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Rail and Transit Security Grant Program

TSGP/IPR
Number: 97.075
Agency: Department of Homeland Security

Program Information 

Program Number/Title (010):
97.075 Rail and Transit Security Grant Program
Federal Agency (030):
Department of Homeland Security
Authorization (040):
Implementing Recommendations of the 9/11 Commission Act of 2007, Section 1406, Public Law 110-53.
Objectives (050):
The FY 2015 TSGP and IPR Program play an important role in the implementation of Presidential Policy Directive 8 (PPD-8) by supporting the development and sustainment of core capabilities. Core capabilities are essential for the execution of each of the five mission areas outlined in the National Preparedness Goal (NPG). The development and sustainment of these core capabilities are not exclusive to any single level of government or organization, but rather require the combined effort of the whole community. The FY 2015 TSGP and IPR Program support all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs. Examples of tangible outcomes from the TSGP and IPR Program include building and sustaining emergency management capabilities through operational activities, operational packages (OPacks), Top Transit Asset List (TTAL) remediation; protection of high risk/high consequence underwater and underground rail assets; planning; use of visible, unpredictable deterrence; emergency preparedness drills and exercises; public awareness and preparedness campaigns; and protection of other high risk, high consequences areas or systems that have been identified through system wide risk assessments.
Types of Assistance (060):
PROJECT GRANTS
Uses and Use Restrictions (070):
The TSGP and IPR Program are two of the Department of Homeland Security’s FY 2015 grant programs which directly support transportation infrastructure security activities. These grant programs are part of a comprehensive set of measures authorized by Congress and implemented by the Department of Homeland Security to strengthen the Nation’s critical infrastructure against risks associated with potential terrorist attacks. TSGP provides funds to the Nation’s High-Threat Urban Areas for enhancement of security measures at critical transit infrastructure including bus, ferry, and rail systems. The intent of the FY 2015 TSGP is to competitively award grant funding to assist transit systems in obtaining the resources required to support the NPG’s associated mission areas and core capabilities. IPR Program provides funds to Amtrak to develop security enhancements for eligible intercity passenger rail operations. The intent of the FY 2015 IPR is to grant funding to assist the Amtrak rail system in obtaining the resources required to support the NPG’s associated mission areas and core capabilities. DHS grant funds may only be used for the purpose set forth in the grant, and must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other Federal grants/cooperative agreements, lobbying, or intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal funds may not be used to sue the Federal government or any other government entity. Pre-award costs are allowable only with the written consent of DHS and if they are included in the award agreement. Federal employees are prohibited from serving in any capacity (paid or unpaid) on any proposal submitted under this program. Federal employees may not receive funds under this award. In accordance with Homeland Security Presidential Directive (HSPD)-5, Management of Domestic Incidents, the adoption of NIMS is a requirement to receive Federal preparedness assistance, through grants, contracts, and other activities. Federal NIMS implementation must be considered prior to allocation of any Federal preparedness awards in FY 2015. The list of objectives against which progress and achievement are assessed and reported can be found at http://www.fema.gov/emergency/nims/ImplementationGuidanceStakeholders.shtm#item2. The primary grantee/administrator of FY 2015 TSGP award funds is responsible for determining if sub-awardees have demonstrated sufficient progress in NIMS implementation to disburse awards. Yes, in TSGP. Refer to the FY 2015 TSGP Notice of Funding Opportunity (NOFO) for more information.
Eligibility Requirements (080)
Applicant Eligibility (081):
Agencies eligible for FY 2015 TSGP are determined based upon daily unlinked passenger trips (ridership) and transit systems that serve historically eligible Urban Area Security Initiative (UASI) jurisdictions. Certain ferry systems are eligible to participate in the FY 2015 TSGP and receive funds. However, any ferry system electing to participate and receive funds under the FY 2015 TSGP will not be eligible to participate under the FY 2015 Port Security Grant Program (PSGP) and will not be considered for funding under the FY 2015 PSGP. Likewise, any ferry system that participates in the PSGP will not be eligible for funding under the TSGP. The 9/11 Act requires that high risk public transportation agencies, including those that receive grant funding, must develop a security plan based on a security assessment. Additionally, the legislation directs that grant funds be used to address items in the security assessment or the security plan. In order to be eligible for the FY 2015 TSGP, transit agencies must have developed and/or updated their security plan, which must be based on a security assessment such as the Baseline Assessment and Security Enhancement (BASE) performed by Transportation Security Inspectors-Surface from the Transportation Security Administration (TSA), within the last three years. A copy of the Security Plan and security assessment must be available for DHS review upon request. Entities providing transit security (e.g., city/county police department, transit agency’s own police department) for a transit agency must approve the security plan. The signature of a responsible official from the agency’s transit security provider serves as this approval. If there is more than one provider in the core service area, all transit security providers must review and concur with the plan. Associated documentation of this approval must be provided to DHS upon request. In addition, the agency’s transit security provider is encouraged to review the Investment Justifications (IJ) prior to submission. Each Regional Transit Security Working Group (RTSWG) is required to develop and update at least every three years a Regional Transit Security Strategy (RTSS). As the owners and/or operators of infrastructure that is vital to the well being of the States and Urban Areas they serve, it is imperative that transit systems be incorporated into regional preparedness planning efforts. A copy of the Security Plan or security assessment must be available for DHS review upon request. The National Passenger Railroad Corporation (Amtrak) is the only entity eligible to apply for funding under FY 2015 IPR Program. For more information, refer to the FY 2015 TSGP and IPR Program Notice of Funding Opportunity (NOFO) National Incident Management System (NIMS) Implementation. In accordance with Homeland Security Presidential Directive (HSPD)-5, Management of Domestic Incidents, the adoption of NIMS is a requirement to receive Federal preparedness assistance, through grants, contracts, and other activities. Prior to allocation of any Federal preparedness awards in FY 2015, grantee must ensure compliance and/or alignment with the NIMS implementation plan. The list of objectives against which progress and achievement are assessed and reported can be found at http://www.fema.gov/emergency/nims/ImplementationGuidanceStakeholders.shtm#item2. The primary grantee/administrator of FY 2015 TSGP and IPR Program award funds is responsible for determining if sub-awardees have demonstrated sufficient progress in NIMS implementation to disburse awards.
Beneficiary Eligibility (082):
Specialized group; general public.
Credentials/Documentation (083):
In order to be eligible for the FY 2015 TSGP, transit agencies must have developed and/or updated their security plan, which must be based on a security assessment such as the Baseline Assessment and Security Enhancement (BASE) performed by Transportation Security Inspectors-Surface from the Transportation Security Administration (TSA), within the last three years. A copy of the Security Plan and security assessment must be available for DHS review upon request. 2 CFR 200, Subpart E - Cost Principles applies to this program.
Application and Award Process (090)
Preapplication Coordination (091):
Yes for TSGP. Environmental impact information is not required for this program. This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review.
Application Procedures (092):
2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards applies to this program.
Award Procedure (093):
All successful applicants for all DHS grant and cooperative agreements are required to comply with DHS Standard Administrative Terms and Conditions available on page 6 of http://www.dhs.gov/xlibrary/assets/cfo-financial-management-policy-manual.pdf.

