Office of Grants and Training Preparedness Directorate U.S. Department of Homeland Security Washington, DC 20531 G&T Information Bulletin No. 214 July 13, 2006 TO All State Administrative Agency Heads All State Administrative Agency Points of Contact All State Homeland Security Directors Rail and Intracity Bus System Points of Contact Ferry System Points of Contact FROM: Tracy A. Henke Assistant Secretary, Office of Grants and Training Kip Hawley Assistant Secretary, Transportation Security Administration SUBJECT: FY 2006 Transit Security Grant Program The information contained in this bulletin is considered an addendum to the FY 2006 Transit Security Grant Program (TSGP) Program Guidelines and Application Kit. The instructions and directions contained herein are not suggestions – they are mandatory requirements. If your application does not adhere to the requirements contained in the TSGP Program Guidelines and Application Kit, and this Information Bulletin, it will be considered incomplete and will not be considered for funding. On July 6, 2006, the Department of Homeland Security (DHS) announced the availability of the FY 2006 TSGP. This Information Bulletin is intended to clarify several issues relating to the TSGP Program Guidelines and Application Kit. Applicants are encouraged to log onto and register at the Grants.gov website as soon as possible. There may be a 5-10 day waiting period between registration and the applicant’s ability to enter the system and work on the application: 1. Tier 1 Project Plans and Templates Issue: Eligible Rail and Intracity bus systems in Tier 1 and all eligible Ferry systems may submit no more than ten (10) project plans per system and no more than five (5) regional project plans. Each project plan must be submitted through the applicable State Administrative Agency (SAA) and must not exceed five (5) pages (not including the project budget). Each project plan must contain the following sections: • Project Abstract • Project Description • Project Timelines/Milestones • Project Budget Please see the attached templates for additional guidance on specific information to be included in each section. The project plans must demonstrate the organization’s ability to provide tangible, physical security enhancements consistent with the purpose of the program and guidance provided. SAAs must ensure that project plans are consistent with all applicable requirements outlined in the posted application kit and in this Information Bulletin. 2. Tier 2 Concept Papers and Templates Issue: All eligible Rail and Intracity bus systems in Tier 2 may submit no more than five (5) concept papers per system and no more than one (1) regional concept paper for consideration of funding. Each concept paper must not exceed five (5) pages (not including the project budget) and must be submitted to the applicable SAA for inclusion with the grant application. All grant applications must be submitted no later than 11:59 pm EST on Friday, August 4, 2006 in order to receive consideration of funding. Eligible systems and regions are strongly encouraged to reach out to their applicable SAAs as soon as possible to determine the deadline by which the SAA requires concept papers. In addition to the information required in Part II, Section D, page 5 of the TSGP Program Guidelines and Application Kit, each concept paper must contain: • Project Abstract • Project Description • Project Timelines/Milestones • Project Budget Please see the attached templates for additional guidance on specific information to be included in each section. The concept papers must demonstrate the organization’s ability to provide security enhancements consistent with the purpose of the program and guidance provided. SAAs must ensure that concept papers are consistent with all applicable requirements outlined in the posted application kit and in this Information Bulletin. 3. Application Submission Issue: All Tier 1 applications and all Tier 2 applications and concept papers must be submitted to the SAA to be processed through the Grants.gov website. If the SAA is eligible for Tier 1 & Tier 2 funds, one application containing the required forms and attachments should be submitted. Do not submit two separate applications. Applications must be submitted no later than 11:59 pm EST on Friday, August 4, 2006 to receive consideration for funding. If necessary, additional clarifying guidance will be provided in future Information Bulletins. Questions on this information bulletin may be directed to the G&T Centralized Scheduling and Information Desk at askcsid@dhs.gov or 1-800-368-6498. Attachment 1: Project Plan/Concept Paper Template All eligible Rail and Intracity Bus systems in Tier 1 and all eligible Ferry systems may submit no more than ten (10) project plans per system and no more than five (5) regional project plans. Each project plan must be submitted through the applicable SAA and should not exceed five (5) pages (not including the project budget). All eligible Rail and Intracity Bus systems in Tier 2 should submit may submit no more than five (5) concept papers per system and no more than one (1) regional concept paper for consideration