U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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O f f i c e o f S t a t e a n d L o c a l G o v e r nm e n t C o o r d i n a t i o n a n d P r e p a r e d n e s s
O f f i c e f o r D o m e s t i c P r e p a r e d n e s s
Fiscal Year 2005
Port Security Grant Program
Program Guidelines and Application Kit
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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Disclaimer
The views and opinions of authors of reference materials expressed herein do not necessarily
reflect those of the United States Government.
Reference within this document to any specific commercial products, processes, or services by
trade name, trademark, manufacturer, or otherwise does not necessarily constitute or imply its
endorsement, recommendation, or favoring by the United States Government.
The information and statements contained within this document shall not be used for the
purposes of advertising, nor to imply the endorsement or recommendation of the United States
Government.
With respect to any other information contained within non-DHS documents or reference
materials referred to within this guidance, neither the United States Government nor any of its
employees make any warranty, express or implied, including but not limited to the warranties of
merchantability and fitness for a particular purpose. Further, neither the United States
Government nor any of its employees assume any legal liability or responsibility for the
accuracy, completeness, or usefulness of any information, apparatus, product or process
disclosed; nor do they represent that its use would not infringe privately owned rights.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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Foreword
On October 18, 2004, the President signed the Department of Homeland Security
(DHS) Appropriations Act of 2005. The 2005 appropriation by Congress is a firm
commitment to continuing the work necessary to enhance the security of the United
States of America against the threat posed by terrorism.
The DHS Appropriations Act of 2005 provides $150 million for port security grants.
These grants will provide assistance for physical security enhancements in the Nation’s
most at-risk seaports. The Fiscal Year (FY) 2005 Port Security Grant (PSG)
Program reflects the intent of Congress and the Administration to create a
sustainable effort for the protection of critical infrastructure from terrorism,
especially explosives and non-conventional threats that would cause major
disruption to commerce and significant loss of life.
The Office of State and Local Government Coordination and Preparedness (SLGCP),
Office for Domestic Preparedness (ODP) has designed this program in coordination
with federal partner agencies and industry, including the United States Coast Guard
(USCG), the Information Analysis and Infrastructure Protection Directorate (IAIP),
Border and Transportation Security Directorate (BTS) and the Transportation Security
Administration (TSA) within DHS, the Maritime Administration (MARAD) within the
Department of Transportation, and the American Association of Port Authorities (AAPA).
The FY 2005 PSG focuses on protection against small craft, underwater attacks and
vehicle borne improvised explosive devices, enhanced explosives detection capabilities
for the owners/operators of vehicle ferries and associated facilities, and facility security
enhancements in the Nation’s highest risk ports.
DHS is committed to working with the owners and operators of America’s critical
transportation infrastructure as part of the national effort to combat terrorism and secure
our homeland.
Michael Chertoff
Secretary
Department of Homeland Security
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Contents
I. A Framework for Infrastructure Protection ...... .................................1
II. Port Security Grants: Eligible Applicants and Funding Availability... 3
III. Overview .......................................................................................... 7
IV. Program and Application Requirements ........................................ 10
V. Assistance Resources and Support … .......................................... 18
VI. Reporting, Monitoring and Closeout Requirements. ...................... 19
Appendix A Additional Guidance on Authorized Program Expenditures
Appendix B Sample Award Package
Appendix C Sample Budget Detail Worksheet
Appendix D Captain of the Port Abbreviations
Appendix E Acronyms and Abbreviations
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I. A Framework for Infrastructure Protection
The Department of Homeland Security's Port Security Grant Program is an important
component of a larger, coordinated Administration program to strengthen America's
critical infrastructure. The framework for these efforts is set out in a series of Homeland
Security Presidential Directives (HSPD's), the National Preparedness Goal and its
associated work products, and the National Infrastructure Protection Plan.
HSPD-8 establishes policies to strengthen the preparedness of the United States to
prevent and respond to threatened or actual domestic terrorist attacks, major disasters
and other emergencies by requiring a National Preparedness Goal, establishing
mechanisms for improved delivery of federal preparedness assistance to state and local
governments and outlining actions to strengthen preparedness capabilities of federal,
state, and local entities.
The National Preparedness Goal establishes the requirement for federal, state, local
and tribal entities to achieve and sustain nationally accepted risk based target levels of
capability for prevention, preparedness, response and recovery for major events,
especially terrorism. The target levels of capability are based upon National Planning
Scenarios, a Universal Task List, and a Target Capabilities List. These tools have been
developed with input from the homeland security community at all levels and will
continue to be updated over time:
?? The National Planning Scenarios illustrate the scope and magnitude of major,
catastrophic events. They include 12 terrorist attacks (including chemical,
biological, radiological, nuclear, explosive, and cyber), two natural disasters and
pandemic influenza. The scenarios provide detail in terms of casualties, property
damage, and economic losses needed to project capability requirements for
prevention, preparedness, response and recovery.
?? The Universal Task List (UTL) defines the essential tasks that need to be
performed from the incident scene to the national level for major events
illustrated by the National Planning Scenarios. The UTL also includes
information on operating conditions and the standards needed to develop
quantifiable performance measures for planning, equipment, training, and
exercises.
?? The Target Capabilities List (TCL) identifies thirty-six critical capabilities
needed to perform the tasks identified in the UTL for the major events illustrated
by the National Planning Scenarios. Capabilities are defined in broad operational
terms and consist of properly planned, organized, equipped, trained, and
exercised personnel needed to perform a task. The Target Capabilities List is
organized by Tiers to account for reasonable differences in capability levels
among entities based on population density, critical infrastructure, and other risk
factors.
