (OHS), and Amtrak. For agencies that share assets with Amtrak, close
coordination on the expenditure of funds for security enhancements at shared facilities
must occur. The RTSWG must include representation from the Urban Area Working
Group(s) and freight railroad carriers if their operations intersect with that of the transit
agencies.

25
Appendix B – FY 2012 TSGP Priorities

The RTSWG must also extend an invitation to the State Administrative Agency (SAA) to
serve as a co-chair on the RTSWG with any other current chairs/co-chairs established
by the region; however, the SAA is under no obligation to accept this position. It is the
responsibility of the applicable co-chairs to serve as facilitators and coordinators for the
RTSWG meetings and any other regional transit security grants activities as determined
by each RTSWG. TSA and FEMA will serve as ex-officio members of the RTSWG.
Regional Transit Security Strategy
Each RTSWG is required to develop and update at least every three years an RTSS.
As the owners and/or operators of infrastructure that is vital to the well being of the
States and Urban Areas they serve, it is imperative that transit systems be incorporated
into regional preparedness planning efforts. A template for developing the RTSS can
be located on http://www.fema.gov/government/grant/index.shtm.
The RTSS should serve as the integration point between the individual, risk-based
Security and Emergency Preparedness Plans (SEPP), and the overall security goals
and objectives of the region. Therefore, the RTSS must demonstrate a clear linkage to
the applicable State and urban area homeland security strategies developed or
currently being developed. It is expected that the SEPPs and the RTSS will serve as
the basis on which funding is allocated to address regional transit security priorities, and
the vehicle through which transit agencies may justify and access other funding and
resources available on a region-wide basis through the UASI program.
Funding Priority Areas
DHS has identified several different project types, and grouped them into five prioritized
areas based on their effectiveness to reduce risk and alignment with departmental
priorities.
Table 3: Funding Priority Areas
Funding
Priority
Area

Funding
Priority
Score

Project Description

Project Types

• Training (basic before follow-on):

A

7

Operational Activities*

•
•
•

B

6

TTAL Remediation** for
assets that have complete
remediation plans

- Security Awareness
- DHS-Approved Behavior
Recognition Detection Courses
- Counter-Surveillance
- Immediate Actions for Security
Threats/Incidents
Drills and Exercises
Public Awareness
Vulnerability Assessments and
Security Plans

Anti-terrorism security enhancement
measures, including security projects that
provide for substantial security
enhancements, such as intrusion
detection, visual surveillance with live

26
Appendix B – FY 2012 TSGP Priorities

Funding
Priority
Area

C

Funding
Priority
Score

Project Description

5

Operational Packages
including overtime patrols

4

Multi-User High-Density Key
Infrastructure Protection

3

Single-User High-Density Key
Infrastructure Protection

2

Key Operating Asset Protection

1

Other Mitigation Activities

D

Project Types
monitoring, alarms tied to visual
surveillance system, recognition
software, tunnel ventilation and drainage
system protection, flood gates and plugs,
portal lighting, and similar hardening
actions:
• Underwater Tunnels
• High-Density Bridges
• High-Density Stations
• Canine Teams
• Mobile Explosive Screening Teams
• Anti-Terrorism Teams
• Directed Patrols on Overtime
Anti-terrorism security enhancement
measures, such as intrusion detection,
visual surveillance with live monitoring,
alarms tied to visual surveillance system,
recognition software, tunnel ventilation
and drainage system protection, flood
gates and plugs, portal lighting, and
similar hardening actions for:
• Tunnel Hardening
• High-Density Elevated Operations
• Multi-User High-Density Stations
• Hardening of SCADA or other
industrial control systems
• Anti-terrorism security enhancement
measures for:
- High-Density Stations
- High-Density Bridges
• Physical Hardening/Security of Control
Centers
• Secure stored/parked trains, engines,
and buses
- Bus/Rail Yards
• Maintenance Facilities
• Interoperable Communications
• Anti-terrorism security enhancement
measures for low-density stations

* Operational Activities: Agencies should explain in the IJ the linkages of their
proposed projects to vulnerabilities identified in their BASE, or comparable vulnerability
assessment/security plan if they have not undergone a BASE review. Projects
addressing identified deficiencies will be given higher consideration during the scoring
process.

