HomeMy WebLinkAboutC-8075-5 - Agreement to Transfer Funds for 2018 Emergency Management Performance Grant Program1
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Attachment B - Form of Transfer Agreement Page 1 of 4
AGREEMENT TO TRANSFER FUNDS
FOR 2018 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM
THIS AGREEMENT is entered into this T14 day of MAQ(-W 20 1
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
a municipal corporation, hereinafter referred to as
"SUBRECIPIENT."
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 ("CaIOES").
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 (FY 2018
Emergency Management Performance Grants [EMPG] Notice of Funding Opportunity [NOFO]), 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 (FY 2018 EMPG 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
3UBRECIPIENT only for grant purposes in accordance with Attachment A hereto.
3. SUBRECIPIENT shall exercise due care to preserve and safeguard grant property and
,quipment from damage or destruction and shall provide regular maintenance and such repairs for grant
'FDA: 97.042
emergency Management Performance Grant
)epartment of Homeland Security Page I of 4
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Attachment B - Form of Transfer Agreement
Page 2 of 4
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 (FY 2018 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 patties 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.
CFDA: 97.042
Emergency IManagement Performance Giant
Department of Homeland Security Page 2 of 4
Attachment B - Form of Transfer Agreement Page 3 of 4
1 10. SUBRECIPIENT shall provide to COUNTY all records and information requested by
2 COUNTY for inclusion in quarterly reports and such other reports or records as COUNTY may be
3 required to provide to the agency from which COUNTY received grant funds or other persons or
4 agencies.
5 11. For a period of three years after the final Federal Financial Report hereunder or until all
6 claims related to this Agreement are finally settled, whichever is later, SUBRECIPIENT shall preserve
7 and maintain all documents, papers and records relevant to the work performed or property or equipment
8 acquired in accordance with this Agreement, including Attachments A, B, C, and D hereto. For the
9 same time period, SUBRECIPIENT shall make said documents, papers and records available to
10 COUNTY and the agency from which COUNTY received the grant funds or their duly authorized
11 representative(s), for examination, copying, or mechanical reproduction on or off the premises of
12 SUBRECIPIENT, upon request, during usual working hours.
13 1 12. SUBRECIPIENT and COUNTY shall be subject to examination and audit by the
14 California State Auditor with respect to this Agreement for a period of three years after the final Federal
15 Financial Report hereunder.
16 13. COUNTY may terminate this Agreement and be relieved of the payment of any
17 consideration to SUBRECIPIENT if a) SUBRECIPIENT fails to perform any of the covenants
18 contained in this Agreement, including the applicable terms of Attachments A, B, C, and D hereto, at the
19 time and in the manner herein provided, or b) COUNTY loses funding under the grant. In the event of
20 termination, COUNTY may proceed with the work in any manner deemed proper by COUNTY.
21 14. SUBRECIPIENT and its agents and employees shall act in an independent capacity in
22 the performance of this Agreement, including Attachments A, B, C, and D hereto, and shall not be
23 considered officers, agents or employees of COUNTY or SHERIFF or of the agency from which
24 COUNTY received grant funds.
25 15. By signing this Agreement, SUBRECIPIENT understands and agrees that:
26 a. Failure to follow grant guidance, including those detailed below, will result in
27 ineligibility for any reimbursement under the FY 2018 EMPG:
28
CFDA: 97.042
Emergency Management Perfonnance Grant
Department of Homeland Security Pabve 3 of 4
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Attachment B - Form of Transfer Agreement
Page 4 of 4
b. A SUBRECIPIENT representative must attend half of the Orange County Emergency
Managers Organization meetings held from July 1, 2018 through June 30, 2019;
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: , 20_ COUNTY OF ORANGE, a political subdivision
of the State of California
APPROVED AS TO FORM
COUNTY COUNSEL
By
WendyA flips, Senio eputy
DATED: 20
APPROVED AS TO FORM,
CITYATTORW'S OFFICE
EY' `�� ,
For: Amon C. Harp, ah► Anomer►
CFDA: 97,042
Emeroency Management Pedormance Grant
Department of Flomeland Security
By
Sheriff -Co ier
"COUNTY"
SUBRECIPIENT
P,, -
By_
ATTEST:
0&-
�C
City Clerle
DATED:
-5 1q. 14
Page 4 of 4
Attachment A
The U.S. Department of Homeland Security (DHS)
Notice of Funding Opportunity (NOFO)
Fiscal Year (FY) 2018 Emergency Management Performance Grant (EMPG)
NOTE: If you are going to apply for this funding opportunity and have not obtained a
Data Universal Numbering System (DUNS) number and/or are not currently registered in
the System for Award Management (SAM), please 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 you submit your SAM registration before your registration is active in SAM,
then an additional 24 hours for Grants.gov to recognize your information. Information on
obtaining a DUNS number and registering in SAM is available from Grants.gov at:
http://www. rg ants.gov/web/grants/register.html. 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)
Notice of Funding Opportunity Title
Emergency Management Performance Grant
Page 1 of 59
FY 2018 EMPG
NOFO Number
Grant Program Title
NOFO Number
EMPG
— Region I
DHS -I8 -GPD -042-01-01
EMPG
— Region II
DHS -I8 -GPD -042-02-01
EMPG — Region III
DHS -I8 -GPD -042-03-01
EMPG
— Region IV
DHS -I8 -GPD -042-04-01
EMPG
— Region V
DHS -I8 -GPD -042-05-01
EMPG
— Region VI
DHS -I8 -GPD -042-06-01
EMPG
— Region VII
DHS -I8 -GPD -042-07-01
EMPG
— Region VIII
DHS -I8 -GPD -042-08-01
EMPG
— Region IX
DHS -I8 -GPD -042-09-01
EMPG
— Region X
DHS -I8 -GPD -042-10-01
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 etseq.); 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, 2018 (Pub. L. No. 115-141)
Program Type
New
Program Overview, Objectives and Priorities
Overview
The FY 2018 Emergency Management Performance Grant Program (EMPG) is set against
the backdrop of a year in which the United States faced numerous and unprecedented
homeland security challenges. These included the three major hurricanes that devastated
parts of Texas, Florida, and much of Puerto Rico and the U.S. Virgin Islands, as well as
massive wildfires across the State of California. In addition to these natural disasters, the
Nation also responded to multiple incidents as part of the evolving threat landscape,
including witnessing the first known terrorist attack executed against mass transportation on
our soil; cyberattacks against critical port infrastructure; and mass casualty events involving
both vehicles and active shooters.
Page 2 of 59
FY 2018 EMPG
The National Preparedness Goal (the Goal) defines what it means to be prepared for such
diverse and complicated events. The National Preparedness System is the instrument the
Nation employs to build, sustain, and deliver the core capabilities needed to achieve the goal
of a more secure and resilient Nation. The development and sustainment of these core
capabilities is not exclusive to any single level of government or organization, but rather
requires the combined effort of the whole community. To that end, the FY 2018 EMPG
represents one part of a comprehensive set of measures authorized by Congress and
implemented by the Administration. Among the five basic homeland security missions noted
in the DHS Quadrennial Homeland Security Review, the EMPG supports the goal to
Strengthen National Preparedness and Resilience.
The recently released 2018-2022 FEMA Strategic Plan creates a shared vision for the field of
emergency management and sets an ambitious, yet achievable, path forward to unify and
further professionalize emergency management across the country. The Emergency
Management Performance Grant program supports the goal of Readying the Nation for
Catastrophic Disasters. We invite all of our stakeholders and partners to also adopt these
priorities and join us in building a stronger Agency and a more prepared and resilient Nation.
Objectives
The purpose of EMPG 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 seq.). 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 all
hazards and to vest responsibility for emergency preparedness jointly in the Federal
Government, states, and their political subdivisions. The Federal Government, through
EMPG, provides direction, coordination, and guidance, and provides necessary assistance, as
authorized in this title, to support a comprehensive all -hazards emergency preparedness
system. The FY 2018 EMPG will provide Federal funds to assist state, local, tribal, and
territorial emergency management agencies to obtain the resources required to support
implementation of the National Preparedness System and the National Preparedness Goal
(the Goal) of a secure and resilient Nation.
Performance metrics for this program are as follows:
• Percent improvement in Stakeholder Preparedness Review (SPR) capabilities against
Threat and Hazard Identification and Risk Assessment (THIRA) targets
• Percent of states and territories with a THIRA and SPR that meet current DHS/FEMA
guidance
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.
Page 3 of 59
FY 2018 EMPG
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 by achieving the desired outcomes identified in
the Goal.