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Critical Capabilities
1. Animal Health Emergency Support 19. Isolation and Quarantine
2. CBRNE Detection 20. Mass Care (Sheltering, Feeding, and Related
Services)
3. Citizen Preparedness and Participation 21. Mass Prophylaxis
4. Citizen Protection: Evacuation and/or In-Place
Protection 22. Medical Supplies Management and Distribution
5. Critical Infrastructure Protection 23. Medical Surge
6. Critical Resource Logistics and Distribution 24. On-Site Incident Management
7. Economic and Community Recovery 25. Planning
8. Emergency Operations Center Management 26. Public Health Epidemiological Investigation and
Laboratory Testing
9. Emergency Public Information and Warning 27. Public Safety and Security Response
10. Environmental Health and Vector Control 28. Restoration of Lifelines
11. Explosive Device Response Operations 29. Risk Analysis
12. Fatality Management 30. Search and Rescue
13. Firefighting Operations/Support 31. Structural Damage Assessment and Mitigation
14. Food and Agriculture Safety and Defense 32. Terrorism Investigation and Intervention
15. Information Collection and Threat Recognition 33. Triage and Pre-Hospital Treatment
16. Information Sharing and Collaboration 34. Volunteer Management and Donations
17. Intelligence Fusion and Analysis 35. WMD/Hazardous Materials Response and
Decontamination
18. Interoperable Communications 36. Worker Health and Safety
ODP has developed detailed National Preparedness Guidance in coordination with
federal, state, local and tribal entities. This guidance describes the National
Preparedness Goal, as well as target levels of capability and national priorities.
Through its focus on improvised explosive devices and non-conventional
methods of attack in the port environment, the FY 2005 PSG Program directly
addresses two of the national priorities: 1) Chemical, Biological, Radiological,
Nuclear and Explosive (CBRNE) detection and response capabilities; and, 2)
National Infrastructure Protection Plan (NIPP) implementation.
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II. Port Security Grants: Eligible Applicants and
Funding Availability
A. Eligible Applicants
The FY 2005 DHS Appropriations Act provides funds for a competitive grant program to
address physical security enhancements for critical national seaports. A priority for
the PSG Program in FY 2005 is risk-based distribution of funding. As part of this
focus on risk, the FY 2005 program will direct the available funds to the Nation’s
highest risk ports, thereby ensuring federally regulated ports, terminals and U.S.
inspected passenger vessels receiving the funds represent assets of the highest
strategic importance nationally. To identify the most at-risk seaports, ODP worked
with the USCG and IAIP to develop the following risk formula:
Risk = Consequence X Vulnerability X Threat
The elements of each risk factor included:
?? Consequence – people, economic, national security, port-specific special
considerations (hazardous materials, oil);
?? Vulnerability – distance from open water, number of port calls, presence of
tankers; and,
?? Threat – credible threats and incidents (intelligence community, USCG, IA), less
credible threats and incidents (operational indicators), vessels of interest.
The Nation’s 129 largest volume ports1 were evaluated using this formula. Based on
this risk-based evaluation, 66 port areas2 have been identified for inclusion in the
FY 2005 PSG Program. However, please note that presence on this list is not a
guarantee of receiving grant funding. Table 1 on the next page identifies the port areas
in which grant activity may take place. The port areas are listed alphabetically – no
additional significance should be attributed to this ordering.
1 As reported by the U.S. Army Corps of Engineers.
2 For purposes of the FY 2005 PSG Program, port areas are defined as the land area adjacent to, and
within one mile of, the waterway that contains the federal navigation channel for a particular port.
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Table 1. Port Areas Eligible for Consideration of Funding
Eligible Port Areas
Albany, NY Norfolk Harbor, VA
Anchorage, AK Oakland, CA
Baltimore, MD Pascagoula, MS
Baton Rouge, LA Pensacola, FL
Beaumont, TX Philadelphia, PA
Boston, MA Pittsburgh, PA
Bridgeport, CT Plaquemines, LA
Camden, NJ Port Arthur, TX
Charleston, SC Port Canaveral, FL
Chattanooga, TN Port Everglades, FL
Cincinnati, OH Port Hueneme, CA
Corpus Christi, TX Portland, ME
Freeport, TX Portland, OR
Greenville, MS Portsmouth, NH
Honolulu, HI Providence, RI
Houston, TX Richmond, CA
Huntington, WV San Diego, CA
Jacksonville, FL San Francisco, CA
Kansas City, MO Savannah, GA
Lake Charles, LA Seattle, WA
Long Beach, CA South Louisiana, LA
Los Angeles, CA St. Louis, MO
Louisville, KY St. Paul, MN
Memphis, TN Tacoma, WA
Miami, FL Tampa, FL
Milwaukee, WI Texas City, TX
Minneapolis, MN Tulsa, OK
Mobile, AL Valdez, AK
Nashville, TN Vancouver, WA
New Haven, CT Vicksburg, MS
New Orleans, LA Victoria, TX
Newport News, VA Wilmington, DE
New York/New Jersey Wilmington, NC
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Within the eligible port areas, applicants must be:
?? Owners/operators of federally regulated ports, terminals, facilities, U.S. inspected
passenger vessels, or ferries as defined in the Maritime Transportation Security
Act (MTSA) 33 CFR Parts 101, 104, and 105;
?? Port authorities or other State and local agencies that provide layered security
protection to federally regulated facilities; or,
?? Consortia composed of local stakeholder groups (i.e., river groups, ports, and
terminal associations) representing federally regulated ports, terminals, U.S.
inspected passenger vessels, or ferries.
For purposes of the FY 2005 PSG Program, layered security means an approach that
utilizes prevention and detection capabilities of organizations within a port-wide area to
provide complete security solutions to regulated entities. For example, organizations
can provide layered protection through command and control functions, waterside
measures that address security over multiple terminals and facilities or U.S. inspected
passenger vessel operations (as defined under MTSA 33 CFR Part 104) within a port
area.
There are three recognized kinds of organizations that provide port-wide layered
security: a port authority, State and local governments, and consortia or associations
which represent MTSA regulated entities as defined in 33 CFR Parts 101, 104, and 105.
?? A port authority may provide layered security through port-wide prevention and
detection activities on behalf of all port users, the landlord for the tenants on port
property, or as the owner operator of the port operations. This layered security
must include MTSA regulated entities, and the layered security provided by the
port authority must be addressed in the regulated entities’ security plan.
?? State and local governments, through law enforcement or other recognizable
State or local agencies, may also provide layered security for MTSA regulated
entities. Those government agencies that are responsible for maintaining
security for MTSA regulated entities must be addressed in the regulated entities’
security plan or in the Area Maritime Security Plan developed by the Coast
Guard Captain of the Port and the Area Maritime Security Committee.
