Transcript U.S. Department of Justice Office of Justice Programs

FY 2009 Port Security Grant Program
United States Coast Guard and FEMA
Grant Programs Directorate
Area Maritime Security Committee Briefing
November - December 2008
Agenda
 Overview
 FY 2009 PSGP
 Application Process
 Fiduciary Agent Program
 Additional Guidance
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Overview: FEMA Grant Programs
 Homeland Security Grant Program (HSGP)
-
State Homeland Security Program (SHSP)
Urban Areas Security Initiative (UASI)
Metropolitan Medical Response System (MMRS)
Citizen Corps Program (CCP)
 Critical Infrastructure Security Programs
- Intercity Bus Security Grant Program (IBSGP)
- Port Security Grant Program (PSGP)
- Transit Security Grant Program (TSGP)
• Freight Rail Security Grant Program
• Inter Passenger Rail
- Trucking Security Program (TSP)
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Overview: Port Security Grant Program
 Grant programs strengthen the security of our nation’s infrastructure
through:
- Laws, strategy documents, plans
- Policy directives:
•
•
•
•
National Preparedness Guidelines
National Infrastructure Protection Plan
National Strategy for Transportation Security
National Strategy for Maritime Security
 Coordination is facilitated through:
-
FEMA – Grant Programs Directorate
Transportation Security Administration
United States Coast Guard
Department of Transportation (MARAD)
Industry
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FY 2009 PSGP: Available Funding
Group
Funding
Group I
$210,649,989
Group II
$140,014,000
Group III
$17,592,011
All Other Port Areas
$15,344,000
Ferry Systems
$5,000,000
Total PSGP
$388,600,000
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FY 2009 PSGP: Key Updates
 Cost Sharing Requirement
- Non-Federal share can be met by a cash or an in-kind match (excluding
construction activities for which non-Federal share must be a cash match)
- In-kind match must consist of eligible costs (i.e. purchase price of allowable
contracts, equipment) and occur during the performance period of the award
- Examples of cost sharing requirement:
• Grantee is modifying an existing building into a Maritime Security Operation Center
and installing a back-up generator previously purchased by the grantee. Current
value of the generator may be used as meeting the in-kind match.
• Grantee is utilizing in-house staff for planning and engineering design to develop
the Maritime Security Operation Center noted above. Salary for the time used for
planning and engineering may be used as in-kind match.
• Grantee project includes the purchase of a prevention/response vessel and
equipping the vessel with a side scan sonar that the grantee owns. The side scan
sonar could meet the in-kind match requirement.
- See FEMA 44 CFR §13.24 for further guidance
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FY 2009 PSGP: Key Updates
 Construction
- Construction and renovation projects allowable under FY 2009 PSGP:
•
•
•
•
•
Maritime Domain Awareness Fusion Centers
Maritime Security Operations Centers
Port Security Operations Centers
Port Security Emergency Communications Centers
Any other building or physical facility that enhances access control to the port area
- Costs may not exceed the greater of $1,000,000 per project or such greater
amount as may be approved by the Secretary, which may not exceed 10
percent of the total amount of the grant, as stated in the SAFE Port Act
- Cannot use FY 2009 PSGP funds for construction projects that are eligible for
funding under other Federal grant programs. PSGP funds may only be used
for construction activities directly related to port security enhancements.
- Subject to cash-match cost share requirement
- Must undergo EHP review
- Must comply with Davis-Bacon Act
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FY 2009 PSGP: Key Updates
 Explosive Detection Canine Team Operational Packages (OPacks)
- Available for funding only to eligible Group I, Group II (excluding new Group II
port areas that elect to opt out of Group II) and ferry systems
- One time allowance
- May apply for up to $450,000 ($150,000/year for 3 years)
- At end of grant period (36 months) grantee responsible for maintaining
- May not be used to fund drug detection and apprehension technique training
- Can only be used for new capabilities/programs and cannot be used to pay
for existing capabilities/programs (e.g. canine teams) already supported by
port area or system
Allowable Expenses for OPacks
 Training and certifications (travel costs
associated with training for personnel,
handlers, and canines are allowable)
 Purchase and Train a Canine (training
specific to the detection of common
explosives odors is allowable)
 Salary and fringe benefits
 Canine costs (canine costs include but
are not limited to: veterinary, housing,
and feeding costs)
 Equipment costs
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FY 2009 PSGP: Funding Priorities

Enhancing Maritime Domain Awareness (MDA)
MDA is the critical enabler that allows leaders at all levels to make effective decisions
and act early against threats to the security of the Nation’s seaports. In support of
the National Strategy for Maritime Security, port areas should seek to enhance their
MDA through projects that address knowledge capabilities within the maritime
domain. This could include access control/standardized credentialing, command and
control, communications, and enhanced intelligence sharing and analysis.

