HomeMy WebLinkAboutC-8075-3 - Agreement to Transfer Funds for 2016 Emergency Management Performance Grant Program1
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AGREEMENT TO TRANSFER FUNDS
FOR 2016 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM
THIS AGREEMENT is entered into this _y day of 1Vcwrl 201_j which date is
enumerated for purposes of reference only, by and between the COUNTY OF ORANGE, a political
subdivision of the State of California, hereinafter referred to as "COUNTY," and
nN 4T 0Uj%,t �.iC1RC.r'L a municipal corporation, hereinafter referred to as
IPIENT."
WHEREAS, COUNTY, acting through its Sheriff -Coroner Department, hereinafter referred to
as SHERIFF, in its capacity as the lead agency for the Operational Area, has applied for, received and
accepted the Emergency Management Performance Grant (hereinafter referred to as "the grant") from
the California Office of Emergency Services ("CalOES").
WHEREAS, the purpose of the grant is to support comprehensive emergency management at
the state, tribal and local levels and to encourage the improvement of prevention, protection, mitigation,
response and recovery capabilities for all hazards, as set forth in Attachment A hereto (FY2016
Emergency Management Performance Grants [EMPG] Notice of Funding Opportunity [NOFOI), which
is attached hereto and incorporated herein by reference.
NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
1. COUNTY shall transfer to SUBRECIPIENT grant funds, in arrears, as necessary to
reimburse SUBRECIPIENT for reasonable and permissible expenditures for the grant purposes. In
order to obtain grant funds, SUBRECIPIENT shall comply with the instructions and submit to SHERIFF
all required information and documentation, as set forth in Attachment B (EMPG City Financial
Management Forms Workbook), which is attached hereto and incorporated herein by reference.
2. Throughout their useful life, grant property and equipment shall be used by
SUBRECIPIENT only for grant purposes in accordance with Attachment A hereto.
3. SUBRECIPIENT shall exercise due care to preserve and safeguard grant property and
equipment from damage or destruction and shall provide regular maintenance and such repairs for grant
CFDA: 97.042
Emergency Management Performance Grant
Department of Homeland Security Page I of 4
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property and equipment as are necessary, in order to keep said grant property and equipment
continually in good working order.
4. If grant property or equipment becomes obsolete, SUBRECIPIENT shall dispose of it
only in accordance with the instructions of COUNTY or the agency from which COUNTY received the
grant funds.
5. SUBRECIPIENT shall submit to the COUNTY grant program reporting documents and
information in accordance with requirements set out in the Attachment C (Emergency Management
Performance Grant Program: California Supplement to the Federal Program Funding Opportunity
Announcement; or, The State Guidance), which is attached hereto and incorporated herein by reference.
6. By executing this Agreement, SUBRECIPIENT agrees to comply with and be fully
bound by this Agreement and all applicable provisions of Attachments A, B, C, and D (Standard
Assurances for all CaIOES Federal Grant Programs) hereto. SUBRECIPIENT shall notify COUNTY
immediately upon discovery that it has not abided or no longer will abide by any applicable provision of
this Agreement or Attachments A, B, C, or D hereto.
7. SUBRECIPIENT agrees to indemnify, defend and save harmless COUNTY and the
agency from which COUNTY received grant funds, and their elected and appointed officials, officers,
agents and employees from any and all claims and losses accruing or resulting to any and all contractors,
subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work,
services, materials or supplies in connection with SUBRECIPIENT's performance of this Agreement,
including Attachments A, B, C, and D hereto, and from any and all claims and losses accruing or
resulting to any person, firm, or corporation who may be injured or damaged by SUBRECIPIENT in the
performance of this Agreement, including Attachments A, B, C, and D hereto.
8. No alteration or variation of the terms of this Agreement shall be valid unless made in
writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or
agreement not incorporated herein shall be binding on any of the parties hereto.
9. SUBRECIPIENT may not assign this Agreement in whole or in part without the express
written consent of COUNTY.
:FDA: 97.042
3mergency Management Performance Grant
)epartmem of Homeland Security Page 2 of 4
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10. SUBRECIPIENT shall provide to COUNTY all records and information requested b:
11 COUNTY for inclusion in quarterly reports and such other reports or records as COUNTY may b(
11 required to provide to the agency from which COUNTY received grant funds or other persons o.
agencies.
11. For a period of three years after the final Federal Financial Report hereunder or until al
claims related to this Agreement are finally settled, whichever is later, SUBRECIPIENT shall preserve
and maintain all documents, papers and records relevant to the work performed or property or equipment
acquired in accordance with this Agreement, including Attachments A, B, C, and D hereto. For the
same time period, SUBRECIPIENT shall make said documents, papers and records available to
COUNTY and the agency from which COUNTY received the grant funds or their duly authorized
representative(s), for examination, copying, or mechanical reproduction on or off the premises of
SUBRECIPIENT, upon request, during usual working hours.
12. SUBRECIPIENT and COUNTY shall be subject to examination and audit by the State
Auditor General with respect to this Agreement for a period of three years after the final Federal
Financial Report hereunder.
13. COUNTY may terminate this Agreement and be relieved of the payment of any
consideration to SUBRECIPIENT if a) SUBRECIPIENT fails to perform any of the covenants
contained in this Agreement, including the applicable terms of Attachments A, B, C, and D hereto, at the
time and in the manner herein provided, or b) COUNTY loses funding under the grant. In the event of
termination, COUNTY may proceed with the work in any manner deemed proper by COUNTY.
14. SUBRECIPIENT and its agents and employees shall act in an independent capacity in
the performance of this Agreement, including Attachments A, B, C, and D hereto, and shall not be
considered officers, agents or employees of COUNTY or SHERIFF or of the agency from which
COUNTY received grant funds.
15. By signing this Agreement, SUBRECEIPIENT understands and agrees that:
a. Failure to follow grant guidance, including those detailed below, will result in
ineligibility for any reimbursement under the FY 16 EMPG:
:FDA: 97.042
emergency Management Performance Grant
)epartmenl of Homeland Security Page 3 of 4
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b. A SUBRECIPIENT representative must attend half of the Orange County Emergency
Managers Organization meetings held from July 1, 2016 through June 30, 2017;
C. SUBRECIPIENT must maintain National Incident Management System (NIMS)
compliance;
d. For any personnel whose salary is charged to the grant, that specific individual must
meet the training and exercise requirements set forth in the grant guidance; and
e. Only those expenditures specifically detailed in the Financial Management Forms
Workbook are approved for funding; any changes must be pre -approved by the
California Office of Emergency Services.
IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange,
State of California.
DATED: _�S — / .,2o/7 COUNTY OF ORANGE, a political subdivision
of the State of California
20
APPROVED AS TO FORM:
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nergency Management Performance Grant
:partmenl of Homeland Security
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EXHIBIT A
The Department of Homeland Security (DHS)
Notice of Funding Opportunity (NOFO)
Fiscal Year 2016 Emergency Management Performance Grant Program (EMPG)
NOTE: Eligible recipients who plan to apply for this funding opportunity but who have
not obtained a Data Universal Numbering System (DUNS) number and/or are not
currently registered in the System for Award Management (SAM), should take immediate
action to obtain a DUNS Number, if applicable, and then to register immediately in SAM.
It may take 4 weeks or more after the submission of a SAM registration before the
registration becomes active in SAM, then an additional 24 hours for Grants.eov to
recognize the information. Information on obtaining a DUNS number and registering in
SANT is available from Grants.aov at: http://www.giants.gov/web/grants/register.litnil
Detailed information regarding DUNS and SAM is also provided in Section D of this NOFO,
subsection, Content and Form of Application Submission.
A. Program Description
Issued By
U.S. Department of Homeland Security (DHS), Federal Emergency Management Agency
(FEMA), Grant Programs Directorate (GPD)
Catalog of Federal Domestic Assistance (CFDA) Number
97.042
CFDA Title
Emergency Management Performance Grant (EMPG) Program
Notice of Funding Opportunity Title
Emergency Management Performance Grant Program
NOFO Number
Grant Program Title
NOFO Number
EMPG — Region
I
DHS -I6 -GPD -042-01-01
EMPG — Region
II
DHS -I6 -GPD -042-02-01
EMPG — Region
III
DHS -I6 -GPD -042-03-01
EMPG — Region
IV
DHS -I6 -GPD -042-04-01
EMPG — Region
V
DHS -I6 -GPD -042-05-01
EMPG — Region
VI
DHS -I6 -GPD -042-06-01
EMPG—Re
ion VII
DHS -I6 -GPD -042-07-01
EMPG —Region
VIII
DHS -I6 -GPD -042-08-01
EMPG — Region
IX
DHS -I6 -GPD -042-09-01
EMPG — Region
X
DHS -I6 -GPD -042-10-01
Page 1 of 46
FY 2016 EMPG
Authorizing Authority for Program
Section 662 of the Post -Katrina Emergency Management Reform Act of 2006
(PKEMRA), as amended, (Pub. L. No. 109-295) (6 U.S.C. § 762); the Robert T. Stafford
Disaster Relief and Emergency Assistance Act, as amended (Pub. L. No. 93-288) (42
U.S.C. §§ 5121 et seq.); the Earthquake Hazards Reduction Act of 1977, as amended
(Pub. L. No. 95-124) (42 U.S.C. §§ 7701 et seq.); and the National Flood Insurance Act
of 1968, as amended (Pub. L. No. 90-448) (42 U.S.C. §§ 4001 et seq.).
Appropriation Authority for Program
Department of Homeland Security Appropriations Act, 1016 (Pub. L. No. 114-113)
Program Type
New
Program Overview, Objectives, and Priorities
Overview
The purpose of the Emergency Management Performance Grant (EMPG) Program is to
provide federal funds to states to assist state, local, territorial, and tribal governments in
preparing for all hazards, as authorized by Section 662 of the Post Katrina Emergency
Management Reform Act (6 U.S.C. § 762) and the Robert T. Stafford Disaster Relief and
Emergency Assistance Act (42 U.S.C. §§ 5121 et se .). Title VI of the Stafford Act
authorizes DHS/FEMA to make grants for the purpose of providing a system of
emergency preparedness for the protection of life and property in the United States from
hazards and to vest responsibility for emergency preparedness jointly in the Federal
Government, states, and their political subdivisions. The Federal Government, through
the EMPG Program, provides necessary direction, coordination, and guidance, and
provides necessary assistance, as authorized in this title, to support a comprehensive all
hazards emergency preparedness system. The FY 2016 EMPG will provide federal funds
to assist state, local, tribal, and territorial emergency management agencies to obtain the
resources required to support the National Preparedness Goal's (the Goal's) associated
mission areas and core capabilities. The EMPG program supports the Quadrennial
Homeland Security Review Mission to Strengthen National Preparedness and Resilience.
Objectives
The EMPG Program supports a comprehensive, all -hazard emergency preparedness
system by building and sustaining the core capabilities contained in the Goal.
Examples of EMPG funded activities include:
• Initiating or achieving whole community approach to security and emergency
management;
• Strengthening a state or community's emergency management program;
• Updating emergency plans;
• Completing the State Preparedness Reports (SPR), including the Threat and
Hazard Identification and Risk Assessment (THIRA) process;
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FY 2016 EMPG
• Designing and conducting exercises that engage a whole community of
stakeholders and validate core capabilities; and
• Conducting training.
Priorities
The National Preparedness System is the instrument the Nation employs to build, sustain,
and implement core capabilities to achieve the Goal of a secure and resilient Nation.
Complex and far-reaching threats and hazards require a collaborative and a whole
community approach to national preparedness that engages individuals, families,
communities, private and nonprofit sectors, faith -based organizations, and all levels of
government. The guidance, programs, processes, and systems that support each
component of the National Preparedness System allow for the integration of preparedness
efforts that build, sustain, and deliver core capabilities and achieve the desired outcomes
identified in the Goal.
The Department of Homeland Security expects EMPG recipients and subrecipients to
prioritize grant funding to address capability targets and gaps identified through the
annual THIRA and SPR process. Recipients and subrecipients should prioritize the use
of grant funds to maintain/sustain current capabilities, to validate capability levels, and to
increase capability for high-priority core capabilities with low capability levels.
Additional information, including guidelines for completing the THIRA and SPR, can be
found at: https://www.fema.gov/media-libi-at-v/assets/documents/26335 and
htto://www.feina.gov/state-preparedness-repot.
Minimum funding amounts are not prescribed by the Department for these priorities;
however, recipients are expected to support state, local, regional, tribal, territorial and
national efforts to achieve the desired outcomes for these priorities.
For additional details on priorities for the EMPG Program, please refer to Appendix A —
FY 2016 EMPG Program Priorities.
B. Federal Award Information
Award Amounts, Important Dates, and Extensions
Available Funding for the EMPG:
Period of Performance:
$350,100,000
Twenty four months (24 months)
Extensions to the period of performance are allowed. For additional information on
period of performance extensions, refer to Section H of this NOFO.
Projected Period of Performance Start Date(s): October 1, 2015
Projected Period of Performance End Datc(s): September 30, 2017
Page 3 of 46
FY 2016 EMPG
Finding Instrument: Grant
C. Eligibility Information
Eligible Applicants
State governments (State Administrative Agency [SAAj or the State's Emergency
Management Agency [EMA])
Eligibility Criteria
All 56 states and territories, as well as the Republic of the Marshall Islands and the
Federated States of Micronesia, are eligible to apply for FY 2016 EMPG Program funds.
Either the SAA or the EMA is eligible to apply directly to FEMA for EMPG Program
funds on behalf of each state or territory. However, only one application will be accepted
from each state or territory.
Other Eligibility Criteria
Emergency Management Assistance Compact (EMAC) Membership
In support of the Goal, EMPG recipients must belong to, be located in, or act as
temporary member states of EMAC, except for American Samoa, the Federated States of
Micronesia, the Republic of the Marshall Islands, and the Commonwealth of the Northern
Mariana Islands, which are not currently required to belong to EMAC. All assets
supported in part or entirely with FY 2016 EMPG Program funding must, where
applicable, be readily deployable to support emergency or disaster operations per existing
EMAC agreements.
National Incident Management System (NIMS) Implementation
Prior to allocation of any federal preparedness awards in FY 2016, recipients must ensure
and maintain adoption and implementation of NIMS. Emergency management and
incident response activities require carefully managed resources (personnel, teams,
facilities, equipment and/or supplies) to meet incident needs. Utilization of the
standardized resource management concepts such as typing, credentialing, and
inventorying promote a strong national mutual aid capability needed to support delivery
of core capabilities. Additional information on resource management and NIMS resource
typing definitions and job titles/position qualifications is available under
htto://www.fema.pov/resource-manavement-mutual-aid.
FEMA developed NIMS Guideline for Credentialing of Personnel to describe national
credentialing standards and to provide written guidance regarding the use of those
standards. This guideline describes credentialing and typing processes, and identifies
tools which Federal Emergency Response Officials (FEROs) and emergency managers at
all levels of government may use both routinely and to facilitate multijurisdictional
coordinated responses.
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FY 2016 EMPG
Although state, local, tribal, and private sector partners—including nongovernmental
organizations—are not required to credential their personnel in accordance with these
guidelines, FEMA strongly encourages them to do so in order to leverage federal
investment in the Federal Information Processing Standards (FIPS) 201 infrastructure and
to facilitate interoperability for personnel deployed outside their home jurisdiction.
Additional information is available from the http://www.fema.gov/ninis-docn•ine-
supoortinR-Ruides-tools.
Cost Share or Match
A cost match is required under this program.
The federal share that is used towards the EMPG Program budget shall not exceed 50
percent of the total budget. The state must equally match (cash or in-kind) the federal
contribution pursuant to Sections 61 1 Q) and 613 of the Robert T. Stafford Disaster Relief
and Emergency Assistance Act (Pub. L. No. 93-288), as amended, (42 U.S.C. §§ 512 let
seq.). Unless otherwise authorized by law, federal funds cannot be matched with other
federal funds.
FEMA administers cost matching requirements in accordance with 2 C.F.R. § 200.306.
To meet matching requirements, the recipient contributions must be verifiable,
reasonable, allowable, allocable, and necessary under the grant program and must comply
with all federal requirements and regulations. In accordance with 48 U.S.C. § 1469a,
match requirements are waived for the insular areas: the U.S. territories of American
Samoa, Guam, the U.S. Virgin Islands, the Federated States of Micronesia, the Northern
Mariana Islands, and the Republic of the Marshall Islands.
D. Annlication and Submission Information
Key Dates and Times
Date Posted to Grants.gov:
Application Submission Deadline:
Anticipated Award Date:
February 16, 2016
March 18,2016,11:59:59 PM EST
No later than September 30, 2016
All applications must be received by the established deadline. The Non -Disaster (ND)
Grants System has a date stamp that indicates when an application is submitted.
Applicants will receive an electronic message confirming receipt of the full application.
In general, FEMA will not review applications that are not received by the deadline or
consider them for funding. FEMA may, however, extend the application deadline on
request for any applicant who can demonstrate that good cause exists to justify extending
the deadline. Good cause for an extension may include technical problems outside of the
applicant's control that prevent submission of the application by the deadline, or other
exigent or emergency circumstances. Extensions based on exigent or emergency
Page 5 of 46
FY 2016 EMPG
circumstances will be made on case by case basis with the final determination resting
with FEMA. Applicants that experience technical issues, mast notify the respective
EMPG Regional Program Manager before the application deadline.
Other Key Dates
Event
Suggested Deadline For Completion
Obtain DUNS Number
February 19 2016
Obtain a valid EIN
February 19 2016
Update SAM registration
February 19, 2016
Start initial application in Grants. ov
March 8, 2016
Complete application in ND Grants
March 18 2016
Address to Request Application Package
Application forms and instructions are available at Grants.Aov. To access these
materials, go to httvJAvwvv.erants.eov , select "Applicants" then "Apply for Grants,"
read the registration requirements and register if necessary (Allow up to 7-10 business
days after submitting before the registration is active in SAM, then an additional 24
hours for Grants.gov to recognize the information). In order to obtain the application
package, select "Download a Grant Application Package," enter the CFDA and/or the
funding opportunity number located on the cover of this NOFO, select "Download
Package," and then follow the prompts to download the application package.
Applicants experiencing difficulties accessing information or which have any questions,
should call the grants.aov customer support hotline at (800) 518-4726.
Hard copies of the NOFO are not available.
In addition, the Telephone Device for the Deaf (TDD) and/or Federal Information Relay
Service (FIRS) number available for this Notice is: (800) 462-7585.
Applications will be processed through the Grants.aov portal and FEMA's Non -Disaster
Grants (ND Grants) System.
Content and Form of Application Submission
Applying for an award under this program is a multi -step process and requires time to
complete. To ensure that an application is submitted on time applicants are advised to
start the required steps well in advance of their submission. Please review the table
above under Submission Dates and Other Key Dates and Times for estimated deadlines to
complete each of the six steps listed below. Failure of an applicant to comply with any of
the required steps before the deadline for submitting their application may disqualify their
application from funding.
The steps involved in applying for an award under this program are:
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FY 2016 EMPG
1. Applying for, updating or verifying their Data Universal Numbering
System (DUNS) Number;
2. Applying for, updating or verifying their Employer Identification Number
(EIN) Number;
3. Updating or verifying their System for Award Management (SAM)
Registration;
4. Establishing an Authorized Organizational Representative (AOR) in
Grants.gov;
5. Submitting an initial application in Grants.gov; and
6. Submitting the complete application in ND Grants system.
For additional information regarding the DUNS Number, EIN Number, SAM Number,
and AOR requirements, please see the section below entitled Dun and Bradstreet
Universal Numbering System (DUNS) Number. System for Award Management (SAM)
and Authorized Organizational Reoresentative (AOR).
Unique Entity Identifier and System for Award Management (SAM)
Before applying for a DHS grant atrg ants.gov, applicants must have a DUNS number, be
registered in SAM, and be approved as an AOR.
Applicants are encouraged to register early. The registration process can take
four weeks or more to be completed. Therefore, registration should be done in
sufficient time to ensure it does not impact the applicant's ability to meet required
submission deadlines.
Obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) Number
The DUNS number must be included in the data entry field labeled "Organizational
DUNS" on the SF -424 form. Instructions for obtaining a DUNS number can be found at
the following website: httn://www.prants.gov//web/grants/apolicants/organization-
registration/sten- l -obtain-duns-number.html.
The applicant must provide a DUNS number with their application. This number is a
required field for all subsequent steps in the application submission. Applicants should
verify they have a DUNS number, or take the steps necessary to obtain one. Applicants
can receive a DUNS number at no cost by calling the DUNS number request line at (866)
705-5711. DHS/FEMA cannot assist applicants with questions related to obtaining a
current DUNS number.