?? Consortia or associations that provide layered security to MTSA regulated
facilities. The consortium or association entity that submits the application must
be a MTSA regulated entity. In addition, the layered protection provided must be
addressed in the regulated entities’ security plan.
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Ownership of port facilities varies from port to port. In some cases, individual tenants
own land within a port, while others lease their space from the port entity. Additionally,
approximately 90% of the Nation’s port infrastructure is privately owned and operated.
Within ports, the highest risk assets include oil, chemical, gas terminals and
passenger/ferry vessels/terminals that are often owned/operated by the private sector.
The Department recognizes the unique challenges this represents with respect to portwide
risk reduction. The Department also believes that security should be a shared
responsibility. To address this issue, the Department has determined that private
companies3 are eligible to apply for funding under the FY 2005 PSG Program.
However, applications from private entities must demonstrate a cash match of at
least 50% of the total amount requested in Federal funding in order to be
considered. Note: Applications may not be submitted on behalf of a private
company by a public entity and sub-awarded back to the private company to
avoid the cash match requirement.
B. Funding Availability
The FY 2005 PSG will provide $140,857,128 for port security grants4. Funding will be
provided directly to successful applicants.
3 For purposes of the FY 2005 PSG Program, private companies are defined as for-profit entities that are
not state, local and county seaport agencies, navigation districts, or port authorities. Consortia composed
of local stakeholder groups representing federally regulated ports, terminals, U.S. inspected passenger
vessels, or ferries are considered private entities and must demonstrate the 50% cash match.
4 $5,000,000 was also provided specifically for the security of ferry systems through the FY 2005 Transit
Security Grant Program.
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III. Overview
The mission of the FY 2005 PSG Program is to create a sustainable, risk-based
effort for the protection of critical infrastructure from terrorism, especially
explosives and non-conventional threats that would cause major disruption to
commerce and significant loss of life.
A. Program Overview
The FY 2005 PSG provides financial assistance to owners and operators of ports,
terminals, U.S. inspected passenger vessels and ferries, as well as port authorities and
State and local agencies to improve security for operators and passengers through
physical security enhancements.
B. Solicitation Overview
The FY 2005 PSG Program provides follow-on funding to the FY 2002, FY 2003, and
FY 2004 port security grants. Successful applications will be selected through a
competitive process. Following risk-based national port security priorities, the
FY 2005 PSG Program will place a strong emphasis on prevention and detection
against improvised explosive devices (IEDs). Of great concern are IEDs delivered
via small craft, underwater and in vehicles on ferries.
Eligible applicants in each port area may submit one application for funding of up
to five (5) individual projects5. Funding may be awarded for all, some or none of
the projects submitted based on the outcome of the evaluation process.
Each application that meets the requirements of the PSG Program Guidelines and
Application Kit will be evaluated by a Field Review Panel (FRP) and a National Review
Panel (NRP). The FRP will be conducted by the cognizant USCG Captain of the Port
(COTP), in coordination with the MARAD Region Director and the applicable State
Administrative Agency or Agencies (where feasible).
At a minimum, federal employees from ODP, USCG, IAIP, BTS (TSA, CBP, etc.) within
DHS, and MARAD within the Department of Transportation, will be invited to serve on
the NRP, evaluating proposals in accordance with criteria contained herein.
5 An individual project could be a single activity or multiple activities required to complete an action, such
as the establishment of a canine program or an enhanced employee identification system. Individual
projects must take place at a single port area.
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C. Project Selection
As noted in Section B above, a series of reviews will occur among local and national
subject matter experts to ensure the most effective distribution of funding among these
ports. Previous PSG award rounds have traditionally been awarded by a combination
of formula and merit of project. The FY 2005 PSG Program will shift the paradigm to
risk-based prioritization consistent with current DHS policy.
1. Initial Screening Process. ODP staff will receive and conduct an initial review
of all FY 2005 PSG applications. Ineligible, incomplete and duplicate
applications will be eliminated from further consideration. Applications passing
this review will be grouped by port area and provided to the applicable USCG
COTP for further review.
2. Field Review Process. Field level reviews will be managed by the applicable
USCG COTP in coordination with the MARAD Region Director and applicable
State Administrative Agency or Agencies (where feasible). Each COTP will
review the applications provided by ODP for their port area against the following
criteria:
?? Projects that support the national port security priorities:
o Prevention and detection of IED attacks by small craft
o Prevention and detection of vehicle-borne IEDs on ferries
o Prevention and detection of underwater IED attacks
?? Projects that address priorities outlined in the applicable Area Maritime
Security Plan (mandated under the MTSA)
?? Projects that address additional security priorities based on the COTP’s
expertise and experience with the specific port area
?? Projects that offer the highest potential for risk reduction for the least cost
After completing their field reviews, the COTPs will submit a prioritized listing of
projects for each port area to ODP for the national review process.
3. National Review Process. Following the field review, a national review panel
(NRP) will be convened. Members will include representatives from ODP,
USCG, TSA, CBP, IAIP and MARAD. The NRP will conduct an initial review of
the prioritized project listings for each port area submitted by the COTPs to
ensure that the proposed projects will accomplish the intended risk mitigation
goal. Following this initial meeting, ODP will evaluate the top five projects from
each COTP list for each port area against a formula that considers the following
factors:
?? The COTP ranking (based on each COTP’s prioritized list of projects)
?? The location of the project (based on the port area’s risk-based ranking)
?? Relationship of the project to one or more of the national port security
priorities:
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o Prevention and detection of IED attacks by small craft
o Prevention and detection of vehicle-borne IEDs on ferries
o Prevention and detection of underwater IED attacks
?? A cost/benefit analysis of the project (considers the potential to reduce risk for
the least cost/additional value given to projects that offer a cash match (public
entities) or a cash match of greater than 50% (private companies)).
The NRP will then be asked to evaluate and validate the consolidated and
ranked project list resulting from this process. Awards will be made based on the
final ranked list of projects identified by the NRP. A final listing of awards for
each port area will be provided to the applicable COTP, MARAD Region
Director, Area Maritime Security Committee and State Administrative
Agency or Agencies.
