Fiscal Year 2009 Transit Security Grant Program Workshop November 2008

2. 2 TSGP Workshop Agenda 10:00 am - Welcome: Opening Remarks and Summary of FY08 TSGP 10:15 am - Overview of FY09 TSGP Changes 10:45 am - FY09 TSGP Funding Priorities 11:15 am - Scoring Methodology and Scoring Examples 12:00 pm - Lunch on your own 1:30 pm - Investment Justification Working Session 2:30 pm - Break 2:45 pm - Application Guidance 3:30 pm - Q & A / Closing Remarks

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4. 4 FY 2008 Funding Priorities Focused on risk-based funding and regional security cooperation, as outlined in the Transit Security Fundamentals These priorities reflected: Ongoing intelligence analysis Extensive security reviews Consultations with the transit industry Congressional direction Continuation of Operational Packages (OPacks) in the FY 2008 result of stakeholder feedback and reflects emphasis on visible, unpredictable deterrence

6. 6 Key Changes were Implemented in FY 2009 Driven by Congressional mandates: 9/11 Act Appropriations Bill Refinements and enhancements based on lessons learned and stakeholder feedback

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10. 10 FY09 TSGP Tier I Timeline

11. 11 FY09 TSGP Tier II Timeline

12. 12 TSGP Target Allocations

14. 14 Risk Informs all FY 2009 Funding Decisions Funding priorities made clear in 5 project priority groupings Value and emphasis placed on: Prevention and Protection activities, including visible, unpredictable deterrence High-impact projects where the risk is greatest, including underwater tunnel hardening Cost-effective projects that can be implemented quickly, including training, drills/exercises, and public awareness campaigns Collaboration and Communication leads to more effective projects Work together to maximize resources and develop innovative solutions

15. 15 DHS Security Priorities Focus Funding on Effective Projects with Immediate Impact A project’s effectiveness was determined based on its ability to: Elevate security on a system-wide level Elevate security of critical infrastructure assets Reduce the risk of catastrophic events and consequences There are five eligible project groupings based on risk-reduction effectiveness. Projects not listed in the guidance may be eligible for funding if they fall into one of the project effectiveness group descriptions. Project types that are not in Project Effectiveness Priority Groups 1-5 will not be considered for funding under the FY 2009 TSGP.

16. 16 Project Groupings are Prioritized by Effectiveness in Reducing Risk

17. 17 Project Group One: Training, Operational Deterrence, Drills, and Public Awareness Developing security plans Training Security Awareness DHS-Approved Behavior Recognition Detection Courses Counter-Surveillance Immediate Actions for Security Treats/Incidents Operational deterrence Canine Teams Mobile Explosives Screening Teams Visual Intermodal Prevention and Response (VIPR) Teams Crowd Assessment Public Awareness

18. 18 Project Group Two: Multi-User High-Density Key Infrastructure Protection Anti-terrorism security enhancement measures for hardening Tunnels, High-Density Elevated Operations, and Multi-User High-Density Stations, such as: Intrusion detection Visual surveillance with live monitoring Alarms tied to a visual surveillance system Recognition software Tunnel ventilation and drainage system protection Flood gates and plugs Portal lighting Hardening of Supervisory Control and Data Acquisition (SCADA) systems Similar hardening actions

19. 19 Project Group Three: Single-User High-Density Key Infrastructure Protection Anti-terrorism security enhancement measures for: High-Density stations High-Density Bridges

20. 20 Project Group Four: Key Operating Asset Protection Physical Hardening/Security of Control Centers: Bollards Stand off Access control Secure Stored/Parked Trains, Engines, and Buses Bus/Rail Yards Maintenance Facilities

21. 21 Project Group Five: Other Mitigation Activities Interoperable Communications Evacuation Plans Anti-terrorism Security Enhancement Measures for Low-Density Stations

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23. 23 Scoring Methodology Total Project Score = (Risk Group Score X Project Effectiveness Group Score) + Risk Mitigation Score + Regional Collaboration Component + Match Component Risk scores range from 6-1 and are a function of the agency’s risk and regional risk Effectiveness scores range from 5-1 and reflect the five project groups discussed in the last session Risk Mitigation is evaluated based on: Cost effectiveness Feasibility Timelines Sustainability Additional points will be given to projects demonstrating: Regional collaboration (above and beyond necessary/ expected levels), and Presence of a match