Obtain an Employer Identification Number (EIN)
DHS/FEMA requires both the EIN and a DUNS number prior to the issuance of a
financial assistance award and for grant award payment; both the EIN and a DUNS
number are required to register with SAM (see below). The EIN base for an organization
is the IRS Tax ID number; for individuals it is their social security number. The social
security and IRS Tax ID numbers are both nine -digit numbers. Organizations and
individuals submitting their applications must correctly identify the EIN from the DUNS
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FY 2016 EMPG
since both are 9-digit numbers. If these numbers are not correctly identified in the
application, a delay in the issuance of the funding award and/or incorrect payment to a
recipient organization may result.
Organizations anplying for an EIN should plan on a minimum of two full weeks to obtain
an EIN. For assistance registering an EIN please contact the IRS helpline. DHS/FEMA
cannot assist applicants with questions related to obtaining a current EIN.
Register with the System for Award Management (SAM)
Applicants applying for grant funds electronically through Grants.gov must register with
the Federal System for Award Management (SAM). Step-by-step instructions for
registering with SAM can be found here:
http•//www prants.sxov/web/grants/applicants/organization-registration/sten-2-register-
with-sam.html. All applicants must register with SAM in order to apply online. Failure
to register with the SAM will result in the application being rejected by Grants.gov
during the submissions process.
Payment under any DHS/FEMA award is contingent on the recipient's having a current
SAM registration. The SAM registration process must be completed by the applicant. It
is imperative that the information provided by the applicant is correct and current. Please
ensure that the organization's name, address, DUNS number and EIN are up to date in
SAM and that the DUNS number used in SAM is the same one used to apply for all other
DHS/FEMA awards.
SAM registration is a multi-step process including validating the EIN with the Internal
Revenue Service (IRS) to obtain a Commercial and Government Entity (CAGE) code.
The CAGE code is only valid for one year after issuance and must be current at the time
of application.
SAM sends notifications to the registered user via email 60, 30, and 15 days prior to
expiration of the SAM registration for the Entity. SAM registration may lapse due to
inactivity. To update or renew Entity records(s) in SAM, applicants will need to create a
SAM User Account and link it to the migrated Entity records.
For assistance registering, please go to SAM or call 866-606-8220. DHS/FEMA cannot
assist applicants with questions related to registering in SAM or obtaining a current
CAGE code.
Authorized Organization Representative (AOR)
The next step in the registration process is creating a username and password with
Grants.gov to become an AOR. AORs will need to know the DUNS number of the
organization for which they will be submitting applications to complete this process.
Applicants must register the individual who is able to make legally binding
commitments for the applicant organization as the AOR; this step is often missed and it
is crucial for valid submissions. To read more detailed instructions for creating a
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FY 2016 EMPG
profile on Grants.gov visit: littt)://www. rg ants.gov/web/grants/annlicants/organization-
registration/sten-3-usemame-password.httnl.
AOR Authorization
After creating a profile on Grants.gov, the E -Biz Point of Contact (E -Biz POC) a
representative from the applicant organization who is the contact listed for SAM will
receive an email to grant the AOR permission to submit applications on behalf of the
organization. The E -Biz POC will then log in to Grants.gov and approve an applicant as
the AOR, thereby, granting permission to submit applications. To learn more about AOR
Authorization visit: http://www.grants.gov/web/grants/applicants/organization-
registration/step-4-aor-authorization.html. To track an AOR status visit:
http://www.grants. ov/web/,rakits/applicants/orltanization-registration/stei)-5-track-aor-
status.httnl.
Applicants are encouraged to register early. The registration process can take four weeks
or more to be completed. Therefore, registration should be done in sufficient time to
ensure it does not jeopardize required submission deadlines. Approval as an AOR is
necessary in order to submit applications online.
Electronic Signature
Applications submitted through Grants.gov constitute a submission as electronically
signed applications. When submitting the application through Grants.gov, the name of
the applicant's AOR will be inserted into the signature line of the application.
Applicants experiencing difficulties accessing information or who have any questions
should call the grants.gov customer support hotline at (800) 518-4726 or email
Grants.gov at supporta, r� ants.gov.
The federal awarding agency may not make a federal award to an applicant until the
applicant has complied with all applicable DUNS and SAM requirements and, if an
applicant has not fully complied with the requirements by the time the federal awarding
agency is ready to make a federal award, the federal awarding agency may determine that
the applicant is not qualified to receive a federal award and use that determination as a
basis for making a federal award to another applicant.
Submitting an Initial Application in Grants.gov
All applicants must submit their initial application through Grants.gov. Applicants may
need to first create a Grants.gov user profile by visiting the Get Registered section of the
Grants.gov website. Successful completion of this step is necessary for DHS/FEMA to
determine eligibility of the applicant. Applicants should complete this initial step on-line
which requires completing:
• Standard Form 424 (SF -424), Application for Federal Assistance, and
• Grants.gov (GG) Form Certification Regarding Lobbying Form.
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FY 2016 EMPG
Both forms are available in the Forms tab under SF -424 Family. The initial application
cannot be started or submitted in Grants.gov unless the applicant's registration in SAM is
confirmed.
Application forms and instructions are available at Grants.gov by selecting Apply for
Grants. Enter the CFDA number or the Opportunity ID Number noted in this NOFO,
select Download Application Package, and follow the prompts to download the
application package. The information submitted in Grants.gov will be retrieved by ND
Grants, which will allow DHS/FEMA to determine if an applicant is eligible. Applicants
are encouraged to submit their initial application in Grants.eov at least ten days
before the March 18, 2016 11:59:59 PM (EDT) application deadline.
For assistance applying through Grants.gov, please go to the Grant Application page,
contact sunport,grants.gov, or call 800-518-4726. DHSIFEMA cannot assist applicants
with questions related to registering with Grants.gov.
Submitting the Complete Application in Non Disaster Grants System (ND Grants)
Eligible applicants will be notified by DHS/FEMA and asked to proceed with submitting
their complete application package in ND Grants. Applicants can register early with ND
Grants and are encouraged to begin their ND Grants registration at the time of this
announcement. Early registration will allow applicants to have adequate time to start and
complete their application.
In ND Grants, applicants will be prompted to submit all of the information contained in
the following forms. Applicants should review these forms before applying to ensure they
include all required information:
• Standard Form 424A, Budget Information (Non -construction);
• Standard Form 424B, Standard Assurances (Non -construction); and
• Standard Form LLL, Disclosure of Lobbying Activities (if the recipient has
engaged or intends to engage in lobbying activities).
In addition applicants must submit copies of the following in ND Grants:
• Standard Form 4241), Standard Assurances (Construction) if applying for funds to
use for construction;
• Standard Form 424C, Budget Information (Construction) if applying for grants to
support construction;
• Program Work Plan; and
• Indirect Cost Rate Agreement, if applicable.
The forms can be found here: http•//www.fenia.gov/preparedness-non-disaster-grants and
Intergovernmental Review
An intergovernmental review may be required. Applicants must contact their State's
Single Point of Contact (SPDC) to comply with the State's process under Executive
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FY 2016 EMPG
Order 12372 (see http://www.fws.sov/policy/library/reeol2372.ndf). Name and
addresses of the SPOCs are maintained at the Office of Management and Budget's home
page at htta://www.whitehotise.eov/omb/grants saoc to ensure currency.
Funding Restrictions
Federal funds made available through this award may only be used for the purpose set
forth in this award and must be consistent with the statutory authority for the award.
Award funds may not be used for matching funds for any other federal award, 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.
EMPG Program recipients may only fund activities and projects that were included in the
FY 2016 EMPG Program Work Plan that was submitted to and approved by FEMA.
Activities and projects may include the sustainment of capabilities supported by previous
EMPG Program funds provided the sustainment activity is cited in the FY 2016 Work
Plan.
Additionally, pursuant to Executive Order 13688, DHS/FEMA has issued IB 407 which
has placed further restrictions on controlled equipment. For more information on the
Controlled Equipment List and Prohibited Equipment, see Appendix B- Funding
Guidelines.
Environmental Planning and Historic Preservation (EHP) Compliance
As a federal agency, FEMA is required to consider the effects of its actions on the
environment and/or historic properties to ensure that all activities and programs funded
by the agency, including grants -funded projects, comply with federal EHP regulations,
laws and Executive Orders as applicable. Recipients and subrecipients proposing
projects that have the potential to impact the environment, including but not limited to
construction of communication towers, modification or renovation of existing buildings,
structures and facilities, or new construction including replacement of facilities, must
participate in the FEMA EHP review process. The EHP review process involves the
submission of a detailed project description that explains the goals and objectives of the
proposed project along with supporting documentation so that FEMA may determine
whether the proposed project has the potential to impact environmental resources and/or
historic properties. In some cases, FEMA also is required to consult with other regulatory
agencies and the public in order to complete the review process. The EHP review
process must be completed and approved before funds are released to carry out the
proposed project. FEMA will not fund projects that are initiated without the required
EHP review.
Additionally, all recipients are required to comply with FEMA EHP Policy Guidance.
This EHP Policy Guidance can be found in FP 108-023-1, Environmental Planning and
Historic Preservation Policy Guidance, and FP 108.24.4, Environmental Planning and
Historical Preservation Policy.
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SAFECOM
Recipients (including subrecipients) who receive awards under EMPG that wholly or
partially provide funding for emergency communication projects and related activities
must comply with the most recent version of the SAFECOM Guidance on Emergency_
Communications Grants. This guidance provides recommendations to recipients
regarding interoperable emergency communications projects, including allowable costs,
eligible activities, grants management best practices for emergency communications
grants, and information on technical standards that ensure greater interoperability. The
guidance is intended to ensure that federally -funded investments are compatible,
interoperable, and support the national goals and objectives for improving emergency
communications nationwide. Recipients (including subrecipients) investing in
broadband -related investments should review IB 386. Clarification on Use of
DHS/FEMA Public Safety Grant Funds for Broadband -Related Expenditures and
Investments, and consult their FEMA Regional Program Analyst on such investments
before developing applications.
Pre -award costs
Pre -award costs are allowable only with the prior written approval of FEMA and if they
are included in the award agreement. To request pre -award costs a written request must
be included with the application, signed by the Authorized Representative of the entity.
The letter must outline what the pre -award costs are for, including a detailed budget
break-out of pre -award costs from the post -award costs, and a justification for approval.
Direct Costs
Cost Principles
Costs charged to this award must be consistent with the Cost Principles for
Federal Awards located at 2 C.F.R. Part 200, Subpart E.
Planning
Planning related costs are allowed under this program only as described in this
NOFO.
Organization
Organization costs are allowed under this program only as described in this
NOFO.
Equipment
Equipment costs are allowed under this program only as described in this NOFO.
Training
Training related costs are allowed under this program only as described in this
NOFO.
Exercise
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Exercise related costs are allowed under this program only as described in this
NOFO.
Travel
Domestic travel costs are allowed under this program, as provided for in this
NOFO. International travel is not an allowable cost under this program unless
approved in advance by FEMA.
Construction and Renovation
Construction and renovation costs are allowed under this program only as
described in this NOFO.
Operational Overtime
Operational Overtime costs are allowed under this program only as described in
this NOFO.
Maintenance and Sustainment
Funding may be used for the sustainment of programs that help achieve core
capabilities that, while they may not be physically deployable, support national
response capabilities such as Geographic/Geospatial Information Systems (GIS),
interoperable communications systems, capabilities as defined under the
Response Mission Area of the Goal, and fusion centers.
For additional details on the use of funds, please refer to Appendix B -FY 2016
EMPG Funding Guidelines.
Management and Administration (M&A) Costs
Management and Administration (M&A) activities are those directly related to managing
and administering the award, such as financial management and monitoring. It should be
noted that salaries of state and local emergency managers are not typically categorized as
M&A, unless the state or local EMA chooses to assign personnel to specific M&A
activities.
M&A costs are allowable for both state and local -level EMAs. The state EMA may use
up to five percent (5%) of the EMPG award for M&A purposes. In addition, local EMAs
may retain and use up to five percent (5%) of the amount received from the state for local
M&A purposes. If the SAA is not the state -level EMA, the SAA is not eligible to retain
funds for M&A.
Indirect (Facilities & Administrative [F&Aj) Costs
Indirect costs are allowable under this program as described in 2 C.F.R. § 200.414. With
the exception of recipients who have never received a negotiated indirect cost rate as
described in 2 C.F.R. § 200.414(f), recipients must have an approved indirect cost rate
agreement with their cognizant federal agency to charge indirect costs to this award. A
copy of the approved rate (a fully executed, agreement negotiated with the applicant's
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FY 2016 EMPG
cognizant federal agency) is required at the time of application, and must be provided to
FEMA before indirect costs are charged to the award.
E. Application Review Information
Application Evaluation Criteria
Prior to making a federal award, the federal awarding agency is required by 31 U.S.C. §
3321 and 41 U.S.C. § 2313 to review information available through any OMB -designated
repositories of government -wide eligibility qualification or financial integrity
information. Therefore, application evaluation criteria may include the following risk
based considerations of the applicant: (1) financial stability; (2) quality of management
systems and ability to meet management standards; (3) history of performance in
managing federal awards; (4) reports and findings from audits; and (5) ability to
effectively implement statutory, regulatory, or other requirements.
FY 2016 EMPG Program applications will be evaluated for completeness, adherence to
programmatic guidelines, and anticipated effectiveness of the proposed Work Plan. The
results from the review process may require applicants to revise submissions before the
release of EMPG funding.
Review and Selection Process
Initial Review
Once program guidance and application requirements are released publicly, eligible
applicants can submit applications for funding. Application release and review periods
are primarily determined through the appropriations process. FEMA's Regional EMPG
Program Managers conduct all pre -award reviews for Emergency Management
Performance Grants. All EMPG Program Work Plans will require final approval by the
appropriate FEMA regional office.
Funds for recipients who have not submitted their EMPG Program Work Plan as part of
their application will not be released until such Work Plan is received, reviewed, and
approved by FEMA. Recipients will be notified by their FEMA Regional Program
Manager should any component of the EMPG Program application require additional
information.
Overall Review
Submitted applications will undergo a complete content review within their respective
FEMA Region. Each FEMA Regional EMPG Program Manager will be responsible for
reviewing FY 2016 EMPG Program Work Plans for their respective states/territories in
order to assess their emergency management sustainment and enhancement efforts for
building, sustaining, or delivering the core capabilities.
For additional details on application review information please refer to Appendix C — FY
2016 EMPG Program Work Plan.
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If the anticipated federal award amount will be greater than the simplified acquisition
threshold, currently $150,000:
• Prior to making a federal award with a total amount of federal share greater than the
simplified acquisition threshold, DHS/FEMA is required to review and consider any
information about the applicant that is in the designated integrity and performance
system accessible through SAM (currently FAPIIS).
• An applicant, at its option, may review information in the designated integrity and
performance systems accessible through SAM and comment on any information
about itself that a federal awarding agency previously entered and is currently in the
designated integrity and performance system accessible through SAM.
• DHS/FEMA will consider any comments by the applicant, in addition to the other
information in the designated integrity and performance system, in making a
judgment about the applicant's integrity, business ethics, and record of performance
under federal awards when completing the review of risk posed by applicants as
described in 2 CFR §200.205.
F. Federal Award Administration Information
Notice of Award
Notification of award approval is made through the ND Grants system through an automatic e-
mail to the recipient's authorized official listed in the initial application. The "award date" for
EMPG awards will be the date that FEMA approves the award. The recipient should follow the
directions in the notification to confirm acceptance of the award.
Recipients must accept their awards no later than 90 days from the award date. The recipient
shall notify FEMA of its intent to accept and proceed with work under the award, or provide a
written notice of intent to decline. Instructions on accepting or decline an award in the ND
Grants System, can be found in the ND Grants Grantee Training Manual.
Funds will remain on hold until the applicant accepts the award through ND Grants 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.
Administrative and National Policy Requirements
All successful applicants for all DHS grant and cooperative agreements are required to comply
with DHS Standard Administrative Terms and Conditions, which are available online at: DHS
Standard Terns and Conditions.
The applicable DHS Standard Administrative Terms and Conditions will be those in effect at the
time in which the award was made.
Before accepting the award the AOR should carefully read the award package for instructions on
administering the grant award and the terms and conditions associated with responsibilities under
Federal Awards. The applicant must accept all conditions in this NOFO as well as any Special
Terms and Conditions in the Notice of Award to receive an award under this program.
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Pass through funding
Each state shall obligate 100 percent (100%) of its total EMPG Program allocation amount to the
designated state -level EMA. If the SAA is also the EMA, this requirement is automatically met.
If the SAA is a separate agency, or has a separate budget processes, then EMPG funds must be
obligated to the EMA within 15 days of the grant award date. In instances where the state EMA
is making sub -awards to local jurisdictions, FEMA expects the state EMA to make these awards
as expeditiously as possible.
Reporting
Recipients are required to submit various financial and programmatic reports as a condition of
their award acceptance. Future awards and fund drawdowns may be withheld if these reports are
delinquent.
Federal Financial Reporting Requirements (FFR)
Federal Financial Report (FFR)
Recipients must report obligations and expenditures on a quarterly basis through the FFR
(SF -425) to FEMA. Recipients must file the FFR electronically using the Payment and
Renortine Systems (PARS). An FFR must be submitted quarterly throughout the period
of performance, including partial calendar quarters, as well as for periods where no grant
award activity occurs. The final FFR is due 90 days after the end date of the performance
period. Future awards and fund drawdowns may be withheld if these reports are
delinquent, demonstrate lack of progress, or are insufficient in detail.
The Federal Financial Reporting Form (FFR) is available online at:
http://www.whitehousc.gov/sites/default/fileslomb/,,rants/approved forms/SF-425.ndf,
SF -425 OMB #00348-0061.
Financial Reporting Periods and Due Dates
The following reporting periods and due dates apply for the FFR:
Period
Report Due Date
-Reporting
October 1 — December 31
January 30
January 1 —March 31
Aril 30
A ril I —June 30
July 30
Jul 1— September 30
October 30
Financial and Compliance Audit Report
For audits of fiscal years beginning on or after December 26, 2014, recipients that expend
$750,000 or more from all federal funding sources during the fiscal year are required to
submit an organization -wide financial and compliance audit report. The audit must be
performed in accordance with the requirements of U.S. Government Accountability
Office's (GAO) Government Auditing Standards, located at
http'//www.gao.gov/govaud/ybkOl.htm., and the requirements of Subpart F of 2 C.F.R.
Part 200, located at htti)://www.e freov/cei-bin/text-idx?node=sp2 1 200 f.
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For audits of fiscal years beginning prior to December 26, 2014, recipients that expend
$500,000 or more from all federal funding sources during their fiscal year are required to
submit an organization -wide financial and compliance audit report. The audit must be
performed in accordance with GAO's Government Auditing Standards, located at
http://www.sao.eov/eovaud/vbk0l.htm, and OMB Circular A-133, Audits of States,
Local Governments, and Non -Profit Organizations, located at
httn:/hvww.whitehouse.gov/omb/circulars/al33 compliance supplement 2012.
Program Performance Reporting Requirements
Performance Progress Reports (SF -PPR)
Recipients are responsible for providing updated performance reports to FEMA using the
SF -PPR on a quarterly basis. The Quarterly Performance Progress Reports must be based
on the approved EMPG Program Work Plan and are due no later than 30 days after the
end of the quarter (i.e., on January 30, April 30, July 30, and October 30). Recipients
must complete the cover page of the SF -PPR (OMB Control Number: 0970-0334) and
submit it as an attachment to the ND Grants system.
Recipients are required to report quarterly on progress towards completing activities and
projects approved in their EMPG Program Work Plans, how expenditures support
maintenance and sustainment of core capabilities, and progress made towards
implementing the National Preparedness System. This includes reporting on the
following information:
• List of completed training courses and exercises and the Training and Exercise
Data Table (templates are available in Appendix C — FY 2016 EMPG Program
Work Plan).
• Percent completion of the Training and Exercise Plan (TEP) outlined in the FY
2016 EMPG Program Work Plan (templates are available in Appendix C — FY
2016 EMPG Program Work Plan).
Programmatic Reporting Periods and Due Dates
The following reporting periods and due dates apply for the PPR:
Reporting Period
Report Due Date
October 1 —December 31
Janua 30
January 1 — March 31
Aril 30
April 1— June 30
July 30
Jul 1 — September 30
October 30
Standardized Reporting through the EMPG Program Work Plan Template
The EMPG Program Work Plan Template has been modified to standardize data
collection for improved analysis and reporting. The EMPG Program Work Plan includes
five components: (l) Program and Budget Narrative, (2) Personnel Data Table, (3)
Training Data Table, (4) Exercise Data Table, and (5) Grant Activities Outline. Baseline
data on Personnel, Training, and Exercise as well as the Grant Activities Outline must be
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FY 2016 EMPG
provided in the EMPG Program Work Plan at the time of application and will form the
basis of the Quarterly Performance Progress Report (SF -PPR) submissions. The Grant
Activities Outline is structured to enable reporting of quarterly activities according to
Emergency Management Function (EMF) projects, as well as standardized reporting of
activity completion status.