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IV. Program and Application Requirements
A. General Program Requirements
Successful applicants will be responsible for administration of FY 2005 PSG awards. In
administering the program, the applicant must comply with the following requirements.
1. Private Sector Applicants. Applications from private entities must demonstrate
a cash match of at least 50% of the total amount requested in Federal funding in
order to be considered.
B. Specific Program Requirements
1. National Port Security Priorities. When developing project proposals for the
FY 2005 PSG Program, specific attention must be paid to prevention and
detection of attacks involving IEDs. IEDs pose a threat of great concern to
transportation systems across the nation. IEDs have historically been the
terrorist weapon of choice because they combine a high degree of effectiveness
with minimal cost. Of great concern to port security are IEDs delivered via
small craft, underwater and in vehicles on ferries. Particular areas of
focus, therefore, should include protection of facilities, including public
cruise line and ferry terminals, and vessels from tampering and attack.
C. Ineligible Activities/Costs
The following projects and costs are considered ineligible for award consideration:
?? Ferry systems participating in the FY 2005 Transit Security Grant Program
(TSGP) cannot apply for funding for projects already under consideration for
TSGP funding
?? The development of risk/vulnerability assessment models
?? Projects that fund vulnerability security assessments
?? Projects in which federal agencies are the beneficiary or that enhance federal
property
?? Projects which study technology development for security of national or
international cargo supply chains (e.g. e-seals, smart containers, container
tracking, container intrusion detection devices)
?? Proof-of-concept projects
?? Projects involving training and exercises
?? Projects that do not provide a compelling security benefit (primarily economic
or safety vs. security)
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?? Projects that duplicate capabilities being provided by the Federal government
(vessel traffic systems, etc.)
Proposals in which there is a real or apparent conflict of interest
?? Personnel costs
?? Operating expenses
?? Management and administrative costs
?? Reimbursement of pre-award security expenses
D. Application Requirements
The following steps must be completed using the on-line ODP Grants Management
System (GMS) to ensure a successful application submission:
1. Application Process
Applicants must apply for FY 2005 PSG funding through GMS, at
https://grants.ojp.usdoj.gov/. Applications must be received by ODP no later than June
10, 2005.
2. On-Line Application
The on-line application must be completed and submitted by an authorized
representative of the applicant organization using GMS. The on-line application
replaces the following previously required paper forms:
?? Standard Form 424, Application for Federal Assistance
?? Standard Form LLL, Disclosure of Lobbying Activities
?? JP Form 4000/3, Assurances
?? JP form 4061/6, Certifications
?? Non-Supplanting Certification
These grants are offered by the U.S. Department of Homeland Security, Office of State
and Local Government Coordination and Preparedness. The program title listed in the
Catalog of Federal Domestic Assistance (CFDA) is “Port Security Program.” The CFDA
number is 97.056. When completing the on-line application, applicants should identify
their submissions as new, non-construction applications. The project period will be for a
period not to exceed 30 months.
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3. Program Information
Eligible applicants may submit one application for funding of up to five (5)
individual projects. The individual projects comprising a single application must
take place within the same port area. Private companies that operate in more
than one eligible port area must submit separate applications for projects in each
port area.
As part of the application process, the applicant must include a program
narrative. Applicants must also provide a project plan and detailed budget for
each proposed project. Applicants must use the naming convention below when
uploading the program narrative, project plans and budgets. Refer to Appendix D
for the appropriate abbreviations for the COTP Zones:
COTP Zone_ Port Area_ Name of Applicant_ Document Type_ Project Number
Example #1 - PWS_Valdez_State Ferry System_Program Narrative
Example #2 - PWS_Valdez_State Ferry System_Project Plan_Project1
Example #3 - PWS_Valdez_State Ferry System_Project Budget_Project1
?? Program Narrative – Each program narrative should not exceed ten (10) pages.
The Program Narrative should identify specific point(s) of contact (POC) to work
with ODP on the implementation of the FY 2005 PSG Program. As part of the
application process, applicants must provide data/statistics that relate to their
specific port project (for port applications), terminal project (for terminal
applications), waterways, U.S. inspected passenger vessel or ferry projects.
Terminals and vessels cannot rely on aggregated port statistics. The program
narrative should include the following information:
o Infrastructure
o Area of Operations (including COTP Zone and eligible port as identified in
Table 1.)
o Nature of Operations
o Type and Volume of Cargo (annual statistics, and if applicable)
o Type and Volume of Hazardous Materials (annual statistics, and if
applicable)
o Number of Passengers (annual statistics, and if applicable)
o Number of Vessels Owned (if applicable)
o Role in Layered Protection of Regulated Entities (if applicable)
o Identification of the applicant as publicly or privately owned/operated
o Any other important features
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In addition, the program narrative should address the applicant’s current
prevention6 and detection capabilities relative to IEDs. Applicants that
submit more than one project must also provide a listing of these projects
in order of priority, and a justification for the prioritization.
?? Individual Project Information – Applications must clearly demonstrate an
ability to provide deliverables consistent with the purpose of the program and
guidance provided by ODP. As such, applications must include a project plan
and detailed budget for each project submitted for funding consideration.
o Project Plan: The applicant must provide a complete project plan for the
entire project period. The project plan must demonstrate how the project
would address a vulnerability identified in the applicant’s USCG-approved
security plan. The project plan must also clearly demonstrate how the
project is consistent with all applicable requirements outlined in this
application kit and addresses the rating criteria identified in Section III:
Overview. The project period will be for a period not to exceed 30
months. Each project plan should not exceed five (5) pages.
o Detailed Budget: The applicant must also provide a detailed budget for
use of the funds requested (see Appendix A for guidance on allowable
costs under this program). 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, including any
appropriate narrative. The budget should also demonstrate any cash
match. Private companies submitting applications must demonstrate a
cash match of at least 50% of the total federal funds requested for the
project. A copy of the required budget worksheet form is provided in
Appendix C: Sample Budget Detail Worksheet.
These documents may be provided using one of the attachment fields within the
on-line GMS application. Applications submitted without a complete Program
Narrative, as well as a Project Plan and Detailed Budget (that includes the
required cash match for private sector applicants) for each project will not be
considered for funding.