24. 24 Scoring Methodology: Risk Mitigation Score Tier II Risk Mitigation is evaluated by a National Review Panel (NRP) of subject matter experts based on: Cost Effectiveness (scoring range is from 0-12) Feasibility (scoring range is from 0-12) Timelines (scoring range is from 0-4) Sustainability (scoring range is from 0-4) *Maximum Risk Mitigation score is 8 ((12 + 12 + 4 + 4) = 32/4 = 8) The NRP may also elect to award additional points based on: Regional Collaboration Component (scoring range is from 0-1.5) Match Component (scoring range is from 0-.5)

25. 25 Scoring Example One Atozee Transit requests $80,000 to install bollards at the entrance to its main transit hub station. Atozee transit has a risk ranking score of 2. The National Review Panel (NRP) reviews the IJ and scores it as follows: Atozee Risk Ranking: 2 Project Effectiveness Score: 3 Total Risk Mitigation Score: 10/4 = 2.5 Cost effectiveness: 4 Feasibility: 2 Timelines: 2 Sustainability: 2 Regional Collaboration: 1 Match: 0

26. 26 Scoring Example Two Tiny Transit requests $50,000 to provide basic security awareness training to its 150 frontline employees. The NRP reviews the IJ and scores it as follows: Tiny Transit Risk Ranking: 2 Project Effectiveness Score: 5 Total Risk Mitigation Score: 26/4 = 6.5 Cost effectiveness: 12 Feasibility: 12 Timelines: 1 Sustainability: 1 Regional Collaboration: 0 Match: .5

27. 27 Scoring Example Three Atozee Transit requests $70,000 to provide basic security awareness training to its 250 frontline employees. The NRP reviews the IJ and scores it as follows: Atozee Risk Ranking: 2 Project Effectiveness Score: 5 Total Risk Mitigation Score: 26/4 = 6.5 Cost effectiveness: 10 Feasibility: 8 Timelines: 4 Sustainability: 4 Regional Collaboration: 1.5 Match: .5

28. 28 Sample Funding Decisions The overall score rankings will be as follows: Atozee Transit Training $70,000 Score 18.5 Tiny Transit Training $50,000 Score 17 Atozee Transit Bollards $80,000 Score 9.5 $200,000 If $150,000 were available to distribute, then Atozee Transit training and Tiny Transit training projects would be funded first and the Executive Committee would decide to either partially fund the Atozee Transit bollards IJ (if the project is scalable), or move the remaining funds to a project with a lesser request or Tier 1.

30. Schedule Tampa, FL -- November 7, 2009 Houston, TX -- November 14, 2009 Portland, OR -- November 19, 2009 Chicago, IL -- November 12, 2009 San Diego, CA -- November 17, 2009 Washington, DC -- November 21, 2009Schedule Tampa, FL -- November 7, 2009 Houston, TX -- November 14, 2009 Portland, OR -- November 19, 2009 Chicago, IL -- November 12, 2009 San Diego, CA -- November 17, 2009 Washington, DC -- November 21, 2009

31. 31  FY 2009 Transit Security Grant Program (TSGP)Application Process   The TSGP was first introduced in FY 2005. Important distinctions for FY 2009 include: Per the Consolidated Security, Disaster Assistance, and Continuing Appropriations Act, 2009, (Public Law 110-329), Transit Security Grant Program awards will be made directly to transit agencies. The State Administrative Agencies (SAA) are no longer the grantees – transit agencies are responsible for submitting their own applications, including Investment Justifications and Detailed Budgets, through the grants.gov website. There is no longer a requirement for cost sharing. Transit agencies may retain up to 3% of the award for M&A. Amtrak and Freight Rail: Components of TSGP, but apply separately. New this year: (1) TSGP grant awards will be made directly to transit agencies. The SAA is no longer the grantee. This means transit agencies are responsible for submitting their own applications, investment justifications, and detailed budgets through grants.gov. (2) TSGP no longer requires a cost sharing match.New this year: (1) TSGP grant awards will be made directly to transit agencies. The SAA is no longer the grantee. This means transit agencies are responsible for submitting their own applications, investment justifications, and detailed budgets through grants.gov. (2) TSGP no longer requires a cost sharing match.