Enhancing Improvised Explosive Device (IED) and Weapons of
Mass Destruction (WMD) prevention, protection, response and
recovery capabilities
Port areas should seek to enhance their capabilities to prevent, detect, respond to
and recover from terrorist attacks employing IEDs, WMDs and other nonconventional weapons. Of particular concern in the port environment are attacks that
employ IEDs delivered via small craft (similar to the attack on the USS Cole), by
underwater swimmers (such as underwater mines) or on ferries (both passenger and
vehicle).
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FY 2009 PSGP: Funding Priorities

Training and Exercises
Port areas should first seek to ensure that appropriate capabilities exist among staff
and managers, and then regularly test these capabilities through emergency drills
and exercises. Emergency drills and exercises (such as those in the Transportation
Security Administration (TSA) Port Security Exercise Training Program) test
operational protocols that would be implemented in the event of a terrorist attack.
The efforts include live situational exercises involving various threat and disaster
scenarios, table-top exercises, and methods for implementing lessons learned.

Efforts supporting implementation of the Transportation
Worker Identification Credential (TWIC)
The TWIC is a congressionally mandated security program through which DHS will
conduct appropriate background investigations and issue biometrically enabled and
secure identification cards for individuals requiring unescorted access to U.S. port
facilities. Regulations outlining the initial phase of this program (card issuance) were
issued by TSA in cooperation with the Coast Guard in 72 Federal Register 3492
(January 25, 2007).
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FY 2009 PSGP: Ferry Priorities

Development and enhancement of capabilities to prevent,
detect, respond to and recover from terrorist attacks
employing improvised explosive devices (IEDs) and vehicle
borne improvised explosive devices (VBIEDs)

Mitigation of other high consequence risks identified through
individual ferry system risk assessments

Use of canine teams at the embarkation and exit points of a
system, as well as during passage

Innovative utilization of mobile technology for prevention and
detection of explosives or other threats and hazards
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FY 2009 PSGP: Ferry Priorities

Development and enhancement of physical and perimeter
security capabilities to deny access around maintenance
facilities, dry docks, and piers

Development of emergency preparedness and response
capabilities in the event of a ferry being used as a weapon to
inflict damage on critical infrastructure

Development and enhancement of training and awareness
among ferry operators and employees