DHS encourages EMPG recipients and subrecipients to prioritize grant funding toward
investments that address capability targets and gaps identified through the annual Threat and
Hazard Identification and Risk Assessment (THIRA) and Stakeholder Preparedness Review
(SPR) (formerly known as the State Preparedness Report) process. Recipients and
subrecipients should use grant funds to increase capability for high-priority core capabilities
with low capability levels, validate capability levels, and maintain and/or sustain current
capabilities. Additional information, including guidelines for completing the THIRA and
SPR, can be found at: https://www.fema.gov/media-librLry/assets/documents/26335 and
hLtp://www.fema.gov/stakeholder-preparedness-review.
DHS/FEMA annually publishes the annual National Preparedness Report (NPR) to evaluate
progress in building, sustaining, and delivering the core capabilities outlined in the Goal.
This analysis provides a national perspective on critical preparedness trends for whole
community partners to use to inform program priorities, allocate resources, and communicate
with stakeholders about issues of shared concern. The NPR can be found at
http://www.fema.gov/national-j2rgparedness-rgport.
In developing applications for the FY 2018 EMPG, recipients should consider funding
projects that address core capability gaps within the NPR national areas for improvement as
they relate to emergency management capabilities, including:
• Cybersecurity;
• Infrastructure Systems;
• Economic Recovery;
• Housing;
• Natural and Cultural Resources; and
• Supply Chain Integrity and Security.
Minimum funding amounts are not prescribed by DHS/FEMA 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. Grant funds should clearly support
resources the recipients need to achieve the THIRA targets and close capability gaps
identified in the SPR.
For additional details on priorities for EMPG, please refer to Appendix A — FY 2018 EMPG
Priorities.
Page 4 of 59
FY 2018 EMPG
B. Federal Award Information
Award Amounts, Important Dates, and Extensions
Available Funding for the EMPG: $350,100,000
Period of Performance: Twenty-four (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.
DHS/FEMA anticipates the overall period of performance for awards issued under this NOFO
will be up to 72 months, encompassing five (5) program years. DHS/FEMA anticipates that it
will fund a program year every twelve (12) months, and that the period of performance for the
funds provided in each program year will be two (2) years. The funds provided under this
announcement will be for the first program year, which will have a two-year period of
performance. Annual funding for program years two through five is not currently available, and
will only be provided subject to the availability of funds. Should funding become available for
additional program years, applicants will be required to submit an application and proposed
budget for approval by DHS/FEMA before any additional funds are awarded.
Projected Period of Performance Start Date(s): October 1, 2017
Projected Period of Performance End Date(s): September 30, 2019
Funding Instrument: Grant
C. Eligibility Information
Eligible Applicants
State governments (State Administrative Agency (SAA) 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 2018 EMPG funds. Either the SAA or the
EMA is eligible to apply directly to FEMA for EMPG 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
Page 5 of 59
FY 2018 EMPG
In support of the Goal, EMPG recipients must belong to, be located in, or act as an EMAC
temporary member state, 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 2018 EMPG 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 2018, recipients must ensure and
maintain adoption and implementation of NIMS. DHS/FEMA describes the specific activities
involved in NIMS implementation in the NIMS Implementation Objectives
(htlps://www.fema.gov/im-plementation-guidance-and-reportin ).
Incident management activities require carefully managed resources (personnel, teams, facilities,
equipment, and/or supplies). 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. Recipients should manage resources purchased
or supported with DHS/FEMA grant funding according to NIMS resource management
guidance. Additional information on resource management and NIMS resource typing
definitions and job titles/position qualifications is available under http://www.fema.mov/resource-
manaizement-mutual-aid.
Cost -Share or Match
A cost -match is required under this program.
The Federal share that is used toward the EMPG budget shall not exceed 50 percent of the total
budget. The state must equally match (cash or third party in-kind) the Federal contribution
pursuant to Sections 6110) and 613 of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act (Pub. L. No. 93-288), as amended, (42 U.S.C. §§ 5121 et seq.). Unless otherwise
authorized by law, Federal funds cannot be matched with other Federal funds.
DHS/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 Commonwealth of the Northern Mariana Islands,
and the Republic of the Marshall Islands.
D. Application and Submission Information
Key Dates and Times
Page 6 of 59
FY 2018 EMPG
Date Posted to Grants.gov: May 21, 2018
Application Submission Deadline: June 20, 2018, S:OOpm ET
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. DHS/FEMA will not review
applications that are not received by the deadline or consider them for funding.
DHS/FEMA may, however, extend the application deadline, upon 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 circumstances will be made on case-by-case basis,
with the final determination resting with DHS/FEMA. Applicants who experience technical
issues must notify the EMPG Regional Program Manager before the application deadline.
Anticipated Funding Selection Date: August 27, 2018
Anticipated Award Date: Before September 30, 2018
Address to Request Application Package
Application forms and instructions are available on Grants.gov (hardcopies of the NOFO and
associated application materials are not available.) To access the application package, select
"Applicants" then "Apply for Grants" followed by "Get Application Package." Enter the
Funding Opportunity Number located in this NOFO. Select "Apply" and then "Create
Workspace." Follow the prompts to download the instructions and begin the application.
In addition, the following Telephone Device for the Deaf (TDD) and/or Federal Information
Relay Service (FIRS) number available for this Notice is: (800) 462-7585
Initial applications will be processed through the Grants.gov portal and final applications will be
processed through 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. To ensure that an application
is submitted on time applicants are advised to start the required steps well in advance of their
submission. 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:
1. Applying for, updating, or verifying their Data Universal Numbering System
(DUNS) Number and Employer ID Number (EIN);
2. Updating or verifying their System for Award Management (SAM)
Registration;
Page 7 of 59
FY 2018 EMPG
3. Establishing an Authorized Organizational Representative (AOR) in
Grants.gov;
4. Submitting an initial application in Grants.gov; and
5. Submitting the final application in the ND Grants system.
Unique Entity Identifier and System for Award Management (SAM)
All applicants for this award must:
1. Be registered in SAM before submitting its application;
2. Provide a valid DUNS number in its application; and
3. Continue to maintain an active SAM registration with current information at all times
during which it has an active federal award or an application or plan under
consideration by DHS/FEMA.
DHS/FEMA 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 DHS/FEMA is ready to make a federal award. DHS/FEMA 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.
Electronic Delivery
DHS/FEMA is participating in the Grants.gov initiative to provide the grant community with a
single site to find and apply for grant funding opportunities. DHS/FEMA requires applicants to
submit their initial applications online through Grants.gov and final applications through ND
Grants.
How to Register to Apply through Grants.gov
1. Instructions: Read the instructions below about registering to apply for DHS/FEMA funds.
Applicants should read the registration instructions carefully and prepare the information
requested before beginning the registration process. Reviewing and assembling the required
information before beginning the registration process will alleviate last-minute searches for
required information.
The registration process can take up to four weeks to complete. Therefore, registration
should be done in sufficient time to ensure it does not impact your ability to meet required
application submission deadlines.
Organizations must have a DUNS Number, active SAM registration, and Grants.gov account
to apply for grants.
If individual applicants are eligible to apply for this grant funding opportunity, refer to:
https•//www rg ants.gov/web/ rag nts/applicants/registration.html
Organization applicants can find complete instructions here:
https•//www grants gov/web/ rag nts/applicants/organization-registration.html
Page 8 of 59
FY 2018 EMPG
2. Obtain a DUNS Number: All entities applying for funding, including renewal funding, must
have a DUNS number from Dun & Bradstreet (D&B). Applicants must enter the DUNS
number in the data entry field labeled "Organizational DUNS" on the SF -424 form.
For more detailed instructions for obtaining a DUNS number, refer to:
https://www.grants.gov/web/ rag nts/applicants/organization-registration/step-l-obtain-duns-
number.html
3. Register with SAM: In addition to having a DUNS number, all organizations applying online
through Grants.gov must register with the System for Award Management (SAM). Failure to
register with SAM will prevent your organization from applying through Grants.gov. SAM
registration must be renewed annually.
For more detailed instructions for registering with SAM, refer to:
https://www.grants.gov/web/ rag nts/applicants/organization-registration/step-2-register-with-
sam.html
4. Create a Grants.gov Account: The next step in the registration process is to create an account
with Grants.gov. Applicants must know their organization's DUNS number to complete this
process.
For more information, follow the on-screen instructions or refer to:
https://www. rg ants.gov/web/ rag nts/applicants/registration.html
S. Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single
applicant organization the user represents (i.e., an applicant) or an individual applicant. If
you work for or consult with multiple organizations and have a profile for each, you may log
in to one Grants.gov account to access all of your grant applications. To add an
organizational profile to your Grants.gov account, enter the DUNS Number for the
organization in the DUNS field while adding a profile.
