Fiscal Year 2007
INFRASTRUCTURE PROTECTION PROGRAM:
TRANSIT SECURITY GRANT PROGRAM
PROGRAM GUIDANCE AND APPLICATION KIT
January 2007
OFFICE OF GRANTS AND TRAINING
U . S . D E P A R T M E N T O F H O M E L A N D S E C U R I T Y
U.S. DEPARTMENT OF HOMELAND SECURITY – TRANSIT SECURITY GRANT PROGRAM
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KEY CHANGES IN FY 2007
The Fiscal Year 2007 (FY07) Infrastructure Protection Program (IPP) contains
significant improvements based upon extensive outreach to FY06 IPP participants and
stakeholders. In addition, the risk analysis assessments that form the basis for
eligibility under the IPP have been simplified, refined, and considerably strengthened.
Potential applicants will have more time this year to complete the application process.
The Department of Homeland Security (DHS) has also created multiple opportunities for
applicants to have consultations with the Department’s grant program and subject
matter experts prior final review of applications. Some of the IPP grants will be
executed as cooperative agreements, thus allowing for iterative refinements regarding
an applicant’s funding proposal in order to maximize effective communication between
DHS and our external partners about these important homeland security investments.
This year’s IPP grants strengthen DHS’s ability to protect from inappropriate public
release of security- and business-sensitive information that will be provided with grant
applications. To increase program flexibility, the period for compliance under IPP grants
has been extended from 30 to 36 months. New federal legislation requires compliance
with federal energy policy laws and certain other administrative requirements.
This year, Amtrak is eligible to participate in the rail transit security program, rather than
being eligible under a separate program. A supplemental Transit Security Grant
Program (TSGP) program guidance package for Amtrak is available. The ferry grants
under the TSGP have been expanded in FY07 to include a total of 19 systems in 14
regions. As with Amtrak, TSGP ferry grants are fully explained in a supplemental TSGP
program guidance package tailored to the ferry systems.
The FY07 IPP offers recipients enhanced flexibility. Regarding transit grants, this year’s
program provides transit agencies greater flexibility to address high-risk threats by
combining all intracity rail and bus funding so that local transit authorities can
themselves propose funding mixes that best address local transit security needs.
As with other DHS infrastructure grant programs, the largest portion of the transit grant
dollars will again be awarded to the highest risk facilities and for projects that offer the
maximum return on investment for risk reduction.
All applicants are required to read and conform to all requirements of this grant
guidance document and must have read and accepted all program guidance as binding.
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CONTENTS
KEY CHANGES IN FY 2007............................................................................................ i
CONTENTS .................................................................................................................... ii
INTRODUCTION............................................................................................................. 1
PART I. AVAILABLE FUNDING AND ELIGIBLE APPLICANTS.................................. 6
PART II. APPLICATION EVALUATION PROCESS.................................................... 10
PART III. PROGRAM REQUIREMENTS..................................................................... 13
APPENDIX 1. ALIGNMENT OF IPP WITH THE NATIONAL PREPAREDNESS
ARCHITECTURE.......................................................................................................... 20
APPENDIX 2. TSGP ALLOWABLE EXPENSES ........................................................ 21
APPENDIX 3. GRANTS.GOV QUICK-START INSTRUCTIONS................................. 26
APPENDIX 4. INVESTMENT JUSTIFICATION........................................................... 34
APPENDIX 5. SAMPLE BUDGET DETAIL WORKSHEET......................................... 46
APPENDIX 6. AWARD AND REPORTING REQUIREMENTS ................................... 51
APPENDIX 7. ADDITIONAL RESOURCES ................................................................ 58
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INTRODUCTION
The Transit Security Grant Program is one of five grant programs that constitute the
Department of Homeland Security Fiscal Year 2007 Infrastructure Protection Program
(IPP).1 The IPP is one tool among a comprehensive set of measures authorized by
Congress and implemented by the Administration to help strengthen the nation’s critical
infrastructure against risks associated with potential terrorist attacks.
The vast bulk of America’s critical infrastructure is owned and/or operated by state, local
and private sector partners. The funds provided by the TSGP are primarily intended to
support the work of public transit agencies that operate rail and bus networks. The
TSGP also supports security funding for ferry systems and the National Passenger Rail
Corporation, Amtrak.2
The purpose of this package is to provide: (1) an overview of the TSGP; and (2) the
formal grant guidance and application materials needed to apply for funding under the
program. Also included is an explanation of DHS management requirements for
implementation of a successful application.
Making an application for significant Federal funds under programs such as this can be
quite complex and occasionally frustrating. Our job at DHS is to provide clear guidance
and efficient application tools to assist applicants. Our customers are entitled to
effective assistance during the application process, and transparent, disciplined
management controls to support grant awards. We intend to be good stewards of
precious Federal resources, and commonsense partners with our state and local
colleagues.
We understand that individual transit systems will have unique needs and tested
experience about how best to reduce risk locally. Our subject matter experts will come
to the task with a sense of urgency to reduce risk, but also with an ability to listen
carefully to local needs and approaches. In short, we commit to respect flexibility and
local innovation as we fund national homeland security priorities.
A. Federal Investment Strategy.
The IPP is an important part of the Administration’s larger, coordinated effort to
strengthen homeland security preparedness, including the security of America’s critical
infrastructure. The IPP implements objectives addressed in a series of post 9/11 laws,
strategy documents, plans, Executive Orders and Homeland Security Presidential
1 The IPP’s other components include grants targeted for marine ports, intercity bus companies, the trucking
industry’s Highway Watch program and the Buffer Zone Protection Program for other high-risk infrastructure facilities.
2 Unless otherwise noted, this Grant Guidance and Application Kit establishes requirements for the TSGP rail and
bus awards only. Although there is very substantial overlap, the TSGP program guidance for ferry systems and
Amtrak is contained in the tailored supplemental Grant Guidance and Application Kit packages produced for each of
these other two TSGP grants.
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Directives (HSPDs) outlined in Appendix 1. Of particular significance are the National
Preparedness Goal and its associated work products, including the National
Infrastructure Protection Plan (NIPP) and its forthcoming transportation sector-specific
plans and Executive Order 13416 (Strengthening Surface Transportation Security). The
National Preparedness Goal is an all-hazards vision regarding the nation’s four core
preparedness objectives: to prevent, protect, respond and recover from terrorist attacks
and catastrophic natural disasters.
The National Preparedness Goal defines a vision of what to accomplish and a set of
tools – including IPP grant investments – to forge a unified national consensus about
what to do and how to work together at the Federal, State, local, and tribal levels.
Private sector participation is integral to the Goal’s success.3 It outlines 15 scenarios of
terrorist attacks or national disasters that form the basis of much of the Federal exercise
and training regime. In addition, it identifies some 37 critical target capabilities that DHS
is making the focus of key investments with State, local and tribal partners.
DHS expects its critical infrastructure partners – including recipients of IPP grants – to
be familiar with this national preparedness architecture and to incorporate elements of
this architecture into their planning, operations and investment to the degree
practicable. Our funding priorities outlined in this document reflect National
Preparedness Goal priority investments as appropriate. Programmatic requirements or
priority investment categories reflecting the national preparedness architecture for this
IPP grant program are identified below.
B. Funding Priorities.
The funding priorities for the FY07 TSGP reflect the Department’s overall investment
strategy, in which two priorities have been paramount: risk-based funding and regional
security cooperation.
First, and based upon ongoing intelligence analysis, extensive security reviews,
consultations with the transit industry and Congressional direction, DHS has once again
focused the bulk of its available transit 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 that is described below in the
section regarding eligible recipients.
Transit agencies in eight metropolitan areas, identified in Table 2, are the Tier I transit
investment agencies. In each of these eight areas, DHS identifies a specific target
investment level, stated as a “not to exceed” dollar amount. Each Tier I applicant must
submit a fully compliant application, which will undergo a preliminary review prior to final
submission. The form of award for Tier I grants will be a cooperative agreement.
3 The National Preparedness Goal and its supporting documents were published in draft form in March 2005. After
extensive stakeholder outreach, the final Goal documents are expected to be published early in 2007. For purposes
of aligning applications under the TSGP, applicants can rely on the existing draft Goal, available at:
http://www.ojp.usdoj.gov/odp/assessments/hspd8.htm .
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In addition, and also consistent with last year’s process, some 29 other jurisdictions are
eligible for the FY07 TSGP as Tier II applicants. The Tier II agencies will compete for
funding drawn from a single pool of applicants. These applications will be judged by an
extensive peer review process described below. DHS plans a significant amount of
outreach and support to applicant agencies to answer any questions about TSGP
program requirements, and to assist agencies with filing the strongest possible
applications.
Second, 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. This priority is a core component in the
Department’s statewide grant programs and the Urban Area Security Initiative grants.
The majority of Tier I and Tier II jurisdictions have more than one transit operating
agency. Close coordination of the Federal TSGP investments in each of these cases
will be a requirement for all successful applications. As DHS required with TSGP grants
in FY06, this year’s grants will elicit integrated proposals from eligible agencies in a
given region. The TSGP jurisdictions that are serviced by Amtrak intercity passenger
rail are also obliged under the TSGP to include Amtrak in regional transit planning
commitments. During the upcoming year, the Transportation Security Administration
(TSA) will work with successful grantees to strengthen and support the regional
consultation processes.
In addition to these two overarching priorities, the Department identifies the following
seven specific priorities as our highest priority selection criteria for the FY07 TSGP rail
and bus grants:
1. Protection of high risk/high consequence underwater and underground rail
assets. Many of the nation’s largest transit systems have significant track miles
and large concentrations of riders in rail systems that run underground and
underwater. It is the highest priority of the FY07 TSGP to support measures that
will protect underground rail system assets, and particularly underwater assets,
from terrorist attack by improvised explosive devices (IEDs) or other threats that
can damage or significantly breach such assets. Active coordination and regular
testing of emergency evacuation plan can greatly reduce loss of life in serious
incidents.
2. Protection of other high risk/high consequence assets and systems that
have been identified through system-wide risk assessments. It is imperative
that transit agencies focus countermeasure resources on their highest risk,
highest consequence areas or systems. The TSGP will particularly support
development and enhancement of capabilities to prevent, detect and respond to
terrorist attacks employing chemical, biological, radiological, nuclear and
explosive (CBRNE) weapons, particularly IEDs. For example, a system-wide
assessment may highlight the need to segregate critical security infrastructure
from public access. One solution could be an integrated intrusion detection
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system, controlling access to these critical facilities or equipment. Transit
systems should consider security technologies to help reduce the burden on
security manpower. Using smart CCTV systems in remote locations could help
free up security patrols to focus on more high risk areas.
3. Use of visible, unpredictable deterrence. Visible and unpredictable security
activities instill confidence and enhanced security awareness in the riding public,
and deter attacks by disrupting the ability of terrorists to prepare for and execute
attacks. Examples include the acquisition, training, and certification of explosives
detection canine teams; training of law enforcement, security officials and frontline
employees in behavioral pattern recognition; and procurement of mobile
detection or screening equipment to identify the presence of explosives or their
residue and other suspicious items on persons or in packages.
4. Targeted counter-terrorism training for key front-line staff. Effective
employee training programs address individual employee responsibilities and
provide basic security awareness to front line employees, including equipment
familiarization, assessing and reporting incident severity, appropriate responses
to protect self and passengers, use of protective devices, crew communication
and coordination, and incident evacuation procedures. For example, well trained
and rehearsed operators can help ensure that if an underground station has
suffered a chemical agent attack, trains – and the riding public – are quickly
removed from the scene, thus reducing their exposure and risk.
5. Emergency preparedness drills and exercises. In order to assess and
enhance a system’s capability to respond under the variety of serious incidents,
transit agencies are encouraged to maintain an emergency drill and exercise
program to test key operational protocols including coordination with first
responders. The TSGP can support exercises related to terrorist attack
scenarios (such as IED or CBRNE attacks), natural disasters and other
emergencies. Such programs can take various forms, from table top exercises to
more comprehensive multi-agency full-scale exercises. TSGP funds also
support rigorous after action assessments to identify further system
improvements.
6. Public awareness and preparedness campaigns. A public awareness and
preparedness program can employ announcements, postings in stations and
transit vehicles or other media to ensure awareness of heightened alert or threat
conditions. Effective awareness programs enlist the public in becoming an
informal part of an agency security plan. They should explain specific actions the
public can take to contribute to strengthening system security4.
7. Efforts in support of the national preparedness architecture. Transit
agencies are encouraged to take steps to embrace the national preparedness
architecture priorities, several of which have already been highlighted as TSGP
priorities. The following six national priorities are particularly relevant: expanding
4 For more information about citizen preparedness, see the Citizen Corps website at http://www.citizencorps.gov/.
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regional collaboration; implementing the National Incident Management System,
the National Response Plan and the National Infrastructure Protection Plan;
strengthening information sharing and collaboration capabilities; enhancing
interoperable communications capabilities; strengthening CBRNE detection and
response capabilities; and improving citizen preparedness capabilities.