Public awareness training
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FY 2009 PSGP: Eligibility
 SAFE Port Act states all entities covered by an AMSP may submit an
application for consideration of funding
 Congress specifically directed DHS to apply these funds to the
highest risk ports
- In support of this, a total of 147 critical port areas representing
approximately 95 percent of the foreign waterborne commerce of the
United States, have been identified
- These ports are aggregated into 91 discreet port funding areas
Critical Ports
Port Areas
Pools of Funds
147
91
5
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FY 2009 PSGP: Eligibility
 Entities encouraged to apply:
- Owners or operators of federally regulated terminals, facilities, U.S.
inspected passenger vessels or ferries as defined in the Maritime
Transportation Security Act (MTSA) and Title 33 of the Code of Federal
Regulations (CFR) Parts 101, 104, 105, and 106
- Port authorities or other State and local agencies that are required to provide
security services to eligible Ferry System applicants (MTSA regulated
facilities) pursuant to an AMSP or a Facility or Vessel Security Plan
- Consortia composed of local river organizations, ports and terminal
associations, and other local stakeholder groups representing federally
regulated ports, terminals, U.S. inspected passenger vessels or ferries that
are required to provide security services to federally regulated facilities in
accordance with an AMSP or a Facility or Vessel Security Plan
- Group I and II Fiduciary Agents (including newly identified Group II port
areas who choose to begin the FA process)
- Ferry Systems identified in Table 3 of guidance
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FY 2009 PSGP: Eligibility
 All PSGP applicants must be fully compliant with relevant Maritime
Security Regulations (33 CFR Parts 101-106)
 Any open or outstanding Notice of Violation (NOV), as of the grant
application submission deadline date, which has been issued to an
applicant, and the applicant has (1) failed to pay within 45 days of
receipt; (2) failed to decline the NOV within 45 days of receipt (in
which case a finding of default will be entered by the Coast Guard in
accordance with 33 CFR § 1.07-11(f)(2)); or (3) the applicant has
appealed the NOV as provided for in 33 CFR § 1.07-70 and is in
receipt of a final appeal decision from Commandant, U.S. Coast
Guard, as described in 33 CFR § 1.07-75, and has failed to come into
compliance with the final adjudication within the timelines noted
therein, will not be allowed to make application for PSGP
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FY 2009 PSGP: Eligibility
 Each Group I and Group II port area has been designated specific
amount of money based on FY 2009 risk analysis
- Existing Group I and II Port Areas
• Option of continuing with current FA or selecting new FA
• If changing FA, designated COTP must certify in writing to the FEMA Program
Office via USCG Headquarters (CG-5142) as to new selection
• Certifications must be submitted 30 days prior to the application due date (if no
certification of change is submitted, FY 08 FA will remain)
- New Group II Port Areas
• Option of selecting an FA and beginning FA process, or opting out of FA process
• If opting out of FA process, individual eligible entities apply directly to FEMA and
applicants comply with all requirements of Group III and All Other Port Areas
• Must certify in writing to FEMA Program Office via USCG Headquarters (CG5142) which option respective port area will pursue
• Certifications must be submitted NLT 30 days (12/14/08) prior to the application
due date (01/13/09)
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FY 2009 PSGP: Eligibility
 Group III and All Other Port Areas
- Ports not identified in Group I or II eligible to apply as a Group III or “All
Other Port Areas” applicant
- Compete for the funding identified in their corresponding Group
 Ferry Systems
- Under a fifth group, eligible ferry systems may also apply for funding
- If the ferry system elects to participate and receive funds under the FY
2009 Transportation Security Grant Program the same ferry system
cannot participate in the FY 2009 PSGP
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Clarification on Ferry Systems
 All Ferry Systems meeting the eligibility criteria outlined on page 10
of the FY 2009 Guidance are encouraged to apply
- Ferry Systems identified on Page 15, Table 3 will compete for the
$5,000,000 allocated to this group
- All other Ferry System Applicants will apply as a Group III or All Other
Port Area and compete among all applicants within the respective group
for funding
 For Fiscal Year 2009, ALL Ferry System Applicants will apply directly
through grants.gov (including Ferry Systems listed in Table 3)
 Ferry Systems that fall within a Group I or Group II Port Area and
upon approval of their Port-Wide Risk Management/Mitigation Plan,
future year applications will be submitted through the FA Process
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FY 2009 PSGP Timeline
Application
Period Opens
FA Decision
Due Date
Application
Due Date
Announcement
of Awards
November 5, 2008
December 15, 2008
January 13, 2009*
Late Spring 2009
*Completed applications must be received on Grants.gov by
11:59pm EDT, Tuesday, January 13th 2009
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Application Requirements

Eligible entities must apply for funding through www.grants.gov

To access application:
-

Select “Apply for Grants,” then “Download Application Package”
Enter CFDA number (97.056) and/or the Funding Opportunity Number
(DHS-09-GPD-056-1959)
Select “Download Application Package,” and follow prompts to download
application package
Complete on-line application required forms and submissions
-
-
All Applicants:
•
•
•
Standard Forms 424, 424A and 424B
Standard Forms 424C and 424D (if applicable – for construction)
Standard Form LLL
Group III, All Other and Ferry Applicants only:
•
•
•
Investment Justification
Detailed Budget
Memorandum of Understanding/Memorandum of Agreement (if applicable)
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Application Requirements