The EMPG Program Work Plan must summarize program activities in the following
areas:
• Planning: Planning efforts should span all five Goal mission areas. The EMPG
Program Work Plan should provide a baseline for determining potential threats
and hazards, required capabilities, required resources, and establish a
framework for roles and responsibilities. Planning efforts should demonstrate
the engagement of the whole community in the development of a strategic,
operational, and/or community-based approach to preparedness.
• Organization: EMPG Program funds may be used for all -hazards emergency
management operations, staffing, and other day-to-day activities in support of
emergency management, including hazard mitigation staffing of the State
Hazard Mitigation Officer (SHMO) position, and staffing Community
Emergency Response Team (CERT) and Citizen Corps positions at the state and
local levels in order to promote whole community engagement in all phases of
emergency management and across the mission areas.
• Equipment: Allowable equipment categories for the EMPG Program are listed
on the web -based version of the Authorized Equipment List (AEL) available at
https:/hvww.fema.gov/authorized-equipment-list. Unless otherwise stated,
equipment must meet all mandatory regulatory and/or FEMA -adopted standards
to be eligible for purchase using these funds. In addition, agencies will be
responsible for obtaining and maintaining all necessary certifications and
licenses for the requested equipment.
• Training: EMPG Program funds may be used for a range of emergency
management -related training activities to enhance the capabilities of State and
local emergency management personnel through the establishment, support,
conduct, and attendance of training. Training activities should align to a current,
Multi -Year TEP developed through an annual Training and Exercise Plan
Workshop (TEPW).
• Exercises: Exercises conducted with grant funds should test and evaluate
performance towards meeting capability targets, established through the
development of a jurisdiction's THIRA for the core capabilities needed to
address their greatest risks. Exercise priorities should align to a current, Multi -
Year TEP developed through an annual TEPW.
For more details on the EMPG Program Work Plan, please refer to Appendix C -FY 2016
EMPG Program Work Plan.
Threat and Hazard Identification and Risk Assessment (THIRA)
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FY 2016 EMPG
States and territories should review and, if necessary, revise and update the THIRA by
December 31 on an annual basis. Further details on the THIRA as it relates to EMPG
Program requirements can be found in Appendix A — FY 2016 EMPG Program Priorities
For additional guidance on THIRA, please refer to Comprehensive Preparedness Guide
(CPG) 201, Second Edition, available at https://www.fema.gov/threat-and-liazard-
identification-and-risk-assessment.
State Preparedness Report (SPR)
Section 652(c) of the Post -Katrina Emergency Management Reform Act of 1006 (Pub. L.
No. 109-295), 6 U.S.C. §752(c), requires any state that receives federal preparedness
assistance to submit an SPR (OMB Control Number: 1660-0131) to FEMA. States
submitted their most recent SPRs by December 31 annually, thus satisfying this
requirement to receive funding under the FY 2016 EMPG Program.
Emergency Operations Plan (EOP)
Recipients must update their EOP at least once every two years to comply with
Comprehensive Preparedness Guide (CPG) 101 v.2, Developing and Maintaining
Emergency Operations Plans. Recipients will use the SPR to communicate their
compliance with this reporting requirement.
Biannual Strategy Implementation Reports (BSIR)
In addition to the Quarterly Performance Progress Reports, recipients are responsible for
completing and submitting BSIR reports. The BSIR is due within 30 days of the end of
the reporting period (July 30 for the reporting period of January I through June 30 (the
summer BSIR); and January 30 for the reporting period of July 1 through December 31
(the winter BSIR). Updated obligations and expenditure information must be provided
within the BSIR to show progress made toward meeting strategic goals and objectives as
well as how expenditures support Planning, Organization, Equipment, Training and
Exercise (POETE) activities. Accordingly, expenditures should support gaps identified
in the recipient's THIRA and SPRs.
FY 2016 Unitled Reporting Tool (URT)
The URT is FEMA's collection mechanism for THIRA/SPR and other related
preparedness information. The FY 2016 SPR includes questions related to NIMS
adoption and implementation, and CPG 101 v 2.0 compliance. Information on the URT,
to include when recipients will receive the tool and how to use the tool, will be sent to
recipients in summer 2016.
Closeout Reporting Requirements
FEMA will close out the grant award when it determines that all applicable
administrative actions and all required work of the EMPG Program award have been
completed by the recipient. This section summarizes the actions that the recipient must
take to complete the closeout process in accordance with 2 C.F.R. § 200.343 at the end of
the grant's period of performance or the expiration of an approved extension via Grant
Adjustment Notice (GAN) issued to close out the grant.
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FY 2016 EMPG
Within 90 days of the end of the period of performance, or after expiration of a close out
extension via GAN, recipients must submit a final FFR and final performance progress
report detailing all accomplishments and a qualitative summary of the impact of those
accomplishments throughout the period of performance, as well as all the following
documentation:
1) Final request for payment, if applicable;
2) SF -425 —Final Federal Financial Report;
3) SF -PPR— Final Performance Progress Report to include final Activity Outline
Report from Work Plan;
4) A qualitative summary of the impact of accomplishments throughout the entire
period of performance. The summary is submitted to the respective Regional
Program Manager in a Word document;
5) SF -428 — Tangible Personal Property Report — Inventory of all tangible personal
property acquired using funds from this award; and
6) Other documents required by program guidance or terms and conditions of the
award.
If applicable, an inventory of all construction projects that used funds from this program
has to be reported using the Real Property Status Report (SF -429) available at
http•//www whiteliouse gov/sites/default/files/oinb/grants/approved forms/sf-429.pdf.
Additionally, the recipient must liquidate all obligations incurred under the EMPG
Program award no later than 90 calendar days after the end date of the period of
performance or expiration of a GAN that closes out the award, whichever comes first. If
a recipient fails to liquidate their obligations within this time period, FEMA may disallow
the costs associated with those unliquidated obligations. Recipients also are responsible
for promptly returning to FEMA the balance of any funds that have been drawn down,
but remain unliquidated.
After final 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 the recipient has not drawn down that will be
deobligated, and address requirements for record retention, and disposition and reporting
requirements for any equipment or real property purchased using EMPG grant funding.
In addition, any EMPG recipient that issues subgrants to any subrecipients is responsible
for closing out those subgrants as described in 2 C.F.R. § 200.343. EMPG recipients
must ensure that they complete the closeout of their subgrants in time to submit all
necessary documentation and information to FEMA during the closeout of their own
grant award.
G. DHS Awardine Aaencv Contact Information
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FY 2016 EMPG
Contact and Resource Information
Centralized Services and Information Desk (CSID)
The Centralized Services Information Desk (CSID) is a non -emergency comprehensive
management and information resource developed by DHS/FEMA for grants stakeholders.
CSID provides general information on all FEMA grant programs and maintains a
comprehensive database containing key personnel contact information at the federal,
state, and local levels. When necessary, recipients will be directed to a federal point of
contact who can answer specific programmatic questions or concerns. CSID can be
reached by phone at (800) 368-6498 or by e-mail at ASKCsid a,fema.eov, Monday
through Friday, 9:00 a.m. — 5:00 p.m. EST.
GPD Grant Operations Division
GPD's Grant Operations Division Business Office provides support regarding financial
matters and budgetary technical assistance. Additional guidance and information can be
obtained by contacting the FEMA Call Center at (866) 927-5646 or via e-mail to ASK-
GMD�a),dhs.eov.
FEMA Regional Offices
FEMA Regional offices manage, administer, and conduct the application budget review,
create the award package, approve, amend, and close out awards, as well as conduct cash
analysis, financial and programmatic monitoring, and audit resolution for the EMPG
Program. The Regions also provide technical assistance to EMPG Program awardees.
FEMA Regional Office contact information is available here.
Systems Information
Grants.gov. For technical assistance with Grants.gov, please call the Grants.gov
customer support hotline at (800) 518-4726.
Non Disaster (ND) Grants. For technical assistance with the ND Grants system,
please contact nd rg ants(cfema.gov or (800) 865-4076.
GPD Environmental Planning and Historic Preservation (GPD EHP)
The FEMA GPD EHP Team provides guidance and information about the EHP review
process to recipients and subrecipients. All inquiries and communications about GPD
projects or the EHP review process, including the submittal of EHP review materials,
should be sent to gpdehpinfoAfema.gov. EHP Technical Assistance, including the EHP
Screening Form, can be found at Itttp://www.fema.gov/media-librate-data/20130726-
1806-25045-2839/god ehn screening form omb 1660 0115 mune 2011.odf.
H. Additional Information
National Preparedness
DHS coordinates with local, state, territorial, and tribal governments as well as with other federal
agencies and private and nonprofit organizations to facilitate a whole community, risk driven,
and capabilities -based approach to preparedness. This approach is grounded in the identification
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FY 2016 EMPG
and assessment of risk through the THIRA. States must maintain and update their THIRAs and
their SPRs annually to ensure that the community's shared understanding of risk evolves to
account for changes in the risk landscape, including successful mitigation efforts, emerging
threats, hazards, and associated consequences. Information on the National Preparedness System
can be found in the htto://xvww.fema.gov/national-preparedness-system, which is posted on the
FEMA website. Additional details regarding the National Preparedness System and how it is
supported by the EMPG Program can be found in Appendix A — FY 2016 EMPG Program
Priorities.
Payments
DHS/FEMA utilizes the DHS/FEMA Payment and Reporting System (PARS) for financial
reporting, invoicing and tracking payments.
Monitoring
EMPG recipients will be monitored programmatically and financially biannually and as needed
by FEMA staff to ensure that the activities and 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 that may be needed.
Conflict of Interest
To eliminate and reduce the impact of conflicts of interest in the subaward process, recipients
and pass-through entities must follow their own policies and procedures regarding the
elimination or reduction of conflicts of interest when making subawards. Recipients and pass-
through entities also are required to follow any applicable state, local, or tribal statutes or
regulations governing conflicts of interest in the making of subawards.
The recipient or pass-through entity must disclose to FEMA, in writing, any real or potential
conflict of interest as defined by the federal, state, local, or tribal statutes or regulations or their
own existing policies that may arise during the administration of the federal award. Recipients
and pass-through entities must disclose any real or potential conflicts to their Regional EMPG
Program Manager within five days of learning of the conflict of interest. Similarly, subrecipients
must disclose any real or potential conflict of interest to the pass-through entity as required by
the Recipient's conflict of interest policies, or any applicable state, local, or tribal statutes or
regulations.
Conflicts of interest may arise during the process of FEMA making a federal award in situations
where an employee, officer, or agent, any members of his or her immediate family, or his or her
partner has a close personal relationship, a business relationship, or a professional relationship,
with an applicant, subapplicant, recipient, subrecipient, or FEMA employee.
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FY 2016 EMPG
Extensions
Extensions to this program are allowed. Extensions to the initial period of performance
identified in the award will only be considered through formal, written requests to the recipient's
respective Regional EMPG Program Analyst and must contain specific and compelling
justifications as to why an extension is required. EMPG recipients are advised to coordinate with
the Regional EMPG Program Analyst, as needed, when preparing an extension request. All
extension requests must address the following:
1) Grant Program, Fiscal Year, and award number;
2) Reason for delay — this must include details of the legal, policy, or operational challenges
being experienced that prevent the final outlay of awarded funds by the applicable
deadline;
3) Current status of the activity/activities;
4) Approved period of performance termination date and new project completion date;
5) Amount of funds drawn down to date;
6) Remaining available funds, both federal and non-federal;
7) Budget outlining how remaining federal and non-federal funds will be expended;
8) Plan for completion, including milestones and timeframes for achieving each milestone
and the position/person responsible for implementing the plan for completion; and
9) Certification that the activity/activities will be completed within the extended period of
performance without any modification to the original Statement of Work, as described in
the investment justification and approved by DHS/FEMA.
Extension requests will be granted only due to compelling legal, policy, or operational
challenges. Extension requests will only be considered for the following reasons:
• Contractual commitments by the grant recipient with vendors or sub -recipients prevent
completion of the project within the existing Period of Performance;
• The project must undergo a complex environmental review that cannot be completed
within existing Period of Performance;
• Projects are long-term by design and therefore acceleration would compromise core
programmatic goals; and
• Where other special circumstances exist.
Recipients must submit all proposed extension requests to DHS/FEMA for review and approval
no later than 120 days prior to the end of the period of performance. In accordance with GPD
policy, extensions are typically granted for no more than a six month time period.
Page 23 of 46
FY 2016 EMPG
FY 2016 EMPG Allocations
Emergency Management Performance Grant (EMPG) awards are based on Section 662 of the
Post -Katrina Emergency Management Reform Act of 2006, as amended, (6 U.S.C. § 762). All
50 states, the District of Columbia, and Puerto Rico receive a base amount of 0.75 percent of the
total available funding appropriated for the EMPG program. Four territories (American Samoa,
Guam, Northern Mariana Islands, and the U.S. Virgin Islands) receive a base amount of 0.25
percent of the total available funding appropriated for the EMPG program. The balance of the
funds appropriated for the EMPG Program funds are distributed on a population -share basis.
Pursuant to Article X of the Federal Programs and Services Agreement of the Compact of Free
Association Act (Pub. L. No. 108-188), a set amount of funds ($100,000 total) are also available
from the Disaster Relief Fund for the Federated States of Micronesia and for the Republic of the
Marshall Islands.
FY2016
Alabama
$5,762,090 1
New Hampshire $3,484,077
Alaska
$3,101,752
New Jersey
$8,408,538
Arizona
$7,033,385
New Mexico
$3,971,203
Arkansas
$4,547,810
New York
$15,405,703
California
$27,897,964
North Carolina
$9,108.907
Colorado
$6,147,913
North Dakota
$3,113,693
Connecticut
$4,943,374
Ohio
$10,122,943
Delaware
$3,235,721
Oklahoma
$5,150,267
District of Columbia
$3,059,009
Oregon
$5,226,218
Florida
$15,712,687
Pennsylvania
$10,890,646
Georgia
$9,219,993
Rhode Island
$3,306,975
Hawaii
$3,549,282
South Carolina
$5,786,086
Idaho
$3,693,468
South Dakota
$3,179,251
Illinois
$10,927,764
Tennessee
$6,886,333
Indiana
$6,898,846
Texas
$20,359,810
Iowa
$4,641,875
Utah
$4,559,247
Kansas
$4,504,835
Vermont
$3,029,190
Kentucky
$5,481,960
Virginia
$8,037,289
Louisiana
$5,640,547
Washington
$7,254,374
Maine
$3,483,250
West Virginia
$3,815,619
Maryland
$6,502,897
Wisconsin
$6,351,133
Massachusetts
$7,011,664
Wyoming
$3,003,407
Michigan
$9,031,286
Puerto Rico
$4,868,027
Minnesota
$6,169,232
U.S. Virgin Islands
$941,870
Mississippi
$4,556,932
American Samoa
$910,085
Missouri
$6,552,785
Guam
$979,453
Montana
$3 291,900
Northern Mariana Islands
$908,795
Nebraska
$3,849,232
Re ublic of the Marshall Islands
$50,000
Nevada
Total
$4,491,408 1
Federated States of Micronesia
$50,000
iii
Page 24 of 46
FY 2016 EMPG
Appendix A - FY 2016 EMPG Program Priorities
Alignment of the EMPG Program to the National Preparedness System
The Nation utilizes the National Preparedness System to build, sustain, and deliver core
capabilities in order to achieve the National Preparedness Goal (the Goal) of "a secure and
resilient Nation with the capabilities required across the whole community to prevent, protect
against, mitigate, respond to, and recover from the threats and hazards that pose the greatest
risk." The objective of the National Preparedness System is to facilitate an integrated, whole
community, risk informed, capabilities -based approach to preparedness. The guidance,
programs, processes, and systems that support each component of the National Preparedness
System enable a collaborative, whole community approach to national preparedness that engages
individuals, families, communities, private and nonprofit sectors, faith -based organizations, and
all levels of government (http://hvww.fema.sov/whole-community).
The FY 2016 EMPG Program contributes to the implementation of the National Preparedness
System by supporting the building, sustainment, and delivery of core capabilities. Core
capabilities are essential for the execution of critical tasks for each of the five mission areas
outlined in the Goal. Delivering core capabilities requires the combined effort of the whole
community, rather than the exclusive effort of any single organization or level of government.
The EMPG Program's allowable costs support efforts to build and sustain core capabilities
across the Prevention, Protection, Mitigation, Response, and Recovery mission areas described
in the Goal.
Emphasis is placed on capabilities that address the greatest risks to the security and resilience of
the United States, and the greatest risks along the Nation's borders. When applicable, funding
should support deployable assets that can be utilized anywhere in the Nation through automatic
assistance and mutual aid agreements, including but not limited to the Emergency Management
Assistance Compact (EMAC).
The FY 2016 EMPG Program supports investments that improve the ability ofjurisdictions
nationwide to:
• Prevent a threatened or an actual act of terrorism;
• Protect our citizens, residents, visitors, and assets against the greatest threats and hazards;
• Mitigate the loss of life and property by lessening the impact of future disasters;
• Respond quickly to save lives, protect property and the environment, and meet basic human
needs in the aftermath of a catastrophic incident; and/or
• Recover through a focus on the timely restoration, strengthening, and revitalization of
infrastructure, housing, and a sustainable economy, as well as the health, social, cultural,
historic, and environmental fabric of communities affected by a catastrophic incident.
The core capabilities contained in the Goal are highly interdependent and require the use of
existing preparedness networks and activities, to improved training and exercise programs,
innovation, and appropriate administrative, finance, and logistics systems.
Page 25 of 46
Appendix A - FY 2016 EMPG Program Priorities
Recipients will use the components of the National Preparedness System to support building,
sustaining, and delivering these core capabilities. The components of the National Preparedness
System are: Identifying and Assessing Risk; Estimating Capability Requirements; Building and
Sustaining Capabilities; Planning to Deliver Capabilities; Validating Capabilities; and Reviewing
and Updating. Additional information on the National Preparedness System is available at
htti)://www.fema.gov/national-12rel2aredness-system.
Reporting on the Implementation of the National Preparedness System
Identifying and Assessing Risk and Estimating Capability Requirements
In order to qualify for EMPG Program funding, all recipients shall develop and maintain a
THIRA, which informs and supports an annual SPR. A THIRA provides a comprehensive
approach for identifying and assessing risks and associated impacts. It expands on existing local,
tribal, territorial, and state Hazard Identification and Risk Assessments (HIRAs) and other risk
methodologies by broadening the factors considered in the process, incorporating the whole
community throughout the entire process, and by accounting for important community -specific
characteristics. A guide on how to complete a THIRA is available at
httns•//www feina sov/threat-and-hazard-identification-and-risk-assessment.
In Step Four of the THIRA process, a jurisdiction should estimate the resources required to
deliver the capability targets established in their THIRAs. Communities express resource
requirements as a list of resources needed to successfully manage their threats and hazards.
Through the capability estimation process, jurisdictions should identify the resources from across
the whole community needed to meet capability targets. Each jurisdiction should decide which
combination of resources is most appropriate to achieve its capability targets.
The SPR is an annual self-assessment of state preparedness submitted by the 56 states and
territories to the FEMA. The Post -Katrina Emergency Management Reform Act of 2006
(PKEMRA) requires an SPR from any state or territory receiving Federal preparedness
assistance administered by the Department of Homeland Security.
Reporting:
• States are required to submit an annual update to their THIRA. For FY 2016,
EMPG recipients should complete THIRA, Step 4 for all Response and Recovery
core capabilities, including the common core capabilities for those mission areas.
States will submit their THIRA update along with their SPR through the URT and
email a copy of the URT to their respective FEMA Regional Federal Preparedness
Coordinator and copy fema-sora fema.dhs.eov. THIRA submissions shall be in
alignment with CPG 201, Second Edition. State submissions of the THIRA and
SPR are due no later than December 31 annually.
Building and Sustaining Core Capabilities
EMPG Program recipients should ensure that grant funding is utilized to sustain critical core
capabilities within the National Preparedness System that were funded by past EMPG Program
funding cycles. New capabilities should not be built at the expense of maintaining current and
critically needed core capabilities. If new capabilities are being built utilizing EMPG Program
Page 26 of 46
Appendix A - FY 2016 EMPG Program Priorities
funding, recipients must ensure that the capabilities are deployable outside of their community,
where applicable, to support regional and national efforts or otherwise shareable with regional
partners and aligned with a capability target identified in the THIRA or a capability gap
identified through the SPR.
Reporting:
• Recipients will be required to: (1) describe how expenditures support maintenance
and sustainment of current Goal core capabilities, and (2) describe how
expenditures support filling capability target gaps identified in the THIRA or the
SPR and report these within the quarterly performance progress reports.
NIMS Implementation
Recipients receiving EMPG funding are required to implement NIMS, and EMPG funds may be
used to meet the requirements described below. NIMS uses a systematic approach to integrate
the best existing processes and methods into a unified national framework for incident
management. Incident management refers to how incidents are managed across all homeland
security activities, including prevention, protection, and response, mitigation, and recovery. FY
2016 EMPG recipients must use standardized resource management concepts for resource
typing, credentialing, and an inventory to facilitate the effective identification, dispatch,
deployment, tracking, and recovery of resources.