27
Appendix B – FY 2012 TSGP Priorities

** Eligibility Requirements for TTAL Asset Remediation: To qualify for a Priority B
Project, applicants must provide in the IJ a detailed remediation plan for the asset on
the TTAL, in addition to the other required documents, at the time of application.
The sample project types are not comprehensive and projects not listed may be eligible
for funding if they fall into one of the funding priority area descriptions. Under all project
types, priority will be given to those projects that can be implemented quickly. Project
types that are not in Funding Priority Areas A-D will not be considered for funding under
the FY 2012 TSGP.
Operational Packages
Any agency having a dedicated transit security/police force of 50 or more full-time or
full-time equivalent sworn officers that can attest to their ability to sustain OPacks after
the grant period of performance may apply for OPack funding to hire new officers for K9 teams, mobile screening teams, and/or anti-terrorism teams. Law enforcement
agencies with dedicated transit bureaus are eligible through the transit agency they
provide security for; the transit agency is the grantee and must apply on behalf of the
law enforcement agency. Security service providers with unsworn law enforcement
officers or guards are not eligible.
OPack funds apply exclusively to anti-terrorism activities and may not be used to
supplant existing agency programs already supported by the agency. OPack funds may
be used to develop new or sustain existing capabilities/programs. OPack capabilities
must be funded on a full-time basis, only for their intended purposes in line with the
capabilities and functions detailed in Appendix C – Funding Guidelines.
Any eligible agency may apply for the equipment and support aspects of OPacks (e.g.,
explosives detection equipment) if they wish to provide personnel themselves (e.g., if
they cannot hire additional officers, but can use existing officers). For example, an
agency may purchase equipment such as portable explosive detection devices, as long
as they provide personnel for a mobile screening team to operate the equipment.
Operational Activities on Overtime
Agencies may submit IJs to fund transit security police forces/law enforcement
providers for patrols and activities on overtime, such as directed patrols, additional
canine team, mobile screening team, or anti-terrorism team patrols. These activities
must be dedicated to the transit environment, and must be anti-terrorism in nature.
Agencies should identify the type of activity, length of operation (hours), number of
personnel, and cost based on length of operation and personnel. Agencies should also
note if the request is linked to a known event, such as hosting a significant regional
sporting or political event; or a period of heightened awareness, such as a national
holiday.
TSGP Program Management: Roles and Responsibilities at DHS
Effective management of the TSGP entails a collaborative effort and partnership within
DHS, the dynamics of which require continuing outreach, coordination and interface.
28
Appendix B – FY 2012 TSGP Priorities

For the FY 2012 TSGP, FEMA operates the administrative mechanisms needed to
implement and manage the grant program. TSA provides subject matter expertise on
all matters relating to surface transportation security and other programmatic updates,
and assists by coordinating the myriad intelligence information and risk/vulnerability
assessments resulting in ranking and rating rail and mass transit assets nationwide
against threats associated with potential terrorist attacks and in defining the parameters
for identifying, protecting, deterring, responding to, and recovering from such incidents.
Together, these two agencies with additional assistance and cooperation of the Federal
Transit Administration (FTA), for rail and mass transit systems, and the Federal Railroad
Administration (FRA), as needed for freight rail operations, determine the primary
security architecture of the TSGP.

29
Appendix B – FY 2012 TSGP Priorities

Appendix C – Funding Guidelines
TSGP grant recipients and sub-recipients may only use TSGP 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 TSGP costs guidance.
1. Allowable Costs. Specific investments made in support of the funding priorities
discussed above generally fall into one of the following five allowable expense
categories:
•
•
•
•
•

Planning
Operational Activities
Equipment
Training
Exercises

The following provides guidance on allowable costs within each of these areas:
Planning
FY 2012 TSGP funds may be used for the following types of planning activities:
• Development and enhancement of security plans and protocols
• Development or further strengthening of security assessments, including
multi-agency and multi-jurisdictional partnerships and conferences to facilitate
planning activities
• Hiring of full or part-time staff and contractors or consultants to assist with
planning activities (not for the purpose of hiring public safety personnel)
• Materials required to conduct planning activities
• Other project planning activities with prior approval from DHS
Operational Activities
Three OPacks have been developed to support operational activities and are
available for funding for TSGP grant applicants.
30
Appendix C – Funding Guidelines

DHS encourages applicants to develop innovative layered approaches to enhance
both the human and facility security on transit systems. Helping mass transit
systems and transit systems increase randomness, unpredictability, and ultimate
effectiveness of monitoring and patrol in their security and terrorism prevention
programs is critical to National transit security. Implementation of one of the three
OPack modules discussed below supports these efforts. The following OPacks
complement existing security systems and provide appropriate, practical, and costeffective means of protecting assets.
Agencies may submit IJs to fund transit security police forces/law enforcement
providers for patrols and activities on overtime, such as directed patrols, additional
canine team, mobile screening team, or anti-terrorism team patrols. These activities
must be dedicated to the transit environment, and must be anti-terrorism in nature.
Agencies should identify the type of activity, length of operation (hours), number of
personnel, and cost based on length of operation and personnel. Agencies should
also note if the request is linked to a known event, such as hosting a significant
regional sporting or political event; or a period of heightened awareness, such as a
national holiday.
Security Capital Plan and Operational Sustainment
Applicant requests for OPacks funding must include the submission of a five-year
Security Capital and Operational Sustainment Plan. This plan must include how the
agency proposes to implement capital projects and demonstrate how the agency will
sustain the operational investments and capabilities after grant funding has been
expended. Requests for OPacks will not be funded if the applicant does not have a
Security Capital and Operational Sustainment Plan.
•