C. Allowable Expenses.
Specific investments made in support of the funding priorities discussed above
generally fall into one of five categories. FY07 TSGP allowable costs are therefore
divided into the following five categories:
1. Planning
2. Equipment acquisitions
3. Training
4. Exercises
5. Management and administration
Appendix 2 provides additional detail about each of these five allowable expense
categories, as well as a section that identifies several specifically unallowable costs.
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PART I.
AVAILABLE FUNDING AND ELIGIBLE APPLICANTS
This section summarizes the total amount of funding available under the FY07 TSGP,
the basic distribution method used to administer the grants, and identifies all transit
systems eligible for FY07 funding.
A. Available Funding.
In order to provide local transit agencies greater flexibility in allocating TSGP funds,
DHS has combined last year’s separate transit rail grants and transit bus grants into a
single pool of TSGP funds. These funds can be used by successful applicants for both
types of transit systems. This is intended to reduce grant application complexity, but
more importantly to allow local transit officials to propose how best to allocate their
available TSGP resources to reduce overall risk.
In FY07, the total amount of funds distributed under the TSGP will be $171.8 million.
This is up considerably from the $135.9 million distributed in FY06. The available
funding is summarized in Table 1 below.
Table 1: TSGP FY07 Available Funding ($ millions)
Transportation Mode FY07 Funding
Tier I: Rail & Intracity Bus $141,440,463
Tier II: Rail & Intracity Bus $14,200,000
Amtrak $8,309,537
Ferry $7,830,000
TOTAL = $171,780,000
Applicants are encouraged not to request more than two times the average
percentage of IPP funds received annually from FY03 through FY06. While this
requested “cap” is not a mandatory application limitation, by exercising this restraint
applicants will speed the grant review cycle, make their core investment priorities and
capabilities more clear, and increase the likelihood of receiving full project funding for
realistic applications.
B. Selection of Eligible Applicants.
Agencies eligible for the FY07 TSGP were identified using comprehensive, empiricallygrounded
risk analysis modeling. The risk methodology for the IPP programs is
consistent across the modes and is linked to the risk methodology used to determine
eligibility for the core DHS State and local grant programs. TSGP basic eligibility is
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derived from the Urban Area Security Initiative (UASI). As a result of changes to the
participating UASI jurisdictions in FY07, and an updated analysis of annual ridership,
transit agencies from five new cities are included in the FY07 TSGP program.
Within the TSGP, eligibility for Tier I (highest risk) and Tier II grant awards is predicated
on a systematic risk analysis that aggregates all of the eligible transit agencies within a
given metropolitan area, and then rates these clusters of eligible systems for
comparative risk. The FY07 risk assessment formula was further strengthened and
refined from last year’s risk assessment formula.
The TSGP risk formula is based on a 100 point scale comprised of threat (20 points)
and vulnerability/consequences (80 points) variables. The DHS formula incorporates
multiple variables. Each variable set is assigned a weight as part of the overall formula,
and all eligible jurisdictions are empirically ranked in each instance on a numerical scale
from lowest to highest.
The DHS risk assessment methodology considers critical infrastructure system assets,
and characteristics that might contribute to their risk, such as: intelligence community
assessments of threat; potentially affected passenger populations and the economic
impact of attack. The relative weighting of variables reflects DHS’s overall risk
assessment and FY07 program priorities (for example, presence of underwater and
underground systems). Specific variables include unlinked passenger trips for rail and
bus systems, number of underground track miles, number of underwater tunnels and
location-specific intelligence community risk analysis.
C. Eligible Applicants and Role of State Administrative Agencies.
The Governor of each State and Territory with an FY07 Urban Area Security Initiative
(UASI) jurisdiction is required to designate a State Administrative Agency (SAA) to
apply for and administer the funds awarded under the TSGP. The SAA is the only entity
eligible formally to apply for TSGP funds5. DHS requires that the SAA be responsible
for obligating TSGP funds to the appropriate individual transit agencies within 60 days
after receipt of funds6.
Table 2 summarizes the specific rail and intracity bus transit systems that are eligible for
funding through the FY07 TSGP by tier. Tier I regions are eligible to apply for the
identified risk-based funding allocation for rail and intracity bus. Tier II regions may
compete for available rail and intracity bus funding -- $14.2 million. Presence on this
list does not guarantee grant funding.
5 This does not apply to Amtrak. Amtrak may apply for and receive a direct award pursuant to supplemental guidance.
6 For purposes of the FY07 TSGP, receipt of funds means the date on which funds are available for expenditure (e.g., all special
conditions prohibiting obligation, expenditure and draw down) have been removed.
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Table 2. Eligible Rail and Intracity Bus Transit Systems
Tier State Urban Area Eligible System Eligible Mode FY 2007*
Alameda-Contra Costa Transit District (AC Transit) Bus
Altamont Commuter Express (ACE) Commuter Rail
Bay Area Rapid Transit District (BART) Heavy Rail
Central Contra Costa Transit Authority Bus
Golden Gate Bridge, Highway and Transportation District Bus
Metropolitan Transportation Commission (Transbay Bus
Terminal) Bus
Peninsula Corridor Joint Powers Board (Caltrain) Commuter Rail
San Francisco Municipal Railway (MUNI) Commuter Rail, Light Rail, Bus
San Mateo County Transit Authority (SamTrans) Bus
Santa Clara Valley Transportation Authority (VTA) Light Rail, Bus
City of Los Angeles Department of Transportation Bus
Foothill Transit Bus
Long Beach Transit Bus
Los Angeles County Metropolitan Transportation
Authority Heavy Rail, Light Rail, Bus
Orange County Transportation Authority (OCTA) Bus
Santa Monica’s Big Blue Bus Bus
Southern California Regional Rail Authority (Metrolink) Commuter Rail
City of Alexandria (Alexandria Transit Company) Bus
Fairfax County Department of Transportation Bus
Maryland Transit Administration (MTA) Commuter Rail, Heavy Rail, Light Rail, Bus
Montgomery County Department of Transportation Bus
Potomac and Rappahannock Transportation Commission Bus
Prince George's County Department of Public Works and
Transportation Bus
Virginia Railway Express (VRE) Commuter Rail
Washington Metropolitan Area Transit Authority
(WMATA) Heavy Rail, Bus
Georgia Regional Transportation Authority Bus
Metropolitan Atlanta Rapid Transit Authority (MARTA) Heavy Rail, Bus
Chicago Transit Authority (CTA) Heavy Rail, Bus
Northeast Illinois Commuter Railroad Corporation
(METRA) Commuter Rail
Northern Indiana Commuter Transportation District Commuter Rail
PACE Suburban Bus Bus
MA Boston Area Massachusetts Bay Transportation Authority (MBTA) Commuter Rail, Heavy Rail, Light Rail, Bus $15,324,394
Connecticut Department of Transportation Commuter Rail
Metropolitan Transportation Authority (MTA) Heavy Rail, Commuter Rail, Bus
New Jersey Transit Corp. (NJT) Light Rail, Commuter Rail, Bus
Port Authority of New York and New Jersey (PANYNJ) Heavy Rail, Bus Terminals
Westchester County Department of Transportation Bus
Delaware River Port Authority (DRPA) Heavy Rail
New Jersey Transit Corp. (NJT) Commuter Rail, Light Rail, Bus
Pennsylvania Department of Transportation Commuter Rail
Southeastern Pennsylvania Transportation Authority
(SEPTA) Commuter Rail, Heavy Rail, Light Rail, Bus
CA
Bay Area
Greater Los
Angeles Area (Los
Angeles/Long
Beach and
Anaheim/Santa
Ana UASI Areas)
$13,820,695
$7,059,035
I
GA Atlanta Area $3,440,060
DC/MD/VA**
Greater National
Capital Region
(National Capital
Region and
Baltimore UASI
Areas)
$18,255,505
IL/IN*** Chicago Area $12,837,834
NY/NJ/CT****
New York
City/Northern New
Jersey Area (New
York City and
Jersey City/Newark
UASI Areas)
$61,000,000
PA/NJ***** Philadelphia Area $9,702,940
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Tier State Urban Area Eligible System Eligible Mode FY 2007*
City of Phoenix Public Transit Department Bus
Valley Metro Regional Public Transportation Authority
(Valley Metro) Bus
Tucson Area City of Tucson Transit Bus
Sacramento Area Sacramento Regional Transit District Light Rail
North San Diego County Transit District (NCTD) Commuter Rail, Bus
San Diego Metropolitan Transit System (MTS) Light Rail, Bus
CO Denver Area Regional Transportation District Light Rail, Bus
Jacksonville Area Jacksonville Transportation Authority Other Rail (AG)
Broward County Division of Mass Transit Bus
Miami-Dade Transit Heavy Rail, Other Rail (AG), Bus
South Florida Regional Transportation Authority (Tri-Rail) Commuter Rail
Orlando Area Central Florida Regional Transportation Authority Bus
Hillsborough Area Regional Transit Authority (HART) Bus
Pinellas Sun Coast Transit Authority Bus
HI Honolulu Area City and County of Honolulu Department of
Transportation Services Bus
Jefferson Parish Department of Transportation Bus
City of Detroit Department of Transportation Bus
Detroit Transportation Corporation Other Rail (AG)
Suburban Mobility Authority for Regional Transportation Bus
MN Twin Cities Area Metro Transit Light Rail, Bus
Bi-State Development Agency (Metro) Light Rail, Bus
Madison County Transit District Bus
NV Las Vegas Area Regional Transportation Commission of Southern
Nevada Bus
NY Buffalo Area Niagara Frontier Transp. Authority Light Rail
NC Charlotte Area Charlotte Area Transit System (CATS) Bus
Southwest Ohio Regional Transit Authority Bus
Transit Authority of Northern Kentucky Bus
Cleveland Area The Greater Cleveland Regional Transit Authority Heavy Rail, Light Rail, Bus
Clark County Public Transportation Benefit Area (CTRAN)
Bus
Tri-County Metropolitan Transportation District (Tri-Met) Light Rail
PA Pittsburgh Area Port Authority of Allegheny County Light Rail, Bus
RI Providence Area Rhode Island Public Transit Authority Bus
TN Memphis Area Memphis Area Transit Authority Light Rail
Dallas Area Rapid Transit (DART) Light Rail, Bus
Fort Worth Transportation Authority (The T) Bus
Trinity Railway Express (TRE) Commuter Rail
Houston Area Metropolitan Transit Authority of Harris County Light Rail, Bus
San Antonio Area VIA Metropolitan Transit Bus
VA Norfolk Area Hampton Roads Transit Bus
Central Puget Sound Regional Transit Authority (Sound
Transit) Commuter Rail, Light Rail
King County Department of Transportation Bus
Pierce County Public Transportation Benefit Area
Corporation (Pierce Transit) Bus
Snohomish County Transportation Benefit Area
Corporation (Community Transit) Bus
WI Milwaukee Area Milwaukee County Transit System Bus
$7,830,000
$8,309,537
$171,780,000
**The DC SAA will administer these funds.
***The IL SAA will administer these funds.
****The NY SAA will administer these funds.
*****The PA SAA will administer these funds.
Note: “Other Rail” Includes: 1) Automated Guideway (AG); and, 2) Cable Car (CC)
Ferry Systems
*Tier I eligible applicants can compete for these funds within their region.
II
Total
Phoenix Area
Amtrak
AZ
Cincinnati Area
TX
WA Seattle Area
Available Tier II
Funding in FY
2007: $14,200,000
CA
FL
LA
MI
MO
OH
OR Portland Area
St. Louis Area
San Diego Area
Miami/Fort
Lauderdale (Miami
and Fort
Lauderdale UASI
Areas)
Tampa Area
New Orleans Area
New Orleans Regional Transit Authority (NORTA) Light Rail, Bus
Detroit Area
Dallas/Fort Worth/
Arlington Area
New Urban Areas and Transit Systems Eligible in FY 2007 for TSGP
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PART II.
APPLICATION EVALUATION PROCESS
This section summarizes the roles and responsibilities within DHS for managing the
TSGP, the overall timetable for the FY07 program, and core process and priorities that
will be used to assess applications under the FY07 TSGP. The next section provides
detailed information about specific application requirements and the process for
submission of applications.
A. TSGP Program Management: Roles and Responsibilities at DHS.
Within DHS, the Transportation Security Administration (TSA) by law has the lead for
managing the Department’s security oversight and security programs for the transit
industry. TSA provides transit system subject matter expertise within DHS and
determines the primary security architecture for the TSGP program. Its subject matter
experts have the lead in crafting all selection criteria associated with the application
review process. TSA coordinates daily with the DHS Chief Intelligence Officer to review
intelligence reporting and craft intelligence risk assessments related to the
transportation sector. Led by a former large city transit executive, TSA’s transit security
staff has been augmented to increase its capabilities to participate both in the grant
award phase and in the grant management phase.