Reporting
• Recipients report on NIMS implementation through the SPR.
Planning to Deliver Capabilities
All EMPG Program recipients shall maintain, or revise as necessary, jurisdiction -wide, all threats
and hazards EOPs consistent with the CPG 10 v2, which serves as the foundation for state,
local, tribal, and territory emergency planning. CPG 101 v2 can be found at
https://www.fema.gov/media-librai-y/assets/documents/25975. Recipients must update their EOP
at least once every two years.
In building future EOPs, planners should anticipate the increasing complexity and decreasing
predictability of the future operating environment. These efforts should actively use strategic
foresight, including the multiple driving forces of change and the associated evolving strategic
needs shown in FEMA's Crisis Response and Disaster Resilience 2030 Report. The Report can
be found at http://www.feina.gov/strategic-planning-analysis-spa-divisiorL/stratemic-foresight-
initiative.
Reporting
• Recipients will report EOP compliance with CPG 101 v2 in the SPR.
Validating Capabilities
Recipients should develop long-term training and exercise priorities that examine, validate
and/or address capability targets identified through their annual THIRA and or capability gaps
identified through their annual SPR. Recipients should also review and consider areas for
improvement identified from real-world events and exercises, and national areas for
Page 27 of 46
Appendix A - FY 2016 EMPG Program Priorities
improvement identified in the most recent National Preparedness Repots when developing
exercise priorities.
The Multi-year Training and Exercise Plan (TEP) should consider the risks and capability
requirements described in the THIRA along with the guidance provided by elected and appointed
officials to identify and set training and exercise program priorities and develop a multi-year
schedule of exercise events and supporting training activities to meet those priorities. A TEP
that is developed from a Training and Exercise Planning Workshop (TEPW) provides a roadmap
to accomplish the multi-year priorities identified by elected and appointed officials and whole
community stakeholders. These priorities help curriculum and exercise planners design and
develop a progressive program of training and exercises that build, sustain, and increase the
ability to deliver core capabilities. Information related to TEPs and TEPWs can be found on the
Homeland Security Exercise and Evaluation Program (HSEEP) website at
httt)s:H%vww.fema.gov/exercise.
In addition to training activities aligned to and addressed in the TEP, all EMPG Program funded
personnel shall complete the following training requirements and record proof of completion:
NIMS Training, Independent Study (IS) 100, IS 200, IS 700, and IS 800. In addition, personnel
shall complete either the Independent Study courses identified in the Professional Development
Series or the National Emergency Management Basic Academy delivered either by the
Emergency Management Institute (EMI) or at a sponsored State, local, tribal, territorial, regional
or other, designated location. Further information on the National Emergency Management
Basic Academy and the Emergency Management Professional Program can be found at:
https•//trainin .fQ ema eov/emnn/. Previous versions of the IS courses meet the NIMS training
requirement. A complete list of Independent Study Program Courses may be found at
http•//trainina.fema.eov/is. A list of the Professional Development Series courses can be found
in Appendix B.
All recipients will develop and maintain a progressive exercise program, consistent to the degree
practical, HSEEP in support of the National Exercise Program (NEP). The NEP is critical to our
Nation's ability to test and validate core capabilities. Grant recipients are highly encouraged to
nominate exercises into the NEP. For additional information on the NEP, please refer to
litti)://www.fema.gov/national-exercise-program.
Recipients shall conduct no less than four quarterly exercises (i.e., one EMPG-funded exercise
and/or an exercise that includes EMPG-funded personnel per quarter) of any type (i.e.,
discussion -based or operations -based) and one full-scale exercise within a 12 -month period. The
five exercises shall be linked to common program priorities and reflect a series of increasingly
complex exercises with each building upon the previous one while incorporating prior lessons
learned. All EMPG-funded personnel shall participate in no fewer than three exercises in a 12 -
month period.
A progressive, multi-year exercise program enables organizations to participate in a series of
increasingly complex exercises, with each successive exercise building upon the previous one
while also taking into account prior lessons learned. Regardless of the exercise type, each
Page 28 of 46
Appendix A - FY 2016 EMPG Program Priorities
exercise within the progressive series is linked to a set of common program priorities and
designed to test associated capabilities.
Reporting:
• Recipients are required to develop a multi-year TEP that identifies a combination
of exercises and associated training requirements that address priorities identified
in the TEPW. The TEP shall be submitted to hseep(cbfema.dhs.eov 90 days after
the completion of the TEPW. States are encouraged to post their training and
exercise schedules to the National Exercise Scheduling System (NEXS) at
htti)s://www.fema.gov/exercise.
• Recipients should provide a list of completed training courses and exercises and
the Training and Exercise Data Table to be included in the Quarterly Performance
Progress Report.
• Recipients must include the percent completion of the TEP outlined in the FY
2016 EMPG Program Work Plan to be included in the Quarterly Performance
Progress Repots.
• In order to report on the required exercises, recipients can either submit one After
Action Report/Improvement Plan (AAR/IP) for the culminating full-scale exercise
from all 5 exercises conducted within a 12 -month period; or individual AAR/IPs
for each of the 5 exercises to hseeo AfemaAhs.eov, and the appropriate Regional
EMPG Program Manager no later than 90 days after completion of the exercise.
In accordance with HSEEP guidance recipients are reminded of the importance of
implementing corrective actions iteratively throughout the progressive exercise
cycle. Recipients are encouraged to use the HSEEP AARAP template located at
https://www.fema.eov/exercise and utilize the Corrective Action Program (CAP)
System at httns://hseeo.dhs.gov/cay, as a means to track the implementation of
corrective actions listed in the AAR/IP.
If a state/territory/local jurisdiction has experienced a major disaster, and would like to request
exemptions for a scheduled exercise, the recipient should send this request to its assigned FEMA
Regional EMPG Program Manager through the Quarterly Performance Progress Repots.
Exemptions will be reviewed on a case-by-case basis by the Regional EMPG Program Manager.
Reviewing and Updating
On a recurring basis, capability levels, resources, and plans should be reviewed to determine if
they remain relevant or need to be updated. This review should be based on a current risk
assessment and utilize information gathered during the capability validation process. These
reviews will provide a means to determine priorities, direct preparedness actions, and calibrate
goals and objectives.
Additional considerations
Strengthening Governance Integration
DHS/FEMA preparedness grant programs are intended to support the core capabilities across the
five mission areas of Prevention, Protection, Mitigation, Response, and Recovery that are
necessary to prepare for incidents that pose the greatest risk to the Nation's security. Each
Page 29 of 46
Appendix A - FY 2016 EMPG Program Priorities
program reflects the Department's intent to build and sustain an integrated network of national
capabilities across all levels of government and the whole community. Disparate governance
structures must be integrated and refined to ensure resources are targeted to support the most
critical needs of a community based on risk driven, capabilities -based planning. Strong and
inclusive governance systems better ensure that disparate funding streams are coordinated and
applied for maximum impact.
DHS/FEMA requires that all governance processes that guide the allocation of preparedness
grant funds adhere to the following guiding principles:
• Coordination of Investments — resources must be allocated to address the most critical
capability needs as identified in their SPR and coordinated among affected preparedness
stakeholders.
• Transparency — stakeholders must be provided visibility on how preparedness grant
funds are allocated and distributed, and for what purpose.
• Substantive Local Involvement — the tools and processes that are used to inform the
critical priorities, which DHS/FEMA grants support must include local government
representatives. At the state and regional levels, local risk assessments must be included
in the overarching analysis to ensure that all threats and hazards are accounted for.
• Flexibility with Accountability — recognition of unique preparedness gaps at the local
level, as well as maintaining and sustaining existing capabilities.
• Support of Regional Coordination — recognition of inter/intra-state partnerships and
dependencies at the state and regional levels, and within metropolitan areas.
Page 30 of 46
Appendix A - FY 2016 EMPG Program Priorities
Appendix B — FY 2016 EMPG Funding Guidelines
Allowable Costs
Management and Administration (M&A)
M&A activities are those defined as directly relating to the management and administration of
EMPG Program funds, such as financial management and monitoring. It should be noted that
salaries of state and local emergency managers are not typically categorized as M&A, unless the
state or local EMA chooses to assign personnel to specific M&A activities.
If the SAA is not the EMA, the SAA is not eligible to retain funds for M&A. M&A costs are
allowable for both state and local -level EMAs. The state EMA may use up to five percent (5%)
of the EMPG award for M&A purposes. In addition, local EMAs may retain and use up to five
percent (5%) of the amount received from the state for local M&A purposes.
Indirect Costs
Indirect costs are allowable under this program as described in 2 C.F.R. § 200.414. With the
exception of recipients who have never received a negotiated indirect cost rate as described in 2
C.F.R. § 200.414(0, recipients must have an approved indirect cost rate agreement with their
cognizant federal agency to charge indirect costs to this award. A copy of the approved rate (a
fully executed, agreement negotiated with the applicant's cognizant federal agency) is required at
the time of application, and must be provided to FEMA before indirect costs are charged to the
award.
Planning
Planning spans all five National Preparedness Goal (the Goal) mission areas and provides a
baseline for determining potential threats and hazards, required capabilities, required resources,
and establishes a framework for roles and responsibilities. Planning provides a methodical way
to engage the whole community in the development of a strategic, operational, and/or
community-based approach to preparedness.
EMPG Program funds may be used to develop or enhance emergency management planning
activities. Some examples include:
• Development of THIRA and SPR
• Development of an all -hazards mitigation plan based on identified risks and hazards
Emergency Management/Operation Plans
• Maintaining a current EOP that is aligned with guidelines set out in CPG 101v.2
https://www.fema.pov/media-library/assets/(Iocuinents/25975
• Modifying existing incident management and emergency operations plans
• Developing/enhancing large-scale and catastrophic event incident plans
Communications Plans
• Developing and updating Statewide Communication Interoperability Plans
• Developing and updating Tactical Interoperability Communications Plans
Page 31 of 46
Appendix A — FY 2016 THSGP Priorities
Continuity/Administrative Plans
• Developing/enhancing Continuity of Operation (COOP)/Continuity of Government
(COG) plans
• Developing/enhancing financial and administrative procedures for use before, during,
and after disaster events in support of a comprehensive emergency management
program
Whole Community Engagement/Planning
• Developinglenhancing emergency operations plans to integrate citizen/volunteer and
other non-governmental organization resources and participation
• Engaging the whole community in public education and awareness activities such as
America's PrepareAthon!—The America's PrepareAthon! website,
ready.sov/prepare, includes customizable promotional materials and easy-to-use
resources)
• Planning to foster public-private sector partnerships, including innovation for
disasters initiatives that support the mission areas identified in the Goal
• Executing an America's PrepareAthon! activity to engage the whole community in a
hazard -specific activity on the National Day of Action
• Establishing a Citizen Corps Whole Community Council that brings together
representatives of the whole community to provide input on emergency operations
plans, risk assessments, mitigation plans, alert and warning systems, and other plans;
assist in outreach and education of community members in preparedness activities;
and build volunteer capability to support disaster response and recovery
• Delivering the CERT Basic Training Course and supplemental training for CERT
members who have completed the basic training, the CERT Train -the -Trainer Course,
and the CERT Program Manager course (strongly encouraged)
• Developing or enhancing mutual aid agreements/compacts, including required
membership in EMAC
• Information on Citizen Corps Whole Community Councils and CERT programs can
be found at: httu:/hvww.ready.gov/citizen-cotes for Citizen Corps Whole Community
Councils and at http://www.fema.gov/coinmunity-einergency-reSI)onse-teams for
CERT Programs.
• Other preparedness activities include Youth Preparedness programs that support
practitioners as they create and run programs in their communities. Resources are
available at www.ready.eov/youth-preparedness. The Youth Preparedness Catalogue.
The catalogue describes national, regional, and state -level programs.
httR://www.fema.gov/media-library/assets/documents/94775. For more information
on the Council please visit: www.ready.gov/vouth-preparedness-council.
Resource Management Planning
• Developing/enhancing logistics and resource management plans
• Developing/enhancing volunteer and/or donations management plans
• Acquiring critical emergency supplies such as: shelf stable food products, water,
and/or basic medical supplies. Acquisition of critical emergency supplies requires
Page 32 of 46
Appendix A – FY 2016 THSGP Priorities
each state to have FEMA's approval of a five-year viable inventory management plan
if planned grant expenditure is over $100,000; an effective distribution strategy;
sustainment costs for such an effort
Evacuation planning
• Developing/enhancing evacuation plans, including plans for: alerts/waming, crisis
communications, pre -positioning of equipment for areas potentially impacted by mass
evacuations, sheltering, and re-entry.
Recovery Planning
• Disaster housing planning, such as creating/supporting a state disaster housing task
force and developing/enhancing state disaster housing plans
• Pre -event response/recovery/mitigation plans in coordination with state, local, and
tribal governments
• Developinglenhancing other response and recovery plans
• Developing recovery plans and preparedness programs consistent with the principles
and guidance in the National Disaster Recovery Framework (NDRF) that will provide
the foundation for recovery programs and whole -community partnerships.
Preparedness and pre -disaster planning was given special attention within the NDRF
with specific guidance: Planning for a Successful Disaster Recovery (pages 63-70).
For more information on the NDRF see
littn://www.fema.eov/pdf/recove[yframework/ndrf.adf and
littp://www.feina.pov/media-libraLy-data/1423604728233-
I d76a43cabfl 209678054c0828bbe8b8/EffectiveCoordinationofRecovervResourcesG
uide0205l5vFNL.ndf
Federal (and Mutual Aid) Emergency Response Official (F/ERO) Credentialing and Validation
• Working group meetings and conferences relating to emergency responder
credentialing and validation
• Compiling data to enter into an emergency responder repository
• Coordinating with other state, local, territorial, and tribal partners to ensure
interoperability among existing and planned credentialing and validation systems and
equipment
• Planning to incorporate emergency responder identity and credential validation into
training and exercises.
Organization
Per the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended, (42
U.S.C. §§ 5121-5207), EMPG Program funds may be used for all -hazards emergency
management operations, staffing, and other day-to-day activities in support of emergency
management, including hazard mitigation staffing of the State Hazard Mitigation Officer
(SHMO) position; staffing CERT and Citizen Corps positions at the state and local levels in
order to promote whole community engagement in all phases of emergency management;
performing close-out activities on FEMA Disaster Assistance grants; staffing permanent
technical advisors on children's needs at the state, local, tribal and territorial levels and
supporting fusion center analysts who are directly involved in all -hazards preparedness activities
Page 33 of 46
Appendix 13- FY 2016 EMPG Program Funding Guidelines
as defined by the Stafford Act. Proposed staffing activities should be linked to accomplishing the
activities outlined in the EMPG Program Work Plan. Recipients are encouraged to fund at least
one dedicated Planner, Training Officer, and Exercise Officer.
Personnel costs, including salary, overtime, compensatory time off, and associated fringe
benefits, are allowable costs with EMPG Program funds. These costs must comply with 2 C.F.R.
Part 200, Subpart E — Cost Principles.
Equipment
Allowable equipment categories for the EMPG Program are listed on the web -based version of
the Authorized Equipment List (AEL) at httys://www.fema.gov/authorized-equipment-list.
Unless otherwise stated, equipment must meet all mandatory regulatory and/or FEMA -adopted
standards to be eligible for purchase using these funds. In addition, agencies will be responsible
for obtaining and maintaining all necessary certifications and licenses for the requested
equipment.
Allowable equipment includes equipment from the following AEL categories:
• Personal Protective Equipment (PPE) (Category 1)
• Information Technology (Category 4)
• Cybersecurity Enhancement Equipment (Category 5)
• Interoperable Communications Equipment (Category 6)
• Detection Equipment (Category 7)
• Power Equipment (Category 10)
• Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Reference
Materials (Category 11)
• CBRNE Incident Response Vehicles (Category 12)
• Physical Security Enhancement Equipment (Category 14)
• CBRNE Logistical Support Equipment (Category 19)
• Other Authorized Equipment (Category 21)
In addition to the above, general purpose vehicles are allowed to be procured in order to carry
out the responsibilities of the EMPG Program. If recipients have questions concerning the
eligibility of equipment not specifically addressed in the AEL, they should contact their Regional
EMPG Program Manager for clarification.
Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially
high cost items and those subject to rapid technical advances. Large equipment purchases must
be identified and explained. For more information regarding property management standards for
equipment, please reference 2 C.F.R. Part 200, including 2 C.F.R. §§ 200.310, 200.313, and
200.316.
Controlled Equipment
Grant funds may be used for the purchase of Controlled Equipment, however, because of the
nature of the equipment and the potential impact on the community, there are additional and
Page 34 of 46
Appendix B- FY 2016 EMPG Program Funding Guidelines
specific requirements in order to acquire this equipment. Refer to Information Bulletin 407 Use
of Gram Funds for Controlled Equipment for the complete Controlled Equipment List,
information regarding the Controller! Equipment Request Form, and a description of the specific
requirements for acquiring controlled equipment with DHS/FEMA grant funds. For additional
information on controlled equipment refer to Executive Order (EO) 13688 Federal Support for
Local Law Enforcement Eauioment Acquisition, and the Recommendations Pursuant to
Executive Order 13688.
Requirements for Small Unmanned Aircraft System
All requests to purchase Small Unmanned Aircraft System (SUAS) with FEMA grant funding
must also include the policies and procedures in place to safeguard individuals' privacy, civil
rights, and civil liberties of the jurisdiction that will purchase, take title to, or otherwise use the
SUAS equipment, see Presidential Memorandum: Promoting Economic Competitiveness While
Safeguarding Privacy, Civil Rights, and Civil Liberties. in Domestic Use of Unmanned Aircraft
Systems, issued February 20, 2015.
Training
EMPG Program funds may be used for a range of emergency management -related training
activities to enhance the capabilities of state and local emergency management personnel through
the establishment, support, conduct, and attendance of training. Training activities should align
to a current, Multi -Year TEP developed through an annual TEPW. Further guidance concerning
the TEP and the TEPW can be found at http://www.fema.gov/exercise. Training should foster
the development of a community oriented approach to emergency management that emphasizes
engagement at the community level, strengthens best practices, and provides a path toward
building sustainable resilience.
EMPG Program funds used for training should support the nationwide implementation of NIMS.
The NIMS Training Program establishes a national curriculum for NIMS and provides
information on NIMS courses; recipients are encouraged to place emphasis on the core
competencies as defined in the NIMS Training Program. The NIMS Training Program can be
found at htty://www.fema.gov/training-0.
The NIMS Guidelinefor Credentialing of Personnel provides guidance on the national
credentialing standards. The NIMS Guidelines for Credentialing can be found at
htti)://www.fema.gov/nims-doctrine-suppoi-tiniz-giiides-tool
Professional Development Series courses include:
• IS -120.a An Introduction to Exercises
• IS -230.d Fundamentals of Emergency Management
• IS -235.b Emergency Planning
• IS -240.b Leadership and Influence
• IS -241.b Decision Making and Problem Solving
• IS -242.b Effective Communication
• IS -244.b Developing and Managing Volunteers
Page 35 of 46
Appendix B- FY 2016 EMPG Program Funding Guidelines
To ensure the professional development of the emergency management workforce, the recipients
must ensure a routine capabilities assessment is accomplished and a TEP is developed and
implemented.
For additional information on review and approval requirements for training courses funded with
preparedness grants please refer to the following policy: httn://www.fema.iyov/inedia-library-
data/II15d44e0636766895IOaa1be79c1875/FINAL GPD+Trainine+Three+for+Free+Policy 09
+10+13.odf.
Additional types of training or training related activities include, but are not limited to, the
following:
• Developing/enhancing systems to monitor training programs
• Conducting all hazards emergency management training
• Attending Emergency Management Institute (EMI) training or delivering EMI train -
the -trainer courses
• Attending other FEMA -approved emergency management training
• State -approved, locally -sponsored CERT training
• Mass evacuation training at local, state, and tribal levels
Allowable training -related costs include the following:
Funds Used to Develop, Deliver, and Evaluate Training. This includes costs related
to administering the training: planning, scheduling, facilities, materials and supplies,
reproduction of materials, and equipment. Training should provide the opportunity to
demonstrate and validate skills learned, as well as to identify any gaps in these skills.
Any training or training gaps, including those for children and individuals with
disabilities or access and functional needs, should be identified in the Multi-year TEP
and addressed in the training cycle. States are encouraged to use existing training
rather than developing new courses. When developing new courses states are
encouraged to apply the Analysis Design Development and Implementation
Evaluation (ADDIE) model for instruction design.
Overtime and Backfill. The entire amount of overtime costs, including payments
related to backfilling personnel, which are the direct result of attendance at FEMA
and/or approved training courses and programs are allowable. These costs are
allowed only to the extent the payment for such services is in accordance with the
policies of the state or unit(s) of local government and has the approval of the state or
FEMA, whichever is applicable. In no case is dual compensation allowable. That is,
an employee of a unit of government may not receive compensation from their unit or
agency of government AND from an award for a single period of time (e.g., 1:00 p.m.
to 5:00 p.m.), even though such work may benefit both activities.