32. 32 FY 2009 Transit Security Grant Program (TSGP)Application Process  Eligible Applicants Tier I: Named transit agencies and ferry systems in eight designated urban areas: CA Bay Area MA Boston Area CA Greater Los Angeles Area NY/NJ/CT New York City/Northern New Jersey/Connecticut Area DC/MD/VA National Capital Region/Baltimore Area GA Atlanta Area PA/NJ Philadelphia Area IL Chicago Area Note: Law enforcement agencies that provide primary transit security to these transit agencies are eligible as sub-grantees. Ferry systems participating in FY 2009 PSGP cannot apply for TSGP funds. New this year: (1) TSGP grant awards will be made directly to transit agencies. The SAA is no longer the grantee. This means transit agencies are responsible for submitting their own applications, investment justifications, and detailed budgets through grants.gov. (2) TSGP no longer requires a cost sharing match.New this year: (1) TSGP grant awards will be made directly to transit agencies. The SAA is no longer the grantee. This means transit agencies are responsible for submitting their own applications, investment justifications, and detailed budgets through grants.gov. (2) TSGP no longer requires a cost sharing match.

33. 33 FY 2009 Transit Security Grant Program (TSGP)Application Process Tier II: Transit agencies in 51 identified urban areas (up from 29). New for FY2009: CA Fresno MO Kansas City OH Dayton TX El Paso IL Champaign-Urbana NM Albuquerque OR Eugene UT Salt Lake City IN Indianapolis NY Albany PR San Juan VA Richmond KY Louisville NY Rochester TN Nashville WA Spokane MA Springfield NV Reno TX Austin WI Madison MI Lansing OH Columbus

34. 34 FY 2009 Transit Security Grant Program (TSGP)Application Process Application Procedure All applicants (Tier I and Tier II, Amtrak and Freight Rail): ? Applications due by 11:59 p.m., Tuesday, January 13, 2009 - Online, accessible at http://www.grants.gov. Must confirm Central Contractor Registration (CCR) and Dun & Bradstreet Data Universal Numbering System (DUNS) identifier as part of the application process. - Catalog of Domestic Federal Assistance (CDFA) number is 97.075 – Rail and Transit Security Grant Program.

35. 35 FY 2009 Transit Security Grant Program (TSGP)Application Process Application Procedure ? Must submit: - SF-424 Application for Federal Assistance - SF-424A Budget Information - SF-424B Assurances - SF-LLL Disclosure of Lobbying Activities - Investment Justifications (IJ) and Detailed Budgets * - Vulnerability Assessment and Security Plan Certification statement - Security Capital and Operational Sustainment Plan ** * Tier I submits concept IJ only – final IJ due February 13, 2009 ** Tier I agencies only Tier I agencies may submit up to TEN concept investment justifications and up to FIVE regional concepts with the initial application due January 13, 2009. Final IJs/budget details are due on February 13, 2009. Tier II agencies may submit up to TEN investment justifications and up to FIVE regional investments with their applications due January 13, 2009. Amtrak may submit up to TWELVE investment justifications thorugh the cooperative agreement process. Freight Rail may submit up to TWO investment justifcations. Further information is provided in the individual guidance kits. Tier I agencies may submit up to TEN concept investment justifications and up to FIVE regional concepts with the initial application due January 13, 2009. Final IJs/budget details are due on February 13, 2009. Tier II agencies may submit up to TEN investment justifications and up to FIVE regional investments with their applications due January 13, 2009. Amtrak may submit up to TWELVE investment justifications thorugh the cooperative agreement process. Freight Rail may submit up to TWO investment justifcations. Further information is provided in the individual guidance kits.

36. 36 FY 2009 Transit Security Grant Program (TSGP)Application Process Considerations M&A – Maximum 3% may be retained by eligible transit agencies for management and administrative purposes associated with the TSGP award. - Minimum Project Amounts: ? None for Fast Track Training, when agencies use the Training Cost Matrix. ? $50,000 for non-Fast Track Training, Exercises, Public Awareness, and Planning. ? $250,000 for all other projects. - Operations Costs Restrictions – Not more than 30% for “operating uses” as defined in 9/11 Act, Section 1406(b)(2).