The Department’s Grants and Training (G&T) organization has the lead for designing
and operating the administrative mechanisms needed to manage the Department’s core
grant programs, including this IPP grant program. In short, G&T is responsible for
ensuring compliance with all relevant Federal grant management requirements and
delivering the appropriate grant management tools, financial controls, audits and
program management discipline needed to support the TSGP. While both TSA and
G&T of necessity interface directly with our transit stakeholders, TSA will prioritize
specific investments and set security priorities associated with the TSGP.
Effective management of the TSGP entails a partnership within DHS, the boundaries of
which have been defined by DHS Secretary Chertoff. In order to make this partnership
seamless to our external partners, upon award of a FY07 TSGP grant, two individuals
will be identified for each transit agency who will serve as primary account managers --
one individual from TSA and one from G&T. These two individuals will be assigned to
be turnkey facilitators for our grant recipients. They will meet directly with grantees as
needed, and will coordinate with each other routinely to facilitate support for the
individual transit agencies in a given region. These individuals will be the one-stop
TSGP account managers for our transit agency customers.
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B. Overview -- Application Deadline and Review Process.
Completed Applications must be submitted to DHS via grants.gov (see below for details
about this Federal grants application tool) no later than 11:59 PM EST, March 6, 2007.
DHS will evaluate and act on applications within 60 days following close of the
application period. The FY07 TSGP will use risk-based prioritization consistent with
DHS policy outlined in this TSGP Program Guidance and Application Kit. The following
process will be used to make awards under the program:
• G&T, in conjunction with TSA, will verify compliance with each of the
administrative and eligibility criteria identified in the application kit.
• Eligible applications will be reviewed and scored by a Federal interagency
working group, including representatives from TSA, G&T and the Federal Transit
Administration (FTA).
• TSA and G&T will jointly review the interagency recommendations and make
recommendations for funding to the Secretary of Homeland Security.
Applicants must comply with all administrative requirements -- including Investment
Justifications, budgets and application process requirements -- described herein.
Having met all administrative requirements, applications will be evaluated and ranked
based on:
1. Funding priorities. Projects will be evaluated and prioritized based on the extent to
which they address the specific funding priorities contained in the FY07 TSGP
Program Guidance and Application Kit.
2. Cost effectiveness. Projects will be evaluated and prioritized on the expected
impact on security relative to the investment.
3. Ability to reduce risk of catastrophic events. Projects will be evaluated and
prioritized on their ability to reduce risk.
4. 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. Projects will also receive additional preference based
on the commitment of an applicant to provide a cash match or operational
equivalent, regardless of amount and source. Projects will, however, be considered
regardless of whether there is a match or equivalent.
5. Timelines. Projects will be evaluated and prioritized on the ability of the applicant to
complete the proposed project within submitted timeframes.
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6. Section 5307 Grants from the U.S. Department of Transportation. Recipients of
Section 5307 grant funds from the U.S. Department of Transportation are required to
allocate at least 1 percent of their annual award for security projects or certify that
they do not need to allocate any of these funds for security projects. Applicants
that receive Section 5307 grants and allocate at least 1 percent of their Section 5307
funds will receive additional preference for funding under the FY07 TSGP.
C. Grant Application Support from DHS.
During the application period, and in conjunction with industry associations, DHS will
identify multiple opportunities for a cooperative dialogue between the Department and
potential applicants. This commitment is intended to ensure a common understanding
of the funding priorities and administrative requirements associated with the FY07
TSGP, and to help in submission of projects that will have the highest impact on
reducing risks for the transit systems and their customers.
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PART III.
PROGRAM REQUIREMENTS
This section provides detailed information about specific application requirements and
the process for submission of applications.
A. General Program Requirements.
The applicable SAA’s will be responsible for administration of the FY07 TSGP7. In
administering the program, the SAA must work with the eligible transit system(s) to
comply with the following general requirements:
1. Grant funds. The SAA must obligate at least 97 percent of the funds awarded to
designated transit systems within 60 days of the receipt of funds8.
2. Management and Administration limits. A maximum of 3 percent of funds
awarded may be retained by the SAA, and any funds retained are to be used solely
for management and administrative purposes associated with the TSGP award. In
addition, transit agencies receiving pass-through funds may use up to 2.5 percent of
their sub-award for management and administration purposes9.
3. Minimum project amounts. The minimum amount that may be requested for
projects focused on training and/or exercises is $50,000. The minimum amount that
may be requested for other projects is $250,000.
4. Match requirement. There is no match requirement for the FY07 TSGP.
However, the Department is considering up to a 20 percent match requirement for
the FY08 TSGP, and transit agencies are encouraged to factor this into their
planning for the next Federal fiscal year.
B. Application Requirements.
The following steps must be completed using the on-line grants.gov system to ensure a
successful application submission:
1. Application via grants.gov. DHS participates in the Administration’s e-government
initiative. As part of that initiative, all TSGP applicants must file their applications
using the Administration’s common electronic “storefront” -- grants.gov. Eligible
7 As noted, Amtrak may apply for and receive a direct award.
8 For purposes of the FY07 TSGP, receipt of funds means the date on which funds are available for expenditure (e.g., all special
conditions prohibiting obligation, expenditure and draw down have been removed).
9 Amtrak may retain a maximum of 3 percent of the funds awarded for management and administrative purposes associated with
their TSGP award.
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SAAs must apply for funding through this portal, accessible on the Internet at
http://www.grants.gov.
2. Application deadline. Completed Applications must be submitted to grants.gov no
later than 11:59 PM EST, March 6, 2007.
3. Valid Central Contractor Registry (CCR) Registration. The application process
also involves an updated and current registration by the applicant and the applicant’s
Business Point of Contact through the CCR. Eligible applicants must confirm CCR
registration at http://www.ccr.gov, as well as apply for FY07 IPP funding through
grants.gov at http://www.grants.gov.
While registration with grants.gov and the CCR is a one-time process, new
applicants are strongly encouraged to complete their registrations at least ten (10)
days prior to the March 6, 2007 application deadline.
4. On-line application. The on-line application must be completed and submitted
using grants.gov after CCR registration is confirmed. The on-line application
includes the following required forms and submissions:
• Standard Form 424, Application for Federal Assistance
• Standard Form 424B Assurances
• Standard Form LLL, Disclosure of Lobbying Activities
• Standard Form 424A, Budget Information
• Certification Regarding Debarment, Suspension, and Other Responsibility
Matters
• Any additional Required Attachments
The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is
“Rail and Transit Security Grant Program.” The CFDA number is 97.075. When
completing the on-line application, applicants should identify their submissions as
new, non-construction applications.
5. Project period. The project period will be for a period not to exceed 36 months.
6. DUNS number. The applicant must provide a Dun and Bradstreet Data Universal
Numbering System (DUNS) number with their application. This number is a required
field within grants.gov and for CCR Registration. Organizations should verify that
they have a DUNS number, or take the steps necessary to obtain one, as soon as
possible. Applicants can receive a DUNS number at no cost by calling the dedicated
toll-free DUNS Number request line at 1-800-333-0505.
7. Investment Justifications. As part of the application process, applicants must
develop a formal Investment Justification that addresses each initiative being
proposed for funding. These Investment Justifications must demonstrate how
proposed projects address gaps and deficiencies in current programs and
U.S. DEPARTMENT OF HOMELAND SECURITY – TRANSIT SECURITY GRANT PROGRAM
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capabilities. Additional details and templates for the Investment Justification may be
found in Appendix 4.
Applicants may propose up to ten investments within their Investment Justification
for individual systems and up to five investments for regional projects (regional
projects are those involving two or more eligible systems within the region). Tier 2
Investment Justifications must be submitted with the application by March 6, 2007.
Tier 1 Investment Justifications for rail and intracity bus projects must be submitted
to DHS by the appropriate SAA no later than 90 days from the date the grant is
awarded by DHS.
8. Detailed budget. The applicant must also provide a detailed budget for the funds
requested. The budget must be complete, reasonable and cost-effective in relation
to the proposed project. The budget should provide the basis of computation of all
project-related costs and any appropriate narrative. The budget should also
demonstrate any match. Additional details and templates for the Detailed Budget
may be found in Appendix 5.
9. Standard financial requirements.
9.1 -- Non-supplanting certification. This certification affirms that grant funds will
be used to supplement existing funds, and will not replace (supplant) funds that have
been appropriated for the same purpose. Potential supplanting will be addressed in
the application review, as well as in the pre-award review, post-award monitoring
and any potential audits. Applicants or grantees may be required to supply
documentation certifying that a reduction in non-Federal resources occurred for
reasons other than the receipt or expected receipt of Federal funds.
9.2 -- Assurances. Assurances forms (SF-424B and SF-424D) can be accessed at
http://apply.grants.gov/agency/FormLinks?family=7. It is the responsibility of the
recipient of the Federal funds to understand fully and comply with these
requirements. Failure to comply may result in the withholding of funds, termination
of the award or other sanctions. The applicant will be agreeing to these assurances
upon the submission of the application.
9.3 -- Certifications regarding lobbying, debarment, suspension, other
responsibility matters and the drug-free workplace requirement. This
certification, which is a required component of the on-line application, commits the
applicant to compliance with the certification requirements under 28 CFR part 67,
Government-wide Debarment and Suspension (Non-procurement); 28 CFR part 69,
New Restrictions on Lobbying; and 28 CFR part 83 Government-wide Requirements
for Drug-Free Workplace (Grants). All of these can be referenced at:
http://www.access.gpo.gov/nara/cfr/waisidx_04/28cfrv2_04.html.
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9.4 -- Accounting System and Financial Capability Questionnaire. All
nongovernmental (non-profit and commercial) organizations that apply for IPP
funding that have not previously (or within the last three years) received funding from
G&T must complete the Accounting System and Financial Capability Questionnaire.
The form can be found at http://www.ojp.usdoj.gov/oc.
10. Technology requirements.
10.1 -- National Information Exchange Model. To support homeland security,
public safety, and justice information sharing, G&T requires all grantees to use the
latest National Information Exchange Model (NIEM) specifications and guidelines
regarding the use of Extensible Markup Language (XML) for all IPP awards. Further
information about the required use of NIEM specifications and guidelines is available
at http://www.niem.gov.
10.2 -- Geospatial guidance. Geospatial technologies capture, store, analyze,
transmit, and/or display location-based information (i.e., information that can be
linked to a latitude and longitude). State, local, and industry partners are
increasingly incorporating geospatial technologies and data in an effort to prevent,
protect against, respond to, and recover from terrorist activity and incidents of
national significance. DHS encourages grantees to align geospatial activities with
the guidance available on the G&T website at
http://www.ojp.usdoj.gov/odp/grants_hsgp.htm.
11. Administrative requirements.
11.1 -- Freedom of Information Act (FOIA). DHS recognizes that much of the
information submitted in the course of applying for funding under this program or
provided in the course of its grant management activities may be considered law
enforcement sensitive or otherwise important to national security interests. This may
include threat, risk, and needs assessment information, and discussions of
demographics, transportation, public works, and industrial and public health
infrastructures. While this information under Federal control is subject to requests
made pursuant to the Freedom of Information Act (FOIA), 5. U.S.C. §552, all
determinations concerning the release of information of this nature are made on a
case-by-case basis by the DHS FOIA Office, and may likely fall within one or more
of the available exemptions under the Act. The applicant is encouraged to consult
its own State and local laws and regulations regarding the release of information,
which should be considered when reporting sensitive matters in the grant
application, needs assessment and strategic planning process. The applicant may
also consult G&T regarding concerns or questions about the release of information
under state and local laws. The grantee should be familiar with the regulations
governing Protected Critical Infrastructure Information (6 CFR Part 29) and Sensitive
Security Information (49 CFR Part 1520), as these designations may provide
additional protection to certain classes of homeland security information.
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11.2 -- Protected Critical Infrastructure Information (PCII). The PCII Program,
established pursuant to the Critical Infrastructure Information Act of 2002 (CII Act),
created a new framework, which enables State and local jurisdictions and members
of the private sector voluntarily to submit sensitive information regarding critical
infrastructure to DHS. The Act also provides statutory protection for voluntarily
shared CII from public disclosure and civil litigation. If validated as PCII, these
documents can only be shared with authorized users who agree to safeguard the
information.
PCII accreditation is formal recognition that the covered government entity has the
capacity and capability to receive and store PCII. DHS encourages all SAAs to
pursue PCII accreditation to cover their state government and attending local
government agencies. Accreditation activities include signing an MOA with DHS,
appointing a PCII Officer, and implementing a self-inspection program. For
additional information about PCII or the accreditation process, please contact the
DHS PCII Program Office at pcii-info@dhs.gov.