Travel. Travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as
expenses by employees who are on travel status for official business related to
approved training.
Page 36 of 46
Appendix 13- FY 2016 EMPG Program Funding Guidelines
Hiring of Fill or Part -Tune Staff or Contractors/Consultants. Full or part-time
staff or contractors/consultants may be hired to support direct training -related
activities. Payment of salaries and fringe benefits must be in accordance with the
policies of the state or unit(s) of local government and have the approval of the state
or FEMA, whichever is applicable.
Certification/Recertifrcation of Instructors. Costs associated with the certification
and re -certification of instructors are allowed. States are encouraged to follow the
FEMA Instructor Quality Assurance Program to ensure a minimum level of
competency and corresponding levels of evaluation of student learning. This is
particularly important for those courses which involve training of trainers.
Exercises
Allowable exercise -related costs include:
Funds Used to Design, Develop, Conduct and Evaluate an Ecercise. This includes
costs related to planning, meeting space and other meeting costs, facilitation costs,
materials and supplies, travel, and documentation. Recipients are encouraged to use
free public space/locations/facilities, whenever available, prior to the rental of
space/locations/facilities. Exercises should provide the opportunity to demonstrate
and validate skills learned, as well as to identify any gaps in these skills. Gaps
identified during an exercise including those for children and individuals with
disabilities or access and functional needs, should be identified in the AAR/IP and
addressed in the exercise cycle.
Hiring of Full or Part -Tirane Staff or Contractors/Consultants. Full or part—time
staff may be hired to support direct exercise activities. Payment of salaries and fringe
benefits must be in accordance with the policies of the state or unit(s) of local
government and have the approval of the state or FEMA, whichever is applicable.
The services of contractors/consultants may also be procured to support the design,
development, conduct and evaluation of exercises.
Overtime and Backfill. The entire amount of overtime costs, including payments
related to backfilling personnel, which are the direct result of time spent on the
design, development and conduct of exercises are allowable expenses. These costs
are allowed only to the extent the payment for such services is in accordance with the
policies of the state or unit(s) of local government and has the approval of the state or
FEMA, whichever is applicable. In no case is dual compensation allowable. That is,
an employee of a unit of government may not receive compensation from their unit or
agency of government AND from an award for a single period of time (e.g., 1:00 p.m.
to 5:00 p.m.), even though such work may benefit both activities.
Travel. Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses
by employees who are on travel status for official business related to the planning and
conduct of the exercise activities.
Supplies. Supplies are items that are expended or consumed during the course of the
planning and conduct of the exercise activities (e.g., gloves, non-sterile masks, and
disposable protective equipment).
Implementation of HSEEP. This refers to costs related to developing and
maintaining an exercise program consistent with HSEEP.
Page 37 of 46
Appendix B- FY 2016 EMPG Program Funding Guidelines
Other Items. These costs are limited to items consumed in direct support of exercise
activities such as the rental of space/locations for planning and conducting an
exercise, rental of equipment, and the procurement of other essential nondurable
goods. Recipients are encouraged to use free public space/locations, whenever
available, prior to the rental of space/locations. Costs associated with inclusive
practices and the provision of reasonable accommodations and modifications that
facilitate full access for children and adults with disabilities are allowable.
Unauthorized exercise -related costs include:
Reimbursement for the maintenance and/or wear and tear costs of general use vehicles
(e.g., construction vehicles) and emergency response apparatus (e.g., fire trucks,
ambulances). The only vehicle costs that are reimbursable are fuel/gasoline or mileage.
Equipment that is purchased for permanent installation and/or use, beyond the scope of
exercise conduct (e.g., electronic messaging signs)
Durable and non -durable goods purchased for installation and/or use beyond the scope of
exercise conduct
Construction and Renovation
Construction and renovation projects for a state, local, territorial, or Tribal government's
principal Emergency Operations Center (EOC) as defined by the SAA are allowable under the
EMPG Program.
Written approval must be provided by FEMA prior to the use of any EMPG Program funds for
construction or renovation. Requests for EMPG Program funds for construction of an EOC must
be accompanied by an EOC Investment Justification (FEMA Form 089-0-0-3; OMB Control
Number 1660-0124 http://www.fema.poy/pdf/movernment/grant/201 I/fyl 1 eoc inv pdt) to
their Regional EMPG Program Manager for review. Additionally, recipients are required to
submit a SF -424C Budget and Budget detail citing the project costs.
When applying for funds to construct communication towers, recipients and subrecipients must
submit evidence that the Federal Communication Commission's (FCC) Section 106 review
process has been completed and submit all documentation resulting from that review to GPD
prior to submitting materials for EHP review. Recipients and subrecipients are also encouraged
to have completed as many steps as possible for a successful EHP review in support of their
proposal for funding (e.g., coordination with their State Historic Preservation Office to identify
potential historic preservation issues and to discuss the potential for project effects, compliance
with all state and EHP laws and requirements). Projects for which the recipient believes an
Environmental Assessment (EA) may be needed, as defined in 44 C.F.R. § 10.8, must also be
identified to the FEMA EMPG Regional Program Manager within six months of the award and
completed EHP review materials must be submitted no later than 12 months before the end of the
period of performance. EHP review packets should be sent to godehninfo(c0ema.g_ov.
EMPG Program recipients using funds for construction projects must comply with the Davis -
Bacon Act (40 U.S.C. §§ 3141 et seq.). Grant recipients must ensure that their contractors or
subcontractors for construction projects pay workers no less than the prevailing wages for
Page 38 of 46
Appendix B- FY 2016 EMPG Program Funding Guidelines
laborers and mechanics employed on projects of a character similar to the contract work in the
civil subdivision of the state in which the work is to be performed. Additional information
regarding compliance with the Davis -Bacon Act, including Department of Labor (DOL) wage
determinations, is available from the following website:
http://www.dol.gov/compliancc/laws/comp-dbra.liti .
Maintenance and Sustainment
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or
replacement costs, upgrades, and user fees are allowable under all active grant awards, unless
otherwise noted.
EMPG Program grant funds are intended to support the Goal and fund activities and projects that
build and sustain the capabilities necessary to prevent, protect against, mitigate the effects of,
respond to, and recover from those threats that pose the greatest risk to the security of the Nation.
In order to provide recipients the ability to meet this objective, the policy set forth in GPD's IB
379 (Guidance to State Administrative Agencies to Expedite the Expenditure of Certain
DHS/FEMA Grant Funding) allows for the expansion of eligible maintenance and sustainment
costs, which must be in: (1) direct support of existing capabilities; (2) must be an otherwise
allowable expenditure under the applicable grant program; (3) be tied to one of the core
capabilities in the five mission areas contained within the Goal, and (4) shareable through the
EMAC. Additionally, eligible costs may also be in support of equipment, training, and critical
resources that have previously been purchased with either federal grant funding or any other
source of funding other than DHS/FEMA preparedness grant program dollars. Additional
guidance is provided in FEMA Policy FP 205-402-125-1, Maintenance Contracts and Warranty
Coverage Funded by Preparedness Grants, located at: h_ Ut)://www.fema.gov/media-
I ibrary/assets/documents/32474.
Unallowable Costs
Prohibited Equipment: Grant funds may not be used for the purchase of Prohibited
Equipment. Refer to Information Bulletin 407 Use of Grant Funds for Controlled
Equipment for the complete Prohibited Equipment List. For additional information on
Prohibited Equipment see Executive Order (EQ) 13688 Federal Support for Local Law
Enforcement Equipment Acouisition, and the Recommendations Pursuant to Executive
Order 13688.
Expenditures for weapons systems and ammunition
Costs to support the hiring of sworn public safety officers for the purposes of fulfilling
traditional public safety duties or to supplant traditional public safety positions and
responsibilities
Activities and projects unrelated to the completion and implementation of the EMPG
Program
In general, recipients should consult with their EMPG Regional Program Manager prior to
making any investment that does not clearly meet the allowable expense criteria established in
this Guidance.
Page 39 of 46
Appendix B- FY 2016 EMPG Program Funding Guidelines
Appendix C — FY 2016 EMPG Program Work Plan
EMPG Program Work Plan Instructions
All EMPG Program applicants are encouraged to use the templates to submit a required Work
Plan that outlines the state's emergency management sustainment and enhancement efforts,
including new and ongoing activities and projects, proposed for the EMPG Program period of
performance. The Work Plan consists of a Program and Budget Narrative, Personnel Data
Table, Training Data Table, Exercise Data Table, and Grant Activities Outline. EMPG Regional
Program Managers will work closely with states to monitor Work Plans during the performance
period and may request further documentation from the recipients to clarify the projected work
plan. In addition, EMPG Regional Program Managers must approve final Work Plans before
states may draw down EMPG Program funds. Grant funds will be released upon approval of the
state's final Work Plan.
Program and Budget Narrative
Provide a brief description of the state emergency management priorities and initiatives that will
be addressed with EMPG Program funds. In addition, the narrative should address the following:
• Overview of the state's risk profile resulting from the current THIRA
• Areas of need identified through assessment processes such as the SPR, Emergency
Management Accreditation Program Assessment Process, National Emergency
Communications Plan Goal Assessments, or other emergency management assessment
processes
• Baseline inventory of where states are now relative to goals and objectives identified in
relevant strategic plans per CPG 101 v.2
• State emergency management priorities and planning focus for current budget year
(including linkage to the core capabilities identified in the Goal)
• Detailed Budget Narrative justifying the requested funding for the identified Work Plan
activities
• Description of how projects and programmatic activities support the building or
sustainment of the core capabilities as outlined in the Goal
Personnel Data Table
To facilitate consistent data reporting and performance measures collection, a Personnel
Data Table should be completed for state, local, tribal and territory (SLTT) personnel
supported with EMPG Program funds. This will assist in documenting the extent to
which EMPG Program funding supports personnel at the state -level. Submit this
template with the EMPG Program Work Plan and a roster of EMPG-funded personnel.
The roster of EMPG-funded personnel should be updated only if numbers change more
than 10 percent during the award period of performance.
Page 40 of 46
Appendix C- FY 2016 EMPG Program Work Plan
Personnel Data Table Template
Personnel Metrics
Data
.EMPG Program funds (Federal and match) allocated towards state emergency
management personnel
EMPG Program funds (Federal and match) allocated towards non -state emergency
-management personnel local, Tribal, territories
Total Number of state emergency management full-time equivalent (FTE) personnel
-(including those supported and not supported by the EMPG Program)
Number of state emergency management full-time equivalent (FTE) personnel
supported (fully or partially) by the EMPG Program
Total Number of state, local, Tribal and territory (SLIT) emergency management
-personnel supported (fully orpartially) by the EMPG Program
Personnel Data Table Definitions
Line I — All EMPG Program funds (Fed & match) allocated for state emergency management
personnel
Line 2 — All EMPG Program funds (Fed & match) allocated towards non -state emergency
management personnel (Local, Tribal, Territories)
Line 3 — Total Number of state emergency management full-time equivalent (FTE) personnel
(including those supported and not supported by the EMPG Program)
Line 4 — Number of state emergency management full-time equivalent (FTE) personnel
supported by the EMPG Program
Line 5 — Total Number of state and local emergency management personnel funded (fully or
partially) by the EMPG Program. This number provides the "Universe" number for the Training
& Exercise templates
Training Data Table
To facilitate consistent data reporting and performance measures collection, a Training Data
Table should be completed for training courses that meet the EMPG reporting requirements.
This template should reflect training activities outlined in the Multi -Year TEP and completion of
EMPG Program training requirements. EMPG Program funded personnel should complete the
listed training requirements and record proof of completion.
Page 41 of 46
Appendix C- FY 2016 EMPG Program Work Plan
Training Data Table Template
Training Data Table Definitions:
Col 1 — Name of Training
Col 2 — Is the course required of EMPG-funded personnel?
Col 3 — # of Personnel Trained
Col 4 — Total # of SLTT EMPG Funded Personnel (Universe)
Col 5 — Total # of SLTT EMPG Funded Personnel that completed the Course
Col 6 — Is the training identified in the multi-year TEP?
Exercise Data Table
To facilitate consistent data reporting and performance measure collection, an Exercise Data
Table should be completed for any exercises that meet EMPG requirements and/or exercises
conducted in whole or part with EMPG funds. Recipients shall conduct no less than four
quarterly exercises and one full-scale exercise within a 12 -month period. The five exercises
shall be linked to common program priorities and reflect a progressive exercise series of
increasingly complex exercises with each building upon the previous one while incorporating
prior lessons learned. The exercises should be part of the recipient's progressive exercise
program and outlined in the Multi-year TEP. EMPG Program funded personnel shall participate
in no less than three exercises.
Page 42 of 46
Appendix C- FY 2016 EMPG Program Work Plan
Total # of
Total # of
SLTT
EMPG
Number of
SLTT
ENIPG
Training
Name of Training
Required
Personnel
EMPG
Funded
Identified
Training.
Trained
Funded
Personnel
in TEP
(Y/N)
Personnel
that
(Y/N)
completed
the Course
Training Data Table Definitions:
Col 1 — Name of Training
Col 2 — Is the course required of EMPG-funded personnel?
Col 3 — # of Personnel Trained
Col 4 — Total # of SLTT EMPG Funded Personnel (Universe)
Col 5 — Total # of SLTT EMPG Funded Personnel that completed the Course
Col 6 — Is the training identified in the multi-year TEP?
Exercise Data Table
To facilitate consistent data reporting and performance measure collection, an Exercise Data
Table should be completed for any exercises that meet EMPG requirements and/or exercises
conducted in whole or part with EMPG funds. Recipients shall conduct no less than four
quarterly exercises and one full-scale exercise within a 12 -month period. The five exercises
shall be linked to common program priorities and reflect a progressive exercise series of
increasingly complex exercises with each building upon the previous one while incorporating
prior lessons learned. The exercises should be part of the recipient's progressive exercise
program and outlined in the Multi-year TEP. EMPG Program funded personnel shall participate
in no less than three exercises.
Page 42 of 46
Appendix C- FY 2016 EMPG Program Work Plan
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Exercise Data Table Definitions:
Col 1 — Name/Description of Exercise
Col. 2 — Date of exercise
Col 3 — Type of exercise (e.g., seminar, workshop, tabletop, games, drills, functional, and/or
full-scale)
Col 4 — Total # of SLTT EMPG Funded Personnel (Universe)
Col 5 — Total # of SLTT EMPG Funded Personnel Participating in Exercise
Grant Activities Outline
To facilitate performance measures and focus on outcomes, an EMPG Program
Grant Activities Outline should be completed for activities supported with FY 2016
EMPG Program funds (including construction and renovation projects). The data outlined in this
template will be used to evaluate the timely completion of planned emergency management
activities. Recipients are encouraged to complete a separate Grant Activities Outline for each
Emergency Management Function (EMF). Quarterly training activities should be reported
against EMF #13, "Training," and quarterly exercise activities should be reported against
EMF # 14, "Exercises, Evaluations and Corrective Actions." Recipients should complete a
template as shown on the next page and address the following areas:
• EMF Number. Identify how the grant activities relate to the EMFs outlined in the
September 2013 version of the Emergency Management Accreditation Program
(EMAP) Standard (e.g. Resource Management,: Communications and Warning, etc.)
The link to the EMAP 2013 Standard is at :httn://www.emap.org/index.php/what-is-
emao/the-emergency-rnanaa,ement-standard
• Name of Planned Project. Provide a descriptive name of each planned project.
Examples include "Development of Emergency Function Annexes", "Development of
Earthquake Scenario Loss Estimations", "Implementation of Statewide Interoperability
• Plan", "NIMS Training for Emergency Management Personnel', "Development of
Emergency Preparedness Plan for Individuals with Disabilities", etc.
• Project Objective. Briefly explain the major objective of the project, including how the
project will address gaps identified through various assessments conducted.
• Core Capability Addressed. Briefly describe which of the 32 core capabilities
(multiple can be selected) the project addresses.
• Performance Measure and Basis of Evaluation. Indicate the performance measure
that will be used to evaluate this project.
Page 44 of 46
Appendix C- FY 2016 EMPG Program Work Plan
• Challenges/Risks. Identify any challenges to implementing this project or any of its
activities.
• Quarterly Activity. Break each project down into quarterly activities. For each
quarter, briefly identify the activities that will accomplish the planned project. This
information will provide the foundation for the second component of the Quarterly
Performance Progress Report.
• Step. Provide the status of planned quarterly activities (Initiate, Plan, Execute,
Control, and Closeout).
• Comments. Briefly describe the reason for the project status and provide other
comments as needed. Include the number of training sessions funded and the
number of personnel trained in this section.
Grant Activities Outline - Template
Name of Planned Project:
Description
Process
Initiate
Project Objective:
Involves preparing for, assembling
resume work on any particular activity
Core Capabilities
apply to any level, e.g. program, project,
Addressed:
phase, activity, task.
Performance Measure and
Basis of Evaluation:
Challenges/Risks:
I° Quarter Activity
planned Activities:
Step:
Comments:
(10/I/15-12/31/15
2"d Quarter Activity
Planned Activities:
Step:
Comments:
1/1/16-3/31/16
31d Quarter Activity
Planned Activities:
Step:
Comments:
4/1/16-6/30/16
4'h Quarter Activity
planned Activities:
Step:
Comments:
7/l/16-9/30/16
51h Quarter Activity
planned Activities:
Step:
Comments:
10/1/16-12/31/16
6'h Quarter Activity
planned Activities:
Step:
Comments:
1/1/17-3/31/17
7" Quarter Activity
planned Activities:
Step:
Comments:
4/1/17-6/30/17
81h Quarter Activity
Planned Activities:
Step:
Comments:
7/1/17-9/30/17
Project Management Lifecycle
Steps
Description
Process
Initiate
The authorization to begin work or
Involves preparing for, assembling
resume work on any particular activity
resources and getting work started. May
apply to any level, e.g. program, project,
phase, activity, task.
Page 45 of 46
Appendix C- FY 2016 EMPG Program Work Plan
Page 46 of 46
Appendix C- FY 2016 EMPG Program Work Plan
The purposes of establishing, at an early
Involves working out and extending the
Plan
date, the parameters of the project that is
theoretical, practical, and/or useful
going to be worked on as well as to try to
application of an idea, concept, or
delineate any specifics and/or any
preliminary design. This also involves a
peculiarities to the project as a whole
plan for moving a project concept to a viable
and/or any specific phases of the project.
project.
The period within the project lifecycle
Involves directing, accomplishing,
Execute
during which the actual work of creating
managing, and completing all phases and
theproject's deliverables is carried out.
aspects of work fora given project.
A mechanism which reacts to the current
Involves exercising corrective action as
Control
project status in order to ensure
necessary to yield a required outcome
accomplishment of project objectives. This
consequent upon monitoring
involves planning, measuring, monitoring,
performance. Or, the process of
and taking corrective action based on the
comparing actual performance with
results of the monitoring.
planned performance, analyzing
variances, evaluating possible
alternatives, and taking appropriate
correct action as needed.
The completion of all work on a project.
Involves formally terminating and
Close Out
Can also refer to completion of a phase of
concluding all tasks, activities, and
the project.
component parts of a particular project, or
phase of a project
Page 46 of 46
Appendix C- FY 2016 EMPG Program Work Plan
EXHIBIT B
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EXHIBIT C
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Fiscal Year 2016
EMERGENCY MANAGEMENT
PERFORMANCE GRANT (EMPG) PROGRAM
California Supplement to the Federal Program Notice of
Funding Opportunity; or, The State Guidance
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0
Table of Contents
FEDERAL PROGRAM GUIDANCE......................................................................................................................
I
INFORMATIONBULLETINS..............................................................................................................................
I
GRANT MANAGEMENT MEMORANDUMS........................................................................................................1
PURPOSE OF THIS SUBAWARD & GUIDANCE...................................................................................................1
ELIGIBLE SUBAWARD SUBRECIPIENTS............................................................................................................1
SUBRECIPIENTS / PASS-THROUGH ENTITIES...................................................................................................1
PERFORMANCEPERIOD...................................................................................................................................2
MATCHREQUIREMENTS.......................................................::........................................................................2
ALLOCATIONS AND METHODOLOGY...............................................................................................................2
EXCESSFUNDS...............................................................................................................................................2
INDIRECTCOSTS...........................................................::.................................................................................2
CONFLICTOF INTEREST..................................................................................................................................2
SUBAWARD TIMELINES / KEY DATES.............................................................................................................3
WHAT'S NEW?...............................................................................................................................................4
EMPGPROGRAM EMPHASIS..........................................................................................................................4
APPLICANT RESPONSIBILITIES........................................................................................................................5
APPLICATIONDOCUMENTS.............................................................................................................................5
OPTIONAL APPLICATION COMPONENTS..........................................................................................................6
GOVERNING BODY RESOLUTION(GBR).........................................................................................................6
ADDENDUM TO GOVERNING BODY RESOLUTION...........................................................................................6
OFFICIAL WRITTEN CORRESPONDENCE..........................................................................................................6
SOLE SOURCE PROCUREMENT........................................................................................................................6
GRANTASSURANCES......................................................................................................................................7
NIMSADOPTION............................................................................................................................................7
APPLICATIONDUE DATE................................................................................................................................7
APPLICATIONSUBMITTAL...............................................................................................................................8
EMPGPROGRAM SPECIALISTS.......................................................................................................................8
MAILINGADDRESS.........................................................................................................................................8
APPROVALOF APPLICATION...........................................................................................................................8
ADDITIONALFUNDS.......................................................................................................................................8
APPLICABLE LAWS & REGULATIONS..............................................................................................................9
ENVIRONMENTAL PLANNING AND HISTORIC PRESERVATION (EHP) COMPLIANCE........................................9
FEDERALLY MANDATED OBJECTIVE INFORMATION.....................................................................................10
EXTENSIONREQUESTS..................................................................................................................................10
i
VALIDATING CAPABILITIES OBJECTIVE: DEVELOP AND MAINTAIN MULTI-YEAR TEPS ..............................