37. 37 FY 2009 Transit Security Grant Program (TSGP)Application Process Allowable Costs Planning ? Public education and outreach, public alert and warning systems and security education efforts, development and implementation of homeland security support programs, security plans and protocols, security assessments, hiring full or part-time staff and contractors or consultants to assist with planning activities, materials required to conduct planning activities, and travel and per diem related to professional planning activities. Operational Costs (OPacks) (Tier I only) ? Explosives Detection Canine Teams ? Visible Intermodal Protection and Response (VIPR) Teams ? Mobile Explosives Screening Teams

38. 38 FY 2009 Transit Security Grant Program (TSGP)Application Process Allowable Costs - Equipment Acquisition ? Explosive device mitigation and remediation equipment ? Terrorism incident prevention equipment ? Physical security enhancement equipment ? Cyber security enhancement equipment ? Detection equipment Note: Equipment must be certified that it meets required regulatory and/or DHS- adopted standards – http://rkb.mipt.org and http://www.dhs.gov/xfrstresp/standards.

39. 39 FY 2009 Transit Security Grant Program (TSGP)Application Process Allowable Costs - Training ? Workshops and conference costs for planning, facilitation, training plan development, meeting costs, materials, supplies, and travel/per diem. ? Certain full or part-time staff and contractors or consultants. ? Public sector overtime and backfill costs. ? Travel related to planning and conduct of training projects or for attending DHS-sponsored courses or DHS-sponsored technical assistance programs. ? Supplies. ? Other: Space rental for training, badges, other similar materials.

40. 40 FY 2009 Transit Security Grant Program (TSGP)Application Process Allowable Costs - Exercises ? Exercise planning workshops. ? Certain full or part-time staff and contractors or consultants. ? Overtime and backfill costs. ? Travel related to planning and conduct of exercise projects. ? Supplies. ? Other, e.g., space rental for exercises, badges, other similar materials. Note: In FY 2009, support for planning and conduct of exercises has shifted in strategy form a State-forced approach, organized by the National Preparedness Directorate, to a regional (multi-state) approach, organized by the FEMA regions. Applicants should coordinate requests for support through the appropriate FEMA Regional Exercise Officer.

41. 41 FY 2009 Transit Security Grant Program (TSGP)Application Process Allowable Costs - Management and Administration (M&A) ? Hiring full or part-time staff, contractors or consultants to assist with the management of the FY2009 TSGP or the design, requirements, and implementation of the TSGP. ? Developing operating plans for information collection and processing and/or reporting of DHS-required information or data calls. ? Travel and meeting-related expenses for managing and/or administering TSGP grants. ? Acquiring office equipment, including personal computers and laptops used for the management and administration of TSGP grants.

42. 42 FY 2009 Transit Security Grant Program (TSGP)Application Process Application Review Tier I and Amtrak applications: ? FEMA (GD&A) verifies receipt of TSGP application in grants.gov for Tier I transit agencies’ regional or Amtrak allocation target amount. ? DHS reviews submissions for award consideration through a cooperative agreement process. ? GD&A prepares award notices.

43. 43 FY 2009 Transit Security Grant Program (TSGP)Application Process Application Review Tier II and Freight Rail applications: ? FEMA (GD&A) verifies receipt of TSGP application in grants.gov and all required documents - Complete SF-424 application with required assurances and security plan certification statement - Complete Investment Justification(s) and Budget Detail ? DHS reviews submissions for award consideration. ? GD&A prepares award notices.