Upon approval of an application, the award will be made in the form of a grant. The date the approval of award is entered in the system is the “award date.” Notification of award approval is made through the ND Grants system through an automatic e-mail to the grantee point of contact listed in the initial application. Once an award has been approved and recorded in the system, a notice is sent to the authorized grant official. Follow the directions in the notification to accept your award documents. The authorized grant official should carefully read the award package for instructions on administering the grant and to learn more about the terms and conditions associated with responsibilities under Federal awards.
Deadlines (094):
Apr 02, 2015 to May 19, 2015 Application Start Date: 04/02/2015
Application Submission Deadline Date: 05/19/2015 at 11:59:59 PM EDT
Anticipated Funding Selection Date: 07/23/2015
Award Date: 09/30/2015.
Range of Approval/Disapproval Time (095):
Applying for FY 2015 TSGP and IPR Program funds require a two-step process. Step 1: initial submission to determine eligibility and Step 2: full application. Applicants are encouraged to initiate Step 1 immediately after the Notice of Funding Opportunity (NOFO) is published but no later than April 2, 2015. This involves submitting a complete Standard Form 424 to grants.gov Successful completion of this step is necessary for FEMA to determine eligibility of the applicant. Late submissions of Step 1 to grants.gov could result in applicants missing the application deadline in Step 2. Once FEMA has determined an applicant to be eligible, applicants can proceed to Step 2 which involves submitting the full application package via the Non Disaster (ND) Grants system. The submission deadline for the full application package May 19, 2015.
Appeals (096):
Not Applicable.
Renewals (097):
Not Applicable.
Assistance Consideration (100)
Formula and Matching Requirements (101):
Statutory formulas are not applicable to this program.
Matching requirements are not applicable to this program.
This program does not have MOE requirements.
Length and Time Phasing of Assistance (102):
The period of performance for TSGP is 36 months. The period of performance for the IPR Program is 36 months. Refer to FY 2015 TSGP or IPR Program Notice of Funding Opportunity (NOFO) for more information. Awards are subject to the Cash Management Improvement Act for payment and/or reimbursement of expenditures.