6 Prevention. Actions to avoid an incident or to intervene to stop an incident from occurring. Prevention
involves actions taken to protect lives and property. It involves applying intelligence and other information
to a range of activities that may include such countermeasures as deterrence operations; heightened
inspections; improved surveillance and security operations; investigations to determine the full nature and
source of the threat; public health and agricultural surveillance and testing processes; immunizations,
isolation, or quarantine; and, as appropriate, specific law enforcement operations aimed at deterring,
preempting, interdicting, or disrupting illegal activity and apprehending potential perpetrators and bringing
them to justice. (Source—National Incident Management System, March 2004)
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4. MOU/MOA Requirement for Consortia or Associations
Consortia or associations that provide layered security to MTSA regulated facilities are
eligible applicants. However, the consortium or association entity that submits the
application must be a MTSA regulated entity. In addition, the layered protection
provided must be addressed in the regulated entities’ security plan. A copy of an
MOA/MOU between those identified regulated entities will be required prior to funding,
and must include an acknowledgement of the layered security and roles and
responsibility of all entities involved. This information may be provided using one of
the attachment fields within the on-line GMS application.
5. Universal Identifier
The applicant must provide a Dun and Bradstreet (D&B) Data Universal Numbering
System (DUNS) number with the application. A final application will not be considered
complete until a valid DUNS number is provided by the applicant. This number is a
required field within the on-line GMS application. 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.
6. Freedom of Information Act (FOIA)
ODP 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, 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. Applicants are also encouraged to consult their 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.
7. Financial Requirements
?? Non-Supplanting Certification: This certification, which is a required
component of the on-line GMS application, affirms that these 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, postaward
monitoring and any potential audits. Applicants or grantees may be
required to supply documentation certifying that a reduction in non-federal
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
15
resources occurred for reasons other than the receipt or expected receipt of
federal funds.
?? Match Requirement: Private companies submitting applications must
demonstrate a cash match of at least 50% of the total federal funding requested.
For further information on allowable sources and types of funds, timing of match
contributions and records for match, please consult the OJP Financial Guide,
Chapter 3 available at http://www.ojp.usdoj.gov/FinGuide/.
?? Accounting System and Financial Capability Questionnaire: All
nongovernmental (non-profit and commercial) organizations that apply for
funding with ODP that have not previously (or within the last 3 years) received
funding from ODP must complete the Accounting System and Financial
Capability Questionnaire. The required form can be found at
http://www.ojp.usdoj.gov/oc. This information may be provided using one of
the attachment fields within the on-line GMS application.
?? Assurances: The on-line GMS application includes a list of assurances that the
applicant must comply with in order to receive federal funds under this program.
It is the responsibility of the recipient of the federal funds to fully understand 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.
?? Certifications Regarding Lobbying; Debarment, Suspension, and Other
Responsibility Matters; and 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.
The certification will be treated as a material representation of the fact upon
which reliance will be placed by DHS in awarding grants.
?? Suspension or Termination of Funding: DHS, by written notice, may terminate
this grant, in whole or in part, when it is in the Government's interest.
8. Drawdown and Expenditure of Funds
The Office of Justice Programs’ (OJP) Office of the Comptroller (OC) will continue to
provide fiscal support of the grant programs included in this solicitation. All grant and
sub-grant recipients should refer to the OJP Financial Guide, available at:
http://www.ojp.usdoj.gov/FinGuide/
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
16
Following acceptance of the grant award and release of any special conditions
withholding funds, the Grantee can drawdown and expend grant funds through
the ASAP, PAPRS or LOCES payment systems.
In support of our continuing effort 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 (5) working days each month. Grantees 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 June, the last day to request (draw down)
payments will be June 23, 2005. Payments requested after June 23, 2005, will be
processed when the regular schedule resumes on July 1, 2005. A similar
schedule will follow at the end of each month thereafter.
To avoid denial of payment requests, grantees are encouraged to submit their
SF269a Financial Status Reports (see detail in Section IV, Reporting
Requirements) on-line at http://grants.ojp.usdoj.gov. Additional information and
instructions are available at this website.
Grantees will be permitted to drawdown funds up to 120 days prior to
expenditure/ disbursement, which echoes the recommendation of the Funding
Task Force. Funds received by both grantees and subgrantees 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 sub-awards) with Institutions of Higher Education,
Hospitals, and other Nonprofit Organizations, at
http://www.access.gpo.gov/nara/cfr/ waisidx_03/28cfr70_03.html. These
guidelines state that subgrantees 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
Grantees and subgrantees may keep interest amounts up to $100 per year for
administrative expenses. Please consult the OJP Financial Guide or the
applicable OMB Circular for additional guidance.
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State grant recipients are subject to the interest requirements of the Cash
Management Improvement Act (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 to a subgrantee or
otherwise for program purposes.
9. National Environmental Policy Act
NEPA requires ODP to analyze the possible environmental impacts of each
construction project. 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 wishing to use ODP funding for construction projects
must complete and submit a NEPA Compliance Checklist to ODP for review.
Additionally, 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 ODP funding, the
need to perform an Environmental Assessment (EA) or draft an Environmental Impact
Statement (EIS). The NEPA checklist is available online at: http://www.ojp.usdoj.gov/
fundopps.htm. This information may be provided using one of the attachment
fields within the on-line GMS application.
E. Other Guidance
1. Services to Limited English Proficient (LEP) Persons
Recipients of ODP 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. Grantees are
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, please see http://www.lep.gov.
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V. Assistance Resources and Support
A. Centralized Scheduling and Information Desk (CSID) Help Line
The CSID is a non-emergency resource for use by emergency responders across the
Nation. The CSID provides general information on all ODP programs, as well as
information on the characteristics and control of CBRNE materials, defensive
equipment, mitigation techniques, and available federal assets and resources.
The CSID can be contacted at 1-800-368-6498 or askcsid@dhs.gov.