For more detailed instructions about creating a profile on Grants.gov, refer to
https://www. rg ants.gov/web/ rag nts/applicants/registration/add-profile.html
6. EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an
Organization Applicant Profile, the organization applicant's request for Grants.gov roles and
access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize
the appropriate roles, which may include the AOR role, thereby giving you permission to
complete and submit applications on behalf of the organization. You will be able to submit
your application online any time after you have been assigned the AOR role.
For more detailed instructions about creating a profile on Grants.gov, refer to:
https://www. r�gov/web/grants/applicants/registration/authorize-roles.html
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FY 2018 EMPG
7. Track Role Status: To track your role request, refer to:
https•//www grants gov/web/ rag_ nts/applicants/reg�istration/track-role-status.html
8. Electronic Signature: When applications are submitted through Grants.gov, the name of the
organization applicant with the AOR role that submitted the application is inserted into the
signature line of the application, serving as the electronic signature. The EBiz POC must
authorize individuals who are able to make legally binding commitments on behalf of the
organization as an AOR; this step is often missed and it is crucial for valid and timely
submissions.
How to Submit an Initial Application to DHS/FEMA via Grants.gov
Grants.gov applicants apply online using Workspace. Workspace is a shared, online
environment where members of a grant team may simultaneously access and edit different
webforms within an application. For each Notice of Funding Opportunity (NOFO), you can
create individual instances of a Workspace.
Below is an overview of applying on Grants.gov. For access to complete instructions on how to
apply for opportunities using Workspace, refer to:
https://www. rg ants.gov/web/ rag_nts/applicants/workspace-overview.html
1. Create a Workspace: Creating a Workspace allows you to complete it online and route it
through your organization for review before submitting.
2. Complete a Workspace: Add participants to the Workspace to work on the application
together, complete all the required forms online or by downloading PDF versions, and check
for errors before submission.
3. Adobe Reader: If you decide not to apply by filling out webforms you can download
individual PDF forms in Workspace so that they will appear similar to other Standard or
DHS/FEMA forms. The individual PDF forms can be downloaded and saved to your local
device storage, network drive(s), or external drives, then accessed through Adobe Reader.
NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the
appropriate version of the software at: ht_pt s://www.grants.gov/web/ rag nts/applicants/adobe-
software-compatibility.html
4. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a
different background color. These fields are mandatory fields that must be completed to
successfully submit your application.
5. Complete SF -424 Fields First: The forms are designed to fill in common required fields
across other forms, such as the applicant name, address, and DUNS number. To trigger this
feature, an applicant must complete the SF -424 information first. Once it is completed, the
information will transfer to the other forms.
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6. Submit a Workspace: An application may be submitted through Workspace by clicking the
"Sign and Submit" button on the Manage Workspace page, under the Forms tab. Grants.gov
recommends submitting your application package at least ten days prior to the close date to
provide you with time to correct any potential technical issues that may disrupt the
application submission.
7. Track a Workspace: After successfully submitting a Workspace package, a Grants.gov
Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The
number will be listed on the Confirmation page that is generated after submission. Using the
tracking number, access the Track My Application page under the Applicants tab or the
Details tab in the submitted Workspace.
For additional training resources, including video tutorials, refer to:
https://www. rg ants.gov/web/grants/applicants/applicant-training html
Applicant Support: Grants.gov provides applicants 24/7 support via the toll-free number 1-800-
518-4726 and email at supporta grants.gov. For questions related to the specific grant
opportunity, contact the number listed in the application package of the grant you are applying
for.
If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support
Center and get a ticket number. The Support Center ticket number will assist the DHS/FEMA
with tracking your issue and understanding background information on the issue.
Submitting the Final Application in Non Disaster Grants System (ND Grants)
After submitting the initial application in Grants.gov, 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 or at the latest, ten days before the
application deadline. 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 have all
the information required:
• Standard Form 424A, Budget Information (Non -construction)
• Standard Form 424B, Standard Assurances (Non -construction)
• Standard Form LLL, Disclosure of Lobbying Activities
In addition, applicants must submit copies of the following in ND Grants:
• Program Work Plan (see Appendix C — FY 2018 EMPG Work Plan);
• Indirect Cost Rate Agreement, if applicable.
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Applicants must submit copies of the following in ND Grants, if applying for construction
projects:
• Standard Form 424C, Budget Information (Construction)
• Standard Form 424D, Standard Assurances (Construction)
The forms can be found here: http:Hwww fema og v/preparedness-non-disaster-rg ants and
http•//www rg ants.gov/web/grants/forms/sf-424-family.htrnl#sortby=l.
Timely Receipt Requirements and Proof of Timely Submission
All applications must be received in ND Grants by 5:00 PM Eastern Time on June 20, 2018.
Proof of timely submission is automatically recorded by ND Grants. An electronic date/time
stamp is generated within the system when the application is successfully received by ND
Grants. The applicant with the AOR role who submitted the application will receive an
acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov
with the successful transmission of their initial application. This applicant with the AOR role
will also receive the official date/time stamp and Grants.gov Tracking number in an email
serving as proof of their timely submission.
Applicants using slow internet, such as dial-up connections, should be aware that transmission
can take some time before Grants.gov and ND Grants receive your application. Again,
Grants.gov will provide either an error or a successfully received transmission in the form of an
email sent to the applicant with the AOR role. The Grants.gov Support Center reports that some
applicants end the transmission because they think that nothing is occurring during the
transmission process. Please be patient and give the systems time to process the application.
Applicants needing assistance with the ND Grants system should contact nd rg antsAfema.gov
or (800) 865-4076.
Intergovernmental Review
An intergovernmental review may be required. Applicants must contact their state's Single Point
of Contact (SPOC) to comply with the state's process under Executive Order 12372 (See
htlp://www.fws.gov/,policy/libraDL/rgeol2372.pdf).
Funding Restrictions
Federal funds made available through this award may be used only 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 recipients may only fund activities and projects that are included and approved in the FY
2018 EMPG Work Plan. Activities and projects may include capability sustainment supported
by previous EMPG funds provided the sustainment activity is cited in the FY 2018 Work Plan.
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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 grant 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 DHS/FEMA EHP review process.
The EHP review process involves the submission of a detailed project description 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,
DHS/FEMA is also required to consult with other regulatory agencies and the public to complete
the review process. The EHP review process must be completed and approved before funds are
released to carry out the proposed project; otherwise, DHS/FEMA may not be able to fund the
project due to non-compliance with EHP laws, executive orders, regulations, and policies.
Additionally, all recipients are required to comply with DHS/FEMA EHP Policy Guidance,
FEMA Policy 108-023-1. The EHP screening form is located here and further EHP guidance
can be found at https://www.fema.gov/media-library/assets/documents/85376.
Emergency Communications and Resilience
All entities using EMPG funding to support emergency communications investments are
required to comply with the SAFECOM Guidance on Emergency Communications Grants
(SAFECOM Guidance). The SAFECOM Guidance provides current information on emergency
communications policies, eligible costs, best practices, and technical standards for State, local,
tribal, and territorial recipients investing Federal funds in emergency communications projects.
It is also designed to promote and align with the National Emergency Communications Plan
(NECP). Conformance with the SAFECOM Guidance helps ensure that Federally -funded
investments are compatible, interoperable, resilient, and support national goals and objectives for
improving emergency communications.
FirstNet
The Middle Class Tax Relief and Job Creation Act of 2012, Pub. L. No. 112-96, as amended
(codified in part at 47 U.S.C. §§ 1401-1473) established the First Responder Network Authority
(hereinafter FirstNet Authority) as an independent authority within the National
Telecommunications and Information Administration ("NTIA"),I The FirstNet Authority's
statutory mission is to establish a nationwide public safety broadband network
(FirstNet) .2 FirstNet uses the 700 MHz D block spectrum to provide Long -Term Evolution
(LTE) -based broadband services and applications to public safety entities.' FirstNet became
operational in March 2018 and is based on a single, national network architecture that will
'47 U.S.C. § 1424(a).
2 4 U.S.C. § 1426(b).
147 U.S.C. §§ 1401(2), 1421(a).
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evolve with technological advances and initially consist of a core network and radio access
network (RAN).
FirstNet will provide public safety entities with mission critical broadband data capabilities and
services including, but not limited to messaging, image sharing, video streaming, group text,
voice, data storage, application, location -based services, and Quality of Service, Priority and
Preemption. Public safety entities seeking to enhance their operational capabilities using
broadband technology may seek grant funding to support the following:
• Planning for integration of Information Technology (IT) infrastructure, software, and
site upgrades necessary to connect to FirstNet.
• Handheld broadband devices including smartphones, feature phones, tablets,
wearables, push -to -talk (PTT) devices.
• Vehicle -mounted or otherwise field operated data devices such as ruggedized laptops.