Projected Award Start Date(s): 09/01/2015
Projected Award End Date(s): 08/31/2018
Period of Performance: 36 months

The periods of performance outlined above support the effort to expedite the outlay of grant funding and provide economic stimulus. The grantee should request waivers sparingly, and they will be granted only due to compelling legal, policy, or operational challenges. For example, the grantee may request waivers from the deadlines outlined above for discretionary grant funds where adjusting the timeline for spending will constitute a verifiable legal breach of contract by the grantee with vendors or sub-recipients, or where a specific statute or regulation mandates an environmental review that cannot be completed within this timeframe or where other exceptional circumstances warrant a discrete waiver. See the following for information on how assistance is awarded/released: Grantees must accept their grant awards no later than 90 days from the award date. The grantee shall notify the awarding agency of its intent to accept and proceed with work under the award, or provide a written notice of intent to decline. Funds will remain on hold until the grantee accepts the award through official correspondence, e.g., written, electronic signature, signed letter or fax to GPD, and all other conditions of award have been satisfied, or the award is otherwise rescinded. Failure to accept the grant award within the 90 day timeframe may result in a loss of funds.
Post Assistance Requirements (110)
Reports (111):
Performance Progress Report (SF-PPR). Awardees are responsible for providing updated performance reports using the SF-PPR (OMB Approval Number 0970-0334) on a semi-annual basis. The SF-PPR is due within 30 days after the end of the reporting period (July 30 for the reporting period of January 1 through June 30; and January 30 for the reporting period of July 1 through December 31). Grantees should submit the SF-PPR as an attachment to the Non Disaster (ND) Grants system. The SF-PPR can be accessed online at http://www.na.fs.fed.us/fap/SF-PPR_Cover%20Sheet.pdf.

Exercise Evaluation and Improvement. Exercises implemented with grant funds should evaluate performance of the capabilities required to respond to the exercise scenario. Guidance related to exercise evaluation and the implementation of improvements is defined in the Homeland Security Exercise and Evaluation Program located at https://hseep.dhs.gov.

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

Monitoring may be accomplished through either a desk-based review or on-site monitoring visits, or both. Monitoring will involve the review and analysis of the financial, programmatic, performance, compliance and administrative processes, policies, activities, and other attributes of each Federal assistance award and will identify areas where technical assistance, corrective actions and other support may be needed. Federal Financial Report (FFR) – required quarterly. Obligations and expenditures must be reported on a quarterly basis through the FFR (SF-425). A report must be submitted for every quarter of the period of performance, including partial calendar quarters, as well as for periods where no grant activity occurs. Future awards and fund draw downs may be withheld if these reports are delinquent. The final FFR is due 90 days after the end date of the performance period. FFRs must be filed electronically through PARS.