CSID hours of operation are from 8:00 am–7:00 pm (EST), Monday-Friday.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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VI. Reporting, Monitoring and Closeout Requirements
A. Reporting Requirements
The following reports are required of all program participants:
1. Financial Status Reports (FSRs) – Standard Form 269A
Financial Status Reports are due within 45 days of the end of each calendar
quarter. 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). The
OJP Office of the Comptroller will provide a copy of this form in the initial award
package. Future awards and fund draw downs will be withheld if these reports are
delinquent.
?? Required Submission: SF-269A (quarterly).
2. Categorical Assistance Progress Reports - OJP Form 4587/1
Categorical Assistance Progress Reports are due within 30 days after the end of
the reporting periods, which are June 30 and December 31, for the life of the
award. The OJP Office of the Comptroller will provide a copy of this form in the initial
award package. Instructions for completing the Categorical Assistance Progress Report
are on the reverse side of the form. A copy of these instructions will also be included in
the initial award package. Grantees should use Block 12 of the CAPR to report on
progress made in implementing the project and how this has reduced overall risk
for the facility as addressed in the facility security plan.
?? Required Submission: CAPR (biannually).
3. Financial and Compliance Audit Report
Recipients that are subject to OMB Circular A-133, Audits of States, Local
Governments, and Non-Profit Organizations and 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 (GAO) Government Auditing Standards, located
at http://www.gao.gov/govaud/ybk01.htm, and OMB Circular A-133, located at
http://www.whitehouse.gov/omb/circulars/index.html. Audit reports are currently due to
the Federal Audit Clearinghouse no later than 9 months after the end of the recipient’s
fiscal year. In addition, the Secretary of Homeland Security and the Comptroller
General of the United States shall have access to any books, documents, and records
of recipients of FY 2005 PSG assistance for audit and examination purposes, provided
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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that, in the opinion of the Secretary of Homeland Security or the Comptroller General,
these documents are related to the receipt or use of such assistance. The grantee will
also give the sponsoring agency or the Comptroller General, through any authorized
representative, access to and the right to examine all records, books, papers or
documents related to the grant.
For-profit organizations that expend $500,000 or more of federal funds during their fiscal
year shall have financial and compliance audits conducted by qualified individuals who
are organizationally, personally, and externally independent from those who authorize
the expenditure of Federal funds. This audit must be performed in accordance with
Government Auditing Standards, 1994 Revision. The purpose of this audit is to
ascertain the effectiveness of the financial management systems and internal
procedures that have been established to meet the terms and conditions of the award.
Usually, these audits shall be conducted annually, but not less frequently than every two
years. The dollar threshold for audit reports established in OMB Circular A-133, as
amended, applies.
B. Monitoring
Grant recipients will be monitored periodically by ODP to ensure that the project goals,
objectives, timelines, budgets and other related program criteria are being met.
Monitoring will be accomplished through a combination of office-based and on-site
monitoring visits. Monitoring will involve the review and analysis of the financial,
programmatic, 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, the maintaining of adequate financial records, and the refunding of
expenditures disallowed by audits.
C. Grant Close-out Process
Within 120 days after the end of the grant period, the grantee will submit a final SF-
269A and a final CAPR detailing all accomplishments throughout the project. After both
of these reports have been reviewed and approved by ODP, 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 de-obligated, and address the
requirement of maintaining the grant records for three years from the date of the final
SF-269A.
?? Required Submissions: 1) Final SF-269A; and, 2) Final CAPR.
APPENDIX A
ADDITIONAL GUIDANCE
ON AUTHORIZED
PROGRAM
EXPENDITURES
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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Additional Guidance on Authorized Program
Expenditures
This appendix serves as an additional guide for program expenditure activities.
Grantees are encouraged to contact their ODP Program Manager regarding authorized
and unauthorized expenditures.
A. Projects that Support the National Port Security Priorities
When developing project proposals for the FY 2005 PSG Program, specific attention
must be paid to prevention and detection of attacks involving IEDs. IEDs pose a threat
of great concern to transportation systems across the nation. IEDs have historically
been the terrorist weapon of choice because they combine a high degree of
effectiveness with minimal cost. Of greatest concern to port security are IEDs delivered
via small craft, underwater and in vehicles on ferries. Particular areas of focus,
therefore, should include protection of facilities, including public cruise line and ferry
terminals, and vessels from tampering and attack.
The following are examples of security enhancements designed to enhance IED
prevention and detection capabilities for port systems:
1. Port Facilities, Including Public Cruise Line and Ferry Terminals
?? Explosive Agent Detection Sensors
?? Chemical/Biological/Radiological Agent Detection Sensors
?? Canines (start-up costs and training for terminal operations)
?? Intrusion Detection
?? Small boats for State and Local Law Enforcement Marine Patrol/Security
Incident Response
?? Video Surveillance Systems
?? Security Entry/ID Systems
?? Employee Identification
?? Improved Lighting
?? Secure Gates and Vehicle Barriers
?? Floating Protective Barriers
?? Underwater Intrusion Detection Systems (Excluding Sonar)
?? Communications Equipment (including interoperable communications)
2. Vessels and Ferries
?? Explosive Agent Detection Sensors
?? Chemical/Biological/Radiological Agent Detection Sensors
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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?? Restricted Area Protection (cipher locks, hardened doors, CCTV for bridges
and engineering spaces)
?? Communications Equipment (including interoperable communications)
?? Canines (start-up costs and training for U.S. vehicle/passenger ferries)
?? Floating Protective Barriers
B. Specific Guidance on Canines
Eligibility for funding of Canine Explosive Detection programs is restricted to U.S.
Ferry’s regulated under 33 CFR Parts 101, 104 & 105 specifically U.S. ferry vessels
carrying more than 500 passengers with vehicles, U.S. ferry vessels carrying more than
2,000 passengers and the passenger terminals these specific ferries service.
Additionally, only owners and operators of these specific ferries and terminals and port
authorities or State local authorities that provide layered protection for these operations
and are defined in the vessel’s/terminal’s security plans as doing so are eligible.