• Network access devices including portable Wi-Fi devices, Universal Serial Bus (USB)
modems/dongles, trunk -mounted modems, routers.
• Customer Owned and Managed (COAM) broadband deployable equipment,
enabling public safety to own and dispatch coverage expansion or capacity enhancement
equipment within their jurisdiction.
• Broadband device accessories that enable efficient and safe public safety operations
such as headsets, belt clips, ear pieces, remote Bluetooth sensors, ruggedized cases.
• Subscriber Identification Modules (SIMs)/Universal Integrated Circuit Cards
(UICCs) to allow public safety users to update existing devices to operate on public
safety prioritized services.
• One-time purchase and subscription -based applications for public safety use which
could include, among a number of other options, enterprise mobility management
(EMM), mobile device management (MDM), mobile Virtual Private Network (VPN),
identify services, or cloud service tools.
As FirstNet is built out in all 56 states and territories and coverage and capacity for first
responders expands, recipients are strongly encouraged to coordinate with the Statewide
Interoperability Coordinator (SWIG) and FirstNet on (1) the planning, deployment timelines, and
operational availability of the network deployment within a specific state or territory; (2) to
ensure the project does not conflict with network planning efforts; and (3) that the project
complies with all technical requirements. FirstNet requires participating agencies to demonstrate
a subscription to public safety -prioritized broadband services to purchase FirstNet broadband
devices or applications. Information Bulletin #386 is hereby rescinded as the technical
requirements and nationwide network architecture has been developed, and FirstNet is
operational. Recipients, however, must coordinate with FirstNet in advance of any strategic
acquisition of broadband LTE equipment to ensure that purchases adhere to all applicable
standards for public safety entities. Recipients with questions on FirstNet should contact
info(,firstnet. og_v. Please refer to the FY 2018 SAFECOM Guidance on Emergency
Communications for additional guidance.
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Pre -Award costs
Pre -award costs are allowable only with the prior written approval of DHS/FEMA and are
included in the award agreement. To request pre -award costs, a written request must be included
with the application and be 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.
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.
Direct Costs
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.
Exercises
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 to sustain programs that help achieve core capabilities that, while they
may not be physically deployable, support national response capabilities, such as
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FY 2018 EMPG
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 2018 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&A]) 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 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, FEMA is required by 31 U.S.C. § 3321 note, 41 U.S.C. § 2313,
and 2 C.F.R. § 200.205 to review information available through any OMB -designated
repositories of government wide eligibility qualification or financial integrity information.
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 2018 EMPG 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.
There is a cost share for EMPG. Failure to note the match on the SF -424 at time of application
may delay processing of the application
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Grant recipients are expected to conform, as applicable, with accepted engineering practices,
established codes, standards, modeling techniques, and best practices, and participate in the
development of case studies demonstrating the effective use of grant funds, as requested.
Review and Selection Process
Initial Review
FEMA's Regional EMPG Managers conduct all pre -award reviews for EMPG grants. All
EMPG Work Plans will require final approval by the appropriate FEMA regional office.
Funds for recipients who have not submitted their EMPG 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 application require additional information.
Overall Review
FEMA regions are responsible for reviewing submitted applications. Each FEMA Regional
EMPG Manager reviews the FY 2018 EMPG Work Plans for their states/territories to assess
their proposed EMPG investments against recognized emergency preparedness needs, including
support for maintenance and sustainment of core capabilities and progress made toward
implementing the National Preparedness System.
For additional details on application review information, please refer to Appendix C — FY 2018
EMPG Work Plan.
Supplemental Financial Integrity Review
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 in the Federal Awardee Performance and Integrity
Information System (FAPIIS), which is also accessible through the SAM website.
• An applicant, at its option, may review information in FAPIIS and comment on any
information about itself that a Federal awarding agency previously entered.
• DHS/FEMA will consider any comments by the applicant, in addition to the FAPIIS
information, 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
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Notification of award approval is made through the ND Grants System through an automatic
email 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.
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.
Recipients must accept their awards no later than 90 days from the award date. The recipient
shall notify DHS/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 declining an award in the ND
Grants System are described in the ND Grants Grantee Training Manual, located here:
httos://www.fema.Qov/media-librarv/assets/documents/25949.
Administrative and National Policy Requirements
All successful applicants for all DHS grants and cooperative agreements are required to comply
with DHS Standard Administrative Terms and Conditions, which are available online at: DHS
Standard Terms and Conditions.
The applicable DHS Standard Administrative Terms and Conditions will be those in effect at the
time the award was made.
Before accepting the award, the AOR should carefully review the award package. The award
package includes 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 Awald to receive an
award under this program.
Obligation or Transfer to State EMU and Pass -Through Funding
Each state shall obligate 100 percent (100%) of its total EMPG allocation 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 process, 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, DHS/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
award acceptance. Future awards and fund drawdowns may be withheld if these reports are
delinquent.
Federal Financial Reporting Requirements
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Federal Financial Report (FFR)
Recipients must report obligations and expenditures on a quarterly basis through the FFR
(SF -425) to DHS/FEMA. Recipients must file the FFR quarterly, using the Payment and
Reporting System (PARS). 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 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 FFR is available online at:
https://www.grants.gov/web/grants/foims/post-award-reporting-forms.html - sortb y--1,
SF -425 OMB #4040-0014.
Financial Reporting Periods and Due Dates
The following reporting periods and due dates apply for the FFR:
Reporting Period
Report Due Date
October 1 — December 31
January 30
January 1 — March 31
April 30
April 1 — June 30
July 30
July 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 http://www.ecfr.gov/cgi-bin/text-idx?node=sp2.1.200.f.
Program Performance Reporting Requirements
Performance Progress Reports (PPR)
Recipients are responsible for providing updated performance reports to FEMA using a
Microsoft Word (Word) document summary attached in ND Grants on a quarterly basis.
As explained in the Standardized Programmatic Reporting section below, the Quarterly
Performance Progress Reports must be based on the approved EMPG Work Plan and are
due no later than 30 days after the end of the quarter (i.e., on January 30, April 30, July
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FY 2018 EMPG
30, and October 30). Recipients must complete the summary of activities and submit it
as an attachment to the ND Grants system.
Recipients are required to report quarterly on progress toward completing activities and
projects approved in their EMPG Work Plans, how expenditures support maintenance
and sustainment of core capabilities, and progress made toward 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 2018 EMPG Work Plan).
• Percent completion of the Training and Exercise Plan (TEP) outlined in the FY
2018 EMPG Work Plan (templates are available in Appendix C — FY 2018
EMPG Work Plan).
Programmatic Reporting Periods and Due Dates
The following reporting periods and due dates apply for the PPR:
Reporting Period
October 1 — December 31
Report Due Date
January 30
January 1 — March 31
April 30
April 1 — June 30
July 30
July 1 — September 30
October 30
Standardized Programmatic Reporting for EMPG
The EMPG Work Plan Template was modified to standardize data collection for
improved analysis and reporting. The EMPG Work Plan includes five components: (1)
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 Exercises, as well as the Grant Activities Outline, must be provided in the
EMPG Work Plan at the time of application and will form the basis of the Quarterly
Performance Progress Report Word document 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 Work Plan must summarize program activities in the following areas:
• Planning: Planning efforts should span all five Goal mission areas. The EMPG
Work Plan should provide a baseline for determining potential threats and
hazards, required capabilities, and required resources. It should also establish a
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framework for roles and responsibilities. Planning efforts should demonstrate
whole community engagement to create a strategic, operational, and/or
community-based approach to preparedness.
Organization: EMPG funds may be used for all -hazards emergency management
operations, staffing, and other day-to-day activities in support of emergency
management, including staffing the State Hazard Mitigation Officer (SHMO)
position, as well as 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 EMPG equipment categories are listed on the web -based
version of the Authorized Equipment List (AEL), which is available at
https://www.fema.gov/authorized-equipment-list. Unless otherwise stated,
equipment must meet all mandatory regulatory and/or DHS/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 funds may be used for a range of emergency management -
related training activities to enhance the capabilities of state and local emergency
management personnel, including establishing, supporting, conducting, and
attending training deliveries. Training activities should align to a current, Multi -
Year TEP developed through an annual Training and Exercise Plan Workshop
(TEPW) and should reflect efforts to address training capabilities gaps identified
through the THIRA/SPR processes.
Exercises: Exercises conducted with grant funds should test and evaluate
performance towards meeting capability targets established in a jurisdiction's
THIRA for the core capabilities needed to address its greatest risks. Exercise
priorities should align to a current, Multi -Year TEP developed through an annual
TEPW.
For more details on the EMPG Work Plan, please refer to Appendix C — FY 2018 EMPG
Work Plan.