11.3 -- Compliance with Federal civil rights laws and regulations. The grantee
is required to comply with Federal civil rights laws and regulations. Specifically, the
grantee is required to provide assurances as a condition for receipt of Federal funds
that its programs and activities comply with the following:
• Title VI of the Civil Rights Act of 1964, as amended, 42. U.S.C. 2000 et. seq.
– no person on the grounds of race, color or national origin will be excluded
from participation in, be denied the benefits of, or be otherwise subjected to
discrimination in any program or activity receiving Federal financial
assistance. More information can be found at:
http://usinfo.state.gov/usa/infousa/laws/majorlaw/civilr19.htm.
• Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794 –
no qualified individual with a disability in the United States, shall, by reason of
his or her disability, be excluded from the participation in, be denied the
benefits of, or otherwise be subjected to discrimination in any program or
activity receiving Federal financial assistance. More information can be found
at: http://www.section508.gov/index.cfm?FuseAction=Content&ID=15.
• Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681
et. seq. –discrimination on the basis of sex is eliminated in any education
program or activity receiving Federal financial assistance. More information
can be found at: http://www.usdoj.gov/crt/cor/coord/titleix.htm.
• The Age Discrimination Act of 1975, as amended, 20 U.S.C. 6101 et. seq. –
no person in the United States shall be, on the basis of age, excluded from
participation in, denied the benefits of or subjected to discrimination under
any program or activity receiving Federal financial assistance.
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Grantees must comply with all regulations, guidelines, and standards adopted
under the above statutes. The grantee is also required to submit information, as
required, to the DHS Office for Civil Rights and Civil Liberties concerning its
compliance with these laws and their implementing regulations.
11.4 -- Services to limited English proficient (LEP) persons. Recipients of
DHS financial assistance are required to comply with several Federal civil rights
laws, including Title VI of the Civil Rights Act of 1964, as amended. These laws
prohibit discrimination on the basis of race, color, religion, national origin, and
sex in the delivery of services. National origin discrimination includes
discrimination on the basis of limited English proficiency. To ensure compliance
with Title VI, recipients are required to take reasonable steps to ensure that LEP
persons have meaningful access to their programs. Meaningful access may
entail providing language assistance services, including oral and written
translation, where necessary. The grantee is encouraged to consider the need
for language services for LEP persons served or encountered both in developing
their proposals and budgets and in conducting their programs and activities.
Reasonable costs associated with providing meaningful access for LEP
individuals are considered allowable program costs. For additional information,
see http://www.lep.gov.
11.5 -- Integrating individuals with disabilities into emergency planning.
Executive Order #13347, entitled "Individuals with Disabilities in Emergency
Preparedness" and signed in July 2004, requires the Federal government to
support safety and security for individuals with disabilities in situations involving
disasters, including earthquakes, tornadoes, fires, floods, hurricanes, and acts of
terrorism. Consequently, Federal agencies are required to: (1) encourage
consideration of the needs of persons with disabilities in emergency
preparedness planning; and (2) facilitate cooperation among Federal, state, local,
and tribal governments, private organizations, non-governmental organizations,
and the general public in the implementation of emergency preparedness plans
as they relate to individuals with disabilities.
Further information can be found at the Disability and Emergency Preparedness
Resource Center at http://www.dhs.gov/disabilitypreparedness.
11.6 -- Compliance with the National Energy Conservation Policy and
Energy Policy Acts. In accordance with the FY07 DHS Appropriations Act, all
FY07 grant funds must comply with the following two requirements:
• None of the funds made available through the IPP shall be used in
contravention of the Federal buildings performance and reporting
requirements of Executive Order No. 13123, part 3 of title V of the
National Energy Conservation Policy Act (42 USC 8251 et seq), or subtitle
A of title I of the Energy Policy Act of 2005 (including the amendments
made thereby).
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• None of the funds made available through the IPP shall be used in
contravention of section 303 of the Energy Policy Act of 1992 (42
USC13212).
11.7 -- National Environmental Policy Act (NEPA). NEPA requires DHS to
analyze the possible environmental impacts of each construction project funded
by a DHS grant. The purpose of a NEPA review is to weigh the impact of major
Federal actions or actions undertaken using Federal funds on adjacent
communities, water supplies, historical buildings, endangered species, or
culturally sensitive areas prior to construction. Grantees may be required to
provide additional detailed information on the activities to be conducted,
locations, sites, possible construction activities, possible alternatives, and any
environmental concerns that may exist. Results of the NEPA Compliance
Review could result in a project not being approved for DHS funding, the need to
perform an Environmental Assessment or draft an Environmental Impact
Statement.
C. Transit Application Checklist.
All TSGP applicants must complete the following:
1. SF-424 Grant application with certifications (through grants.gov)
?? Non-supplanting certification
?? Assurances
?? Certifications regarding lobbying, debarment, suspension, other
responsibility matters and the drug-free workplace requirement
2. DUNS number (through grants.gov form)
3. Investment Justification (through grants.gov file attachment)
?? See Appendix 4.
4. Detailed Budget (through grants.gov file attachment)
?? See Appendix 5
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Appendix 1
Alignment of IPP with the National Preparedness
Architecture
Figure 1, below, graphically summarizes key elements of the national preparedness
architecture. The Infrastructure Protection Program seeks maximum alignment with this
architecture.
Figure 1.
Laws, Strategy Documents, Directives and Plans That Impact the
Infrastructure Protection Program
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Appendix 2
TSGP Allowable Expenses
A. Overview.
Specific investments made in support of the funding priorities discussed above generally fall into
one of five categories. FY07 TSGP allowable costs are therefore divided into the following five
categories:
1. Planning
2. Equipment acquisitions
3. Training
4. Exercises
5. Management and administration
The following provides guidance on allowable costs within each of these areas:
1. Planning Costs. FY07 TSGP funds may be used for the following types of planning
activities:
• Public education and outreach (such as reproduction of Transit Watch materials).
Where possible, such activities should be coordinated with local Citizen Corps
Council(s).
• Public alerts and warning systems and security education efforts.
• Development and implementation of homeland security support programs and
adoption of ongoing DHS national initiatives (including, for example, building or
enhancing preventive radiological and nuclear detection programs).
• Development and enhancement of security plans and protocols.
• Development or further strengthening of security assessments, including multiagency
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.
• Travel and per diem related to professional planning activities.
• Other project planning activities with prior approval from DHS.
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2. Equipment Acquisition Costs. FY07 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
http://www.rkb.mipt.org/ael.cfm. These costs include:
• Personal protection equipment
• Explosive device mitigation and remediation equipment
• CBRNE operational search and rescue equipment, logistical support equipment,
reference materials or incident response vehicles, including response watercraft
• Information technology
• Cyber security enhancement equipment
• Interoperable communications equipment
• Detection equipment
• Decontamination equipment
• Medical supplies and limited pharmaceuticals
• Power equipment
• Terrorism incident prevention equipment
• Physical security enhancement equipment
Unless otherwise noted, equipment must be certified that it meets required regulatory and/or
DHS-adopted standards to be eligible for purchase using these funds. Equipment must comply
with the OSHA requirement for certification of electrical equipment by a nationally recognized
testing laboratory, and demonstrate compliance with relevant DHS-adopted standards through a
supplier’s declaration of conformity with appropriate supporting data and documentation per
ISO/IEC 17050, parts 1 and 2. In addition, agencies must have all necessary certifications and
licenses for the requested equipment, as appropriate prior to the request.
A list of applicable standards is found at the following website: http://rkb.mipt.org. DHS adopted
standards are found at http://www.dhs.gov/xfrstresp/standards/ editorial_0420.shtm.
3. Training Costs. FY07 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.
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• Certain full or part-time staff and contractors or consultants. Full or part-time
staff may be hired to support training-related activities. The services of contractors
or consultants may also be procured by the State in the design, development,
conduct and evaluation of CBRNE training. The applicant's formal written
procurement policy or the Federal Acquisition Regulations must be followed.
• Overtime and backfill costs. Payment of overtime expenses will be for work
performed by award (SAA) or sub-award employees in excess of the established
work week (usually 40 hours). Further, overtime payments and backfill costs
associated with sending personnel to training are allowable, provided that it is DHS
approved training. 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. 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 pm to 5:00 pm), even
though such work may benefit both activities. Fringe benefits on overtime hours are
limited to Federal Insurance Contributions Act, Workers’ Compensation and
Unemployment Compensation.
• Travel. Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as
expenses by employees who are on travel status for official business related to the
planning and conduct of the training project(s) or for attending DHS-approved
courses or DHS-sponsored technical assistance programs. These costs must be in
accordance with state law as highlighted in the Office of Grant Operations (OGO)
Financial Management Guide. For further information on Federal law pertaining to
travel costs please refer to the OGO Financial Management Guide, available at:
http://www.dhs.gov/xlibrary/assets/Grants_FinancialManagementGuide.pdf.
• Supplies. Supplies are items that are expended or consumed during the course of
the planning and conduct of the training project(s) (e.g., copying paper, gloves, tape,
and non-sterile masks).
• Other items. These costs may include the rental of space/locations for planning and
conducting training, badges, and similar materials.
4. Exercise Costs. FY07 TSGP funds may be used for the following exercise activities:
• Exercise planning workshop. Grant funds may be used to plan and conduct an
exercise planning workshop, to include costs related to planning, meeting space and
other meeting costs, facilitation costs, materials and supplies, travel and exercise
plan development.
• Certain full or part-time staff and contractors or consultants. Full or part-time
staff may be hired to support exercise-related activities. Payment of salaries and
fringe benefits must be in accordance with the policies of the State or unit(s) of local
government and have the approval of the state or the awarding agency, whichever is
applicable. The services of contractors or consultants may also be procured to
support the design, development, conduct and evaluation of CBRNE exercises. The
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applicant's formal written procurement policy or the Federal Acquisition Regulations
must be followed.
• Overtime and backfill costs. Overtime and backfill costs associated with the
design, development and conduct of CBRNE exercises are allowable expenses.
Payment of overtime expenses will be for work performed by award (SAA) or subaward
employees in excess of the established work week (usually 40 hours) related
to the planning and conduct of the exercise project(s). Further, overtime payments
and backfill costs associated with sending personnel to exercises are allowable,
provided that the event being attended is a DHS sponsored exercise. 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. 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 pm to 5:00 pm), even though such work may
benefit both activities. Fringe benefits on overtime hours are limited to the Federal
Insurance Contributions Act, Workers’ Compensation and Unemployment
Compensation.
• Travel. Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as
expenses by employees who are on travel status for official business related to the
planning and conduct of the exercise project(s). These costs must be in accordance
with state law as highlighted in the OGO Financial Management Guide. States must
also follow state regulations regarding travel. If a state or territory does not have a
travel policy they must follow Federal guidelines and rates, as explained in the OGO
Financial Management Guide. For further information on Federal law pertaining to
travel costs please refer to: http://www.dhs.gov/xlibrary/assets/Grants_
FinancialManagementGuide.pdf.
• Supplies. Supplies are items that are expended or consumed during the course of
the planning and conduct of the exercise project(s) (e.g., copying paper, gloves,
tape, non-sterile masks, and disposable protective equipment).
• Other Items. These costs may include the rental of space/locations for exercise
planning and conduct, exercise signs, badges, etc.
5. Management and Administration (M&A) costs. FY07 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 FY07 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 management activities and application
requirements or meeting compliance with reporting/data collection requirements,
including data calls.
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• Development of operating plans for information collection and processing necessary
to respond to DHS/G&T data calls.
• Travel expenses.
• Meeting-related expenses (For a complete list of allowable meeting-related
expenses, please review the OGO Financial Management Guide at:
http://www.dhs.gov/xlibrary/assets/Grants_FinancialManagementGuide.pdf .
• Acquisition of authorized office equipment, including personal computers or laptops.
B. 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
U.S. DEPARTMENT OF HOMELAND SECURITY – TRANSIT SECURITY GRANT PROGRAM
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Appendix 3
Grants.Gov Quick-Start Instructions
DHS participates in the Bush Administration’s e-government initiative. As part of that initiative,
all IPP applicants must file their applications using the Administration’s common electronic
“storefront” -- grants.gov. Eligible SAAs must apply for funding through this portal, accessible
on the Internet at http://www.grants.gov.
Application attachments submitted via grants.gov must be in one of the following formats:
Microsoft Word (*.doc), PDF (*.pdf), or text (*.txt). Use the Catalog of Federal Domestic
Assistance (CFDA) number listed in the relevant program guidance section of this document in
grants.gov.
This Appendix is intended to provide guidance on the various steps and activities associated
with filing an application using grants.gov.
Step 1: Registering.
Registering with grants.gov is a one-time process; however, if you are a first time registrant it
could take 3-5 business days to have your registration validated, confirmed, and receive
your user name and password. It is highly recommended you start the registration process as
early as possible to prevent delays in submitting your application package to our agency by the
deadline specified. While your registration is pending, you may continue with Steps 2, 3, and 4
of these instructions. Registration must be complete for you to be able to submit (step 5) and
track (step 6) an application.