44. 44 FY 2009 Transit Security Grant Program (TSGP)Post-Award Processing Project approval: Tier I – Cooperative Agreement Process yields projects approved in concept. Agency submits final IJs with complete Budgets. Final IJs are reviewed by TSA for approval. FEMA reviews budget for allowable and unallowable cost, cost share elements, and reasonableness Tier II – Projects are approved by DHS and funding is listed in the Award Document. Budget review step is done as part of the approval process. Budget Review: Issues with budget are returned to the agency for correction or update. Corrections are received and then final review is completed. EHP: Once project is approved in concept (Tier I) or awarded funds (Tier II) it is the responsibility of the agency to submit complete documentation to clear EHP. All materials provided by the agency is reviewed by the FEMA program manager and submitted to the FEMA EHP office for clearance. This process may take from three days to months depending on the scope of the project, completeness of the documentation, and the impact of the project. Grant Adjustment Notice (GAN) The GAN is prepared only after EHP clearance is complete and may take up to thirty days to process. Funds Available Funds are available for drawdown once the GAN has cleared the Chief Financial Officers desk. This will not happen unless the grantee is current on all reporting requirements (269, CAPR, BISR). . Project approval: Tier I – Cooperative Agreement Process yields projects approved in concept. Agency submits final IJs with complete Budgets. Final IJs are reviewed by TSA for approval. FEMA reviews budget for allowable and unallowable cost, cost share elements, and reasonableness Tier II – Projects are approved by DHS and funding is listed in the Award Document. Budget review step is done as part of the approval process. Budget Review: Issues with budget are returned to the agency for correction or update. Corrections are received and then final review is completed. EHP: Once project is approved in concept (Tier I) or awarded funds (Tier II) it is the responsibility of the agency to submit complete documentation to clear EHP. All materials provided by the agency is reviewed by the FEMA program manager and submitted to the FEMA EHP office for clearance. This process may take from three days to months depending on the scope of the project, completeness of the documentation, and the impact of the project. Grant Adjustment Notice (GAN) The GAN is prepared only after EHP clearance is complete and may take up to thirty days to process. Funds Available Funds are available for drawdown once the GAN has cleared the Chief Financial Officers desk. This will not happen unless the grantee is current on all reporting requirements (269, CAPR, BISR). .

45. 45 Resources for questions are listed here (help desk phone #, application kit and websites information). Anything sent to askcsid is also routed to TSAGrants.Resources for questions are listed here (help desk phone #, application kit and websites information). Anything sent to askcsid is also routed to TSAGrants.

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50. 50 -In order to submit a federal grant application, grantees must submit them electronically using grants.gov. -I will provide a brief overview of the grants.gov registration process for the Authorized Organization Representative (AOR). -This is the person who is responsible for submitting grant applications for your organization. -A detailed outline is available in Appendix C of the FY08 IBSGP Grant Guidance and Application Kit. -In order to submit a federal grant application, grantees must submit them electronically using grants.gov. -I will provide a brief overview of the grants.gov registration process for the Authorized Organization Representative (AOR). -This is the person who is responsible for submitting grant applications for your organization. -A detailed outline is available in Appendix C of the FY08 IBSGP Grant Guidance and Application Kit.

51. 51 Click on E-Biz POC Login and Get Registered -In order to approve an AOR, an e-business point of contact must be established -If you already have a DUNS number and MPIN from the CCR, you may establish an e-business point of contact. -This person has the capability of designating, or revoking, the privileges of an authorized organization representative (AOR). -The AOR is the organization’s authorized submitter of a federal grant application. -For example, the President CEO could be the e-business point of contact and assign another individual to be the AOR. -If the AOR leaves the organization, the e-business point of contact could designate another individual. -The E-Biz login link is on the right-hand side of the home page for grants.gov. -Click on the Get Registered link on the left-hand side of the home page to begin the grants.gov registration process. -In order to approve an AOR, an e-business point of contact must be established -If you already have a DUNS number and MPIN from the CCR, you may establish an e-business point of contact. -This person has the capability of designating, or revoking, the privileges of an authorized organization representative (AOR). -The AOR is the organization’s authorized submitter of a federal grant application. -For example, the President CEO could be the e-business point of contact and assign another individual to be the AOR. -If the AOR leaves the organization, the e-business point of contact could designate another individual. -The E-Biz login link is on the right-hand side of the home page for grants.gov. -Click on the Get Registered link on the left-hand side of the home page to begin the grants.gov registration process.

52. 52 Click on Organization Registration -Click on “I want to register on behalf of an organization”. -Click on “I want to register on behalf of an organization”.