Additional Programmatic Reporting Requirements and Information
Biannual Strategy Implementation Report (BSIR)
In addition to the quarterly financial and biannual performance progress reports,
recipients are responsible for completing and submitting BSIRs through the Grants
Reporting Tool (GRT). The BSIR is due within 30 days after the end of the reporting
period (July 30 for the reporting period of January 1 through June 30 (the summer BSIR
report); and January 30 for the reporting period of July 1 through December 31 (winter
BSIR report). All required attributes of each project must be included. Updated
obligations, expenditures, and significant developments must be provided within the
BSIR to show progress of implementation for every project, as well as how
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FY 2018 EMPG
expenditures support Planning, Organization, Equipment, Training and Exercises
(POETE). The first BSIR will be due January 30, 2018 (30 days after the end of the
first reporting period for the award). Subsequent BSIR reports will require recipients to
report on a project -by -project basis.
2018/2019 Threat and Hazard Identification and Risk Assessment (THIRA) and
Stakeholder Preparedness Review (SPR) Process
By December 31, 2018, FY 2018 recipients are required to submit a THIRA/SPR, using
an updated methodology that assesses only the response, recovery, and cross -cutting
capabilities. In FY 2019, reporting on all core capabilities will be required and the SPR
will still be submitted annually. However the THIRA requirement will be reduced to
every three years. Also beginning with the FY 2018 award cycle, the State Preparedness
Report will be known as the Stakeholder Preparedness Review. The acronym SPR will
continue to be used. States, territories, and Urban Areas will be required to submit a SPR
annually. For additional guidance on THIRA, please refer to CPG 201, Third Edition,
available at http://www.fema.gov/threat-and-hazard-identification-and-risk-assessment.
2017 Threat and Hazard Identification and Risk Assessment (THIRA)
Although the THIRA/SPR process is changing this year, as discussed later in this section,
grant investment justifications for FY 2018 applications should be based on previously
submitted 2017 THIRA results. The THIRA is a grant requirement for all States,
territories, and Urban Areas. The THIRA is a risk -informed assessment of capability
requirements that helps jurisdictions identify, understand, and plan for its worst most
plausible threats and hazards.
2017 Stakeholder Preparedness Review (SPR) [formerly State Preparedness Report]
The SPR is a grant requirement for all States, territories, and urban areas. It is an annual
capability assessment that helps jurisdictions identify capability gaps and prioritize
investment requirements to reach the targets set in their THIRA. Completing the SPR
and tying the results to funding requests creates a stronger investment justification.
Additional information on the THIRA/SPR process can be found at
https://www.fema.gov/national-preparedness-syste .
Supplemental Information Reporting Systems
In addition to ND Grants, the following information systems are used for the submission of
required reports:
Grant Reporting Tool (GRT): EMPG recipients will submit their BSIR information in
the GRT. EMPG recipients are responsible for filing a biannual BSIR report in the GRT
and should register to create an account as soon as possible. Recipients should go to the
following link and follow the links to create a new account:
https://www.reporting.odp.dhs.gov/. This report is used to track the progress toward the
completion of projects.
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Unified Reporting Tool (URT): The URT is DHS/FEMA's collection mechanism for
THIRA, SPR, and related preparedness information. The FY 2018 URT includes
questions related to NIMS adoption and implementation, CPG 101v2 compliance, and
other preparedness questions, as appropriate. Information on the URT, including when
recipients will receive the tool and how to use the tool, will be sent to recipients later in
2018.
Closeout Reporting Requirements
DHS/FEMA will closeout the grant award when all applicable administrative actions and all
required work of the EMPG award are 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 original period of performance or amended period
of performance as specified in an approved Grant Adjustment Notice (GAN).
Within 90 days of the end of the period of performance, or after expiration of a GAN,
recipients must submit:
1. Final FFR (SF -425)
2. Final PPR including final Activity Outline Report from the Work Plan
3. Final request for payment, if applicable
4. A qualitative summary of the impact of accomplishments throughout the entire period
of performance submitted to the respective Regional Program Manager
5. 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 will
be reported using the Real Property Status Report (SF -429).
Additionally, the recipient must liquidate all obligations incurred under the EMPG 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, DHS/FEMA may disallow the costs associated with those
unliquidated obligations. Recipients are also responsible for promptly returning the balance
of any funds that have been drawn down, but remain unliquidated, to DHS/FEMA.
After final reports have been reviewed and approved by DHS/FEMA, a closeout notice will
be completed. The notice will indicate the period of performance is closed, list any
remaining funds the recipient has not drawn down that will be deobligated, address
requirements for record retention, and explain disposition and reporting requirements for any
equipment or real property purchased using EMPG funds.
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.
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Disclosing Information per 2 C.F.R. § 180.335
This reporting requirement pertains to disclosing information related to government -wide
suspension and debarment requirements. Before a recipient enters into a grant award with
FEMA, the recipient must notify FEMA if it knows if any of the recipient's principals under
the award fall under one or more of the four criteria listed at 2 C.F.R. § 180.335. At any time
after accepting the award, if the recipient learns that any of its principals falls under one or
more of the criteria listed at 2 C.F.R. § 180.335, the recipient must provide immediate written
notice to FEMA in accordance with 2 C.F.R. § 180.350.
G. DHS Awarding A2ency Contact Information
Contact and Resource Information
Centralized Scheduling and Information Desk (CSID)
CSID is a non -emergency comprehensive management and information resource developed
by DHS/FEMA for grants stakeholders. CSID provides general information on all
DHS/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
email at ASKCsid@fema.gov, Monday through Friday, 9:00 a.m. — 5:00 p.m. ET.
DHS/FEMA/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 email to ASK-
GMD(a,fema.gov.
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. The
Regions also provide technical assistance to EMPG awardees. FEMA Regional Office
contact information is available at: https://www.fema.gov/fema-regional-contacts
GPD Environmental Planning and Historic Preservation (GPD EHP)
The DHS/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: https://www.fema.gov/media-library/assets/documents/85376.
Systems Information
Grants.gov
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For technical assistance with Grants.gov, please call the Grants.gov, customer support hotline
at (800) 518-4726.
ND Grants System
For technical assistance with the ND Grants System, please contact the ND Grants Helpdesk
at nd rg antsAfema.gov or (800) 865-4076, Monday through Friday, 9:00 a.m. — 5:00 p.m. ET.
Payment and Reporting System (PARS)
DHS/FEMA uses the DHS/FEMA Payment and Reporting System (PARS) for financial
reporting, invoicing, and tracking payments. DHS/FEMA uses the Direct Deposit/Electronic
Funds Transfer (DD/EFT) method of payment to recipients. To enroll in the DD/EFT, the
recipients must complete a Standard Form 1199A, Direct Deposit Form.
H. Additional Information
Monitoring and Evaluation
EMPG recipients will be monitored programmatically and financially biannually and as needed
by DHS/FEMA staff to ensure that activities, 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, onsite 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.
As part of its grant oversight responsibility, DHS/FEMA is conducting a series of grant
effectiveness case studies jointly with grant recipients to highlight how states and urban areas
have used Federal grants to improve preparedness. The purpose of the project is to better
understand the factors that jurisdictions consider when determining which grant projects to fund,
understand how jurisdictions measure grant effectiveness, and document key findings and
success stories that will help both grant recipients and DHS/FEMA more effectively
communicate the importance of Federal grant programs to policymakers and the public.
Although not mandatory, recipients are encouraged to participate given the mutual benefits to be
gained from this collaborative effort.
Period of Performance 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 Regional EMPG 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 Analyst, as needed, when preparing an extension request. All extension
requests must address the following:
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1. Grant program, fiscal year, and award number
2. Reason for delay that must include details of the legal, policy, or operational
challenges 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
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 subrecipients 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
• 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.
Procurement Integrity
Through audits conducted by DHS Office of Inspector General (OIG) and FEMA grant
monitoring, findings have shown that some FEMA recipients have not fully adhered to the
proper procurement requirements when spending grant funds. Anything less than full
compliance with Federal procurement policies jeopardizes the integrity of the grant as well as the
grant program. Noncompliance with the Federal procurement rules may result in FEMA
imposing specific conditions as described in 2 C.F.R. § 200.207 or other remedies for
noncompliance under 2 C.F.R. § 200.338.
The below highlights the Federal procurement requirements for FEMA recipients when
procuring goods and services with Federal grant funds. DHS will include a review of recipients'
procurement practices as part of the normal monitoring activities. All procurement activity
must be conducted in accordance with Federal Procurement Standards at 2 C.F.R. §§
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200.317 — 200.326. Select requirements under these standards are listed below. The recipient
must comply with all requirements, even if they are not listed below.