1. Establishing an e-business point of contact. Grants.gov requires an organization to first
be registered in the Central Contractor Registry (CCR) before beginning the grants.gov
registration process. If you plan to authorize representatives of your organization to submit
grant applications through grants.gov, proceed with the following steps. If you plan to submit a
grant application yourself and sign grant applications and provide the required certifications
and/or assurances necessary to fulfill the requirements of the application process, proceed to
DUNS Number and then skip to the Authorized Organization Representative and Individuals
section.
Go to www.grants.gov, and click on the “Get Started” tab at the top of the screen.
• Click the “e-Business Point of Contact” option and click the “GO” button on the bottom
right of the screen. If you have already registered with grants.gov, you may log in and
update your profile from this screen.
• To begin the registration process, click the “Register your Organization [Required]” or
“Complete Registration Process [Required]” links. You may print a registration checklist
by accessing www.grants.gov/assets/OrganizationRegCheck.pdf.
2. DUNS number. You must first request a Data Universal Numbering System (DUNS)
number. Click “Step 1. Request a DUNS Number.” If you are applying as an individual, please
skip to “Authorized Organization Representative and Individuals.” If you are applying on behalf
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of an organization that already has a DUNS number, please proceed to “Step 2. Register with
Central Contractor Registry (CCR).” You may obtain a DUNS number at no cost by calling the
dedicated toll-free DUNS number request line at 1–866–705–5711.
3. Central Contractor Registry. Registering with the CCR, updating or changing your profile
could take up to three to five business days to be confirmed and validated. This delay could
prevent your application from being submitted by the deadline specified, so you should register
or make changes to your profile as early in the process as possible.
Once you have a DUNS number, click on “Step 2. Register with Central Contractor Registry
(CCR).” Here you are required to designate an individual as a point of contact. This point of
contact is the sole authority for the organization and has the capability of issuing or revoking
another individual’s authority to submit grant applications through grants.gov.
A registration worksheet is provided to assist in the CCR registration process at
http://www.ccr.gov. It is recommended you review the “Tips for registering with the CCR” at the
bottom of this template.
• Go to http://www.ccr.gov or click on the CCR icon in the middle of the screen to begin
the registration process. To see if your organization is already registered, click “Search
CCR” at the top left side of the screen. Search entries must be exact to accurately
search the database. If your organization is already registered, you can scroll down and
see who the e-Business point of contact is for your agency. If your organization is not
already registered, return to the CCR home page and click “Start New Registration” at
the top left of the screen.
• If you have problems or questions about the CCR registration process, please contact
the CCR Assistance Center at 1–888–227–2423.
• Once your registration is complete, you will receive an e-mail with a Trading Partner
Identification Number (TPIN) and Marketing Partner Identification Number (MPIN)
number. You will need the MPIN number to register with grants.gov. If your
organization is already registered with the CCR, you will need to obtain the MPIN
number from your e-Business POC.
4. Authorize your Organization Representative. Click “Step 3. Authorize your Organization
Representative.” Follow steps 1-4. You will need your DUNS + 4 digit number and the MPIN
number CCR e-mailed to you.
5. Log in as e-Business Point of Contact. You may now go to “Step 4. Log in as e-Business
Point of Contact.” Here you may authorize or revoke the authority of the Authorized
Organization Representative. Once you are logged in, go to “Step 2. Downloading the
Application Viewer”, below.
6. Authorized Organization Representative and Individuals. If you plan to submit a grant
application as an individual or an Authorized Organization Representative, with authority to sign
grant applications and the required certifications and/or assurances necessary to fulfill the
requirements of the application process, proceed with the following steps:
• Go to www.grants.gov and click on the “Get Started” tab at the top of the screen.
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• Click the “Authorized Organization Representative (AOR)” option and click the “GO”
button to the bottom right of the screen. If you are applying as an individual, click the
“Individuals” option and click the “GO” button to the bottom right of the screen.
• If you have previously registered as an AOR, you may start searching for this grant
opportunity from this page. Otherwise, you must complete the first-time registration by
clicking “Complete First-Time Registration [Required].” You also may click on “Review
Registration Checklist” and print a checklist for the following steps (see
www.grants.gov/assets/AORRegCheck.pdf).
• Individuals may click the “registration checklist” for help in walking through the
registration process.
7. Credential Provider. Once you have entered the registration process, you must register
with the credential provider, to safeguard the security of your electronic information. You must
have your agency’s or individual DUNS + 4 digit number to complete this process. Now, click
on “Step 1. Register with a Credential Provider.” Enter your DUNS number and click
“Register.” Once you have entered the required information, click the “Submit” button.
If you should need help with this process, please contact the Credential Provider Customer
Service at 1–800–386–6820. It can take up to 24 hours for your credential provider information
to synchronize with grants.gov. Attempting to register with grants.gov before the
synchronization is complete may be unsuccessful.
8. grants.gov. After completing the credential provider steps above, click “Step 2. Register
with grants.gov.” Enter the same user name and password used when registering with the
credential provider. You will then be asked to provide identifying information and your
organization’s DUNS number. After you have completed the registration process, grants.gov
will notify the e-Business POC for assignment of user privileges.
Complete the “Authorized Organization Representative User Profile” screen and click “Submit.”
Note: Individuals do not need to continue to the “Organizational Approval” step below.
9. Organizational Approval. Prior to submitting a grant application package, you must receive
approval to submit on behalf of your organization. This requirement prevents individuals from
submitting grant application packages without permission. A notice is automatically sent to your
organization’s e-Business POC. Then, your e-Business POC approves your request to become
an AOR. You may go to http://www.ccr.gov to search for your organization and retrieve your e-
Business POC contact information. Once organization approval is complete, you will be
able to submit an application and track its status.
Step 2: Downloading the Application Viewer.
You may download the PureEdge Viewer while your registration is in process. You also may
download and start completing the application forms in steps 3 and 4 below. This application
viewer opens the application package needed to fill out the required forms. The download
process can be lengthy if you are accessing the Internet using a dial-up connection.
• From the grants.gov home page, select the “Apply for Grants” tab at the top of the
screen.
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• Under “Apply Step 1: Download a Grant Application Package and Applications
Instructions,” click the link for the PureEdge Viewer
(http://www.grants.gov/DownloadViewer). This window includes information about
computer system requirements and instructions for downloading and installation.
If you are a Macintosh user, please read the PureEdge Support for Macintosh white paper
available at
www.grants.gov/GrantsGov_UST_Grantee/!SSL!/WebHelp/MacSupportforPureEdge.pdf.
• Scroll down and click on the link to download the PureEdge Viewer
(www.grants.gov/PEViewer/ICSViewer602_grants.exe).
• You will be prompted to save the application. Click the “Save” button and the “Save As”
window opens. Select the location where you would like to save PureEdge Viewer and
click the “Save” button.
• A window appears to show the progress of the download. When the downloading is
complete, click to close the dialog box.
• To install the PureEdge Viewer, locate the file on your computer and click to open it.
When you are prompted to run the file, click “RUN.” Click “Yes” to the prompt to
continue with the installation. The ICS InstallShield Wizard extracts the necessary files
and takes you to the “Welcome” page.
• Click “Next” to continue.
• Read the license agreement and click “Yes” to accept the agreement and continue the
installation process. This takes you to the “Customer Information” screen.
• Enter a User Name and a Company Name in the designated fields and click “Next.”
• The “Choose Destination Location” window prompts you to select the folder in which
PureEdge Viewer will be installed. To save the program in the default folder, click
“Next.” To select a different folder, click “Browse.” Select the folder in which you would
like to save the program, click on “OK,” then click “Next.”
• The next window prompts you to select a program folder. To save program icons in the
default folder, click “Next.” To select a different program folder, type a new folder name
or select one from the list of existing folders, then click “Next.” Installation will begin.
• When installation is complete, the “InstallShield Wizard Complete” screen will appear.
Click “Finish.” This will launch the “ICS Viewer Help Information” window. Review the
information and close the window.
Step 3: Downloading an Application Package.
Once you have downloaded the PureEdge Viewer, you may download and view this application
package and solicitation instructions.
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• From the grants.gov home page, select the “Apply for Grants” tab at the top of the
screen.
• Click “Apply Step 1: Download a Grant Application Package and Application
Instructions.”
• Enter the CFDA number for this announcement, 97.075. Then click “Download
Package.” This will take you to the “Selected Grants Application for Download” results
page.
• To download an application package and its instructions, click the corresponding
download link below the “Instructions and Application” column.
• Once you select a grant application, you will be taken to a “Download Opportunity
Instructions and Application” screen to confirm that you are downloading the correct
application. If you would like to be notified of any changes to this funding opportunity,
enter your e-mail address in the corresponding field, then click the “Submit” button.
• After verifying that you have downloaded the correct opportunity information, click the
“Download Application Instructions” button. This will open a PDF of this grant
solicitation. You may print the solicitation or save it to your computer by clicking either
the print icon at the top tool bar or the “File” button on the top tool bar. If you choose to
save the file, click on “Save As” and save to the location of your choice.
• Click the “Back” Navigation button to return to the “Download Opportunity Instructions
and Application” page. Click the “Download Application Package” button. The
application package will open in the PureEdge Viewer.
• Click the “Save” button to save the package on your computer. Because the form is not
yet complete, you will see a prompt that one or more fields may be invalid. You will
complete these fields in step 4, but for now, select “Yes” to continue. After you click
“Yes,” the “Save Form” window will open.
• Save the application package to your desktop until after submission. Select a name and
enter it in the “Application Filing Name” field. Once you have submitted the application
through grants.gov, you may then move your completed application package to the file
location of your choice.
• Click the “Save” button. If you choose, you may now close your Internet browser and
complete your application package offline by double clicking the icon on your desktop.
You do not have to be connected to the Internet to complete the application package in
Step 4, below.
Step 4: Completing the Application Package.
This application can be completed entirely offline; however, you will need to log in to
grants.gov to submit the application in Step 5.
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• Locate the application package you saved on your computer. When you open the
package, it will be in PureEdge Viewer. You may save your application at any time
by clicking on the “Save” button at the top of the screen.
• Enter a name for your application package in the “Application Filing Name” field.
This can be a name of your choice.
• Open and complete all the mandatory and optional forms or documents. To
complete a form, click to select the form, and then click the “Open” button. When
you open a required form, the mandatory fields will be highlighted in yellow. If you
enter incomplete information in a mandatory field, you will receive an error
message or the field will turn red, indicating a change needs to be made.
• Mandatory forms include the: (1) Application for Federal Assistance (SF-424); (2)
Assurances for Non-Construction Programs (SF-424B); and (3) Disclosure of Lobbying
Activities (SF-LLL). These forms can also be viewed at
http://apply.grants.gov/agency/FormLinks?family=7. Other mandatory forms are
identified in Section IV.
• When you have completed a form or document, click the “Close Form” button at the top
of the page. Your information will automatically be saved.
• Next, click to select the document in the left box entitled “Mandatory Documents.” Click
the “=>” button to move the form or document to the “Mandatory Completed Documents
for Submission” box to the right.
• Some mandatory documents will require you to upload files from your computer. To
attach a document, select the corresponding form and click “Open.” Click the “Add
Mandatory Attachment” button to the left. The “Attach File” box will open. Browse your
computer to find where your file is located and click “Open.” The name of that file will
appear in the yellow field. Once this is complete, if you would like to attach additional
files, click on the “Add Optional Attachment” button below the “Add Mandatory
Attachment” button.
• An “Attachments” window will open. Click the “Attach” button. Locate the file on your
computer that you would like to attach and click the “Open” button. You will return to the
“Attach” window. Continue this process until you have attached all the necessary
documents. You may attach as many documents as necessary.
• Once you have finished, click the “Done” button. The box next to the “Attach at Least
One Optional Other Attachment” will now appear as checked.
• Note: the name of these buttons will vary depending on the name of the form you have
opened at that time; i.e., Budget Narrative, Other Attachment, and Project Narrative File.
• To exit a form, click the “Close” button. Your information will automatically be saved.
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Step 5: Submitting the Application.
Once you have completed all the yellow fields on all the forms and saved the application on
your desktop, check the application package for errors. This can be done any time throughout
step 4 above and as often as you like.
• When you are ready to submit your final application package, the “Submit” button at the
top of your screen will be enabled. This button will not be activated unless all
mandatory data fields have been completed. When you are ready to submit your
application, click on “Submit.” This will take you to a “Summary” screen.
• If your “Submit” button is not activated, then click the “Check Package for Errors” button
at the top of the “Grant Application Package” screen. PureEdge Viewer will start with
the first form and scan all the yellow fields to make sure they are complete. The
program will prompt you to fix one error at a time as it goes through the scan. Once
there are no more errors, the system will allow you to submit your application to
grants.gov.