53. 53 Follow the six registration steps -The six registration steps are listed in brief. Step 1: Dun & Bradstreet Data Universal Numbering System (DUNS) Number -If you don’t already have a DUNS number, obtain one by clicking the link under step 1. -A DUNS number is a unique nine digit ID number for each physical location of your business. -This number identifies your business. Step 2: Register with the Central Contractor Registration (CCR) -If you have not already registered with the CCR, you must do so at the link under step 2. -The CCR is a database which collects data on contract acquisitions for the government. -You will need your DUNS number, tax identification number, electronic funds transfer information, and some statistical information about your business (average number of employees for your location, average annual receipts for your location, affiliations, additional information is required for organizations that sell or generate electricity or refine petroleum) -You will receive a marketing partner identification number (MPIN) for registering with grants.gov. Step 3: Create a username and password with Operational Research Consultants (ORC) -Click on the link under Step 3. -In order to safeguard the security of your electronic information, grants.gov utilizes a credential provider. -A credential provider validates the electronic identity of an individual through electronic credentials, PINS, passwords, and certificates for grants.gov. -You will need your DUNS number to register. -You will obtain a username and password that you need for grants.gov registration. Step 4: Register with grants.gov -Click on the link under step 4. -Enter the username and password obtained in the prior step. Step 5: Verification -The e-business point of contact will receive an email to verify that you are to be an AOR. Step 6: Track your AOR status -Click on the link under step 6. -The six registration steps are listed in brief. Step 1: Dun & Bradstreet Data Universal Numbering System (DUNS) Number -If you don’t already have a DUNS number, obtain one by clicking the link under step 1. -A DUNS number is a unique nine digit ID number for each physical location of your business. -This number identifies your business. Step 2: Register with the Central Contractor Registration (CCR) -If you have not already registered with the CCR, you must do so at the link under step 2. -The CCR is a database which collects data on contract acquisitions for the government. -You will need your DUNS number, tax identification number, electronic funds transfer information, and some statistical information about your business (average number of employees for your location, average annual receipts for your location, affiliations, additional information is required for organizations that sell or generate electricity or refine petroleum) -You will receive a marketing partner identification number (MPIN) for registering with grants.gov. Step 3: Create a username and password with Operational Research Consultants (ORC) -Click on the link under Step 3. -In order to safeguard the security of your electronic information, grants.gov utilizes a credential provider. -A credential provider validates the electronic identity of an individual through electronic credentials, PINS, passwords, and certificates for grants.gov. -You will need your DUNS number to register. -You will obtain a username and password that you need for grants.gov registration. Step 4: Register with grants.gov -Click on the link under step 4. -Enter the username and password obtained in the prior step. Step 5: Verification -The e-business point of contact will receive an email to verify that you are to be an AOR. Step 6: Track your AOR status -Click on the link under step 6.

54. 54 Click Apply for Grants to Download PureEdge -You will need to download the PureEdge Viewer in order to download the IBSGP application. -From the grants.gov homepage, click on “Apply for Grants” on the left-hand side to download the viewer. -You will need to download the PureEdge Viewer in order to download the IBSGP application. -From the grants.gov homepage, click on “Apply for Grants” on the left-hand side to download the viewer.

55. 55 Download PureEdge and the Application Package -Click on PureEdge Viewer and follow the instructions. -After downloading the viewer, you may download the application. Click on “Download a Grant Application Package”. -Click on PureEdge Viewer and follow the instructions. -After downloading the viewer, you may download the application. Click on “Download a Grant Application Package”.

56. 56 Submit your application -At this time, you need to search for the grant opportunity. -CFDA 97.057. -You will be able to download the application and instructions. -After you fill out all of the required information and attach optional forms, such as the Investment Justification (Appendix D), the Sample Budget Detail Worksheet (Appendix F), and the Vulnerability Assessment and Security Plan Certification Form (Appendix I), the submit button will be enabled.-At this time, you need to search for the grant opportunity. -CFDA 97.057. -You will be able to download the application and instructions. -After you fill out all of the required information and attach optional forms, such as the Investment Justification (Appendix D), the Sample Budget Detail Worksheet (Appendix F), and the Vulnerability Assessment and Security Plan Certification Form (Appendix I), the submit button will be enabled.

57. 57 Track Your Application -From the grants.gov home page, you can track your application. -Click on “track your application” on the left-hand side. -Keep in mind…..As you are completing the six grants.gov registration steps, you can download the PureEdge viewer, download the application, and fill out the application. -Start this registration process as soon as possible! -From the grants.gov home page, you can track your application. -Click on “track your application” on the left-hand side. -Keep in mind…..As you are completing the six grants.gov registration steps, you can download the PureEdge viewer, download the application, and fill out the application. -Start this registration process as soon as possible!