Under 2 C.F.R. § 200.317, when procuring property and services under a Federal award, states
must follow the same policies and procedures they use for procurements from their non -Federal
funds; additionally, states must follow 2 C.F.R. § 200.322 regarding procurement of recovered
materials, and 2 C.F.R. § 200.326 regarding required contract provisions.
All other non -Federal entities, such as tribes, must use their own documented procurement
procedures which reflect applicable state, local, territorial and tribal laws and regulations,
provided that the procurements conform to applicable Federal law and the standards identified in
2 C.F.R. Part 200. These standards include, but are not limited to providing for full and open
competition consistent with the standards of 2 C.F.R. § 200.319.
Competition and Conflicts of Interest
Among the requirements of 2 C.F.R. § 200.319(a) applicable to all non -Federal entities other
than States, in order to ensure objective contractor performance and eliminate unfair
competitive advantage, contractors that develop or draft specifications, requirements,
statements of work, or invitations for bids or requests for proposals must be excluded from
competing for such procurements. FEMA considers this an organizational conflict of
interest and interprets this restriction as applying to contractors that help a recipient
develop its grant application, project plans, or project budget. This prohibition also
applies to the use of former employees to manage the grant or carry out a contract
when such former employees worked on such activities while they were employees of
the non -Federal entity.
Under this prohibition, unless the non -Federal entity solicits for and awards a contract
covering both development and execution of specifications (or similar elements as described
above), and this contract was procured in compliance with 2 C.F.R. §§ 200.317 — 200.326,
Federal funds cannot be used to pay a contractor to carry out the work if that contractor also
worked on the development of such specifications. This rule applies to all contracts funded
with Federal grant funds, including pre -award costs, such as grant writer fees, as well as post -
award costs, such as grant management fees.
Additionally, some of the situations considered to be restrictive of competition include, but
are not limited to:
• Placing unreasonable requirements on firms in order for them to qualify to do
business.
• Requiring unnecessary experience and excessive bonding.
• Noncompetitive pricing practices between firms or between affiliated companies.
• Noncompetitive contracts to consultants that are on retainer contracts.
• Organizational conflicts of interest.
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• Specifying only a "brand name" product instead of allowing "an equal" product to be
offered and describing the performance or other relevant requirements of the
procurement.
• Any arbitrary action in the procurement process.
Pursuant to 2 C.F.R. § 200.319(b), non -Federal entities other than states must conduct
procurements in a manner that prohibits the use of statutorily or administratively imposed
state, local, territorial or tribal geographical preferences in the evaluation of bids or
proposals, except in those cases where applicable Federal statutes expressly mandate or
encourage geographic preference. Nothing in this section preempts state licensing laws.
When contracting for architectural and engineering services, geographic location may be a
selection criterion provided its application leaves an appropriate number of qualified firms,
given the nature and size of the project, to compete for the contract.
Pursuant to 2 C.F.R. § 200.318(c)(1), non -Federal entities other than states are required to
maintain written standards of conduct covering conflicts of interest and governing the actions
of their employees engaged in the selection, award, and administration of contracts. No
employee, officer, or agent may participate in the selection, award, or administration of
a contract supported by a Federal award if he or she has a real or apparent conflict of
interest. Such conflicts of interest would arise when the employee, officer or agent, any
member of his or her immediate family, his or her partner, or an organization which employs
or is about to employ any of the parties indicated herein, has a financial or other interest in or
a tangible personal benefit from a firm considered for a contract.
The officers, employees, and agents of the non -Federal entity may neither solicit nor accept
gratuities, favors, or anything of monetary value from contractors or parties to subcontracts.
However, non -Federal entities may set standards for situations in which the financial interest
is not substantial or the gift is an unsolicited item of nominal value. The standards of
conduct must provide for disciplinary actions to be applied for violations of such standards
by officers, employees, or agents of the non -Federal entity.
If the recipient or subrecipient (other than states) has a parent, affiliate, or subsidiary
organization that is not a state, local government, or Indian tribe, the non -Federal entity must
also maintain written standards of conduct covering organizational conflicts of interest. In
this context, organizational conflict of interest means that because of a relationship with a
parent company, affiliate, or subsidiary organization, the non -Federal entity is unable or
appears to be unable to be impartial in conducting a procurement action involving a related
organization. The non -Federal entity must disclose in writing any potential conflicts of
interest to FEMA or the pass-through entity in accordance with applicable FEMA policy.
Supply Schedules
Generally, a non -Federal entity may seek to procure goods or services from a Federal supply
schedule, state supply schedule, or group purchasing agreement. State and local
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governments may procure goods and services from a General Services Administration (GSA)
schedule. Information about GSA programs for state and local governments can be found at
https://www.gsa.gov/resources-for/programs-for-state-and-local-governments. For local
governments that purchase off a GSA schedule, this will satisfy the Federal requirements for
full and open competition provided that the recipient follows the GSA ordering procedures;
however, local governments will still need to follow the other rules under 2 C.F.R. §§
200.317 — 200.326, such as contract cost and price (§ 200.323) and solicitation of minority,
women -owned, or small businesses (§ 200.321).
For non -Federal entities other than states, such as tribes, that want to procure goods or
services from a state supply schedule, cooperative purchasing program, or other similar
program, in order for such procurements by to be permissible, the following must be true:
• The procurement of the original contract or purchasing schedule and its use by the
recipient complies with state and local law, regulations, and written procurement
procedures.
• The state or other entity that originally procured the original contract or purchasing
schedule entered into the contract or schedule with the express purpose of making it
available to the recipient and other similar types of entities.
• The contract or purchasing schedule specifically allows for such use, and the work to
be performed for the non -Federal entity falls within the scope of work under the
contract as to type, amount, and geography.
• The procurement of the original contract or purchasing schedule complied with all of
the procurement standards applicable to a non -Federal entities other than states under
at 2 C.F.R. §§ 200.317 — 200.326.
• With respect to the use of a purchasing schedule, the recipient must follow ordering
procedures that adhere to state and local laws and regulations and the minimum
requirements of full and open competition under 2 C.F.R. Part 200.
If a non -Federal entity other than a state seeks to use such a state supply schedule,
cooperative purchasing program, or other similar type of arrangement, it is recommended
that recipients discuss their procurement plans with the FEMA Grant Programs Directorate.
Documentation
Non -Federal entities are required to maintain and retain the following:
• Backup documentation, such as bids and quotes.
• Cost/price analyses on file for review by Federal personnel, if applicable.
• Other documents required by Federal regulations applicable at the time a grant is
awarded to a recipient.
FEMA requires that non -Federal entities maintain the following documentation for Federally
funded purchases:
• Specifications
• Solicitations
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• Competitive quotes or proposals
• Basis for selection decisions
• Purchase orders
• Contracts
• Invoices
• Cancelled checks
Non -Federal entities should keep detailed records of all transactions involving the grant.
FEMA may at any time request copies of purchasing documentation along with copies of
cancelled checks for verification.
Non -Federal entities who fail to fully document all purchases will find their expenditures
questioned and subsequently disallowed.
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 and assessment of risk through the THIRA. States and territories should review,
and, if necessary, revise and update the THIRA on an annual basis, 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 at http://www.fema.gov/national-
preparedness-system. Additional details regarding the National Preparedness System and how it
is supported by the EMPG can be found in Appendix A — FY 2018 EMPG Priorities.
Active Shooter Preparedness
DHS aims to enhance national preparedness through a whole community approach by providing
the necessary products, tools, and resources to help all stakeholders prepare for and respond to an
active shooter incident. To that end, DHS has developed a comprehensive "Active Shooter
Preparedness" website, which includes a variety of informational resources. The website address
is: https://www.dhs.gov/active-shooter-preparedness.
In addition, within the Homeland Security Information Network (HSIN), the Joint DHS and FBI
Countering Violent Extremism (CVE) and Active Shooter Web Portal provides a restricted -
access forum to share Unclassified For Official Use Only (FOLIO), Sensitive but Unclassified
(SBU), and Law Enforcement Sensitive (LES) Information. The portal provides users and
training practitioners with accurate, appropriate, and relevant CVE and Active Shooter training
development resources, subject matter expert information, and outreach initiatives. It also has
forums to provide feedback, products useful to others, and allows participants to ask questions
concerning CVE or the Active Shooter Program. Persons with a job-related duty, public service
interest, or who support a CVE and/or Active Shooter program can request access into this
Portal. Additional information can be found on the DHS website at: https://www.dhs.gov/cveas-
op rtal#. To address training needs associated with active shooter incidents, FEMA's Emergency
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Management Institute provides a free, web -based training course entitled IS -907: Active
Shooter: What You Can Do, available at the following website:
httys://training.fema.gov/is/courseoverview.aspx?code=IS-907.