•

Explosives Detection Canine Teams (EDCT). When combined with the
existing capability of a transit security/police force, the added value provided
through the addition of a canine team is significant. EDCTs are a proven,
reliable resource to detect explosives and are a key component in a balanced
counter-sabotage program. The TSGP will provide funds to establish
dedicated security/police force canine teams. Each canine team will be
composed of one dog and one handler. Funds for these canine teams may
not be used to fund drug detection and apprehension technique training.
Only explosives detection training for the canine teams will be funded.
Anti-Terrorism Teams (ATT). The ATT capability provided through the
OPack program will offer TSGP funding for dedicated transit ATT capability
on a regular basis, rather than using teams for the surge capacity provided by
DHS in the past. ATTs do not supersede other local transit security forces;
rather, they augment current capabilities. Each ATT will consist of four
individuals, including two overt elements (e.g., uniformed transit sector law
enforcement officer, canine team, mobile explosive screeners), and two
discreet observer elements. Funds for these canine teams may not be used
to fund drug detection and apprehension technique training. Only explosives
detection training for the canine teams will be funded.
31
Appendix C – Funding Guidelines

•

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

Funding Availability for OPacks
OPacks will be funded for a 24 month period. The monetary figures presented
below are stated in terms of cost per period of performance (which indicates
actual/complete funding for the 24 month period). Additionally, any OPack costs
after the 24 month period of performance (including expenses related to the
maintenance, personnel, equipment, etc.) are the responsibility of the applicable
transit system or law enforcement sub-recipient. Additional funding may be applied
for in future grant cycles to maintain this operational capability but is not guaranteed.
If these positions are not sustained, the State or local agency may not be eligible for
this personnel support in the future.
Table 5: Available Funding for OPacks
Operational Package
EDCT
ATT
Mobile Explosive Screening Team

Maximum Funding per Year
(12 months)
$150,000 per team
$500,000 per team
$600,000 per team

Maximum Funding per
POP
(24 months)
$300,000 per team
$1,000,000 per team
$1,200,000 per team

OPack Requirements
TSGP OPack funds may be used for new positions and/or to sustain existing
capabilities/programs (e.g., canine teams) already supported by the grantee.
However, non-supplanting restrictions apply.

32
Appendix C – Funding Guidelines

Table 6: OPack Requirements
Operational Package
Explosives Detection Canine
Teams

Anti-Terrorism Teams

Mobile Explosives Screening Team

Requirements
Please refer to page 34 for detailed information regarding
EDCTs under the TSGP
Specific for the Canine Team within the ATT:
• Each canine team, composed of one dog and
one handler, must be certified by an appropriate,
qualified organization
• Canines should receive an initial basic training
course and also weekly maintenance training
sessions thereafter to maintain the certification
• The basic training averages 10 weeks for the
team, with weekly training and daily exercising
(comparable training and certification standards,
such as those promulgated by the TSA Explosive
Detection Canine Program), the National Police
Canine Association (NPCA), the United States
Police Canine Association (USPCA), or the
International Explosive Detection Dog Association
(IEDDA) may be used to meet this requirement
• The individuals hired for the covert and overt
elements must be properly trained law
enforcement officers
• Certifications should be on file with the grantee
and must be made available to DHS upon
request
Certifications should be on file with the grantee and must
be made available to DHS upon request

Allowable Expenses for OPacks
Table 7 identifies allowable expenses for the various OPacks. Please see the
inserted footnotes for clarification of certain allowable costs.









2.

ATT









3.

Mobile Explosives Screening Team



1



3

2

Equipment
Costs

EDCT

Canine Costs

Training and
1
Certification

1.

Operational Package

Purchase and
Train a Canine

Salary and
Fringe Benefits

Table 7: Allowable Expenses for OPacks




4

Travel costs associated with training for personnel, handlers, and canines are allowable
Canine costs include but are not limited to: veterinary, housing, and feeding costs
Training specific to the detection of common explosives odors is allowable
4
Equipment and other costs can include but are not limited to: explosives detection; stainless steel search tables; consumables
such as gloves, swabs, and alcohol; and land mobile radios
2
3