• Review the application summary. If you wish to make changes at this time, click “Exit
Application” to return to the application package, where you can make changes to the
forms. To submit the application, click the “Sign and Submit Application” button.
• This will take you to a “Login” screen where you will need to enter the user name and
password that you used to register with grants.gov in “Step 1: Registering.” Enter your
user name and password in the corresponding fields and click “Login.”
• Once authentication is complete, your application will be submitted. Print this
confirmation screen for your records. You will receive an e-mail message to confirm
that the application has been successfully uploaded into Grants.gov. The confirmation
e-mail will give you a grants.gov tracking number, which you will need to track the
status of your application. The confirmation e-mail will go to the e-Business POC;
therefore, if you are submitting on behalf of someone else, be sure the e-Business POC
is aware of the submission and that a confirmation e-mail will be sent.
• When finished, click the “Close” button.
Step 6: Tracking the Application.
After your application is submitted, you may track its status through grants.gov. To do this, go
to the grants.gov home page at http://www.grants.gov. At the very top of the screen, click on
the “Applicants” link. Scroll down the “For Applicants” page and click the “Login Here” button.
Proceed to login with your user name and password that was used to submit your application
package. Click the “Check Application Status” link to the top left of the screen. A list of all the
applications you have submitted through grants.gov is produced. There four status messages
your application can receive in the system:
• Validated. This means your application has been scanned for errors. If no errors were
found, it validates that your application has successfully been submitted to grants.gov
and is ready for the agency to download your application.
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• Received by Agency. This means DHS downloaded your application into our electronic
Grants Management System and your application is going through our validation
process to be successfully received on our end.
• Agency Tracking Number Assigned. This means DHS did not find any errors with
your package and successfully downloaded your application into our system.
• Rejected With Errors. This means your application was either rejected by grants.gov
or GMS due to errors. You will receive an e-mail from grants.gov customer support,
providing details of the results and the next steps required. Most applications are
rejected because: (1) a virus was detected; (2) you are using a user name and password
that has not yet been authorized by the organization’s e-Business POC; or (3) the DUNS
number you entered on the SF-424 form does not match the DUNS number that was
registered in the CCR for this organization.
If you experience difficulties at any point during this process, please call the grants.gov
customer support hotline at 1–800–518–4726.
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Appendix 4
Investment Justification
A. Investment Justification Overview.
As part of the application process, applicants must develop a formal Investment Justification
that addresses each initiative being proposed for funding. These Investment Justifications must
demonstrate how proposed projects address gaps and deficiencies in current programs and
capabilities.
Applicants may propose up to ten investments within their Investment Justification for individual
systems and up to five investments for regional projects (regional projects are those involving
two or more eligible systems within the region). Tier 2 Investment Justifications must be
submitted with the application by March 6, 2007. Tier 1 Investment Justifications for rail and
intracity bus projects must be submitted to DHS by the appropriate SAA no later than 90 days
from the date the grant is awarded by DHS.
The Investment Justification must demonstrate the ability of the transit agency or agencies to
provide tangible, physical security enhancements consistent with the purpose of the program
and guidance provided by DHS. Applicants must ensure that the Investment Justification is
consistent with all applicable requirements outlined in this application kit. In addition,
Investment Justifications must be approved by the applicable SAA(s) and all eligible transit
systems in the region.
Submission of an application by the SAA constitutes certification that this coordination has
occurred. The format below should be followed for these file attachments.
B. Investment Justification Template.
TSGP applicants must provide information in the following categories for each proposed
investment:
1. Background;
2. Strategic and Program Priorities;
3. Impact;
4. Funding/Implementation Plan.
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Investment Heading
State
Urban Area
Investment Name
Investment Phase
Is this a Multi-State
investment ? If yes,
which States?
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 transit agency and that agency’s point(s) of contact for this investment.
Response Type Narrative
Page Limit Not to exceed ½ page
Response Instructions For the transit agency (or lead agency) undertaking the investment, 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:
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I.B. Describe the operating system for the transit agency undertaking this investment.
Response Type Narrative
Page Limit Not to exceed 2 pages
Response Instructions For the transit agency (or lead agency) undertaking this investment, describe
the following:
• Infrastructure;
• Ridership data;
• Number of passenger miles;
• Number of vehicles;
• Types of service and other important features;
• System map;
• Geographical borders of the system and the cities and counties
served; and,
• Other sources of funding being leveraged for security enhancements.
Response
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I.C. Discuss current and required capabilities of the transit agency undertaking this investment.
Response Type Narrative
Page Limit Not to exceed 1 page
Response Instructions For the transit agency undertaking this investment, describe the following:
• Discuss the transit agency’s current efforts to protect any underwater
tunnel infrastructure from attacks involving IEDs:
o Specific attention should be paid to any enhancements
achieved as a result of FY05/06 TSGP funding;
• Discuss the transit agency’s current prevention, detection and
response capabilities relative to IEDs and CBRN devices generally:
o Specific attention should be paid to any enhancements in
these capabilities achieved as a result of FY05/06 TSGP
funding;
• Discuss the transit agency’s current visible and unpredictable
deterrent efforts:
o Specific attention should be paid to any enhancements in
these efforts achieved as a result of FY05/06 TSGP funding;
• Discuss the transit agency’s current additional high consequence risk
mitigation efforts, visible and unpredictable deterrent efforts, training
programs for employees, emergency drills and citizen awareness
activities:
o Specific attention should be paid to any enhancements in
these capabilities achieved as a result of FY05/06 TSGP
funding;
• Discuss the transit agency’s requirements relative to protection of any
underwater tunnel infrastructure from attacks involving IEDs;
• Discuss the transit agency’s required prevention, detection and
response capabilities relative to IEDs and CBRN devices (including
sensors, canine units, etc.);
• Discuss the transit agency’s required visible/unpredictable deterrent
needs; and,
• Discuss the transit agency’s required high consequence risk mitigation
needs, anti-terrorism training programs for employees, emergency
drills and citizen awareness activities.
Response
I.D. Provide a brief abstract for this investment.
Response Type Narrative
Page Limit Not to exceed 1 page
Response Instructions Provide a succinct statement summarizing this investment.
Response
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II. Strategic and Program Priorities
II.A. Describe how this investment specifically addresses one or more of the transit security
fundamentals identified in the FY07 IPP Guidance.
Response Type Narrative
Page Limit Not to exceed ½ page
Response Instructions Describe how the investment addresses one or more of the following:
• Protection of high risk/high consequence underwater/underground assets
and systems;
• Protection of other high risk/high consequence assets and systems that
have been identified through system-wide risk assessments;
• Use of visible, unpredictable deterrence;
• Targeted counter-terrorism training for key front-line staff;
• Emergency preparedness drills and exercises; and,
• Public awareness and preparedness campaigns.
Response
II.B. Describe the relevance of the investment to the National Preparedness Goal, National
Strategy for Transportation Security, and (for ferry system investments only) the National
Strategy for Maritime Security.
Response Type Narrative
Page Limit Not to exceed ½ page
Response Instructions • Explain how this investment will support one or more of the following
National Preparedness Priorities:
o Expanding regional collaboration;
o Implementing the National Incident Management System and the
National Response Plan;
o Implementing the National Infrastructure Protection Plan;
o Strengthening information sharing and collaboration capabilities;
o Enhancing interoperable communications capabilities; and,
o Strengthening CBRNE detection and response capabilities.
• Explain how this investment will support the goals of the National Strategy
for Transportation Security; and,
• Explain how this investment will support one or more of the 37 Capabilities
within the Target Capabilities List.
Response
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II.C. Describe the relevance of this investment to the Regional Transit Security Strategy and
applicable State and/or Urban Area Homeland Security Strategy.
Response Type Narrative
Page Limit Not to exceed ½ page
Response Instructions Investments will be evaluated on the extent to which they support applicable
regional and state homeland security planning efforts.
Note: The SAA should provide a brief confirmation of the relevance of the
proposed investment to the applicable state or regional plan within this field.
Response:
III. Impact
III.A. Discuss the anticipated impacts of this investment and how the requested funding will help
attain/achieve expected impacts. Consider the areas affected, and other entities (smaller
transit systems, jurisdictions, disciplines) that could leverage the outcomes and impacts of
the solution presented by this investment.
Response Type Narrative
Page Limit Not to exceed ½ page
Response Instructions • 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;
• Explain at a high level how TSGP funding will help achieve these impacts.
(Do not include specific information as to the amount or type of funding
requested. This information should be provided in Section IV.);
• Ensure this response links the identified impacts to specific geographic and
demographic areas outlined in Question II.A; and,
• Ensure this response identifies other transit systems, jurisdictions and
disciplines that may benefit from an outcome or a solution presented by this
investment.
Key Definitions: Impact refers to the effect that this investment will have on the identified
geographic and demographic areas.
Outcome refers to a tangible result that can be measured and evaluated.
Response
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III.B. Discuss how the implementation of this investment will decrease or mitigate risk.
Response Type Narrative
Page Limit Not to exceed ½ page
Response Instructions • Discuss how this investment will reduce risk (e.g., reduce vulnerabilities or
mitigate the consequences of an event) by addressing the needs and
priorities identified in earlier analysis and review; and,
• Identify the nature of the risk and how the risk and need are related to show
how addressing the need through this investment will also mitigate risk
(e.g., reduce vulnerabilities or mitigate the consequences of an event).
Response
III.C. Describe what the potential homeland security risks of not funding this investment are.
Response Type Narrative
Page Limit Not to exceed ½ page
Response Instructions • Consider the risks that already exist and will be more prevalent and/or any
new risks that will result if this investment is not funded and implemented;
and,
• Briefly discuss potential outcomes if this risk is not addressed – explain
what vulnerabilities will not be reduced or what potential consequences will
not be mitigated.
Response
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IV. Funding & Implementation Plan
IV.A. Investment Funding Plan.
Response Type Numeric and Narrative
Page Limit Not to exceed 1 page
Response Instructions • Complete the chart below to identify the amount of funding being requesting
for this investment only;
• Funds should be requested 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-FY07 TSGP) will
be leveraged for this investment.
Note: Investments will be evaluated on the expected impact on security
relative to the amount of the investment (i.e., cost effectiveness). An itemized
Budget Detail Worksheet and Budget Narrative must also be completed for this
investment. See Appendix 5 of this document for a sample format.
Response
The following template illustrates how the Applicants should indicate the amount of FY07 TSGP
funding required for the investment, how these funds will be allocated across the cost elements,
and what (if any) non-FY07 TSGP funds will be utilized:
FY07 TSGP
Request Total
Other Funding
Sources Applied
Grand Total
Planning
Organization
Equipment
Training
Exercises
M&A
Total
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IV.B. Identify up to five potential challenges to the effective implementation of this investment
(e.g., stakeholder buy-in, sustainability, aggressive timelines).
Response Type Narrative
Page Limit Not to exceed ½ page
Response Instructions • For each identified challenge, provide a brief description of how the
challenge will be addressed and mitigated, and indicate a probability of
occurrence (high, medium, or low);
• The response should focus on the implementation only;
• Consider the necessary steps and stages that will be required for
successful implementation of the investment;
• Identify areas of possible concern or potential pitfalls in terms of investment
implementation; and,
• Explain why those areas present the greatest challenge to a successful
investment implementation.
Response
IV.C. Describe the management team, including roles and responsibilities, that will be
accountable for the oversight and implementation of this investment, and the overall
management approach they will apply for the implementation of this investment.
Response Type Narrative
Page Limit Not to exceed ½ page
Response Instructions • Provide the high-level skill sets (e.g., budget execution, grant
administration, geospatial expert, outreach and communication liaison) that
members of the management team must possess for the successful
implementation and oversight of the investment;
• Discuss how those skill sets fulfill the oversight and execution
responsibilities for the investment, and how the management roles and
responsibilities will be distributed/assigned among the management team;
and,
• Explain how the management team members will organize and work
together in order to successfully manage the investment.
Response
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IV.D. Discuss funding resources beyond FY07 TSGP that have been identified and will be
leveraged to support the implementation and sustainment of this investment.
Response Type Narrative
Page Limit Not to exceed ½ page
Response Instructions • Discuss other funding sources (e.g., non-TSGP 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 FY07 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. Investments will also be evaluated on the willingness
of the transit agency to provide a cash match or operational equivalent
regardless of amount and source.
Note: Investments will be considered regardless of whether there is a match or
not.
Response
IV.E. Provide a high-level timeline, milestones and dates, for the implementation of this
investment. Possible areas for inclusion are: stakeholder engagement, planning, major
acquisitions/purchases, training, exercises, and process/policy updates. Up to 10
milestones may be provided.