States, territories, and Urban Areas are encouraged to review the referenced active shooter
guidance, evaluate their preparedness needs in conjunction with their THIRA/SPR processes,
and consider how preparedness grant funds may be used to address capability gaps identified in
this area.
Soft Targets and Crowded Places
There are continued and growing threats facing Soft Targets and Crowded Places (ST -CP)
throughout the nation. ST-CPs are those locations or environments that are easily accessible to
large numbers of people on a predictable or semi -predictable basis that have limited security or
protective measures in place. These locations are vulnerable to attack using simple tactics and
readily accessible weapons such as small arms, edged weapons, and vehicles as a weapon,
improvised explosive devices, and unmanned aerial systems. ST-CPs can include places such as
town centers, shopping malls, open-air venues, outside hard targets/venues perimeters, and other
places of meeting and gathering. DHS is committed to reducing the risk of attacks against ST-
CPs and the impact of attacks if they do occur. However, the protection and security of ST-CPs
is a shared responsibility among whole community partners including: the public, ST -CP owners
and operators, security industry partners, the Federal Government, and State, local, tribal, and
territorial (SLTT) government partners. States, territories, urban areas, and public and private
sector partners are encouraged to identify security gaps and build capabilities that address
security needs of ST -CP, understanding the unique challenges related to protecting locations that
are open to the public. States, territories, urban areas, and public and private sector partners are
also encouraged to use resources to instill a culture of awareness, vigilance, and preparedness.
For more information and additional resources please see the Department of Homeland
Security's Hometown Security Program.
Conflicts of Interest in the Administration of Federal Awards or Subawards
For conflicts of interest under grant -funded procurements and contracts, please refer to the
section on Procurement Integrity in this NOFO and 2 C.F.R. §§ 200.317 — 200.326.
To eliminate and reduce the impact of conflicts of interest in the sub -award process, recipients
and pass-through entities must follow their own policies and procedures regarding the
elimination or reduction of conflicts of interest when making sub -awards. Recipients and pass-
through entities also are required to follow any applicable state, local, territorial or tribal statutes
or regulations governing conflicts of interest in the making of sub -awards.
The recipient or pass-through entity must disclose to DHS/FEMA, in writing, any real or
potential conflict of interest as defined by the Federal, state, local, territorial 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 Manager within five days of learning of the conflict of interest. Similarly,
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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, territorial or
tribal statutes or regulations.
Conflicts of interest may arise during the process of DHS/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 DHS/FEMA employee.
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FY 2018 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. Four territories (American Samoa, Guam,
Commonwealth of the 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. The balance of
the funds appropriated for the EMPG 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.
State/Territory
Alabama
Allocation
$5,732,434
State/Territory
New Hampshire
Allocation
$3,480,972
Alaska
$3,096,586
New Jersey
$8,365,698
Arizona
$7,097,560
New Mexico
$3,956,052
Arkansas
$4,540,094
New York
$15,278,109
California
$27,827,857
North Carolina
$9,173,848
Colorado
$6,199,311
North Dakota
$3,106,529
Connecticut
$4,912,308
Ohio
$10,056,845
Delaware
$3,238,193
Oklahoma
$5,130,751
District of Columbia
$3,067,376
Oregon
$5,265,835
Florida
$16,001,622
Pennsylvania
$10,787,960
Georgia
$9,273,265
Rhode Island
$3,300,473
Hawaii
$3,534,992
South Carolina
$5,827,812
Idaho
$3,719,475
South Dakota
$3,179,373
Illinois
$10,785,720
Tennessee
$6,906,141
Indiana
$6,874,800
Texas
$20,667,921
Iowa
$4,630,251
Utah
$4,602,281
Kansas
$4,481,986
Vermont
$3,022,554
Kentucky
$5,464,347
Virginia
$8,024,261
Louisiana
$5,611,054
Washington
$7,345,832
Maine
$3,476,581
West Virginia
$3,782,528
Maryland
$6,482,994
Wisconsin
$6,319,363
Massachusetts
$6,997,830
Wyoming
$2,994,288
Michigan
$8,975,530
Puerto Rico
$4,752,302
Minnesota
$6,179,838
U.S. Virgin Islands
$943,379
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Mississippi
$4,527,231 American Samoa
$907,832
Missouri
$6,522,105 Guam
$981,683
Montana
$3,294,643 Northern Mariana Islands
$908,315
Nebraska
$3,848,963 Republic of the Marshall Islands
$50,000
Nevada
Total
$4,536,117 1 Federated States of Micronesia
$50,000
$350,100,000
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Appendix A — FY 2018 EMPG Program Priorities
Alignment of EMPG to the National Preparedness System
The FY 2018 EMPG 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.
The EMPG'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.
DHS/FEMA requires recipients to prioritize grant funding to demonstrate how investments
support closing capability gaps or sustaining capabilities identified in the THIRA/SPR process.
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 used anywhere in the Nation through automatic
assistance and mutual aid agreements, including, but not limited to, the Emergency Management
Assistance Compact (SMAC).
The FY 2018 EMPG supports investments that improve the ability of jurisdictions 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 improve training and exercise programs,
innovation, and appropriate administrative, finance, and logistics systems.
Reporting on the Implementation of the National Preparedness System
Identifying Plausible, Worst Case, Threats and Hazards, and Estimating Capability
Requirements
Beginning in 2018 states, territories, and Urban Areas will be required to complete all steps of
the revised THIRA/SPR methodology for Response, Recovery, and Cross -Cutting capabilities
only by December 31, 2018. In their 2019 THIRA/SPR (submitted December 31, 2019) states,
territories, and Urban Areas will complete the entire methodology for all 32 core capabilities.
Also beginning in 2019, jurisdictions will only be required to submit a THIRA every three (3)
years to establish a consistent baseline for assessment. Also beginning in 2018, the State
Preparedness Report will now be known as the Stakeholder Preparedness Review. The acronym
SPR will remain unchanged. While the THIRA will be only required every three years,
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Appendix A — FY 2018 EMPG Priorities
jurisdictions will continue to be required to submit an SPR annually. Details of the new process
will be included in the soon to be released update of CPG -201 (3`d edition).
Reporting:
• In each EMPG recipient's BSIR, as part of programmatic monitoring, the recipient
will be required to describe how expenditures support closing capability gaps or
sustaining capabilities identified in the THIRA/SPR process. EMPG recipients will,
on a project -by -project basis, check one of the following:
o Building a capability with EMPG funding; or
o Sustaining a capability with EMPG funding.
Building and Sustaining Core Capabilities
EMPG projects should describe how the proposed investment supports closing capability gaps
or sustaining capabilities identified in the THIRA/SPR process.
Reporting:
• Recipients will be required to: (1) describe how expenditures support maintenance and
sustainment of Goal core capabilities, and (2) describe how expenditures support closing
capability gaps or sustain capabilities identified in the THHWSPR process and report
these within the quarterly performance progress reports.
NIMS Implementation
EMPG recipients are required to implement NIMS. EMPG funds may be used to meet the
requirements described in the NIMS Implementation Objectives
(https•//www fema.gov/implementation-guidance-and-reporting). NIMS defines a national,
interoperable approach for sharing resources, coordinating and managing incidents, and
communicating information. Incident management refers to how incidents are managed across
all homeland security activities, including prevention, protection, and response, mitigation, and
recovery. FY 2018 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 URT.
Validating Capabilities
Recipients should engage elected and appointed officials and other whole community
stakeholders to identify long-term training and exercise priorities. Recipients must be able to
demonstrate how investments support closing capability gaps or sustaining capabilities identified
in the THIRA/SPR, areas for improvement identified from real-world events and preparedness
exercises, and national areas for improvement identified in the most recent National Preparedness
Report.
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Appendix A — FY 2018 EMPG Priorities
In addition to training activities aligned to and addressed in the TEP, all EMPG funded 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:Htrainin .fg ema. og_v/empp/. Previous versions of the IS courses meet the NIMS training
requirement. A complete list of Independent Study Program Courses may be found at
http://trainin .fg ema.gov/is. Further information on Training can be found in Appendix B. In
addition to training activities aligned to and addressed in the TEP, all EMPG -funded personnel
[including full- and part-time state, local, tribal and territorial (SLTT) recipients and sub -
recipients] shall complete the following training requirements and record proof of completion:
(1) *NIMS Training, Independent Study (IS) -100 (any version), IS -200 (any version), IS -700
(any version), and IS -800 (any version), AND
(2) Professional Development Series (PDS) OR the Emergency Management Professionals
Program (EMPP) Basic Academy listed in the chart below.