33
Appendix C – Funding Guidelines

Specific Guidance for EDCT
Each EDCT, composed of one dog and one handler, must be certified by an
appropriate, qualified organization. TSA Certified Explosives Detection Canine
Teams will meet or exceed certification standards set for by the TSA National
Explosives Detection Canine Team Program (NEDCTP). Grantee EDCTs that do
not participate in the NEDCTP will be required to certify annually under their
respective agency, local and State regulations. The grantee will maintain
certification, utilization, and training data to show compliance in meeting or
exceeding those guidelines set forth by the Scientific Working Group on Dog and
Orthogonal Detection Guidelines (SWGDOG), formulated as of September 14, 2007,
in addition to requirements set forth in the FOA.
The grantee will ensure that certified EDCTs are available to respond to situations
24 hours a day, seven days per week on an on-duty or off-duty on call basis. If
TSGP-funded EDCTs are not available, other EDCTs (non-TSGP funded) may be
utilized for this response. The intent is to provide maximum coverage during peak
operating hours and to maintain the ability to promptly respond to threats that affect
public safety or mass transit operations.
The grantee will ensure that a written plan or standard operating policy and
procedure exists that describes EDCT deployment policy to include visible and
unpredictable deterrent efforts and on-call EDCTs rapid response times as dictated
by the agency’s Standard Operating Policy and Procedures (SOPP). The plan must
be made available to DHS upon request.
EDCTs under this grant are single purpose and will be trained to detect “live” not
“simulated” explosives only. EDCTs must not have received previous training to
detect any other substances.
The grantee will ensure that each EDCT receives on-site proficiency training at a
minimum of four hours per week/duty cycle. This training shall include, but not be
limited to: mass transit passenger cars, terminal/platform, luggage,
freight/warehouse, and vehicles. Complete, detailed, and accurate training records
must be maintained for all proficiency training conducted by each EDCT. These
records must be made available to DHS upon request.
The grantee will conduct appropriate training or other canine activities, within view of
the public, to increase public awareness of EDCTs and provide a noticeable
deterrent to acts which affect public safety or mass transit operations. The grantee
will also ensure that such activities include, over a period of time, a presence in
operational areas of the mass transit system during peak and off-peak hours. The
grantee agrees that EDCTs will be utilized in the field at least eighty percent (80%)
of their duty time, annually.
The grantee will comply with requirements for the proper storage, handling and
transportation of all explosive training aids in accordance with the Bureau of Alcohol,
34
Appendix C – Funding Guidelines

Tobacco, Firearms and Explosives’s Publication 5400.7 (ATF P 5400.7) (09/00),
Federal Explosive Law and Regulation.
The grantee will ensure that a written security procedure plan exists for the
safekeeping of all explosive training aids, to include safe transportation. The
grantee will document the removal, use and return of explosive training aids used
during training exercises or for any other reason. The plan and all documentation
must be made available to DHS upon request.
The grantee will provide safe and sanitary kennel facilities for program canines. This
applies to kenneling canine at the mass transit system, handlers’ residences or
commercial boarding facilities. Canines must not be left in makeshift
accommodations or without proper supervision, protection and care. The grantee
will ensure that canines are transported on-duty and off-duty in vehicles configured
with adequate temperature control, padding and screening to ensure proper health,
safety and security.
The grantee will ensure that adequate routine and emergency veterinary care for all
canines is provided.
DHS reserves the right to conduct an on-site operational and record review upon 48
hour notice to ensure compliance with applicable Federal regulations.
Equipment
FY 2012 TSGP funds may be used for the following categories of equipment. A
comprehensive listing of allowable equipment categories and types is found on the
web-based Authorized Equipment List (AEL) on the Responder Knowledge Base
(RKB) at https://www.rkb.us/lists.cfm. These costs include:
•
•
•

•
•
•
•
•
•
•
•

Personal protection equipment
Explosive device mitigation and remediation equipment
Chemical, biological, radiological, nuclear, and high explosive (CBRNE)
operational search and rescue equipment, logistical support equipment,
reference materials or incident response vehicles, including response
watercraft
Interoperable communications equipment
Efforts to address flaws in the computerized systems that control generators,
switching stations, and electrical substations as well as other emerging
threats to infrastructure critical to the U.S. economy
Detection equipment
Decontamination equipment
Medical supplies and limited pharmaceuticals
Power equipment
Terrorism incident prevention equipment
Physical security enhancement equipment
35
Appendix C – Funding Guidelines

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 Act
(OSHA) requirement for certification of electrical equipment by a nationally
recognized testing laboratory, and demonstrate compliance with relevant DHSadopted standards through a supplier’s declaration of conformity with appropriate
supporting data and documentation per International Organization for
Standardization/International Electrotechnical Commission (ISO/IEC) 17050, Parts
One and Two. In addition, agencies must have all necessary certifications and
licenses for the requested equipment, as appropriate, prior to the request.
A list of applicable standards is found at the following website
https://www.rkb.us/lists.cfm. DHS adopted standards are found at
http://www.dhs.gov/xfrstresp/standards.
Maintenance and Sustainment. The use of FEMA preparedness grant funds for
maintenance contracts, warranties, repair or replacement costs, upgrades, and user
fees are allowable under all active and future grant awards, unless otherwise noted.
FY 2012 grant funds are intended to support the NPG and fund projects that build
and sustain the capabilities necessary to prevent, protect against, mitigate the
effects of, respond to, and recover from those threats that pose the greatest risk to
the security of the Nation. In order to provide grantees the ability to meet this
objective, the policy set forth in GPD’s Information Bulletin 336 (Maintenance and
Sustainment) expands the allowability for the support of equipment that has
previously been purchased with both Federal grant and non-Federal grant funding.
The eligible costs for maintenance and sustainment however needs to be an
otherwise allowable expenditure under the applicable grant programs, and be tied to
one of the core capabilities in the five mission areas contained within the NPG.
Construction Projects Guidance. FEMA is legally required to consider the
potential impacts of all TSGP projects on environmental resources and historic
properties. Grantees must comply with all applicable EHP laws, regulations, and
EOs in order to draw down their FY 2012 TSGP 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, grantees should refer to Information Bulletins 329 and 345
(http://www.fema.gov/government/grant/bulletins/index.shtm).
When applying for construction funds, including communications towers, at the time
of application, grantees are highly encouraged to submit evidence of approved
zoning ordinances, architectural plans, any other locally required planning permits
and documents, and to have completed as many steps as possible for a successful
EHP review in support of their proposal for funding (e.g., completing the Federal
Communications Commission’s [FCC’s] Section 106 review process for tower
construction projects; coordination with their State Historic Preservation Office to
identify potential historic preservation issues and to discuss the potential for project
36
Appendix C – Funding Guidelines