Grant Close-Out Process. Within 90 days after the end of the period of performance, or after a Grant Adjustment Notice (GAN) has been issued to close out a grant, whichever comes first, grantees must submit a final FFR and final progress report detailing all accomplishments throughout the period of performance. After these reports have been reviewed and approved by FEMA, a close-out notice will be completed to close out the grant. The notice will indicate the period of performance as closed, list any remaining funds that will be deobligated, and address the requirement of maintaining the grant records for three years from the date of the final FFR. The grantee is responsible for returning any funds that have been drawn down but remain as unliquidated on grantee financial records. TSGP and IPR Program awardees are responsible for providing updated performance reports using the SF-PPR (OMB Approval Number 0970-0334) on a semi-annual basis. The SF-PPR is due within 30 days after the end of the reporting period (July 30 for the reporting period of January 1 through June 30; and January 30 for the reporting period of July 1 through December 31). The SF-PPR can be accessed online at http://www.na.fs.fed.us/fap/SF-PPR_Cover%20Sheet.pdf. Federal Financial Report (FFR) – required quarterly. Obligations and expenditures must be reported on a quarterly basis through the FFR (SF-425). A report must be submitted for every quarter of the period of performance, including partial calendar quarters, as well as for periods where no grant activity occurs. Future awards and fund draw downs may be withheld if these reports are delinquent. The final FFR is due 90 days after the end date of the performance period. FFRs must be filed electronically through PARS.

Grant Close-Out Process. Within 90 days after the end of the period of performance, or after a Grant Adjustment Notice (GAN) has been issued to close out a grant, whichever comes first, grantees must submit a final FFR and final progress report detailing all accomplishments throughout the period of performance. After these reports have been reviewed and approved by FEMA, a close-out notice will be completed to close out the grant. The notice will indicate the period of performance as closed, list any remaining funds that will be deobligated, and address the requirement of maintaining the grant records for three years from the date of the final FFR. The grantee is responsible for returning any funds that have been drawn down but remain as unliquidated on grantee financial records. Grant recipients will be monitored periodically by FEMA staff, both programmatically and financially, to ensure that the project goals, objectives, performance requirements, timelines, milestone completion, budgets, and other related program criteria are being met. Monitoring may be accomplished through either a desk-based review or on-site monitoring visits, or both. Monitoring will involve the review and analysis of the financial, programmatic, performance, compliance and administrative processes, policies, activities, and other attributes of each Federal assistance award and will identify areas where technical assistance, corrective actions and other support may be needed.
Audits (112):
In accordance with the provisions of 2 CFR 200, Subpart F - Audit Requirements, non-Federal entities that expend financial assistance of $750,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Non-Federal entities that expend less than $750,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in 2 CFR 200.503.
Records (113):
Grant records shall be retained for a period of 3 years from the day the recipient submits its final expenditure report. If any litigation, claim, negotiation, audit, or other action involving the records has been started before the expiration of the 3-year period, the records must be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular 3-year period, whichever is later. Grant records include financial and program/progress reports, support documents, statistical records, and other documents that support the activity and/or expenditure of the recipient or sub-recipient under the award.
Financial Information (120)
Obligations (122):
(Project Grants) FY 14 $100,000,000; FY 15 est $97,000,000; and FY 16 est $97,000,000 - 2014 Actual Obligation Amount
$ 90,000,000 (TSGP); $10,000,000 (IPR)