Certification: Canines used to detect explosives must be certified by an appropriate,
qualified organization. Such canines should receive an initial basic training course and
also weekly maintenance training sessions thereafter to maintain the certification. The
basic training averages 10 weeks for the canine team (handler and canine together)
with weekly training and daily exercising. Successful proposals must reflect that the
canine explosive detection training program used is equivalent to or exceeds the
training and certification standards recommended or in use by the state or local law
enforcement agency in whose jurisdiction the screening will occur. Comparable training
and certification standards, such as the National Police Canine Association (NPCA), the
United States Police Canine Association (USPCA) or the International Explosive
Detection Dog Association (IEDDA) may be used to meet this requirement.7
Agreement: Applicants are encouraged to thoroughly review the fiscal obligations of
maintaining a long-term Canine Explosive Detection program. Successful applicants
will be required to submit a signed Memorandum of Understanding to ODP
acknowledging that PSG awards allow a one-time procurement to assist in
implementing the Canine Explosive Detection teams. This one-time procurement
authorization will be issued with the understanding that the applicant will maintain the
canine’s proficiency for explosives detection, and that any additional costs throughout
the 8 to 10 year service life of the canine are the sole responsibility of the applicant.
Eligible Costs: Eligible costs include the purchasing, training and certification of
canines; all medical costs associated with initial procurement of canines; kennel cages
used for transportation of the canines and other incidentals associated with outfitting
and set-up of canines (such as leashes, collars, initial health costs and shots etc.).
Eligible costs also include initial training and certification of handlers.
7 Training and certification information can be found at: http://www.npca.net,
http://www.uspcak9.com/html/home.shtml, and http://www.bombdog.org/.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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Ineligible Costs: Ineligible costs include but are not limited to hiring, travel and lodging
associated with training and certification; meals and incidentals associated with travel
for initial certification; vehicles to transport canines; and maintenance / recurring
expenses such as annual medical exams, canine food costs, etc.
C. Specific Guidance on Employee Identification
The Transportation Worker Identification Credential (TWIC) is designed to be an open
architecture, standards-based system and follow published ANSI/NIST and ISO
standards. Accordingly, port projects that involve new installations/upgrades to access
control systems, should exhibit compliance to these and related standards in their
system design and implementation. Port card reader systems should be compliant with
ISO 7816 and/or ISO 14443 for appropriate TWIC smart card compatibility. The TWIC
program will enable the use of biometric recognition technologies in port access control
systems, following guidelines provided by the ANSI INCITS 383-2004 "Biometric Profile
-Interoperability and Data Interchange -Biometrics based Verification and Identification
of Transportation Workers" document. The TWIC program will be compliant to the GSCIS
(Government Smart Card Interoperability Standard), and associated efforts that
include the GSC-IAB PACS (Interagency Advisory Board Physical Access Control
Systems) implementation guidelines and ICC data model.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
APPENDIX B
SAMPLE AWARD
PACKAGE
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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Sample Award Package
TAB 1: SAMPLE REVIEW OF AWARD
Office of Justice Programs
Post Award Instructions for ODP Awards
1. Review Award and Special Conditions Document.
Carefully read the award and any special conditions or other attachments. There is an
original plus one copy of the award page.
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 - ODP Award
810 Seventh Street, NW – 5th Floor
Washington, DC 20531
If you do not agree with the terms and conditions, contact the awarding ODP Program
Manager as noted in the award package.
2. Read Guidelines.
Become familiar with the “OJP Financial Guide” which is available through the internet
at the OJP, Office of the Comptroller website:
http://www.ojp.usdoj.gov/oc/. New award recipients are automatically placed on a
mailing list to receive future Guides and their change sets.
Up to 5 copies of the Guide may be ordered at no cost through:
http://puborder.ncjrs.org
You may also order the Guide by calling 1-800-851-3420. Select #2 for publications,
select #1 to speak with a publications specialist.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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TAB 2: SAMPLE POST AWARD INSTRUCTION
U. S. Department of Justice
Office of Justice Programs
Office of the Comptroller
Post Award Instructions
The OJP is currently responsible for the financial administration of grants awarded by
the ODP.
The following is provided as a guide for the administration of awards from ODP. Forms
and other documents illustrating each step are attached.
Step 1. Review Award and Special Conditions.
If you agree with the terms and conditions stated in the award, sign and date the award
document and the last page of the Special Conditions, and return to OJP. Notify your
ODP Program Manager when Special Conditions have been met (refer to Step 1
attachment);
If you do not agree with the terms and conditions as written, contact your ODP Program
Manager.
Step 2. Read Guidelines.
Read and become familiar with the OJP Financial Guide and related material
(refer to Step 2 attachment).
Step 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.
Step 4. Access to Payment Systems.
OJP uses two payment systems: Phone Activated Paperless System (PAPRS) and
Letter of Credit Electronic Certification System (LOCES) (refer to Step 4 attachment).
Current LOCES users will see the addition of new ODP grants on the LOCES grant
number listing as soon as the ODP award acceptance has been received. PAPRS
grantees will receive a letter with the award package containing their PIN to access the
system and Grant ID information.
Step 5. Reporting Requirements.
Reporting requirements must be met during the life of the grant (refer to the OJP
Financial Guide for a full explanation of these requirements, special conditions and any
applicable exceptions). The payment systems contain edits which 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.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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Step 6. Questions about your ODP award?
A reference sheet is provided containing frequently asked financial questions and
answers. If you have questions concerning this checklist or any financial aspect of your
award, contact the Office of the Comptroller’s Customer Service Center at
1-800-458-0786 or by email at askoc@ojp.usdoj.gov. Customer Service staff are
available from 9:00 a.m. to 6:00 p.m. EST, Monday-Friday.
.
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
APPENDIX C
SAMPLE BUDGET
DETAIL WORKSHEET
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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Sample Budget Detail Worksheet
OMB Approval No. 1121-0188
Expires 5-98 (Rev. 12/97)
Purpose: The Budget Detail Worksheet may be used as a guide to assist you 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
NOT APPLICABLE TO PSG
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
NOT APPLICABLE TO PSG
TOTAL _________
Total Personnel & Fringe Benefits _________
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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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
NOT APPLICABLE TO PSG
TOTAL _________
D. Equipment - List non-expendable items that are to be purchased. Non-expendable
equipment is tangible property having a useful life of more than two years. (Note:
Organization’s own capitalization policy and threshold amount for classification of
equipment may be used). Expendable items should be included either in the “Supplies”
category or in the “Other” category. Applicants should analyze the cost benefits of
purchasing versus leasing equipment, especially high cost items and those subject to
rapid technical advances. Rented or leased equipment costs should be listed in the
“Contractual” category. Explain how the equipment is necessary for the success of the
project. Attach a narrative describing the procurement method to be used.