effects). Projects for which the grantee believes an Environmental Assessment (EA)
may be needed, as defined in 44 CFR 10.8 and 10.9, must also 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].
FY 2012 TSGP recipients using funds for construction projects must comply with the
Davis-Bacon Act. Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers employed directly at the work-site
no less than the prevailing wages and fringe benefits paid on projects of a similar
character. Additional information, including Department of Labor wage
determinations, is available from the following website at
http://www.dol.gov/compliance/laws/comp-dbra.htm.
Training
FY 2012 TSGP funds may be used for the following training activities:
•

•

•

Training Workshops and Conferences. Grant funds may be used to plan
and conduct training workshops or conferences to include costs related to
planning, meeting space and other meeting costs, facilitation costs, materials
and supplies, travel and training plan development. Grantees are strongly
encouraged to use free public space/locations/facilities, whenever available,
prior to the rental of space/locations/facilities. 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 After Action Report/Improvement Plan (AAR/IP)
and addressed in the training cycle.
Hiring of Full or Part-Time Staff or Contractors/Consultants to support
training-related activities. Reimbursement of these costs should follow the
policies of the State or local unit(s) of government or the awarding agency,
whichever is applicable. Such costs must be included within the funding
allowed for program management personnel expenses, which must not
exceed fifteen percent (15%) of the total allocation. Dual compensation is
unallowable. That is, an employee of a unit of government may not receive
compensation from their unit or agency of government AND from an award for
a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work
may benefit both activities.
Overtime and Backfill Costs. The entire amount of overtime costs,
including payments related to backfilling personnel, which are the direct result
of attendance at FEMA and/or approved training courses and programs are
allowable. Reimbursement of these costs should follow the policies of the
State or local unit(s) of government or the awarding agency, whichever is
applicable. In no case is dual compensation allowable.

37
Appendix C – Funding Guidelines

•
•
•

•

Travel. Travel costs (e.g., airfare, mileage, per diem, and hotel) are
allowable as expenses by employees who are on travel status for official
business related, approved training
Supplies. Supplies are items that are expended or consumed during the
course of the planning and conduct of the training project(s) (e.g., gloves and
non-sterile masks).
Funds Used to Develop, Deliver, and Evaluate Training, including costs
related to administering the training, planning, scheduling, facilities, materials
and supplies, reproduction of materials, and equipment. 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.
Certification/Recertification of Instructors is an allowable cost. States are
encouraged to follow the FEMA Instructor Quality Assurance Program to
ensure a minimum level of competency and corresponding levels of
evaluation of student learning. This is particularly important for those courses
that involve training of trainers. This information is contained in IB 193,
issued October 20, 2005.

Information on DHS-approved training can found at the following website
http://www.firstrespondertraining.gov/.
Exercises
FY 2012 TSGP funds may be used for the following exercise activities:
•

•

•

Funds Used to Design, Develop, Conduct and Evaluate an Exercise.
Includes costs related to planning, meeting space and other meeting costs,
facilitation costs, materials and supplies, travel, and documentation.
Exercises should provide the opportunity to demonstrate and validate skills
learned, as well as to identify any gaps in these skills. Any exercise or
exercise 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 exercise cycle.
Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or parttime staff may be hired to support exercise-related activities. Such costs
must be included within the funding allowed for program management
personnel expenses, which must not exceed fifteen percent (15%) of the total
allocation. The applicant's formal written procurement policy or 44 CFR 13.26
– whichever is more stringent – must be followed. In no case is dual
compensation allowable. That is, an employee of a unit of government may
not receive compensation from their unit or agency of government AND from
an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even
though such work may benefit both activities.
Overtime and Backfill Costs. The entire amount of overtime costs,
including payments related to backfilling personnel, which are the direct result
38
Appendix C – Funding Guidelines