11
VALIDATING CAPABILITIES OBJECTIVE: EXERCISE......................................................................................
I l
VALIDATING CAPABILITIES OBJECTIVE: TRAINING......................................................................................12
TRAININGFEEDBACK NUMBER.....................................................................................................................
13
SUBCONTRACTS............................................................................................................................................13
SYSTEM FOR AWARD MANAGEMENT (SAM)...............................................................................................13
MAINTENANCEAND SUSTAINMENT................................................................:.............................................
13
UNALLOWABLECOSTS.................................................................................................................................14
SUPPLANTING...............................................................................................................................................14
ACCESSIBILITYOF RECORDS........................................................................................................................14
REIMBURSEMENT OF ELIGIBLE COSTS..........................................................................................................14
SUBAWARDMODIFICATIONS........................................................................................................................
14
PERFORMANCEREPORTS..............................................................................................................................
15
CLOSEOUT....................................................................................................................................................
I5
RECORDSRETENTION...................................................................................................................................
15
FINALSUBAWARD REPORT...........................................................................................................................
15
AUDITREQUIREMENTS.................................................................................................................................
15
MONITORING SUBAWARD PERFORMANCE....................................................................................................
15
SUBAWARD-RELATED DOCUMENTS:'
• FINANCIAL MANAGEMENT FORMS WORKBOOK (FMFW) - (REQUIRED)
• GOVERNING BODY RESOLUTION (GBR) & ADDENDUM TO GBR - (REQUIRED)
• GRANT ASSURANCES - (REQUIRED)
• FY 2016 EMPG PROGRAM APPLICATION CHECKLIST - (REQUIRED)
• INDIRECT COST RATE NEGOTIATION AGREEMENT - (REQUIRED IF APPLICABLE)
• EXCESS FUNDS STATEMENT FORM - (OPTIONAL)
• ADDITIONAL PROJECT USING EXCESS FUNDS FORM - (OPTIONAL)
• ADDITIONAL PROJECT USING EXCESS FUNDS DETAILED BUDGET FORM - (OPTIONAL)
• HOW TO SUBMIT AN EMPG MODIFICATION REQUEST - (INSTRUCTIONAL)
• HOW TO SUBMIT AN EMPG REIMBURSEMENT REQUEST - (INSTRUCTIONAL)
' All documents are located on the Cal OES website at: httu://www.caloes ca eov/GrantsManagementSite/Pages/Eineraencv Mana e, ement
Performance-Grant.asor
Federal Program
The Department of Honreland Security (DHS) Notice of Funding Opporhurity (NOFO)
Fiscal Year 2016 Emergency Management Performance Grant Program (EMPG) was
Guidance
published on February 16, 2016.2
Information
DHS issues Information Bulletins that provide updates, clarification, and requirements
Bulletins
throughout the life of the grant.3
Grant
Cal OES periodically issues Grant Management Memorandums (GMMs). GMMs that
information EMPG funds are located on the Cal OES website.4
Management
provide additional regarding
Memorandums
Purpose of this
The purpose of the Emergency Management Performance Grant (EMPG) Program is to
federal funds to states to assist state, local, and tribal governments in preparing for all
Subaward &
provide
hazards. Funds provided under the EMPG must be used to support activities that contribute to
Guidance
the Operational Area's capability to prevent, prepare for, mitigate against, respond to, and
recover from emergencies and disasters, whether natural or man-made. This California
Supplement to the Federal Program: Notice of Funding Opportunity; or, The State Guidance
will provide the Operational Areas (OAs) with guidance and forms to apply for, perform, and
closeout the FYI 6 EMPG subaward. This supplemental guide specifies the performance
period, objectives, eligible activities, and other subaward-related information and
requirements. This document is to supplement The Department of Homeland Security (DHS)
Notice of Funding Opportunity (NOFO) Fiscal Year 2016 Emergency Management
Performance Grant Program (EMPG).
The eligible Subaward subrecipients are the 58 county Operational Areas (OAs). The Tribal
Eligible
Subaward
Guidance will be issued under separate cover.
Subecipients
(Subrecipients may contract with any other public or private organizations to perform eligible
activities on approved projects.)
Note: Cal OES is the `recipient'; the county is the `subrecipient'; and the county's pass-
through entities are `subrecipients.' For a definition of the term subrecipient, refer to
2 Code of Federal Regulations (C.F.R.) § 200.93.
Subrecipient /
Any time grant funds are given to a subrecipient, such as a political subdivision (city, town,
district) or federally -recognized tribe, the county/pass-through entity must ensure
Pass -Through
or special
that the terms and conditions of this subaward are included as part of the subaward agreement
Entities
with the subrecipient.
2 The Department oflfoateland Security (DHS) Notice ofFuuding Opportunity (NOFO) Fiscal Year 2016 Emergency Management
Petfonuance Grant Program (EMPG) may be viewed and downloaded at: http://www.rema.t,ov/me(lia-library-datal1455571902574-
--- -- n _� 11A1AT ..AC
' Information Bulletins may be obtained at:
' GMMs are located at htto://www.caloes-c
Performance The performance period for FYI EMPG is July 1, 2016, through June 30, 2017. All
Period subaward activities must be completed and all grant funds expended within this period.
Pending receipt of all valid application materials, Subrecipients may request retroactive
reimbursement of Financial Management Forms Workbook (FMFW) approved activities and
budgeted items to the start of the performance period listed above; with the exception of
equipment and critical emergency supplies. Procurement of equipment and critical emergency
supplies shall occur only after the OA is in award, and any applicable federal, as well as state,
restrictions associated with these items have been met.
Match The FYI EMPG requires a dollar -for -dollar match. This can be cash or third party in-kind
Requirements contributions. Refer to 2 C.F.R. § 200.29 and § 200.306 for specific details.
Allocations and California will subaward a total of $15,481,623 to Operational Areas. The local allocations
Methodology were determined using a $125,000 base award, with remaining funds distributed using per
capita figures in the Department of Finance's yearly report called:
E-1: City/County Population Estimates with Annual Percent Changes
Excess Funds While developing an application, if it is determined that all allocated funds cannot be
expended by the end of the performance period and the need to return funds to Cal OES exists,
then it will be necessary to complete the Excess Funds Statement Form.6 These funds may
then be reallocated to other OAs who have identified one-time projects they would like to
undertake; if funding is available and the project is selected for funding by Cal OES.
Indirect Costs Indirect costs are allowable under the FYI EMPG subaward. Subrecipients wishing to
claim indirect costs may do so using either of the following two methods:
1. Subrecipients with an indirect cost rate approved by their cognizant federal
agency may claim indirect costs based on the established rate. Indirect costs
claimed must be calculated using the base approved in the indirect cost
Negotiation Agreement. A copy of the approved Negotiation Agreement is
required at the time of application.
2. Subrecipients who have never received a negotiated indirect cost rate and
receive less than $35 million in direct federal funding per year may claim the
10% de minimis indirect cost rate based on Modified Total Direct Costs
(MTDC) as described in 2 C.F.R. § 200.68 and Subpart E.
Indirect costs are in addition to the M&A allowance, and must be included in the
subaward application as a "Project" and reflected in the FMFW on the Indirect Cost
Category Ledger if being claimed under the subaward.
Conflict of Subrecipients must disclose to their Cal OES EMPG Program Specialist, in writing,
Interest any real or potential conflict of interest as defined by the federal, state, local, or tribal
statutes or regulations or their own existing policies, which may arise during the
administration of the EMPG award within five days of learning of the conflict of
interest.
s This report can be accessed at the following website: httP•//www dof.ca eov/research/deinogrnuhic'reports/estimates/c-1/viewpli .
'This form is located at: http•//www caloes ca eov/GrantsManagementSite/Pages[Emergency-Management-Performance-Grant asne, under
EMPG Forms.
(21
Subaward
Timelines / Key
Dates
February 16, 2016
DHS releases announcement of FY 16 EMPG
March 18, 2016
Cal OES's Application due to DHS
May 27, 2016
California Supplement to the Federal Program
Notice of Funding Opportunity; or, The State
Guidance released
June 7, 14, 15, 17, 21, 22, 2016
EMPG Application Workshops
June 24, 2016
Electronic copy of completed FMFW and other
application documents due to your Cal OES
EMPG Program Specialist for review and vetting
July 1, 2016
Subreci fent Performance Period Begins
July 22, 2016*
The OA's completed/vetted applications must
be received by Cal OES Grants Management
*Submit as soon as possible, but
Unit Program Specialist by this date
no later than July 22 2016
September 2, 2016
Anticipated date that OAs will be notified of
application approval and award
September 30, 2016
DHS awards grant funds to Cal OES
September 30 2016
MY-TEPs due to be submitted
October 14, 2016
Submission of the FY16 EMPG Performance
Report for the Period of 7/1/2016 — 9/30/2016
January 13, 2017
Performance Report due to Program Specialist for
7/1/2016-12/31/2016
April 14, 2017
Performance Report due to Program Specialist for
7/1/2016 — 3/31/2017
June 30, 2017
Subrecipient performance period ends. All
subaward activities must be completed and all
rant funds expended
July 14, 2017
Final Performance Report due to Program
Specialist for 7/1/2016 — 6/30/2017
July 14, 2017
Final Reimbursement Request due to Program
Specialist
September 30, 2017
Cal DES's Federal Performance Period Ends
[3]
What's New? • Restrictions regarding certain AEL equipment, known as "Controlled Equipment" went
into effect on October I, 2015, and are applicable to the FYI EMPG Program. On
February 16, 2016, FEMA released an Information Bulletin (IB) on the topic entitled
"Information Bulletin 407: Use of Grant Funds for Controlled Equipment "' IB 407
provides details on the process and requirements for requesting controlled equipment. FY16
EMPG subrecipients seeking acquisition of controlled equipment using FY16 EMPG funds
must complete FEMA Form 087-0-0-1: Controlled Equipment Requests and submit it to
their Cal OES EMPG Program Specialist for review, consideration, and potential approval.
Note: Acquisition of the controlled equipment may NOT occur PRIOR to the subrecipient
receiving a FEMA Grants Program Directorate (GPD) approval from their Cal OES EMPG
Program Specialist, as well as satisfying all other controlled equipment associated requirements
and certifications. Failure to comply may result in disallowance of costs, increased monitoring,
and termination of subaward.
EMPG The FY16 EMPG Program will focus on the building, sustainment, and delivery of all -hazards
Program emergency management capabilities in the following areas:
Emphasis • Planning
• Organization
• Equipment Acquisitions
• Training
• Exercises
• EOC Construction and Renovation
• Maintenance and Sustainment
The FYI 6 EMPG Program plays an important role in the implementation of the National
Preparedness System (NPS)9 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 FYI 6 EMPG Program supports all
core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission
areas based on allowable costs.
Information Bulletin No. 407 can be located at: httns://www.fema.eov/inedia-library/asscts/documentV114557
s FEMA Form 087-0-0-1 can be located at: https://www.fema.gov/media-library/assets/documents/115708
e The National Preparedness System can be located at: httu://www.feina.gov/national-preparedness-system
(41
Applicant The applicants' responsibilities are to:
Responsibilities 1.
Submit a finalized FMFW application, both electronic copy and hard copy, to their Cal OES
EMPG Program Specialist as soon as possible, but no later than July 22, 2016; along with
all other required application components.
Note: An electronic copy of the proposed FMFW and other required application documents
shall be submitted for Program Specialist review and vetting arior to submission of signed
hard copy original. The electronic copy of the FMFW and other required application
documents should be submitted for Cal OES review by no later than June 24, 2016.
2.
Comply with all terms and conditions contained in the Grant Assurances submitted with the
FY 16 EMPG application. In addition, if the OA subawards funds to other entities, their
subaward agreements/contracts must also include these same terms and conditions; along
with any local requirements.
3.
Prepare and submit timely Performance Reports for the duration of the performance period.
4.
Maintain financial management systems that support subaward activities in accordance with
2 C.F.R. § 200.302.
5.
Submit revision requests to Cal OES and obtain approval prior to incurring any associated
expenditures; if changes are required after the initial subaward. Further details are included
in this guidance under "Subaward Modifications."
6.
Deobligate unexpended subaward funds to Cal OES after all work has been completed and
reimbursements have been disbursed.
7.
Maintain property, programmatic, and financial records in accordance with the 2 C.F.R. Part
200 record retention requirements.
8.
Comply with the audit requirements in 2 C.F.R. Part 200 Subpart F—Audit Requirements.
9.
Complete all EMPG requirements associated with federal and state objectives; including but
not limited to, staff training and exercises.
10.
Submit all subaward-related paperwork including: Performance Reports, Reimbursement
Requests, Modification Requests, and Amendments, by the identified due dates.
11.
Comply with 2 C.F.R. Part 200 and FEMA Grant Programs Directorate (GPD) Policies.
12.
Comply with DHS FY 2016 EMPG Program NOFO and the Cal OES FY 2016 EMPG
Program - California Supplement to the Federal Program NOFO, as applicable.
Application The application must include the following components: 10
Documents 1. Financial Management Forms Workbook (FMFW)
2. Governing Body Resolution (GBR)
3. Addendum to Governing Body Resolution
4. Grant Assurances
5. FY16 Emergency Management Performance Grant Application Checklist
6. Indirect Cost Rate Negotiation Agreement; if applicable*
*If claiming indirect costs at a federally -approved rate, then you must provide a copy of your
approved indirect cost rate Negotiation Agreement – see Indirect Costs on page 2 of this
Guidance.
10 Application documents are located on the Cal OES website on the Emergency Management Performance Grant page at:
http://www caloes ea gov/GrantsManagementSitc/PagestEmergency-Management-Performance-Grant.asvx.
[51
Optional Excess Funds Statement Form - While developing an application, any excess funds should
Application be identified and returned to Cal OES so that the funds may be reallocated to other OAs.
Components In this case, it will be necessary to complete and submit the Excess Funds Statement Form
to your Program Specialist by the application due date.
Additional Project Using Excess Funds Form and Additional Proicet Using Excess Funds
Detailed Budget - these two forms are to be used for requesting additional funding; should it
become available.
Governing
The GBR appoints agents authorized to execute any actions necessary under this subaward.
Body
Universal GBRs can be used for up to three years as long as the majority of the original
Resolution
approving Board members (three out of five) are still currently on the Board. If past GBRs are
(GBR)
going to be utilized for present applications, then the OA will still need to submit a copy with
Procurement
their application. Universal GBRs are strongly encouraged; this refers to a GBR that does not
identify a specific subaward amount, specific subaward years, and does not identify a specific
grant program by name.
Addendum to For each person or position appointed by the governing body, submit the following information
Governing to Cal OES, along with the Resolution, on the applicant's letterhead:
Body • Name • Title
Resolution • Jurisdiction • E -Mail Address
• Street Address, City, & Zip Code • Phone and Fax Number(s)
Note: Changes identifying the Authorized Agent can be made if and when necessary. If the
Governing Body Resolution identifies the Authorized Agent by name, a new Resolution and
corresponding Addendum to the GBR are needed when any changes are made. If the Governing
Body Resolution identified the Authorized Agents by position and/or title, changes can be made
by only submitting a new Addendum to the GBR. Cal OES will not accept signatures of an
Authorized Agent's designee.
Official Written
For the EMPG Program, all official written correspondence from Cal OES will be mailed to the
Correspondence
Payment mailing address, identified on the Grant Subaward Face Sheet, and addressed to the
Authorized Agent who signed the Grant Subaward Face Sheet.
Sole Source
To be eligible for reimbursement, sole source (or noncompetitive) procurements exceeding the
Procurement
simplified acquisition threshold (which is established by the Federal Acquisition Regulation at
48 C.F.R. Subpart 2.1 and is currently set at $150,000) require Cal OES prior written approval.
Note: This method of procurement must be approved by your local Purchasing Agent prior to
submitting a request for Cal OES approval. A copy of the Purchasing Agent's approval must be
included with the Cal OES submission; additional documentation supporting the procurement
effort may also be requested for review by Cal OES.
[61
Grant The Grant Assurances form lists the requirements to which the OA will be held accountable.
Assurances OAs are required to file a new Grant Assurances form with the FY16 EMPG application.
Failure to comply with any of the Grant Assurances may result in suspension, termination,
or reduction of grant funds.
The State may suspend or terminate subaward funding, in whole or in part, or other measures
may be imposed for any of the following reasons:
• Failing to expend funds in a timely manner consistent with the subaward milestones,
guidance, and assurances
• Failing to comply with the requirements or statutory objectives of federal or state law
• Failing to make satisfactory progress toward the goals or objectives set forth in the subaward
application
• Failing to follow subaward requirements or special conditions
• Proposing or implementing substantial plan changes to the extent that, if originally
submitted, the application would not have been selected for funding
• Failing to submit required reports on time
• Providing false certification in the application or other report or document
• Failing to adequately manage, monitor, or direct the subaward funding activities of their
subrecipients
• Failing to submit a Reimbursement Request
Before taking action, the State will provide the subrecipient reasonable notice of intent to
impose corrective measures and will make every effort to resolve the problem informally.
NIMS Adoption In accordance with the Homeland Security Presidential Directive (HSPD)-5, Management of
Domestic Incidents, the adoption and implementation of the National Incident Management
System (NIMS) is a requirement to receive federal preparedness assistance, through grants,
contracts, and other activities. This certifies that the OA will complete the NIMS
Implementation Tool, is working on their metrics, and has adopted and implemented NIMS.
For further details and/or assistance regarding NIMS-related matters contact Cindy Shipley at
cvnthia.shiplev(cbcaloes.ca.Qov,(916) 845-8753.
Application Dtie The application must be received by Cal OES no later than 5:OOpm on July 22, 2016*.
Date
*The completed application packet should be submitted as soon as possible ager being vetted by
your Cal OES EMPG Program Specialist; however, by no later than July 22, 2016.
[71
Application The completed original hard copy of the FMFW and all other application components must be
Submittal mailed with original signatures, with enough time to be received by Cal OES's Grants
Management Section by the application due date. Signatures should be in ink. OAs will also
submit an electronic copy of the completed FMFW to their Program Specialist. All application
materials should be submitted as soon as possible; however, they must be received by Cal OES
Grants Management Section by no later than July 22, 2016, at S:OOnm.
Note: To streamline the process, electronically submit the completed FMFW to your EMPG
Program Specialist prior to submitting a signed hard copy, in order to identify any corrections
or adjustments that may need to be addressed. The electronic copy of the FMFW should be
submitted for Cal OES review by no later than June 24, 2016. Work closely with your
Program Specialist" to ensure that all application documents are complete and accurate.
Further, EMPG Program Specialists (Grant Management Staff) are available to assist in any
EMPG-related matters. If the application is received with errors or is incomplete, this will
cause a delay in receiving your Notification of Application Approval letter during
September 2016. Subrecipients must receive the Notification of Application Approval letter
prior to drawing down any grant funds.
EMPG Grant Management Staff:
Program Inland Region —Patti Delaney: Patti.delancyAcaloes.ca.gov, (916) 845-8469
Specialists Coastal Region — Cheryl McCorkle: cheryl.tnccorkle(ibcaloes.ca.gov, (916) 845-8415
Southern Region—Christine So: christine.so(ct�.caloes.ca.gov, (916) 845-8383
Tribal Nations — Cheryl McCorkle: chervl.mccorkle(�bcaloes.ca.gov, (916) 845-8415
Mailing Cal OES
Address Emergency Management Grants Unit (EMGU)
3650 Schriever Avenue
Mather, CA 95655
Approval of
Cal OES will notify the OA, in writing, of the approved application, subaward amount, and
Application
performance period. Subrecipient reimbursements will not be made until all required application
components have been approved by the State.