Item Computation Cost
TOTAL _________
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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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
NOT APPLICABLE TO PSG
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. Consultant
fees in excess of $450 per day require additional justification and prior approval from
ODP.
Name of Consultant Service Provided Computation Cost
Subtotal ________
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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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
Subtotal ________
Contracts: Provide a description of the product or services to be procured by contract
and an estimate of the cost. Applicants are encouraged to promote free and open
competition in awarding contracts. A separate justification must be provided for sole
source contracts in excess of $100,000.
Item Cost
Subtotal _________
TOTAL _________
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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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
NOT APPLICABLE TO PSG
TOTAL _________
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
NOT APPLICABLE TO PSG
TOTAL _________
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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Budget Summary - When you have completed the budget worksheet, transfer the
totals for each category to the spaces below. Compute the total direct costs and the
total project costs. Indicate the amount of Federal funds requested and the amount of
non-Federal funds that will support the project.
Budget Category Amount
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 _________
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
APPENDIX D
CAPTAIN OF THE PORT
ABBREVIATIONS
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
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Captain of the Port Abbreviations
COTP Zone Eligible Port Areas Abbreviation for File
Naming Convention
Baltimore Baltimore Balt
Boston Boston Bost
Charleston Charleston, SC Chas
Corpus Christi Corpus Christi, TX; Victoria, TX Corp
Hampton Roads Newport News, VA; Norfolk Harbor, VA Ham
Honolulu Honolulu, HI Hono
Houston-Galveston Freeport, TX; Houston, TX; Texas City, TX Hous
Huntington Cincinnati, OH; Huntington, WV; Hunt
Jacksonville Jacksonville, FL; Port Canaveral, FL; JAX
Los Angeles/Long Beach Long Beach, CA; Los Angeles, CA; Port Hueneme,
CA
LALB
Long Island Sound Bridgeport, CT; New Haven, CT LIS
Louisville Louisville, KY Louis
Memphis Chattanooga, TN; Greenville, MS; Memphis, TN Mem
Miami Miami, FL; Port Everglades, FL Miami
Milwaukee Milwaukee, WI Milw
Mobile Mobile, AL; Pascagoula, MS; Pensacola, FL Mobile
New Orleans Baton Rouge, LA; New Orleans, LA; Plaquemines,
LA; South Louisiana, LA; Vicksburg, MS
NOLA
New York Albany, NY; New York/New Jersey NYNJ
Paducah Nashville, TN Padu
Philadelphia Camden, NJ; Philadelphia, PA; Wilmington, DE Philly
Pittsburgh Pittsburgh, PA Pitt
Port Arthur Beaumont, TX; Lake Charles, LA; Port Arthur, TX Port Ar
Portland, ME Portland, ME; Portsmouth, NH Portl ME
Portland, OR Portland, OR Portl OR
Prince William Sound Valdez, AK PWS
Providence Providence, RI Prov
Puget Sound Seattle, WA; Tacoma, WA; Vancouver, WA Puget
San Francisco Oakland, CA Richmond, CA; San Francisco, CA SanFran
San Diego Sand Diego, CA San D
Savannah Savannah, GA Sav
St. Louis Kansas City, MO; Minneapolis, MN; St. Louis, MO; St.
Paul, MN; Tulsa, OK;
St. L
Tampa Tampa, FL Tampa
Wilmington Wilmington, NC Wilm
Western Alaska Anchorage W. Alas
Required Naming Convention:
COTP Zone_ Port Area_ Name of Applicant_ Document Type_ Project Number
Examples:
PWS_Valdez_State Ferry System_Program Narrative
PWS_Valdez_State Ferry System_Project Plan_Project1
PWS_Valdez_State Ferry System_Project Budget_Project1
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
APPENDIX E
ACRONYMS AND
ABBREVIATIONS
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
E-1
Acronyms and Abbreviations
A
AAPA American Association of Port Authorities
ACH Automated Clearing House
AIS Automatic Identification System
C
CAPR Categorical Assistance Progress Report
CBP Customs and Border Protection
CBRNE Chemical, Biological, Radiological, Nuclear, and Explosive
CCTV Closed-Circuit Television
CFDA Catalog of Federal Domestic Assistance
CFR Code of Federal Regulations
CMIA Cash Management Improvement Act
COTP Captain of the Port
CSID Centralized Scheduling and Information Desk
D
D&B Dun and Bradstreet
DHS U.S. Department of Homeland Security
DUNS Data Universal Numbering System
E
EA Environmental Assessment
EIS Environmental Impact Statement
F
FAR Federal Acquisition Regulations
FOIA Freedom of Information Act
FRP Field Review Panel
FSR Financial Status Report
G
GAO Government Accountability Office
GAN Grant Adjustment Notice
GMS Grant Management System
I
IAIP Information Analysis and Infrastructure Protection
IED Improvised Explosive Device
IEDDA International Explosive Detection Dog Association
L
LEP Limited English Proficient
LOCES Letter of Credit Electronic Certification System
U.S. DEPARTMENT OF HOMELAND SECURITY | OFFICE FOR DOMESTIC PREPAREDNESS
E-2
M
MARAD Maritime Administration
MTSA Maritime Transportation Security Act of 2002
N
NEPA National Environmental Policy Act
NPCA National Police Canine Association
NRP National Review Panel
O
OC Office of the Comptroller
ODP Office for Domestic Preparedness
OJP Office of Justice Programs
OMB Office of Management and Budget
P
PAPRS Phone Activated Paperless Request System
POC Point of Contact
PSG Port Security Grant
S
SLGCP Office of State and Local Government Coordination and
Preparedness
T
TA Technical Assistance
TSA Transportation Security Administration
TSGP Transit Security Grant Program
TWIC Transportation Worker Identification Credential
U
USCG United States Coast Guard
USPCA United States Police Canine Association
V
VTS Vessel Traffic System