•
•
•

of time spent on the design, development and conduct of exercises are
allowable expenses. These costs are allowed only to the extent the payment
for such services is in accordance with the policies of the State or unit(s) of
local government and has the approval of the State or the awarding agency,
whichever is applicable. In no case is dual compensation allowable.
Travel. Travel costs are allowable as expenses by employees who are on
travel status for official business related to the planning and conduct of
exercise project(s).
Supplies. Supplies are items that are expended or consumed during the
course of the planning and conduct of the exercise project(s) (e.g., gloves,
non-sterile masks, and disposable protective equipment).
Other Items. These costs include the rental of space/locations for exercise
planning and executing, rental of equipment, etc. Grantees are encouraged
to use free public space/locations/facilities, whenever available, prior to the
rental of space/locations/facilities. Costs associated with inclusive practices
and the provision of reasonable accommodations and modifications to
provide full access for children and adults with disabilities

2. Unallowable Costs. Specific unallowable costs include:
• Expenditures for items such as general-use software (word processing,
spreadsheet, graphics, etc.), general-use computers and related equipment
(other than for allowable M&A activities, or otherwise associated preparedness or
response functions), general-use vehicles, licensing fees, weapons systems, and
ammunition
• Personnel costs (except as detailed above)
• Activities unrelated to the completion and implementation of the TSGP
• Other items not in accordance with the AEL or previously listed as allowable
costs

39
Appendix C – Funding Guidelines

Appendix D - FY 2012 TSGP Investment Justification
Template
As part of the FY 2012 TSGP application process, applicants must develop a formal IJ
that addresses each initiative being proposed for funding, including M&A costs. An
agency may submit up to 8 IJs per region. Agencies may also submit up to 5 additional
IJs for projects related to law enforcement providers that are not part of the
organization. Each IJ must demonstrate how a proposed project addresses gaps and
deficiencies in current programs and capabilities. The IJ must demonstrate the ability to
provide enhancements consistent with the purpose of the program and guidance
provided by DHS. Applicants must ensure that the IJ is consistent with all applicable
requirements outlined in this application kit.
Investment Heading
Date
Applicant
Region and Urban
Area(s) Impacted
Investment Name
Investment Amount

$

I. Background
Note: This section only needs to be completed once per application, regardless of the
number of investments proposed. The information in this section provides
background/context for the investment(s) requested, but does not represent the
evaluation criteria used by DHS for rating individual investment proposals.
I.A. Identify the point(s) of contact for this investment.
Response Type
Narrative
Response Instructions
Identify the following:
• Point of contact’s (POC) name and title;
• POC’s full mailing address;
• POC’s telephone number;
• POC’s fax number;
• POC’s email address; and
• Also include the corresponding information for the single authorizing official
for your organization—i.e., the individual authorized to sign a grant award.
Response:

40
Appendix D - FY 2012 TSGP Investment Justification Template

I.B. Describe the operating system.
Response Type
Narrative
Response Instructions
Describe the following:
• Infrastructure;
• Ridership data;
• Number of passenger miles;
• Number of vehicles and/or vessels;
• System map; and
• Other sources of funding being leveraged for security enhancements.
Response

II. Strategic and Program Priorities
II.A. Provide an abstract for this investment.
Response Type
Narrative
Response Instructions
• Describe what the project is, how it will be executed, and its purpose.
• Define the vision, goals, and objectives for the risk reduction, and
summarizes how the proposed investment will fit into the overall effort to
meet the critical infrastructure security priorities (including integration into
existing security protocols);
• Describe how the investment builds or sustains one or more NPG core
capabilities.
• Describe the specific needs and/or resource limitations that need to be
addressed;
• Identify any potential partners and their roles and staffing requirements, and
provide information on any existing agreements such as Memoranda of
Understanding (MOU);
• Identify specific equipment needs (e.g., number of facility cameras, number
of security lights, amount of security fencing, etc.) and other details for
training, awareness, exercises, and other programs, if applicable (e.g.,
number of people to be trained, length of training, type of training, number
of printed materials, number of agencies and staff members involved in
exercise planning, execution, and review);
• Describe progress made on the security project this investment will be
completing, if applicable; and
• Reference use of prior year grant funds, if applicable
Note: Ensure that details on purchases within this section match what is
outlined in the detailed budget.
Response
II.B. Describe how this investment specifically addresses one or more of the funding priorities
identified in the current year grant FOA.
Response Type
Narrative
Response Instructions
• Describe how the investment addresses one or more Funding Priority Areas
outlined in this FOA.
Response

41
Appendix D - FY 2012 TSGP Investment Justification Template

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

IV. Funding & Implementation Plan
IV.A. Investment Funding Plan.
Response Type
Numeric and Narrative
Response Instructions
• Complete the chart below to identify the amount of funding the grantee is
requesting for this investment only;
• Funds should be requested and detailed by allowable cost categories (i.e.,
planning, organization, equipment, training, exercises, and management
and administration);
• Applicants must make funding requests that are reasonable and justified by
direct linkages to activities outlined in this particular investment; and
• Applicants must indicate whether additional funding (non-FY 2012 grants)
will be leveraged for this investment.
Note: Investments will be evaluated on the expected impact on security
relative to the amount of the investment (i.e., cost effectiveness). An itemized
Budget Detail Worksheet and Budget Narrative must also be completed for this
investment.
Response

The following template illustrates how grantees should indicate the amount of FY 2012
TSGP funding required for the investment, how these funds will be allocated across the
cost elements, and what (if any) non-FY 2012 TSGP funds will be utilized:
Federal Request
Total

Other Funding
Sources Applied

Grand Total

Planning
Equipment
Training
Exercises
Operational Packages
M&A
Total

42
Appendix D - FY 2012 TSGP Investment Justification Template

IV.B.