of funding. Each concept paper should not exceed five (5) pages (not including the project budget) and must be submitted to the applicable SAA for inclusion with the grant application. All Tier 1 and Tier II project plans and concept papers should follow the format below: Project Abstract • Provide a succinct statement summarizing your project. Project Description • Define the vision, goals, and objectives for the risk reduction as well as how the proposed project will fit into an overall effort to meet critical infrastructure security priorities (including integration into existing security protocols); • Describe the specific needs and/or resource limitations that need to be addressed; • Identify any potential partners and their roles and staffing requirements, and provide information on any existing agreements such as Memorandums of Understanding (MOU); • Indicate how the project addresses one or more of the National Security Priorities Specific to the Intracity Rail, Intracity Bus or Ferry Sectors; • Describe how the project supports the Regional Transit Security Strategy (RTSS), the Urban Area Homeland Security Strategy, and/or the State Homeland Security Strategy (if applicable); • Describe the overall cost effectiveness of the project; • Describe resources that are being dedicated to the project by the agency or region to include funding and staffing (if applicable); • Describe progress made on the security project that this project will be completing (if applicable); • Address sustainability of the project without additional Federal funds; and, • Describe the security related impact if you do not receive funding for this project. Project Timelines/Milestones • Outline the major project tasks and milestones from time of award until project completion (the project period may not exceed 30 months); and, • For each task, provide: o Short description of the task; o Start date; o Duration; o Individual or organization responsible for the task; and, o Description of how funds will be used to complete the task. Project Budget • Provide a breakdown of all costs and expenses (see Attachment 2 for recommended format). The factors that will be considered in the evaluation of the concept papers for Tier 2 Rail systems are: • Cost effectiveness o Projects will be evaluated on the expected impact on security relative to the investment. • Ability to reduce risk of catastrophic events o Projects will be evaluated on their ability to reduce risk. • Sustainability without additional Federal funds and leveraging of other funding o Projects will be evaluated on the extent to which they exhibit a likelihood of success, or continued success, without requiring additional Federal assistance. Projects will also be evaluated on the willingness of the applicant to provide a cash match or operational equivalent regardless of amount and source. (Note: Projects will be considered regardless of whether there is a match or equivalent.) • Relevance to National Preparedness Goal and National Strategy for Transportation Security o Projects will be evaluated on the extent to which they incorporate capabilities and priorities outlined in major preparedness and transportation security documents developed by DHS. • Relevance to the Regional Transit Security Strategy, Urban Area Homeland Security Strategy and State Homeland Security Strategy (if applicable) o Projects will be evaluated on the extent to which the support regional homeland security planning efforts. • Innovativeness of solution o Projects will be evaluated on the novelty of the proposed solution. Preference on this factor will be given to projects offering a new or innovative approach to the security challenge being addressed. • Timelines o Projects will be evaluated on the ability of the applicant to complete the proposed project within submitted timeframes. Sample Project Types for Intracity Rail Systems Passive measures that provide protection of underwater and other deep bore tunnels and associated track mileage from attacks employing IEDs. Development and enhancement of capabilities to prevent, detect, and respond to terrorist attacks employing improvised explosive devices. Capabilities to protect other assets besides tunnels should focus on passenger trains, stations with high passenger throughput thru major urban areas, large rail yards, operations control centers, and high profile, high volume transit and rail bridges and tunnels. Mitigation of other high consequence risks identified through individual transit system risk assessments. This also includes specific action items for transit system readiness established by Federal Transit Administration (FTA). Coordinating with local police and emergency responders that are evaluated as activities to address the response to and recovery of a catastrophic event and/or a terrorist attack. Facility security enhancements that focus on lighting, fencing, securing gates, door access codes, cameras, CCTV, etc. Training and Exercises that focus on domain awareness and participating in exercises to coordinate and prepare for an incident or attack. Sample Project Types for Intracity Bus Systems Inventory Control improvements