Additional
In order to reallocate any identified excess, declined, or deobligated funds, we are asking the
Funds
OAs to submit one-time EMPG eligible projects that they can fully execute in a two -to -five
month period, as well as, within the subaward performance period. The Additional Proiect Using
Excess Funds Form and Additional Proiect Using Excess Funds Detailed Budget should be
submitted if an OA is interested in additional funds. If selected for funding, the applicant will
be required to submit an FMFW Modification Request and an Amendment Form that will
comprehensively integrate the approved excess funds project(s), both financially and
programmatically, into their existing, approved FMFW application. These documents need to be
submitted within 15 days of being notified; or funds may be re -directed to some other project(s).
Additional funding requests may be submitted at any time but preferably during the application
phase.
I t Emergency Management Grants Unit contact information: http://www.caloes.ca.zov/GrantsManaaementSite/Pages/E-mer+env_
Management-Performance-Grant.as�x under the heading of Regional Assignments.
These forms are located at: Imp•//www caloes ca eov/GmntsManagementSite/PageJEmergencv Management Performance Grnnt -,i+or,
under EMPG Forms.
[81
Applicable OAs must ensure that local and internal departments are aware of the following laws,
Laws & regulations, and guidance documents that apply to this subaward:
Regulations Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended
• Title 2 C.F.R. Part 200
• California Emergency Services Act, Chapter 7 of Division I of Title 2 of the Government
Code — which provides the legal basis for Emergency Management activities in California
• Government Code Section 8607 describes the Standardized Emergency Management System
• California Supplement to the Federal Program Notice of Funding Opportunity; or, The State
Guidance, provided by Cal OES
• The Department of Homeland Security (DHS) Notice of Funding Opportunity (NOFO) Fiscal
Year 2016 Emergency Management Performance Grant Program (EMPG).
• FEMA Grant Programs Directorate (GPD) Policies
Environmental
FEMA is legally required to consider the potential impacts of all grant -funded projects on
Planning and
environmental resources and historic properties. For the EMPG Program and other preparedness
Historic
grant programs, this is accomplished through FEMA's Environmental Planning and Historic
Preservation (EHP) review. Any project with the potential to impact natural or biological
Preservation
resources, or historic properties, or involving installation, or that involves Emergency Operation
(EHP)
Center construction and renovation cannot be initiated until FEMA has completed the required
Compliance
EHP compliance review.
Subrecipients that implement projects prior to receiving EHP approval from FEMA risk de -
obligation of funds. Subrecipients who are proposing communication tower projects are
encouraged to complete their Federal Communications Commission (FCC) EHP process prior to
preparing their EHP review materials for the Grants Program Directorate (GPD), and to include
their FCC EHP materials with their submission to GPD. EMPG Program projects that involve
the installation of equipment; ground -disturbing activities; new construction, including
communication towers; or modification/renovation of existing buildings or structures must
undergo a FEMA EHP review.
Note: EHP review requests may require that a confidential California Historical Resources
Information System (CHRIS) report be provided to FEMA. 13
Furthermore, for those proposed construction or renovation projects that are part of larger
projects funded from a non -FEMA source (such as an Emergency Operation Center that is part
of a larger proposed public safety complex), a FEMA EHP review must be completed before the
larger project is initiated.
For these types of projects, Subrecipients must complete the FEMA EHP Screening Form (OMB
Number 1660-0115/FEMA Form 024-0-1)14 and submit it, with all supporting documentation, to
Cal OES.
Note: Subrecipients should submit the FEMA EHP Screening Form for each applicable project
as soon as possible. However, to ensure that ample time exists to allow for the FEMA EHP
review and approval process, as well as the subsequent execution of the subaward-funded
project, all subrecipient EHP-related documents must be received by Cal OES no later than
December 31, 2016. Exceptions to this due date will be at the discretion of Cal OES, based on
"Information regarding CIIRIS can be obtained at: http://ohi).parks.ca.gov/?Rage id=1068.
14 The FEMA EHP Screening Form can be located at: https'//www.fema.s,,ov/media-library/assets/documeiits/90195.
191
Environmental exceptional circumstances and/or compelling justification.
Planning and Refer to FEMA GPD EHP Policy Guidance FP -108-023-1 (located at:
Historic https://www.feina.gov/media-library/assets/docuinents/85376) and 113 404 (located at:
Preservation hitt;:/hvww.fema gov/-grants/ rant-programs-directorate-infonnatioiibulletins) for further details
(EHP) on EHP requirements. The EHP Screening Form can be downloaded at:
Compliance, htt;s://www.fema.gov/media-library/assets/documents/90195.
Continued Forward completed EHP documents electronically to the appropriate Cal OES EMPG Program
Specialist.
Additionally, period of performance extension requests should be limited to one month in
duration. Only under extenuating and extremely compelling circumstances will two-month
extensions be considered. Extension Requests beyond two months will not be considered.
15 The Federally Mandated Objectives can be located in The Department of Homeland Security (DHS) Notice of Funding Oppattmity
(NOFO) Fiscal Year 2016 Emergency kfanagement Peiformmtce Grant Program (EV/PG), Appendix A -FY 2016 EMPG Program Priorities,
pages 25-30 at: htto:/hvww.feina.gov/media-libr.iry-data/1455571902574-
a84f5alb2f450795a70ccelf5ee7b967/FY 2016 EMPG NOFO FINAL.0f.
[10]
The following activities would not require the submission of the FEMA EHP Screening Form:
planning and development of policies or processes; management and administrative or personnel
actions; classroom -based training; tabletop and functional exercises; and acquisition of mobile
and portable equipment (not involving installation).
Projects initiated without proper EHP review will not be funded. Projects that were initiated or
completed before an EHP review was concluded, using EMPG Program funds, will be
deobligated. To avoid unnecessary delays in starting a project, subrecipients are encouraged to
pay close attention to the reporting requirements for an EHP review.
Federally
Validating Capabilities, Priority Objective, and Performance Measures 15
Mandated
To address the EMPG priorities, an objective has been identified and given a set of performance
Objective
measures and associated reporting requirements to determine how effective subrecipients are in
Information
utilizing EMPG Program funding to prepare for all hazards, and advance a whole community
approach. With these measures, subrecipients must evaluate their progress toward achieving the
stated objectives in the quarterly EMPG Performance Report and in compliance with all
reporting requirements.
Extension
Extensions to the initial period of performance identified in the subaward will only be
Requests
considered through formal, written requests to your EMPG Program Specialist. Upon receipt of
extension requests, Cal IDES will: (1) verify compliance with performance reporting
requirements by confirming that the subrecipient has submitted all necessary performance
reports; (2) confirm that the subrecipient has provided sufficient justification for the request; and
(3) if applicable, confirm that the subrecipient has demonstrated sufficient progress in past
situations where an extension was authorized by Cal OES.
To be considered, extension requests must be received no later than 60 days prior to the end of
the subrecipient's period of performance, and must contain specific and compelling justifications
as to why an extension is required.
Additionally, period of performance extension requests should be limited to one month in
duration. Only under extenuating and extremely compelling circumstances will two-month
extensions be considered. Extension Requests beyond two months will not be considered.
15 The Federally Mandated Objectives can be located in The Department of Homeland Security (DHS) Notice of Funding Oppattmity
(NOFO) Fiscal Year 2016 Emergency kfanagement Peiformmtce Grant Program (EV/PG), Appendix A -FY 2016 EMPG Program Priorities,
pages 25-30 at: htto:/hvww.feina.gov/media-libr.iry-data/1455571902574-
a84f5alb2f450795a70ccelf5ee7b967/FY 2016 EMPG NOFO FINAL.0f.
[10]
Validating Subrecipient Requirements:
Capabilities
Obieetive• L All subrecipients are required to develop aMulti-Year (MY) Training and Exercise Plan
(TEP) that incorporates linkages to the NPG core capabilities and update it annually. The
Develop and MY -TEP shall encompass the period of January 1, 2017 — December 31, 2018.
Maintain Multi- 2. The MY -TEP must be submitted to the Cal OES Exercise Division POCs and EMPG
Year TEPs Program Specialist by September 30, 2016,
Note: MY-TEPs shall be e-mailed to Cal OES Exercise Division Points of Contact (POCs), with
a copy to their EMPG Program Specialist (Grant Management Staff) no later than September
30th each year. Exercise POCs listed below are available for assistance, if needed, in any
exercise -related matters.
• Southern Region— Steve Nunez: steve.nunez n.caloes.ca.eov
• Inland Region —Kevin Leisher: kevin.leisher(nbcaloes.ca.gov
• Coastal Region— Kevin Leisher: kevin.leisher(ncaloes.ca.eov
Measurement Method:
• Submission to Cal OES of an updated MY -TEP.
Reporting:
• Subrecipients must report in the EMPG Performance Report their compliance with
submitting an updated MY -TEP to Cal OES.
Validating 1. All EMPG Program -funded personnel shall participate in no less than three exercises in a
Capabilities 12 -month period. This 12 -month period shall be the subaward performance period of
Obiective' July 1, 2016 — June 30, 2017, regardless of time extensions. EMPG Program -funded
Exercise personnel are any personnel paid at any percentage with EMPG funding, including M&A
staff. There is no specific requirement for level of "participation" in the exercises; so,
observation and attendance satisfies the objective. The exercises can be of any type (e.g.,
discussion -based or operations -based) within the performance period (see
httys://www.fema.gov/media-librarv/assets/docutments/32326).
2. An After Action Report/Improvement Plan (AAR/IP) must be completed by the host of each
EMPG-funded exercise and submitted to hsee a fema.dhs.gov, and a copy sent to your
EMPG Program Specialist within 90 days after the completion of an exercise.
3. A summary of all collected corrective action items and the tracking of their implementation
shall be reported as part of the EMPG quarterly reporting.
Additional information and guidance related to AAR/IPs and the National Exercise Program
(NEP) Base Plan can be found on the Homeland Security Exercise and Evaluation Program
(HSEEP) website at https://www.fema.gov/media-library/assets/docuiiients/32326.
Note: It is acceptable to submit an Exercise Summary Report for Seminars and Workshops in
lieu of a full AAR/IP. E-mail the copies of the AAR/IPs to your EMPG Program Specialist.
ValidatinE
A summary of all collected corrective action items and a tracking of their implementation shall
Capabilities
be reported as part of the EMPG quarterly reporting. FEMA encourages the use of the HSEEP.
Oblective:
Exercise Division staff are available for assistance with any exercise -related questions or
Exercise,
matters.
Continued
personnel paid at any percentage with EMPG funding; this includes M&A staff funded by
Measurement Method:
• Percent of exercises participated by the OA's EMPG-funded personnel.
• Submission of an AAR/IP completed by the host of the EMPG-funded exercises.
Reporting:
• Subrecipients must report quarterly in the EMPG performance report, the percent completed
of the exercise requirements for the EMPG-funded personnel.
• Subrecipients must submit AAR/IPs for each EMPG-funded exercise, if the exercise is
hosted by the Subrecipients. AAR/IPs will be completed by the host of the exercise.
Participants do not have to individually complete an AAR/IP.
ValidatinE
Training activities supported with EMPG Program funds should strategically align to the NPO
Capabilities
core capability identified in the MY -TEP. To ensure the development of a professional
Obiective:
emergency management workforce, all EMPG Program -funded personnel shall complete I 1
Training
training requirements and record proof of completion. EMPG Program -funded personnel are any
personnel paid at any percentage with EMPG funding; this includes M&A staff funded by
EMPG Program funds. All EMPG Program -funded personnel shall complete the following
training requirements by June 30, 2017:
National Incident Management System (NIMS) Training:
IS 100.6 Introduction to Incident Command System (ICS)
IS 200.b ICS for Single Resources and Initial Action Incident
IS 700.a National Incident Management System, An Introduction
IS 800.b National Response Framework, An Introduction
FEMA Professional Develooment Series (PDS):
IS 120.a Introduction to Exercises
IS 2304 Fundamentals of Emergency Management
IS 235.c Emergency Planning
IS 240.b Leadership and Influence
IS 241.b Decision Making and Problem Solving
IS 242.b Effective Communication
IS 244.b Developing and Managing Volunteers
The aforementioned listed courses are available on-line and at no cost from the FEMA
Emergency Management Institute (EMI) at the following links:
http://training.fema.gov/IS/NIMS.asox & htty:Htrainin .fg ema.gov/is/searciiis.aspx?searcli=PDS
Note: The "G" course series and classroom -based equivalents can be used as an alternate to
satisfy these training requirements. Past completion of the above courses (or qualifying
equivalent) is considered acceptable in meeting this requirement. Recorded proof of completion,
such as certificates of completion, must exist and be kept on file by the subrecipient and be
made available for review upon request.
[121
Validating Measurement Method:
Capabilities . Percent of EMPG Program -funded personnel completing the previously identified 1 l
Obieetive: required training courses.
Training,
Continued Reporting:
System for The System for Award Management (SAM) includes information regarding entities debarred,
Award suspended, proposed for debarment, excluded or disqualified under the non -procurement
Management common rule, or otherwise declared ineligible from receiving federal contracts, certain
(SAM) subcontracts, and certain federal assistance and benefits. Contractor disbarment verification can
be obtained from the following website: httos://www.sam.gov.
Maintenance The use of EMPG funds for maintenance contracts, warranties, repair or replacement costs,
and upgrades, licenses, and user fees are allowable under all active and future grant awards, unless
Sustainment otherwise noted. With the exception of maintenance plans purchased incidental to (i.e., at the
same time and under the same subaward as) the original purchase of the system or equipment,
the period covered by a maintenance agreement or warranty plan must not exceed the period of
performance of the specific grant funds used to purchase the plan or warranty, and address the
requirements identified in FEMA Information Bulletin (IB) 379.
(131
Subrecipients are required to share with Cal OES a MY -TEP that includes an exercise plan
and schedule, and a plan for training personnel. Information related to MY-TEPs can be
obtained by consulting Cal OES's Exercise Division POC.
• Submission of a list of EMPG Program -funded personnel along with the training and
dates completed is to be included in the EMPG Program quarterly Performance Reports.
Training
In order for EMPG Program funds to be utilized for training -related purposes, Subrecipients
Feedback
must first obtain a Training Feedback Number. Training Feedback Numbers must be obtained
Number
no later than thirty (30) days prior to the training event. To be considered for a Training
Feedback Number, subrecipients must complete a Training Request Form and submit it
electronically to Cal OES.
Training Request Forms can be obtained at the following link:
htti)s•//w3 caleina.ca.gov/WebPage/tminreansf/TrainRequest?OaenFonn
For Training Request Form or Training Feedback Number assistance contact Johnie Garrett at
john.garrett(&caloes.ca. eov.
Subcontracts
In accordance with 2 C.F.R. § 200.326 Contract Provisions, any time funds are given to a
contractor the subrecipient's contracts must contain the applicable provisions described in
Appendix II to 2 C.F.R. Part 200—Contract Provisions for Non -Federal Entity Contracts Under
Federal Awards. The OA must monitor and ensure that the contractors are adhering to all
applicable federal and state laws. The OA must not make or permit any award (subaward or
contract) at any tier to any party that is debarred, suspended, or otherwise excluded from, or
ineligible for participation in federal assistance programs, such as the EMPG. Subrecipients
must obtain documentation of eligibility prior to any subaward of EMPG funds and be prepared
to present supporting documentation to monitors.
System for The System for Award Management (SAM) includes information regarding entities debarred,
Award suspended, proposed for debarment, excluded or disqualified under the non -procurement
Management common rule, or otherwise declared ineligible from receiving federal contracts, certain
(SAM) subcontracts, and certain federal assistance and benefits. Contractor disbarment verification can
be obtained from the following website: httos://www.sam.gov.
Maintenance The use of EMPG funds for maintenance contracts, warranties, repair or replacement costs,
and upgrades, licenses, and user fees are allowable under all active and future grant awards, unless
Sustainment otherwise noted. With the exception of maintenance plans purchased incidental to (i.e., at the
same time and under the same subaward as) the original purchase of the system or equipment,
the period covered by a maintenance agreement or warranty plan must not exceed the period of
performance of the specific grant funds used to purchase the plan or warranty, and address the
requirements identified in FEMA Information Bulletin (IB) 379.
(131
Unallowable • Expenditures for weapons systems and ammunition
Costs • Costs to support the hiring of sworn officers for the purposes of fulfilling traditional public
safety duties or to supplant traditional public safety positions and responsibilities
• Activities and projects unrelated to the completion and implementation of the EMPG
Program
Supplanting Grant funds must be used to supplement existing funds, not replace (supplant) funds that have
been appropriated or budgeted for the same purpose through non-federal sources. In the event
that supplanting is suspected, the subrecipient will be required to supply documentation
demonstrating or certifying that a reduction in non-federal resources occurred for reasons other
than the receipt, or expected receipt, of federal funds.
Accessibility of The federal Department of Homeland Security (DHS), the DHS Office of Inspector
Records General, the Comptroller General of the United States, Cal OES, and any of their
authorized representatives, shall have the right of access to any books, documents, papers,
or other records which are pertinent to the subaward, in order to make audits, monitoring
reviews, examinations, excerpts, and transcripts. The right of access is not limited to the
required retention period but shall last as long as the records are retained. Refer to
2 C.F.R. § 200.336 for more information about accessibility of records.
Reimbursement The EMPG is a reimbursement grant and therefore no cash advances are permitted under the
of Eligible EMPG. The EMPG funds will be disbursed on a reimbursement basis, using the FMFW.
Costs Follow the FMFW instructions for Reimbursement Requests 16 and submit the signed
forms to your EMPG Program Specialist.
Payment will be made within 30 days after the Grants Management Section receives a valid
and complete Reimbursement Request. It is strongly recommended that copies of all
documents adding up to the total of each Reimbursement Request be retained to make
verification by monitors and/or auditors easier. Cal OES may require submittal of these
documents at any time.
Subaward Post award budget, scope, and other modifications must be requested using the Cal OES FMFW
Modifications and be signed by the subrecipient's Authorized Agent. A hard copy must be submitted to
Cal OES and approved by Cal OES's Grants Management Section, prior to initiating any
revised scope of work or incurring the associated expenditures.
The OAs may submit modifications to Cal OES once per quarter during the performance
period. Exceptions to allow more modifications during a quarter will be made at Cal OES
discretion and will be based on exceptional circumstances and/or compelling justification.
Failure to submit modifications and receive approval prior to expenditure could result in a
reduction or disallowance of that part of the subaward.
Instructions on how to submit a Modification Request are available at the link identified in
the footnote. 17
le The Reimbursement Request instructions are located at: http:/hwww.caloes.ca.eov/GrantsN4anaeementSitg/Paecs/Emergency-Manaseinent-
Performance-Grant.asm, under Tutorials.
The Modification Request instructions are located at: http://www.calocs ca.eov/GratitsManaszementSite/Pages/Emeruency-Manaeement-
Performance-Grant.asux, under Tutorials.
[141
Performance Subrecipients must prepare and submit Performance Reports to the State for the duration of the
Reports subaward performance period, or until all grant activities are completed and the subaward is
formally closed by Cal OES. The reports must include the progress made on identified activities,
as well as other required information and data. Failure to submit a Performance Report could
result in subaward reduction, tennination, or suspension.
Subrecipients must also complete a Biannual Strategy Implementation Report (BSIR) using the
DHS/FEMA Grants Reporting Tool (GRT). To obtain access to the online GRT, log on to their
website at www.reporting.odp.dhs.gov. To create a new account, follow the instructions that
read, "If you need to register for an account, please click here." For additional assistance with
the GRT, contact: Gina Avelar at gina.avelarOcaloes.ca.gov, (916) 845-8647.
Closeout The State will close a subrecipient subaward after:
• Receiving a subrecipient Performance Report indicating that all approved work has been
completed, and all funds have been disbursed
• Completing a review to confirm the accuracy of reported information
• Reconciling actual costs to awards, modifications, and payments
If the closeout review and reconciliation indicates that the subrecipient:
• Is owed additional funds, the State will send the final payment automatically to the
subrecipient
• Did not use all funds received, the State will issue a deobligation amendment, invoice, or
letter to recover unused funds
• Did not expend all obligated grant funds, the State will require that a Grant Award
Amendment be completed to deobligate the unspent funds and revert them back to the State
Records Specific requirements for record retention can be found in 2 C.F. R. § 200.333. In the Grant
Retention Closeout Letter, the State will notify the subrecipient of the start of the record retention period
for all programmatic and financial subaward-related records.
Final Subaward Cal OES will review the OA's final Performance Report for compliance with all subaward
Report conditions. The final Performance Report is due to Cal OES by July 14, 2017, (unless the
subaward performance period is extended) and will serve as the final subaward report.
Audit The OAs, and their Subrecipients, must comply with the audit requirements contained in
Requirements 2 C.F.R. Part 200 Subpart F—Audit Requirements.
Monitoring The State may perform periodic reviews of the OA's subaward performance. The Monitoring
Subaward Division is actively conducting monitoring visits, both desk review and on-site, among
Performance subrecipients. These reviews may include, but are not limited to:
• Comparing actual subaward activities to those approved on the Financial Management
Forms Workbook
• Confirming compliance with:
– Grant Assurances
– Information provided on the Performance Reports
• Reviewing and monitoring financial and administrative records
To provide support and guidance, Grants Management Staff will be intermittently conducting
on-site programmatic and financial reviews of OA's EMPG Program -related activities.