Discuss funding resources beyond the current fiscal year grant funding that have been
identified and will be leveraged to support the implementation and sustainment of this
investment.
Response Type
Narrative
Response Instructions
• Give the expected total life-span for this investment if fully implemented and
sustained through completion;
• Discuss other funding sources (e.g., non-Federal grant programs, public or
private agreements, future fiscal year grants) that you plan on utilizing for
the implementation and/or continued sustainment of this investment;
• If no other funding resources have been identified, or if none are necessary,
provide rationale as to why the requested FY 2012 TSGP funding is
sufficient for the implementation and sustainment of this investment; and
• Investments will be evaluated on the extent to which they exhibit a
likelihood of success, or continued success, without requiring additional
Federal assistance.
Response
IV.C.

Provide a high-level timeline, milestones and dates, for the implementation of this
investment. Up to 10 milestones may be provided.
Response Type
Narrative
Response Instructions
• Only include major milestones that are critical to the success of the
investment;
• While up to 10 milestones may be provided, The grantee should only list as
many milestones as necessary;
• Milestones are for this discrete investment – those that are covered by the
requested FY 2012 TSGP funds and will be completed over the grant
period;
• Milestones should be kept to high-level, major tasks that will need to occur;
• Identify the planned start date associated with the identified milestone. The
start date should reflect the date at which the earliest action will be taken to
start achieving the milestone;
• Identify the planned completion date when all actions related to the
milestone will be completed and overall milestone outcome is met; and
• List any relevant information that will be critical to the successful completion
of the milestone (such as those examples listed in the question text above).
Response

Note: After completing the template for each investment, the grantee should review the
information provided to ensure accuracy, particularly in the Milestone Dates and the
Investment Funding Plan.
Investment Justification Submission and File Naming Convention
Investment Justifications must be submitted with the grant application as a file
attachment within https://portal.fema.gov. Applicants must use the following file naming
convention when submitting the IJs as part of the FY 2012 TSGP:
Investment Justification (through https://portal.fema.gov) ensure file
attachment:
Region_ Agency_IJ Number (Example: Chicago_CTA_IJ_1)

43
Appendix D - FY 2012 TSGP Investment Justification Template

Ap p e n d ix E - S a m p le Bu d g e t De ta il Wo rks h e e t
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
$
Total Personnel $
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
Cost
$
Total Fringe Benefits $
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 three-day training at $X airfare, $X lodging, $X subsistence). In
training projects, travel and meals for trainees should be listed separately. Show the
number of trainees and unit costs involved. Identify the location of travel, if known.
Indicate source of Travel Policies applied, Applicant or Federal Travel Regulations.
Purpose of
Location
Item
Computation Cost
Travel
$
Total Travel $
D. Equipment. List non-expendable items that are to be purchased. Non-expendable
equipment is tangible property having a useful life of more than one year. (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.

44
Appendix E - Sample Budget Detail Worksheet

Budget Narrative: Provide a narrative budget justification for each of the budget
items identified.
Item
Computation
Cost
$
Total Equipment $
E. Supplies. List items by type (office supplies, postage, training materials) 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 Items

Computation

Cost
$
Total Supplies $

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 (eight-hour day), and estimated time on the project.
Budget Narrative: Provide a narrative budget justification for each of the budget
items identified.
Name of
Consultant

Service Provided

Computation

Cost

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

Location

Computation

Cost
$
Subtotal – Consultant Expenses $

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. Any sole source contracts must follow the
requirements set forth in 44 CFR Section 13.36.
Budget Narrative: Provide a narrative budget justification for each of the budget
items identified.
45
Appendix E - Sample Budget Detail Worksheet

Item

Cost
$
Subtotal – Contracts $
Total Consultants/Contracts $

G. Other Costs. List items (e.g., reproduction, 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.
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.
Description

Computation

Cost
$
Total Other $

H. Indirect Costs. Indirect costs are allowed only if the applicant has a federallyapproved 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 Indirect Costs $

46
Appendix E - Sample Budget Detail Worksheet

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
A. Personnel
B. Fringe Benefits
C. Travel
D. Equipment
E. Supplies
F. Consultants/Contracts
G. Other
H. Indirect Costs

Federal Amount
$
$
$
$
$
$
$
$
Total Requested
Federal Amount
$
Combined Total Project
Costs
$