such as ignition key-recognition systems and remote tracing/shut-down capabilities. Development and enhancement of capabilities to minimize the threat of intracity buses as a weapon. Increased perimeter security at intracity bus depots. Enhancement of access control at areas of storage to deter the use of intracity buses as a vehicle borne IED. Training and Awareness of intracity bus operators and employees. Development of programs that cover the detection and deterrence of efforts by terrorists to use intracity buses as a means to attack critical infrastructure and key resources. Enhancement of current efforts to deter attacks on the bus as the end target. Emergency response and preparedness capabilities in the event an intracity bus is used as a weapon. Development of these capabilities to deter the use of the intracity bus to inflict damage on critical infrastructure. Implementation of technology-driven surveillance. Technology-driven surveillance (e.g. CCTV), either at intracity bus facilities or within the buses to increase the effectiveness of other detection and deterrence measures. Detection and recognition of suspicious activity and behavior patterns. Attachment 2: Suggested Project Budget Format This Budget Detail Worksheet may be used as a guide to assist you in the preparation of your project budget. You may submit the budget 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 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 _______ 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. Fringe benefits on overtime hours are limited to FICA, Workman’s Compensation, and Unemployment Compensation. Name/Position Computation Cost TOTAL _______ Total Personnel & 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 3-day training at $X airfare, $X lodging, $X subsistence). In training projects, travel and meals for trainees should be listed separately. Show the number of trainees and unit costs involved. Identify the location of travel, if known. Indicate source of Travel Policies applied (Applicant or Federal Travel Regulations). Purpose of Travel Location Computation Cost TOTAL _______ D. Equipment - List non-expendable items that are to be purchased. Non-expendable equipment is tangible property having a useful life of more than two years. (Note: Organization’s own capitalization policy and threshold amount for classification of equipment may be used). Expendable items should be included either in the “Supplies” category or in the “Other” category. Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those subject to rapid technical advances. Rented or leased equipment costs should be listed in the “Contractual” category. Explain how the equipment is necessary for the success of the project. Item Computation Cost TOTAL _______ E. Consultants/Contracts - Indicate whether applicant’s formal, written Procurement Policy or the Federal Acquisition Regulations are followed. Consultant Fees: For each consultant enter the name, if known, service to be provided, hourly or daily fee (8-hour day), and estimated time on the project. Name of Consultant Service Provided Computation Cost Subtotal _______ Consultant Expenses: List all expenses to be paid from the grant to the individual consultant in addition to their fees (i.e., travel, meals, lodging, etc.) Item Location Computation Cost Subtotal _______ Contracts: Provide a description of the product or services to be procured by contract and an estimate of the cost. Applicants are encouraged to promote free and open competition in awarding contracts. A separate justification must be provided for sole source contracts in excess of $100,000. Item Cost Subtotal _______ TOTAL _______ F. Indirect Costs - Indirect costs are allowed only if the applicant has a Federally approved indirect cost rate. A copy of the rate approval, (a fully executed, negotiated agreement), must be attached. If the applicant does not have an approved rate, one can be requested by contacting the applicant’s cognizant Federal agency, which will review all documentation and approve a rate for the applicant organization, or if the applicant’s accounting system permits, costs may be allocated in the direct costs categories. Description Computation Cost TOTAL _______ Budget Summary - When you have completed the budget worksheet, transfer the totals for each category to the spaces below. Compute the total direct costs and the total project costs. Indicate the amount of Federal funds requested and the amount of non-Federal funds that will support the project. Budget Category Amount Match (Indicate Cash or In-kind) A. Personnel _______ _______ B. Fringe Benefits _______ _______ C. Travel _______ _______ D. Equipment _______ _______ E. Consultants/Contracts _______ _______ TOTAL DIRECT COSTS _______ _______ F. Indirect Costs _______ _______ TOTAL PROJECT COSTS _______ _______ Total Federal Amount: _______ Total Match: _______ Note: Cost-sharing is not a program requirement under the FY 2006 TSGP. However, if matching funds are offered as part of the project, applicants are advised that an award recipient is responsible for meeting the matching funds reflected in an approved grant budget.