[l5]
EXHIBIT D
Cal OES
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For All Cal OES Federal Grant Programs
As the duly authorized representative of the Applicant, I hereby certify that the Applicant has the
legal authority to apply for federal assistance and the institutional, managerial and financial capability
(including funds sufficient to pay any non-federal share of project cost) to ensure proper planning,
management and completion of the project described in this application, within prescribed timelines.
I further acknowledge that the Applicant is responsible for reviewing and adhering to all
requirements within the:
(a) Applicable Federal Regulations (see below);
(b) Federal Program Notice of Funding Opportunity (NOFO);
(c) California Supplement to the NOFO; and
(d) Federal and State Grant Program Guidelines,
Federal Regulations
Government cost principles, uniform administrative requirements and audit requirements for federal
grant programs are set forth in Title 2, Part 200 of the Code of Federal Regulations (CFR) and updates
are issued by the Office of Management and Budget (OMB) and can be found at
http://www.whitehouse.gov/omb/.
Significant state and federal grant award requirements (some of which appear in the documents
listed above) are set forth below. The Applicant hereby agrees to comply with the following:
1. Proof of Authority
The Applicant will obtain written authorization from the city council, governing board, or authorized
body in support of this project. This written authorization must specify that the Applicant and the city
council, governing board, or authorized body agree:
(a) To provide all matching funds required for the grant project and that any cash match will be
appropriated as required.
(b) Any liability arising out of the performance of this agreement shall be the responsibility of the
Applicant and the city council, governing board, or authorized body.
(c) Grant funds shall not be used to supplant expenditures controlled by the city council,
governing board, or authorized body.
(d) The official executing this agreement is, in fact, authorized to do so.
Emergency Management Performance Grant Program (EMPG) - 2016 Grant Assurances Page 1.G 1
nitial
This Proof of Authority must be maintained on file and readily available upon request.
2, Period of Performance
The Applicant will initiate work after approval of the award and complete all work within the period of
performance specified in the grant.
3. Lobbying and Political Activities
As required by Section 1352, Title 31 of the U.S. Code (U.S.C.), for persons entering into a
contract, grant, loan, or cooperative agreement from an agency or requests or receives from an
agency a commitment providing for the United States to insure or guarantee a loan, the Applicant
certifies that:
(a) No federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee
of an agency, a Member of Congress, an officer or employee of Congress, or an employee
of a Member of Congress in connection with the awarding of any Federal contract, the
making of any federal grant, the making of any federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or
modification of any federal contract, grant, loan, or cooperative agreement.
(b) If any funds other than federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with this federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report
Lobbying", in accordance with its instructions.
(c) The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all subrecipients shall certify and
disclose accordingly.
The Applicant will also comply with provisions of the Hatch Act (5 U.S.C. §§ 1501-1508 and §§
7324-7328) which limit the political activities of employees whose principal employment activities
are funded in whole or in part with federal funds.
Finally, the Applicant agrees that federal funds will not be used, directly or indirectly, to support the
enactment, repeal, modification or adoption of any law, regulation or policy without the express
written approval from the California Governor's Office of Emergency Services (Cal OES) or the
federal awarding agency.
4. Debarment and Suspension
As required by Executive Orders 12549 and 12689, and 2 CFR § 200.212 and codified in 2 CFR
Part 180, Debarment and Suspension, the Applicant will provide protection against waste, fraud,
Emergency Management Performance Grant Program (EMPG) - 2016 Grant Assurances Page 2 11
Initial
and abuse by debarring or suspending those persons deemed irresponsible in their dealings with
the federal government. The Applicant certifies that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any federal department or agency;
(b) Have not within a three-year period preceding this application been convicted of or had a
civil judgment rendered against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a public (federal, state, or
local) transaction or contract under a public transaction; violation of federal or state antitrust
statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of
records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (federal, state, or local) with commission of any of the offenses enumerated in
paragraph (2)(b) of this certification; and
(d) Have not within a three-year period preceding this application had one or more public
transaction (federal, state, or local) terminated for cause or default.
Where the Applicant is unable to certify to any of the statements in this certification, he or she shall
attach an explanation to this application.
5. Non -Discrimination and Equal Employment Opportunity
The Applicant will comply with all federal statutes relating to non-discrimination. These include, but
are not limited to, the following:
(a) Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42 U.S.C. § 2000d et.
seq.) which prohibits discrimination on the basis of race, color, or national origin and
requires that recipients of federal financial assistance take reasonable steps to provide
meaningful access to persons with limited English proficiency (LEP) to their programs and
services;
(b) Title IX of the Education Amendments of 1972, (20 U.S.C, §§ 1681-1683, and 1685-1686),
which prohibits discrimination on the basis of sex in any federally funded educational
program or activity;
(c) Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794), which prohibits
discrimination against those with disabilities or access and functional needs;
(d) Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of
disability and requires buildings and structures be accessible to those with disabilities and
access and functional needs; (42 U.S.C. §§ 12101-12213.)
(e) Age Discrimination Act of 1975, (42 U.S.C. §§ 6101.6107), which prohibits discrimination on
the basis of age;
(f) Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd-2), relating to confidentiality of
patient records regarding substance abuse treatment;
(g) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 at seq.), relating to
nondiscrimination in the sale, rental or financing of housing;
Emergency Management Performance Grant Program (EMPG) - 2016 Grant Assurances Page 11
InitiatS"Z�
(h) Executive Order 11246, which prohibits federal contractors and federally assisted
construction contractors and subcontractors, who do over $10,000 in Government business
in one year from discriminating in employment decisions on the basis of race, color, religion,
sex, sexual orientation, gender identification or national origin;
(i) Executive Order 11375, which bans discrimination on the basis of on the basis of race,
color, religion, sex, sexual orientation, gender identification, or national origin in hiring and
employment in both the United States federal workforce and on the part of government
contractors;
Q) California Public Contract Code § 10295.3, which prohibits discrimination based on
domestic partnerships and those in same sex marriages;
(k) Any other nondiscrimination provisions in the specific statute(s) under which application for
federal assistance is being made; and
(1) The requirements of any other nondiscrimination statute(s) which may apply to the
application.
In addition to the items listed in (a) through (n), the Applicant will comply with California's Fair
Employment and Housing Act (FEHA). FEHA prohibits harassment and discrimination in
employment because of ancestry, race, color, religious creed (including religious dress and
grooming practices), sex (which includes pregnancy, childbirth, breastfeeding and medical
conditions related to pregnancy, childbirth or breastfeeding), gender, gender identity, gender
expression, sexual orientation, marital status, national origin, ancestry, mental and physical
disability, genetic information, medical condition, age, pregnancy, denial of medical and family care
leave, or pregnancy disability leave (California Government Code §§12940, 12945, 12945.2),
military and veteran status, and/or retaliation for protesting illegal discrimination related to one of
these categories, or for reporting patient abuse in tax supported institutions.
6. Drug -Free Workplace
As required by the Drug -Free Workplace Act of 1988 (41 U.S.C. § 701 at seq.), the Applicant
certifies that it will maintain a drug-free workplace and a drug-free awareness program as outlined
in the Act.
7. Environmental Standards
The Applicant will comply with state and federal environmental standards, which may be prescribed
pursuant to the following, as applicable:
(a) California Environmental Quality Act (CEQA) (California Public Resources Code §§ 21000-
21177), to include coordination with the city or county planning agency;
(b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3, §§ 15000-
15387);
(c) Federal Clean Water Act (CWA) (33 U.S.C. § 1251 at seq.), which establishes the basic
structure for regulating discharges of pollutants into the waters of the United States and
regulating quality standards for surface waters;
(d) Federal Clean Air Act of 1955 (42 U.S.C. § 7401) which regulates air emissions from
stationary and mobile sources;
Emergency Management Performance Grant Program (EMPG) - 2016 Grant Assurances Page�yf 11
nitiak�_
(e) Institution of environmental quality control measures under the National Environmental
Policy Act of 1969 (P.L. 91-190); Executive Order 12898 which focuses on the
environmental and human health effects of federal actions on minority and low-income
populations with the goal of achieving environmental protection for all communities;
(f) Executive Order 11514 which sets forth national environmental standards.
(g) Executive Order 11738 instituted to assure that each federal agency empowered to enter
into contracts for the procurement of goods, materials, or services and each federal agency
empowered to extend federal assistance by way of grant, loan, or contract shall undertake
such procurement and assistance activities in a manner that will result in effective
enforcement of the Clean Air Act and the Federal Water Pollution Control Act Executive
Order EO 11990 which requires preservation of wetlands;
(h) The Safe Drinking Water Act of 1974, (P.L. 93-523);
(i) The Endangered Species Act of 1973, (P.L. 93-205);
Q) Wild and Scenic Rivers Act of 1968 (16 U.S.C. § 1271 at seq.) related to protecting
components or potential components of the national wild and scenic rivers system,
The Applicant shall not be: 1) in violation of any order or resolution promulgated by the State Air
Resources Board or an air pollution district; 2) subject to a cease and desist order pursuant to §
13301 of the California Water Code for violation of waste discharge requirements or discharge
prohibitions; or 3) determined to be in violation of federal law relating to air or water pollution.
8. Audits
For subrecipients expending $750,000 or more in federal grant funds annually, the Applicant will
cause to be performed the required financial and compliance audits in accordance with the Single
Audit Act Amendments of 1996 and Title 2 of the Code of Federal Regulations, Part 200, Subpart F
Audit Requirements.
9. Access to Records
In accordance with 2 CFR § 200.336, the Applicant will give the awarding agency, the Comptroller
General of the United States and, if appropriate, the state, through any authorized representative,
access to and the right to examine all records, books, papers, or documents related to the award.
The Applicant will require any subrecipients, contractors, successors, transferees and assignees to
acknowledge and agree to comply with this provision.
10. Conflict of Interest
The Applicant will establish safeguards to prohibit employees from using their positions for a
purpose that constitutes or presents the appearance of personal or organizational conflict of
interest, or personal gain.
11. Financial Management
False Claims for Payment
The Applicant will comply with 31 U.S.0 § 3729 which sets forth that no subgrantee, recipient, or
subrecipient shall submit a false claim for payment, reimbursement or advance.
Emergency Management Performance Grant Program (EMPG) - 2016 Grant Assurances Page Lpfll
nitmiw—
12. Reporting - Accountability
The Applicant agrees to comply with applicable provisions of the Federal Funding Accountability
and Transparency Act (FFATA) (P.L. 109-282), specifically (a) the reporting of subawards obligating
$25,000 or more in federal funds and (b) executive compensation data for first-tier subawards. This
includes the provisions of FFATA, which includes requirements for executive compensation, and
also requirements implementing the Act for the non-federal entity at 2 CFR part 25 Financial
Assistance Use of Universal Identifier and Central Contractor Registration and 2 CFR part 170
Reporting Subaward and Executive Compensation Information.
13. Whistleblower Protections
The Applicant also must comply with statutory requirements for whistleblower protections at 10
U.S.C. §2409,41 U.S.C. §4712, and 10 U.S.C. §2324, 41 U.S.C. § 4304 and §4310.
14. Human Trafficking
The Applicant will comply with the requirements of Section 106(g) of the Trafficking Victims
Protection Act of 2000, as amended (22 U.S.C. § 7104) which prohibits grant award recipients or a
subrecipient from: (1) engaging in trafficking in persons during the period of time that the award is in
effect; (2) procuring a commercial sex act during the period of time that the award is in effect; or (3)
using forced labor in the performance of the award or subawards under the award.
15. Labor Standards
The Applicant will comply with the following federal labor standards:
(a) Comply with the provisions of the Davis -Bacon Act (40 U.S.C. §§ 276a to 276a-7), as
applicable, and the Copeland Act (40 U.S.C. § 3145 and 18 U.S.C. § 874) and the Contract
Work Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor standards
for federally -assisted construction contracts or subcontracts.
(b) Comply with the Federal Fair Labor Standards Act (29 U.S.C. § 201 et al.) as they apply to
employees of institutes of higher learning (IHE), hospitals and other non-profit organizations.
16. Worker's Compensation
The Applicant must comply with provisions which require every employer to be insured to protect
workers who may be injured on the job before commencing performance of the work of this
Agreement, as per the workers compensation laws set forth in California Labor Code §§ 3700 at
seq.
17. Property -Related
If applicable to the type of project funded by this federal award, the Applicant will:
(a) Comply with the requirements of Titles II and III of the Uniform Relocation Assistance and
Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and
equitable treatment of persons displaced or whose property is acquired as a result of
Federal or federally -assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal participation in purchase.
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(b) Comply with flood insurance purchase requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) which requires subrecipients in a special flood hazard
area to participate in the program and to purchase flood insurance if the total cost of
insurable construction and acquisition is $10,000 or more.
(c) Assist the awarding agency in assuring compliance with Section 106 of the National Historic
Preservation Act of 1966, as amended (16 U.S.C. § 470), EO 11593 (identification and
protection of historic properties), and the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §469a-1 at seq.).
(d) Comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. § 4831 and 24 CFR
Part 35) which prohibits the use of lead-based paint in construction or rehabilitation of
residence structures.
18. Certifications Applicable Only to Federally -Funded Construction Projects
For all construction projects, the Applicant will:
(a) Not dispose of, modify the use of, or change the terms of the real property title or other
interest in the site and facilities without permission and instructions from the awarding
agency. Will record the federal awarding agency directives and will include a covenant in the
title of real property acquired in whole or in part with federal assistance funds to assure
nondiscrimination during the useful life of the project.
(b) Comply with the requirements of the awarding agency with regard to the drafting, review and
approval of construction plans and specifications.
(c) Provide and maintain competent and adequate engineering supervision at the construction
site to ensure that the complete work conforms with the approved plans and specifications
and will furnish progressive reports and such other information as may be required by the
assistance awarding agency or State.
19. Use of Cellular Device While Driving is Prohibited
Applicants are required to comply with California Vehicle Code sections 23123 and 23123.5. These
laws prohibit driving motor vehicle while using an electronic wireless communications device to
write, send, or read a text -based communication. Drivers are also prohibited from the use of a
wireless telephone without hands-free listening and talking, unless to make an emergency call to
911, law enforcement, or similar services.
20. Freedom of Information Act
The Applicant acknowledges that all information submitted in the course of applying for funding
under this program, or provided in the course of an entity's grant management activities that are
under Federal control, is subject to the Freedom of Information Act (FOIA), 5 U.S.C. § 552, and the
California Public Rights Act, California Government Code section 6250 at seq. The Applicant should
consider these laws and consult its own State and local laws and regulations regarding the release
of information when reporting sensitive matters in the grant application, needs assessment, and
strategic planning process.
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EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM - PROGRAM SPECIFIC
ASSURANCES / CERTIFICATIONS
21. Reporting Accusations and Findings of Discrimination
If during the past three years the recipient has been accused of discrimination on any basis the
recipient must provide a list of all such proceedings, pending or completed, including outcome and
copies of settlement agreements to the DHS financial assistance office and the DHS Office of Civil
Rights and Civil Liberties (CRCL) by e-mail at crcl@hq.dhs.gov or by mail at U.S. Department of
Homeland Security Office for Civil Rights and Civil Liberties Building 410, Mail Stop #0190
Washington, D.C. 20528.
In the event any court or administrative agency makes a finding of discrimination against the
recipient, or the recipient settles a case or matter alleging such discrimination, recipients must
forward a copy of the complaint and findings to the DHS financial assistance office and the CRCL
office by e-mail or mail at the addresses listed above.
The United States has the right to seek judicial enforcement of these obligations.
21. Acknowledgment of Federal Funding from DHS and Use of DHS Seal, Logo, and Flags
All recipients must acknowledge their use of federal funding when issuing statements, press
releases, requests for proposals, bid invitations, and other documents describing projects or
programs funded in whole or in part with federal funds.
All recipients must obtain permission from their financial assistance office, prior to using the DHS
seal(s), logos, crests or reproductions of Flags or likenesses of DHS agency officials, including use
of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast
Guard officials.
22. Activities Conducted Abroad
All recipients must ensure that project activities carried on outside the United States are
coordinated as necessary with appropriate government authorities and that appropriate licenses,
permits, or approvals are obtained.
23. Best Practices for Collection and Use of Personally Identifiable Information (PII)
DHS defines personally identifiable information (PII) as any information that permits the identity of
an individual to be directly or indirectly inferred, including any information that is linked or linkable to
that individual. All recipients who collect PII are required to have a publically-available privacy policy
that describes standards on the usage and maintenance of PII they collect. Award recipients may
also find as a useful resource the DHS Privacy Impact Assessments: Privacy Guidance and Privacy
template respectively.
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24. Copyright
All recipients must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402 and an
acknowledgement of Government sponsorship (including award number) to any work first produced
under federal financial assistance awards.
25. Energy Policy and Conservation Act
All recipients must comply with the requirements of 42 U.S.C. § 6201 which contain policies relating
to energy efficiency that are defined in the state energy conservation plan issued in compliance with
this Act.
26. Federal Debt Status
All recipients are required to be non -delinquent in their repayment of any federal debt. Examples of
relevant debt include delinquent payroll and other taxes, audit disallowances, and benefit
overpayments. See OMB Circular A-129.
27. Fly America Act of 1974
All Applicants must comply with Preference for U.S. Flag Air Carriers: (air carriers holding
certificates under 49 U.S.C. § 41102) for international air transportation of people and property to
the extent that such service is available, in accordance with the International Air Transportation Fair
Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by
the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller
General Decision B-138942.
28. Hotel and Motel Fire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, all Applicants must
ensure that all conference, meeting, convention, or training space funded in whole or in part with
federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention
and Control Act of 1974, as amended, 15 U.S.C. § 2225a.
29. Non -supplanting Requirement
All Applicants who receive awards made under programs that prohibit supplanting by law must
ensure that federal funds do not replace (supplant) funds that have been budgeted for the same
purpose through non-federal sources.
30. Patents and Intellectual Property Rights
Unless otherwise provided by law, recipients are subject to the Bayh-Dole Act, Pub. L. No. 96-517,
as amended, and codified in 35 U.S.C. § 200 at seq. All recipients are subject to the specific
requirements governing the development, reporting, and disposition of rights to inventions and
patents resulting from financial assistance awards located at 37 C.F.R. Part 401 and the standard
patent rights clause located at 37 C.F.R. § 401.14.
31. SAFECOM
All Applicants who receive awards made under programs that provide emergency communication
equipment and its related activities must comply with the SAFECOM Guidance for Emergency
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Communication Grants, including provisions on technical standards that ensure and enhance
interoperable communications.
32. Terrorist Financing
All Applicants must comply with Executive Order 13224 and U.S. law that prohibit transactions with,
and the provisions of resources and support to, individuals and organizations associated with
terrorism. It is the legal responsibility of recipients to ensure compliance with the Order and laws.
33. Reporting of Matters Related to Recipient Integrity and Performance
If the total value of the Applicant's currently active grants, cooperative agreements, and
procurement contracts from all federal assistance office exceeds $10,000,000 for any period of time
during the period of performance of this federal award, the Applicant must comply with the
requirements set forth in the government -wide Award Term and Condition for Recipient Integrity
and Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of which is
incorporated here by reference in the terms and conditions of your award.
34. USA Patriot Act of 2001
All recipients must comply with requirements of the Uniting and Strengthening America by Providing
Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which
amends 18 U.S.C. §§ 175-175c.
IMPORTANT
The purpose of the assurance is to obtain federal and state financial assistance, including any and all
federal and state grants, loans, reimbursement, contracts, etc. The Applicant recognizes and agrees
that state financial assistance will be extended based on the representations made in this assurance.
This assurance is binding on the Applicant, its successors, transferees, assignees, etc. Failure to
comply with any of the above assurances may result in suspension, termination, or reduction of grant
funds.
All appropriate documentation, as outlined above, must be maintained on file by the Applicant and
available for Cal DES or public scrutiny upon request. Failure to comply with these requirements may
result in suspension of payments under the grant or termination of the grant or both and the
subrecipient may be ineligible for award of any future grants if the Cal OES determines that any of the
following has occurred: (1) the recipient has made false certification, or (2) violates the certification by
failing to carry out the requirements as noted above.
All of the language contained within this document must be included in the award documents for all
subawards at all tiers, including contracts under grants and cooperative agreements and subcontracts.
All recipients are bound the Department of Homeland Security Standard Terms and Conditions 2016,
Version 6.0, hereby incorporated by reference, which can be found at:
https://www.dhs.gov/sites/default/files/publications/Fiscal%20Year°/`202016%20DHS°/a20General%20T
arms%20and%20Conditions. pdf
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The undersigned represents that he/she is authorized by the above named Applicant to enter into this
agreement for and on behalf of the said Applicant.
Subrecipient:
Signature of Authorized Agent:
Printed Name of Authorized Agent:
(•
L.Qa1;S
Title: Y 014:GC Il f " Date: � 17
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