Response Type Narrative
Page Limit Not to exceed 1 page
Response Instructions • Only include major milestones that are critical to the success of the
investment;
• While up to 10 milestones may be provided, applicants should only list as
many milestones as necessary;
• Milestones are for this discrete investment – those that are covered by the
requested FY07 TSGP funds and will be completed over the 36-month
grant period;
• Milestones should be kept to high-level, major tasks that will need to occur;
• Identify the planned start date associated with the identified milestone. The
start date should reflect the date at which the earliest action will be taken to
start achieving the milestone;
• Identify the planned completion date when all actions related to the
milestone will be completed and overall milestone outcome is met; and,
• List any relevant information that will be critical to the successful completion
of the milestone (such as those examples listed in the question text above).
Response
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IV.F. Describe the planned duration for this overall investment. Discuss your long-term
sustainability plans for the investment after your FY07 TSGP funds have been expended, if
applicable.
Response Type Narrative
Page Limit Not to exceed ½ page
Response Instructions • Give the expected total life-span for this investment if fully implemented and
sustained through completion;
• Consider how this investment will be sustained and funded after FY07
TSGP funds are expended, if applicable;
• Include information about resource needs (e.g., personnel, processes, and
tools), as well as critical governance needs; and,
• List critical milestones that are outside of the FY07 TSGP grant period, and
how those milestones will be met with the identified funding and resources.
Response
IV.G. Describe the technical implementation plan for this investment. Discuss the advantages of
the solution proposed.
Response Type Narrative
Page Limit Not to exceed ½ page
Response Instructions • 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 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.
Response
Note: After completing each the template for each investment, applicants should review the
information provided to ensure accuracy, particularly the Milestone Dates and the Investment
Funding Plan.
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C. Investment Justification Submission and File Naming Convention
Investment Justifications must be submitted with the grant application as a file attachment within
grants.gov. Applicants must use the following file naming convention when submitting the
Investment Justifications as part of the FY07 TSGP:
Investment Justification (through grants.gov file attachment)
State_Region_ IJ Number (Example: CO_Denver_IJ_1)
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Appendix 5
Sample Budget Detail Worksheet
OMB Approval No. 1121-0188
Purpose. The Budget Detail Worksheet may be used as a guide to assist applicants in the
preparation of the budget and budget narrative. You may submit the budget and budget
narrative using this form or in the format of your choice (plain sheets, your own form, or a
variation of this form). However, all required information (including the budget narrative) must
be provided. Any category of expense not applicable to your budget may be deleted.
A. Personnel. List each position by title and name of employee, if available. Show the annual
salary rate and the percentage of time to be devoted to the project. Compensation paid for
employees engaged in grant activities must be consistent with that paid for similar work within
the applicant organization.
Name/Position Computation Cost
Note: Personnel costs are only allowable for direct management and administration of the
grant award, i.e., preparation of mandatory post-award reports.
TOTAL _________
B. Fringe Benefits. Fringe benefits should be based on actual known costs or an established
formula. Fringe benefits are for the personnel listed in budget category (A) and only for the
percentage of time devoted to the project. 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 Item Computation Cost
TOTAL _________
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D. Equipment. List non-expendable items that are to be purchased. Non-expendable
equipment is tangible property having a useful life of more than two years. (Note:
Organization’s own capitalization policy and threshold amount for classification of equipment
may be used). Expendable items should be included either in the “Supplies” category or in the
“Other” category. Applicants should analyze the cost benefits of purchasing versus leasing
equipment, especially high cost items and those subject to rapid technical advances. Rented or
leased equipment costs should be listed in the “Contractual” category. Explain how the
equipment is necessary for the success of the project. Attach a narrative describing the
procurement method to be used.
Item Computation Cost
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
TOTAL _________
E. Supplies. List items by type (office supplies, postage, training materials, copying paper, and
other expendable items such as books, hand held tape recorders) and show the basis for
computation. (Note: Organization’s own capitalization policy and threshold amount for
classification of supplies may be used). Generally, supplies include any materials that are
expendable or consumed during the course of the project.
Supply Items Computation Cost
TOTAL _________
F. Consultants/Contracts. Indicate whether applicant’s formal, written Procurement Policy or
the Federal Acquisition Regulations are followed.
Consultant Fees: For each consultant enter the name, if known, service to be provided, hourly
or daily fee (8-hour day), and estimated time on the project.
Name of Consultant Service Provided Computation Cost
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal ___________
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Consultant Expenses: List all expenses to be paid from the grant to the individual consultant
in addition to their fees (i.e., travel, meals, lodging, etc.)
Item Location Computation Cost
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal __________
Contracts: Provide a description of the product or services to be procured by contract and an
estimate of the cost. Applicants are encouraged to promote free and open competition in
awarding contracts. A separate justification must be provided for sole source contracts in
excess of $100,000.
Item Cost
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal ________
TOTAL __________
G. Other Costs. List items (e.g., rent, reproduction, telephone, janitorial or security services,
and investigative or confidential funds) by major type and the basis of the computation. For
example, provide the square footage and the cost per square foot for rent, and provide a
monthly rental cost and how many months to rent.
Description Computation Cost
Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Important Note: If applicable to the project, construction costs should be included in this
section of the Budget Detail Worksheet.
TOTAL _________
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H. Indirect Costs. Indirect costs are allowed only if the applicant has a Federally approved
indirect cost rate. A copy of the rate approval, (a fully executed, negotiated agreement), must
be attached. If the applicant does not have an approved rate, one can be requested by
contacting the applicant’s cognizant Federal agency, which will review all documentation and
approve a rate for the applicant organization, or if the applicant’s accounting system permits,
costs may be allocated in the direct costs categories.
Description Computation Cost
TOTAL _________
Budget Summary. When you have completed the budget worksheet, transfer the totals for
each category to the spaces below. Compute the total direct costs and the total project costs.
Indicate the amount of Federal funds requested and the amount of non-Federal funds that will
support the project.
Budget Category Federal Amount Non-Federal Amount
A. Personnel __________ ___________
B. Fringe Benefits __________ ___________
C. Travel __________ ___________
D. Equipment __________ __________
E. Supplies __________ ___________
F. Consultants/Contracts __________ ___________
G. Other __________ ___________
Total Direct Costs __________ __________
H. Indirect Costs __________ ___________
* TOTAL PROJECT COSTS __________ __________
Federal Request __________
Non-Federal Amount __________
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Detailed Budget Submission and File Naming Convention
Investment Justifications must be submitted with the grant application as a file attachment within
grants.gov. Applicants must use the following file naming convention when submitting Detailed
Budgets as part of the FY07 TSGP:
Detailed Budget (through grants.gov file attachment)
State_Region_IJ Number_Budget (Example: CO_Denver_IJ#1_Budget)
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Appendix 6
Award and Reporting Requirements
A. Grant Award and Obligation of Funds.
Upon approval of an application, the grant will be awarded to the grant recipient. The date that
this is done is the “award date.” The signed award document with special conditions must be
returned to:
Office of Justice Programs,
Attn: Control Desk – G&T Award
810 7th Street, N.W., 5th Floor
Washington, DC 20531.
An obligation is defined in the Office of Grant Operations (OGO) Financial Management Guide
as a legally binding liability under a grant, sub-grant, and/or contract determinable sums for
services or goods incurred during the grant period.
Awards made to SAA’s for the IPP carry additional pass-through requirements. Pass-through is
defined as an obligation on the part of the States to make funds available to units of local
governments, combinations of local units, or other specific groups or organizations. The State’s
pass-through period must be met within 60 days of the award date for the TSGP10. Four
requirements must be met to pass-through grant funds:
• There must be some action to establish a firm commitment on the part of the awarding
entity.
• The action must be unconditional (i.e., no contingencies for availability of SAA funds) on
the part of the awarding entity.
• There must be documentary evidence of the commitment.
• The award terms must be communicated to the official grantee.
The period of performance is 36 months from the date of award. Any unobligated funds will be
deobligated by DHS at the end of this period. Extensions to the period of performance will be
considered only through formal requests to G&T with specific and compelling justifications why
an extension is required.
B. Post Award Instructions.
G&T’s OGO will provide fiscal support and oversight of the grant programs, while the OJP Office
of the Comptroller will continue to provide support for grant payments. The following is provided
as a guide for the administration of awards. Additional details and requirements may be
provided to the grantee in conjunction with finalizing an award.
10 For purposes of the FY07 TSGP, receipt of funds means the date on which funds are available for expenditure (e.g., all special
conditions prohibiting obligation, expenditure and draw down have been removed).
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1. Review award and special conditions document. Notification of award approval is made
by e-mail through the OJP Grants Management System (GMS). Once an award has been
approved, a notice is sent to the e-mail address of the individual who filed the application, as
well as to the authorized grantee official. Carefully read the award and any special conditions or
other attachments.
If you agree with the terms and conditions, the authorized official should sign and date both the
original and the copy of the award document page in Block 19. You should maintain a copy
and return the original signed documents to:
Office of Justice Programs
Attn: Control Desk - G&T Award
810 Seventh Street, N.W., 5th Floor
Washington, DC 20531
If you do not agree with the terms and conditions, contact the awarding G&T Program Manager
as noted in the award package.
2. Read the guidelines. Read and become familiar with the “OGO Financial Management
Guide” which is available at 1-866-9ASKOGO or online at:
http://www.dhs.gov/xlibrary/assets/Grants_FinancialManagementGuide.pdf.
3. Complete and return ACH form. The Automated Clearing House (ACH) Vendor/
Miscellaneous Payment Enrollment Form (refer to Step 3 attachment) is used to arrange direct
deposit of funds into your designated bank account.
4. Access to payment systems. OJP uses the Phone Activated Paperless System (PAPRS)
to request funds. Grantees will receive a letter with the award package containing their PIN to
access the system and Grant ID information.
5. Reporting Requirements. Reporting requirements must be met during the life of the grant
(refer to the OGO Financial Management Guide and the specific program guidance for a full
explanation of these requirements, special conditions and any applicable exceptions). The
payment system contains edits that will prevent access to funds if reporting requirements are
not met on a timely basis. Refer to Step 5 attachments for forms, due date information, and
instructions.
6. Questions about your award? A reference sheet is provided containing frequently asked
financial questions and answers. Questions regarding grant payments should be addressed to
the OJP Office of the Comptroller at 1-800-458-0786 or email at: askoc@ojp.usdoj.gov.
Questions regarding all other financial/administrative issues should be addressed to the OGO
Information Line at 1-866-9ASKOGO (927-5646) or email at: ask-ogo@dhs.gov.
Note: If you have any questions about GMS, need to establish a GMS account, or require
technical assistance with accessing your award, contact the GMS Hotline at 1-888-549-9901.
C. Drawdown and Expenditure of Funds.
Following acceptance of the grant award and release of any special conditions withholding
funds, the grantee can drawdown and expend grant funds through the Phone Activated
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Paperless System (PAPRS). There is a limited pool of grantees that may use the Automated
Standard Application for Payments (ASAP).
In support of continuing efforts to meet the accelerated financial statement reporting
requirements mandated by the U.S. Department of the Treasury and the Office of Management
and Budget (OMB), payment processing will be interrupted during the last five working days of
each month. Grant recipients should make payment requests before the last five working days
of the month to avoid delays in deposit of payments.
For example, for the month of October, the last day to request (draw down) payments was
October 24, 2006. Payments requested after that date were processed when the regular
schedule resumed on November 1, 2006. A similar schedule will follow at the end of each
month.
Grant recipients should request funds based upon immediate disbursement requirements.
Funds will not be paid in a lump sum, but rather disbursed over time as project costs are
incurred or anticipated. Recipients should time their drawdown requests to ensure that Federal
cash on hand is the minimum needed for disbursements to be made immediately or within a few
days. Grantees may elect to draw down funds up to 120 days prior to expenditure/
disbursement. DHS strongly encourages recipients to draw down funds as close to expenditure
as possible to avoid accruing interest.
Funds received by grantees must be placed in an interest-bearing account and are subject to
the rules outlined in the Uniform Rule 28 CFR Part 66, Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments, at:
http://www.access.gpo.gov/nara/cfr/waisidx_04/28cfrv2 _04.html and the Uniform Rule 28 CFR
Part 70, Uniform Administrative Requirements for Grants and Agreements (Including Subawards)
with Institutions of Higher Education, Hospitals and other Non-profit Organizations, at:
http://www.access.gpo.gov/nara/cfr/ waisidx_04/28cfrv2_04.html. These guidelines state that
entities are required to promptly, but at least quarterly, remit interest earned on advances to:
United States Department of Health and Human Services
Division of Payment Management Services
P.O. Box 6021
Rockville, MD 20852
The sub-grantee may keep interest amounts up to $100 per year for administrative expenses for
all Federal grants combined. Please consult the OGO Financial Management Guide or the
applicable OMB Circular for additional guidance. Although advance drawdown requests may be
made, State grantees remain subject to the interest requirements of the Cash Management
Improvement Act (CMIA) and its implementing regulations at 31 C.F.R. Part 205. Interest under
CMIA will accrue from the time Federal funds are credited to a State account until the time the
State pays out the funds or transfers the funds to a sub-grantee.