2015 Estimate Obligation Amount:
$87,000,000 (TSGP); $10,000,000 (IPR)

2016 Estimate Obligation Amount:
$87,000,000 (TSGP); $10,000,000 (IPR).
Range and Average of Financial Assistance (123):
For more information, refer to the FY 2015 TSGP and IPR Program Notice of Funding Opportunity (NOFO).
Program Accomplishments (130):
Fiscal Year 2014: The FY 2014 TSGP and IPR Program supported all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs. Examples of tangible outcomes from the TSGP and IPR Program include building and sustaining emergency management capabilities through operational activities, operational packages (OPacks), Top Transit Asset List (TTAL) remediation; protection of high risk/high consequence underwater and underground rail assets; planning; use of visible, unpredictable deterrence; emergency preparedness drills and exercises; public awareness and preparedness campaigns; and protection of other high risk, high consequences areas or systems that have been identified through system wide risk assessments. Fiscal Year 2015: The FY 2015 TSGP and IPR Program supports all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs. Examples of tangible outcomes from the TSGP and IPR Program include building and sustaining emergency management capabilities through operational activities, operational packages (OPacks), Top Transit Asset List (TTAL) remediation; protection of high risk/high consequence underwater and underground rail assets; planning; use of visible, unpredictable deterrence; emergency preparedness drills and exercises; public awareness and preparedness campaigns; and protection of other high risk, high consequences areas or systems that have been identified through system wide risk assessments. Fiscal Year 2016: There are currently no proposed changes to program or outcome.
Regulations, Guidelines, and Literature (140):
The FY 2015 Transit Security Grant Program (TSGP) Notice of Funding Opportunity Announcement (NOFO) and FY 2015 Intercity Passenger Rail Program (IPR) Notice of Funding Opportunity (NOFO).

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

Upon approval of an application, the award will be made in the form of a grant. The date the approval of award is entered in the system is the “award date.” Notification of award approval is made through the ND Grants system through an automatic e-mail to the grantee point of contact listed in the initial application. Once an award has been approved and recorded in the system, a notice is sent to the authorized grant official. Follow the directions in the notification to accept your award documents. The authorized grant official should carefully read the award package for instructions on administering the grant and to learn more about the terms and conditions associated with responsibilities under Federal awards.
Information Contacts (150)
Regional or Local Office (151) :
None.
Headquarters Office (152):
Grant Programs Directorate DHS/FEMA
5071 D Techworld Building
500 C Street SW
, Washington, District of Columbia 20472-3615 Phone: (1-800) 368-6498
Website Address (153):
http://www.fema.gov/government/grant/index.shtm
Examples of Funded Projects (170):
Not Applicable.
Criteria for Selecting Proposals (180):
TSGP grantees must comply with all administrative requirements described herein ― including the submission of IJs, budgets, and other application materials as required. Having met all administrative requirements, the application will be scored based on a methodology that will ensure consistent and accurate evaluations of projects and proposals.
The following process will be used to make awards for the program:
• DHS will verify compliance with each of the administrative and eligibility criteria identified in the application kit.
• The Department will calculate a total score to aid with funding selections. The total score will consist of four individual parts: an agency-based risk score, a score associated with an application’s alignment to the funding priority areas, a score based on project risk mitigation, and the degree of regional collaboration.
• Eligible applications will be reviewed by a panel to determine the risk mitigation and regional collaboration scores. This panel will consist of Federal officials from multiple government agencies that will review each application and score it based on the following criteria: cost effectiveness, feasibility, timelines, and sustainability without additional Federal funds.
• FEMA and TSA will make recommendations for funding to the Secretary of Homeland Security based on the funding priorities and scoring methodology.

For IPR Program, based on previously cited statutory authorities, DHS has elected to enter into a cooperative agreement with Amtrak. The nature of the Federal involvement in the execution of this program may include joint participation in a project. Other examples of prospective substantial Federal involvement include the following:

• Collaboration, participation, and/or intervention in any activity covered by the cooperative agreement
• Approval from DHS prior to the selection of a new project or commencement of the next phase of an approved project
• Authority for DHS to halt an activity if detailed performance specifications are not met
• Authority for DHS to direct or redirect the scope of work of a project based on new circumstances
• Authority for DHS to create a working group of key Federal and private sector stakeholders to provide guidance and coordination for transit security activities

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