Detailed Budget Submission and File Naming Convention
Detailed Budgets must be submitted with the grant application as a file attachment
within https://portal.fema.gov. Applicants must use the following file naming convention
when submitting detailed budgets as part of the FY 2012 TSGP:
Detailed Budget (through https://portal.fema.gov) ensure file attachment:
Region_Agency_IJ Number_Budget (Example: Chicago_CTA_IJ _1_Budget)

47
Appendix E - Sample Budget Detail Worksheet

Ap p e n d ix F - S e c u rity P la n Re q u ire m e n ts
The following information regarding security plan requirements are taken from Section
1405(c)(2) from the 9/11 Act.
Security plans should include the following, as appropriate:
•
•

•

•

•
•
•
•
•

A prioritized list of all items included in the public transportation agency’s security
assessment that have not yet been addressed
A detailed list of any additional capital and operational improvements identified
by DHS or the public transportation agency and a certification of the public
transportation agency’s technical capacity for operating and maintaining any
security equipment that may be identified in such list
Specific procedures to be implemented or used by the public transportation
agency in response to a terrorist attack, including evacuation and passenger
communication plans and appropriate evacuation and communication measures
for the elderly and individuals with disabilities
A coordinated response plan that establishes procedures for appropriate
interaction with State and local law enforcement agencies, emergency
responders, and Federal officials in order to coordinate security measures and
plans for response in the event of a terrorist attack or other major incident;
A strategy and timeline for conducting training under section 1408 of the 9/11 Act
Plans for providing redundant and other appropriate backup systems necessary
to ensure the continued operation of critical elements of the public transportation
system in the event of a terrorist attack or other major incident
Plans for providing service capabilities throughout the system in the event of a
terrorist attack or other major incident in the city or region which the public
transportation system serves
Methods to mitigate damage within a public transportation system in case of an
attack on the system, including a plan for communication and coordination with
emergency responders
Other actions or procedures as the Secretary of DHS determines are appropriate
to address the security of the public transportation system

48
Appendix F - Security Plan Requirements

Ap p e n d ix G - Re m e d ia tio n P la n Gu id e
Prior Assessments:
•

•
•

What type of assessment(s) is being used as a basis to identify the
vulnerabilities, and when/where were they conducted? Please list the
assessment(s), what entity conducted them (owner/operator, DHS, including
approved sub-contractors), and when they were conducted.
Does the asset have a significant vulnerability per the assessment that could be
exploited by a terrorist causing significant loss of life and/or system disruption?
Did the assessment recommend specific mitigation options to address
vulnerabilities? What types of options were presented (e.g., operational, physical
security, electronic security, etc.)?

Remediation Plan:
•
•
•
•
•
•
•

Does the remediation plan adequately describe how vulnerabilities were
identified?
Does the remediation plan adequately address all the vulnerabilities as described
in the assessment?
Does the remediation plan call for further resources to be utilized, other than the
best estimate developed for the final design component, and are those resources
present?
Is proper documentation for EHP review available? If not completed, is the
expected completion date known?
Are there any other environmental obstacles at the local or State level?
Does the remediation plan include detailed costs for the mitigation options
identified in the assessment?
Does the remediation plan include detailed timelines for the mitigation options
identified in the assessment?

Timelines/Costs:
•
•
•
•

Do the timelines, milestones, and cost estimates appear reasonable given the 24
month period of performance?
Is the budget for the project consistent and are all variances in cost-drivers taken
into consideration?
Based on prior research/experience, does the remediation plan appear to be
efficient?
Based on prior research/experience, are there other more cost effective
mitigation options available?

49
Appendix G - Remediation Plan Guide

Ap p e n d ix H - He lp fu l Hin ts fo r Ap p lic a n ts
Are the following components included in the application package?
•
•
•

SF 424, SF 424A, SF 424B, SF LLL
IJs for projects
Detailed budgets containing only allowable costs

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

•
•
•
•
•
•
•
•
•

Do the IJ and the detailed budget only include allowable costs?
- 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 IJ as it pertains to the overall security program)
- Does the information in the detailed budget align with the budget summary in
the IJ narrative?
- Are planning and design costs to include remediation planning clearly
delineated in the budget, as separate from implementation/installation costs?
(Planning and design costs may be released before
implementation/installation costs, as planning and design costs do not require
extensive EHP review.)
Does the IJ clearly explain how the projects fit into a funding priority area (as
identified in Appendix B – FY 2012 TSGP Priorities)?
Does the IJ establish a clear linkage to developing and/or sustaining one or more
core capabilities in the NPG?
Does the IJ discuss how this investment will decrease or mitigate risk?
Is the cost effectiveness of the project clearly explained in the IJ? How does this
project provide a high security return on investment?
Does the IJ discuss how/if the project can be implemented quickly?
How does the project reflect security discussions and mitigation strategies
discussed by the RTSWG?
Are timelines realistic and detailed?
Are possible hurdles addressed in a clear and concise fashion?
Does the M&A total no more than five percent (5%) of the total request?

50
Appendix H - Helpful Hints for Applicants