Note: Although advance drawdown requests may be made, State grantees remain subject to
the interest requirements of the CMIA and its implementing regulations at 31 CFR Part 205.
Interest under CMIA will accrue from the time Federal funds are credited to a State account until
the time the State pays out the funds for program purposes.
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D. Reporting Requirements.
1. Financial Status Report (FSR) -- required quarterly. Obligations and expenditures must
be reported to G&T on a quarterly basis through the FSR, which is due within 30 days of the
end of each calendar quarter (e.g., for the quarter ending March 31, FSR is due on April 30).
Please note that this is a change from previous fiscal years. A report must be submitted for
every quarter the award is active, including partial calendar quarters, as well as for periods
where no grant activity occurs. Future awards and fund draw downs will be withheld if these
reports are delinquent. The final FSR is due 90 days after the end date of the award period.
FSRs must be filed online through the Internet at: https://grants.ojp.usdoj.gov. Forms and
instructions can be found at: http://www.ojp.usdoj.gov/forms.htm. Grantees are reminded to
review the following documents and ensure that grant activities are conducted in accordance
with the applicable guidance:
• OMB Circular A-102, Grants and Cooperative Agreements with State and Local
Governments, at: http://www.whitehouse.gov/omb/circulars/index.html
• OMB Circular A-87, Cost Principles for State, Local, and Indian Tribal Governments, at:
http://www.whitehouse.gov/omb/circulars/index.html
• OMB Circular A-110, Uniform Administrative Requirements for Grants and Other
Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit
Organizations, at http://www.whitehouse.gov/omb/circulars/index.html
• OMB Circular A-21, Cost Principles for Educational Institutions, at:
http://www.whitehouse.gov/omb/circulars/index.html
• OMB Circular A-122, Cost Principles for Non-Profit Organizations, at:
http://www.whitehouse.gov/omb/circulars/index.html
For FY07 awards, grant and sub-grant recipients should refer to the OGO Financial Guide. All
awards from FY05 and earlier are still governed by the OJP Financial Guide, available at:
http://www.ojp.usdoj.gov/FinGuide. OGO can be contacted at 1-866-9ASKOGO or by email at:
ask-OGO@dhs.gov.
Required submission: Financial Status Report (FSR) SF-269a (due quarterly).
2. Categorical Assistance Progress Report (CAPR). Following an award, the awardees will
be responsible for providing updated obligation and expenditure information on a regular basis.
The CAPR is due within 30 days after the end of the reporting period (July 30 for the reporting
period of January 1 through June 30, and on January 30 for the reporting period of July 1
though December 31). Future awards and fund drawdowns may be withheld if these reports are
delinquent. The final CAPR is due 90 days after the end date of the award period.
Block #12 of the CAPR should be used to note progress against the proposed project. The
grantor agency shall provide sufficient information to monitor program implementation and goal
achievement. At a minimum, reports should contain the following data: (1) As applicable, the
total number of items secured under this grant (e.g., access controls, surveillance, physical
enhancements, and vessels) to date, and (2) for other items acquired through this grant, a brief
description and total number of items obtained to date.
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CAPRs must be filed online through the internet at: https://grants.ojp.usdoj.gov. Forms and
instructions can be found at: http://www.ojp.usdoj.gov/forms.htm.
Required submission: CAPR (due semiannually).
3. Exercise Evaluation and Improvement. Exercises implemented with grant funds should
be threat- and performance-based and should evaluate performance of critical prevention and
response tasks required to respond to the exercise scenario. Guidance on conducting exercise
evaluations and implementing improvement is defined in the Homeland Security Exercise and
Evaluation Program (HSEEP) Volume II: Exercise Evaluation and Improvement located at:
http://www.ojp.usdoj.gov/G&T/docs/HSEEPv2.pdf. Grant recipients must report on scheduled
exercises and ensure that an After Action Report (AAR) and Improvement Plan (IP) are
prepared for each exercise conducted with G&T support (grant funds or direct support) and
submitted to G&T within 60 days following completion of the exercise.
The AAR documents the performance of exercise related tasks and makes recommendations
for improvements. The IP outlines the actions that the exercising jurisdiction(s) plans to take to
address recommendations contained in the AAR. Generally the IP, with at least initial action
steps, should be included in the final AAR. G&T is establishing a national database to facilitate
the scheduling of exercises, the submission of the AAR/IPs and the tracking of IP
implementation. Guidance on the development of AARs and IPs is provided in Volume II of the
HSEEP manuals.
Required submissions: AARs and IPs (as applicable).
4. Financial and Compliance Audit Report. Recipients that expend $500,000 or more of
Federal funds during their fiscal year are required to submit an organization-wide financial and
compliance audit report. The audit must be performed in accordance with the U.S. General
Accountability Office, Government Auditing Standards, located at:
http://www.gao.gov/govaud/ybk01.htm, and OMB Circular A-133, Audits of States, Local
Governments, and Non-Profit Organizations, located at:
http://www.whitehouse.gov/omb/circulars/a133/a133.html. Audit reports are currently due to the
Federal Audit Clearinghouse no later than nine months after the end of the recipient’s fiscal
year. In addition, the Secretary of Homeland Security and the Comptroller General of the
United States shall have access to any books, documents, and records of recipients of FY07
IPP assistance for audit and examination purposes, provided that, in the opinion of the
Secretary or the Comptroller, these documents are related to the receipt or use of such
assistance. The grantee will also give the sponsoring agency or the Comptroller, through any
authorized representative, access to, and the right to examine all records, books, papers or
documents related to the grant.
The State shall require that sub-grantees comply with the audit requirements set forth in OMB
Circular A-133. Recipients are responsible for ensuring that sub-recipient audit reports are
received and for resolving any audit findings.
5. Federal Funding Accountability and Transparency Act. While there are no State and
Urban Area requirements in FY07, the Federal Funding Accountability and Transparency Act of
2006 may affect State and Urban Area reporting requirements in future years. The Act requires
the Federal government to create a publicly searchable online database of Federal grant
recipients by January 1, 2008 with an expansion to include sub-grantee information by
January 1, 2009.
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6. National Preparedness Reporting Compliance. The Government Performance and
Results Act (GPRA) requires that the Department collect and report performance information on
all programs. For grant programs, the prioritized Investment Justifications and their associated
milestones provide an important tool for assessing grant performance and complying with these
national preparedness reporting requirements. DHS will work with grantees to develop tools
and processes to support this requirement. DHS anticipates using this information to inform
future-year grant program funding decisions.
7. National Assessment of State and Local Preparedness. HSPD-8 (National
Preparedness) calls for an assessment of national preparedness. Furthermore, the FY07 DHS
Appropriations Act requires a comprehensive national assessment of State and local
preparedness in FY07. Additional guidance will be provided during the grant period regarding
these requirements. DHS will strive to ensure reporting requirements support State and local
level performance management requirements, where applicable. Congress also requires a
Federal Preparedness Report on the Nation’s level of preparedness for all hazards, including
natural disasters, acts of terrorism, and other man-made disasters, including an estimate of the
amount of Federal, State, local, and tribal expenditures required to attain the National
Preparedness Priorities by October 4, 2007, and annually thereafter.
8. Catastrophic Resource Report. The Department is also required to develop and submit an
annual Catastrophic Resource Report which estimates the resources of DHS and other Federal
agencies needed for and devoted specifically to developing the capabilities of Federal, State,
local, and tribal governments necessary to respond to a catastrophic incident. This requirement
includes an estimate of State, local, and Tribal government catastrophic incident preparedness.
9. State Preparedness Report. Congress requires that States receiving DHS-administered
Federal preparedness assistance shall submit a State Preparedness Report to the Department
on the State’s level of preparedness by January 4, 2008, and annually thereafter. The report
shall include: (1) an assessment of State compliance with the national preparedness system,
NIMS, the NRP, and other related plans and strategies; (2) an assessment of current capability
levels and a description of target capability levels; and (3) an assessment of resource needs to
meet the National Preparedness Priorities, including an estimate of the amount of expenditures
required to attain the Priorities and the extent to which the use of Federal assistance during the
preceding fiscal year achieved the Priorities.
E. Monitoring.
Grant recipients will be monitored periodically by DHS 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 will
be accomplished through a combination of office-based reviews and on-site monitoring visits.
Monitoring will involve the review and analysis of the financial, programmatic, performance and
administrative issues relative to each program and will identify areas where technical assistance
and other support may be needed.
The recipient is responsible for monitoring award activities, to include sub-awards, to provide
reasonable assurance that the Federal award is administered in compliance with requirements.
Responsibilities include the accounting of receipts and expenditures, cash management,
maintaining of adequate financial records, and refunding expenditures disallowed by audits.
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F. Grant Close-Out Process.
Within 90 days after the end of the award period, SAAs must submit a final FSR and final CAPR
detailing all accomplishments throughout the project. After these reports have been reviewed
and approved by G&T, a Grant Adjustment Notice (GAN) will be completed to close out the
grant. The GAN will indicate the project as being 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 FSR. After the financial information is received and approved by OGO, the
grant will be identified as “Closed by the Office of Grant Operations.”
Required submissions: (1) final SF-269a, due 90 days from end of grant period;
and (2) final CAPR, due 90 days from the end of the grant period.
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Appendix 7
Additional Resources
This Appendix describes several resources that may help applicants in completing an IPP
application.
1. Centralized Scheduling & Information Desk (CSID) Help Line. The CSID is a nonemergency
resource for use by emergency responders across the nation. CSID is a
comprehensive coordination, management, information, and scheduling tool developed by DHS
through G&T for homeland security terrorism preparedness activities. The CSID provides
general information on all DHS Grant programs and information on the characteristics of
CBRNE, agro-terrorism, defensive equipment, mitigation techniques, and available Federal
assets and resources.
The CSID maintains a comprehensive database containing key personnel contact information
for homeland security terrorism preparedness programs and events. These contacts include
personnel at the Federal, State and local levels. The CSID can be contacted at 1-800-368-6498
or askcsid@dhs.gov. CSID hours of operation are from 8:00 am–6:00 pm (EST),
Monday-Friday.
2. Office of Grant Operations (OGO). G&T’s Office of Grant Operations will provide fiscal
support, including pre- and post-award administration and technical assistance, of the grant
programs included in this solicitation, with the exception of payment related issues.
For financial and administrative questions, all grant and sub-grant recipients should refer to the
OGO Financial Management Guide or contact OGO at 1-866-9ASKOGO or ask-ogo@dhs.gov.
All payment related questions should be referred to the Office of Justice Programs/Office of the
Comptroller (OJP/OC) Customer Service at 1-800-458-0786 or askoc@ojp.usdoj.gov. All grant
and sub-grant recipients should refer to the OGO Financial Management Guide.
3. GSA’s Cooperative Purchasing Program. The U.S. General Services Administration
(GSA) offers an efficient and effective procurement tool for State and local governments to
purchase information technology products and services to fulfill homeland security and other
needs. The Cooperative Purchasing Program allows for State and local governments to
purchase from Schedule 70 (the Information Technology Schedule) and the Consolidated
Schedule (containing IT Special Item Numbers) only. Under this program, State and local
governments have access to over 3,000 GSA Schedule contractors who have voluntarily
modified their contracts to participate in the Cooperative Purchasing program.
State and local governments can find eligible contractors on GSA’s website,
www.gsaelibrary.gsa.gov, denoted with a symbol. Assistance is available from GSA at the
local and national level. For assistance at the local level visit www.gsa.gov/csd to find the point
of contact in your area and for assistance at the national level, contact Patricia Reed at
patricia.reed@gsa.gov, 213-534-0094. More information is available at
www.gsa.gov/cooperativepurchasing.
4. Exercise Direct Support. DHS has engaged multiple contractors with significant
experience in designing, conducting, and evaluating exercises to provide support to States and
local jurisdictions in accordance with State Homeland Security Strategies and HSEEP. Contract
support is available to help States conduct an Exercise Plan Workshop, develop a Multi-year
U.S. DEPARTMENT OF HOMELAND SECURITY – TRANSIT SECURITY GRANT PROGRAM
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Exercise Plan and build or enhance the capacity of States and local jurisdictions to design,
develop, conduct, and evaluate effective exercises.
In FY07, states may receive direct support for three exercises: one Training & Exercise Plan
Workshop (T&EPW); one discussion-based exercise; and one operations-based exercise.
While states are allowed to submit as many direct support applications as they choose, they are
strongly encouraged to give careful thought to which exercises will require the additional
assistance that will be provided through the direct support program. Exercises involving crossborder
or mass-gathering issues will be counted against the number of direct-support exercises
being provided to states.
Applications for direct support are available at http://hseep.dhs.gov and are reviewed on a
monthly basis. The Homeland Security Exercise and Evaluation Program offers several tools
and resources to help design, develop, conduct and evaluate exercises.