DUNS® Number:
-

Applicant must provide a Dun and Bradstreet Data Universal Numbering
System (DUNS) number with their application. This number is a required
field within grants.gov and for CCR Registration
Organizations should verify that they have a DUNS number, or take the
steps necessary to obtain one, as soon as possible
Applicants can receive a DUNS number at no cost by calling the dedicated
toll-free DUNS Number request line at (866) 705-5711.
Valid Central Contractor Registry (CCR) Registration:
-
The application process also involves an updated and current registration
by the applicant
Eligible applicants must confirm CCR registration at http://www.ccr.gov, as
well as apply for funding through grants.gov.
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Fiduciary Agent Program and Port-Wide Risk
Management Planning Process
 Implementing the NIPP Risk Management Strategy is a fundamental
shift of DHS’ PSGP:
Old Focus
New Focus
Primarily a
facility security
focused grant
program
Port-Wide Risk
Management
program that
compliments
urban area and
state efforts
 This strategy will focus the security needs of port stakeholders and
will provide ports with investment justifications for Federal dollars
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Fiduciary Agent Program
 What is the Fiduciary Agent (FA)?
- An entity, not an individual
- Point of contact with FEMA for application/management/administration of
award
- Not the sole decision maker
 The FA may retain up to 3% of total award to be used solely for
Management and Administration (M&A) purposes associated with the
PSGP award. Approved M&A costs include:
- Hiring of full-time or part-time staff, contractors or consultants and M&A
expenses related to pre-application submission management activities
and application requirements or meeting compliance with grant reporting
or data collection requirements, including data calls
- Development of operating plans for information collections and
processing necessary to respond to DHS data calls
- Travel expenses
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Fiduciary Agent Program
 What does the FA do?
-
Applies for award via Grants.gov
Accepts award
Registers in PARS
Submits deliverables to Portal (CONOPS, Draft Plan, Final Plan, IJs)
Maintains an official grant folder to keep all grant related documents
Stays up-to-date on all reporting requirements including: *
• Financial Status Reports (SF269s) - due quarterly
• Categorical Assistance Progress Reports (CAPRs) - due biannually
- Sends official requests for Grant Adjustment Notices (GANs) to Program
Manager*
- Ensures all sub-recipients are compliant with the following:
• Organizational audit requirements of OMB Circular A-133
• Audits of States, Local Governments, and Non-Profit Organizations
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Port-Wide Risk Management Planning Process
 Port-Wide Risk Management Planning Process
- Group I and Group II port areas identified in FY 2007 Supplemental
PSGP or FY 2008 PSGP that remain in Group I or Group II for FY 2009
are required to continue with the Fiduciary Agent (FA) process. Those
port areas which, as a result of the FY 2009 PSGP risk methodology are
new to Group II have the option of selecting an FA and beginning the FA
process, or opting out of the FA process.
- Plan development is to be accomplished through the active engagement
of ALL port partners and AMSC representatives, along with key federal,
state, local, and nongovernmental entities
- The plan should lay out a strategy and series of concrete actions which
must be undertaken to address the prevention of, protection against,
response to, and recovery from major security incidents (to include all
hazard compatibility) within the port area in order to minimize the impact
upon lives, property, and the economy (local, regional, national)
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Port-Wide Risk Management Planning Process
Timetable for Developing and Implementing
Group I and Group II Port-Wide Plans
Deliverable
Concept of Operations
Due Date*
30 calendar days after
award date
Federal Comments
Provided within 14
calendar days
Draft Plan
180 calendar days after
CONOPS approval
Provided within 21
calendar days
Final Plan
90 calendar days after
review and comments are
received on the Draft Plan
30 calendar days after
approval of Final Plan
Provided within 21
calendar days
90 calendar days after
approval of previous set of
Investment Justifications
Provided within 21
calendar days
Investment Justifications**
(for remaining funds from first
round in the FA process)
Investment Justifications
(for funds from subsequent
rounds)
Provided within 21
calendar days
* Extensions may be considered on a case-by-case basis
** Any projects eligible for grant funding must be certified by the COTP as having a port wide benefit
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Port-Wide Risk Management Planning Process
 Concept of Operations (CONOPS)
- 2 pages in length
- 2 part focus
• 1. Risk Management/Mitigation
• 2. Business Operations/Resumption of Trade
- Primary elements:
•
•
•
•
Roles and responsibilities of key subcommittee members
Relationship of FA and AMSC
How plan will be developed (in house/contract support)
Timeline for developing and implementing plan
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Port-Wide Risk Management Planning Process
 The Plan
- Complements Area Maritime Security Plans, not meant to replace them
- Provides a 5-year investment strategy and establishes a forward-looking
risk management approach for non-federal segments of the port
community
- Identifies port wide gaps in security, authorities, capabilities, capacities,
competences and partnerships across the security continuum of
awareness, prevention, protection, response and recovery
- Port specific risk based upon MSRAM results and Area Maritime Security
preparedness activities
- Links to other Federal plans (National Strategy for Maritime Security,
National Infrastructure Protection Plan, Maritime Incident Response
Plan)
- Should be marked Sensitive Security Information
- Not an extensive document
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Port-Wide Risk Management Planning Process
 Investment Justifications (IJs)
- i.e. Projects (based on Final Plan)
- Not required from the FA until Final Plan has been approved
- Non-federal cost share requirement is 25% percent of the total project
cost. Because the FA represents and serves on behalf of the AMSC, a
public sector entity, the public cost share requirement (25%) is
applicable.
- Any project submitted via the Fiduciary Agent costing less than
$25,000.00 must reflect the 25% cost share requirement.
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Additional Guidance
 M&A
- Costs associated with managing the award i.e. Personnel, Office Supplies,
Travel, Conferences, Meetings
- Examples: Submitting progress and financial reports, coordinating with
FEMA/PSGP Program Analyst, travel to PSGP related events (such FA
Symposium)
 Repair and Replacement
-
Consistent with Information Bulletin No. 293
Must be used to support PSGP priorities
Must have approval from Program Analyst prior to work/purchase
Examples: Batteries, sensors, fencing, access control systems
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Additional Guidance
 Security Operational and Maintenance Costs
- Operational costs include costs for personnel (i.e. over time and back-fill for
personnel participating in training and exercises).
- Maintenance costs include maintenance agreements purchased for
equipment funded by PSGP. PSGP funded maintenance contracts are only
allowable for the period of performance of the award
- Examples: Acquisition, Operation, and Maintenance of Monitoring and
Recording, Security Gates and Fencing, Marine Barriers, Security Vessels
 Unallowable Costs
- See page 46 of the PSGP Guidance and Application Kit
- No costs incurred before or after the period of performance will be funded by
PSGP funds
- Matching requirements are subject to the same restrictions as the Federal
share of the projects
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Program Office Contact Information
Name
Role
Email Address
Alex Mrazik
Section Chief
[email protected]
Kathleen Baker
Program Analyst
Regions 9 and 10
[email protected]
Alex Berberian
Program Analyst
Regions 3, 5, 6, 7
[email protected]
Duane Davis
Program Analyst
Region 6
[email protected]
Jackie Jackson
Program Analyst
Region 4
[email protected]
Venita Lane
Program Analyst
Regions 1 and 2
[email protected]
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PSGP Program Analyst State Assignments
(Effective August 2008)
Kathleen Steinle
[email protected]
Venita Lane
[email protected]
Duane Davis
[email protected]
Jackie Jackson
[email protected]
Alex Berberian
[email protected]
AK
16
WA
26
MT
N/A
X
OR
10
VIII
ID
N/A
WY
N/A
MN
13
IX
UT
N/A
CO
N/A
CA
46
WI
10
SD
N/A
NE
N/A
NV
N/A
IA
N/A
TX
90
IL
7
IN
8
PA
31
III
WV
WV
4
MO
7
KY
12
AR
2
VI
AL
11
CT
13
RI
10
NJ
11
MD
8
NC
14
IV
MS
12
NY
20
NH
5
MA
19
I
DE
9
VA
12
TN
10
OK
4
NM
N/A
II
OH
8
ME
15
VT
MI
10
V
VII
KS
N/A
AZ
N/A
HI
8
I
ND
N/A
NY/NJ
47
CT/NY
9
IL/IN
1
SC
12
GA
13
LA
66
FL
39
DC:
Puerto Rico: 7
Guam: 2
Northern Mariana Islands: 2
American Samoa:
Tier I Port Area
Virgin Island: 5
33
33
Questions?