*Note: NIMS training courses IS -100, IS -200, IS -700, and IS -800 only have to be taken once to
fulfill requirements.
Proof of completion of training requirements should be maintained by recipients so it can be
produced when requested by DHS/FEMA during periodic reviews.
Exercise Requirements
While there are no minimum exercise requirements for FY 2018, FEMA Regional
Administrators and State Emergency Management Directors will negotiate an exercise program
that addresses capability gaps in the priority areas of logistics, housing and catastrophic
planning. These exercises will be included in the EMPG work plan submitted for Regional
approval and the State's Training and Exercise Plan.
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 and builds from training gaps identified in the THIRA/SPR process. The
TEP shall be submitted to hseepgfema.dhs.gov and the appropriate Regional EMPG
manager, 90 days after the completion of the TEPW. Recipients are encouraged to
enter their exercise information in the Preparedness Toolkit at
https://preptoolkit.fema.gov/web/hsepp-resources. DHS/FEMA will release
additional guidance on Preparedness Toolkit, including how enter exercise data, later
in 2018.
Recipients must 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 TEP percentage completion outlined in the FY 2018 EMPG
Work Plan in the Quarterly Performance Progress Report.
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Recipients should submit their AAR/IP to the HSEEP inbox (HSEEPAfema.dhs.gov)
and copy their assigned Regional EMPG manager. Submission of the AAR/IP shall
be no later than 90 days after completion of the exercise. Recipients are encouraged
to enter their AAR/IP in the Preparedness Toolkit at
https:Hprotoolkit.fema.y,ov/web/hseep-resources/improvement-planning.
DHS/FEMA will release additional guidance on Preparedness Toolkit, including how
develop and enter an AAR/IP, later in 2018. Recipients are reminded of the
importance of implementing corrective actions iteratively throughout the exercise
cycle. This link provides access to a sample AAR/IP template:
https: Hprgptoolkit. fema. gov/web/hsegp-resources/improvement-planning.
If a state, territory, or local jurisdiction has experienced a major disaster and they would like to
request exemptions for a scheduled exercise, the recipient should send this request to its assigned
FEMA Regional EMPG Manager through the Quarterly Performance Progress Report.
Exemptions will be reviewed on a case-by-case basis by the Regional EMPG Manager.
Reviewing and Updating Planning Products
Based on the applicant's current THIRA/SPR, capability levels, resources, and plans should be
reviewed on an annual basis to determine if they remain relevant or need to be updated. This
review should be based on a current THIRA/SPR 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
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 the 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.
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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.
Accountability: DHS/FEMA recognizes that unique preparedness gaps exist at the local
level. Grantees are responsible for ensuring the effective use of funds to address those
gaps and for maintaining and sustaining existing capabilities.
Support of Regional Coordination: Inter/intra-state partnerships and dependencies at
the state and regional levels, including those within metropolitan areas, must be
recognized.
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Appendix B — FY 2018 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 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(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 cognizant Federal agency) is required
at the time of application, and must be provided to DHS/FEMA before indirect costs are charged
to the award.
Whole Community Preparedness
EMPG funds may be used to foster whole community preparedness for disasters and
emergencies as stated in FEMA Strategic Plan, particularly Part 1.3. Recipients, and
DHS/FEMA must learn from and work with a broad and inclusive base of stakeholders to
understand the circumstances and challenges different groups of people face, particularly those
who may have the hardest time in the aftermath of a disaster, such as the aging population and
those with access and functional needs. By engaging these stakeholders, EMPG recipients can
help DHS/FEMA develop and promote a suite of well -targeted solutions for individuals and
communities to adopt. Recipients should coordinate preparedness initiatives with DHS/FEMA
and whole community partners to efficiently apply Federal funding to reach the goal of
individual and community resilience.
Planning
Planning spans all five National Preparedness Goal (the Goal) mission areas and 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:
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Appendix B — FY 2018 EMPG Funding Guidelines
Emergency Operations Plan
• Maintaining a current EOP that is aligned with guidelines set out in CPG 101 v2
htlps://www.fema.jzov/media-library/assets/documents/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
Administrative 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
• Developing or enhancing mutual aid agreements/compacts, including required
membership in EMAC
• Developing/enhancing emergency operations plans to integrate citizen/volunteer and
other non-governmental organization resources and participation
• Integrating program design and delivery practices that ensure representation and services
for under -represented, diverse populations that may be more impacted by disasters,
including children, seniors, individuals with disabilities or access and functional needs,
individuals with diverse culture and language use, individuals with lower economic
capacity, and other underserved populations
Resource Management Planning
• Developing/enhancing logistics and resource management plans
• Developing/enhancing volunteer and/or donations management plans
Shelter and Evacuation Planning
• Developing/enhancing sheltering and evacuation plans, including plans for:
alerts/warning, crisis communications, pre -positioning of equipment for areas potentially
impacted by mass evacuations, 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, and mitigation plans in coordination with state, local, and
tribal governments
• Developing/enhancing 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
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Appendix B — FY 2018 EMPG Funding Guidelines
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 http://www.fema.gov/pdf/recoveryframework/ndrf.pdf and
htW://www.fema. Dov/media-library-data/1423604728233-
1 d76a43 cabfl209678054c0828bbe8b8/EffectiveCoordinationofRecoveryResourcesGuide
020515vFNL.pdf
Continuity Planning
Continuity planning and operations are an inherent element of each core capability. Continuity
operations increase resilience and the probability that organizations can perform essential
functions. DHS/FEMA develops and promulgates Federal Continuity Directives (FCDs) to
establish continuity program and planning requirements for executive departments and agencies
and Continuity Guidance Circulars (CGCs) for state, local, tribal, and territorial governments,
non-governmental organizations, and private sector critical infrastructure owners and operators.
This direction and guidance assists in developing capabilities for continuing the essential
functions of federal and state, local, tribal, territorial governmental entities as well as the
public/private critical infrastructure owners, operators, and regulators enabling them.
Presidential Policy 40, FCD 1, FCD 2, CGC 1, and CGC 2 outline the overarching continuity
requirements and guidance for organizations and provide guidance, methodology, and checklists.
For additional information on continuity programs, guidance, and directives, visit
http://www.fema.gov/guidance-directives and hiips://www.fema.gov/national-continuity-
pro rg ams.
Allowable continuity planning activities include the development of the following:
• Continuity of operations (COOP) and Continuity of Government (COG) planning
products for the continuance of essential functions and associated leadership;
• Risk-based needs assessments based on the THIRA to inform risk mitigation efforts to
ensure the continuity of essential functions and associated leadership; and
• Public and private sector outreach and messaging regarding continuity resilience benefits
and strategies.
Organization
Per the Robert T. Stafford Disaster Relief and Emergency Assistance Act, Pub. L. No. 93-288, as
amended, (42 U.S.C. §§ 5121-5207), EMPG 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 to
promote whole community engagement in all phases of emergency management; performing
closeout 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 as defined by the
Stafford Act. Proposed staffing activities should be linked to accomplishing the activities
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Appendix B — FY 2018 EMPG Funding Guidelines
outlined in the EMPG 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 funds. These costs must comply with 2 C.F.R. Part
200, Subpart E — Cost Principles.
Federal (and Mutual Aid) Emergency Response Official (F/ERO) Credentialing and
Validation
The following costs related to F/ERO credentialing and validation are allowable under EMPG:
• 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; and
• Planning to incorporate emergency responder identity and credential validation into
training and exercises.
Equipment
Allowable equipment categories for EMPG are listed on the web -based version of the
Authorized Equipment List (AEL) at https://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 may be procured in order to carry out the
responsibilities of the EMPG. If recipients have questions concerning the eligibility of
equipment not specifically addressed in the AEL, they should contact their Regional EMPG
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Appendix B — FY 2018 EMPG Funding Guidelines
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.
Requirements for Small Unmanned Aircraft System
All requests to purchase Small Unmanned Aircraft System (SUAS) must comply with
Information Bulletin OB) 426 and must include the policies and procedures in place to safeguard
individuals' privacy, civil rights, and civil liberties in the jurisdiction that will purchase, take title
to, or otherwise use the SUAS equipment.
Funding for Critical Emergency Supplies
Critical emergency supplies—such as shelf stable products, water, and basic medical supplies—
are an allowable expense under EMPG. DHS/FEMA must approve a state's five-year viable
inventory management plan prior to allocating grant funds for stockpiling purposes. The five-
year plan should include a distribution strategy and related sustainment costs if the grant
expenditure is over $100,000.
Training
EMPG 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 and build from training gaps
identified in the THIRA/SPR process. Further guidance concerning the TEP and the TEPW can
be found at https:Hprgptoolkit.fema.gov/web/hseep-resources/home. 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, all of which is included in the curriculum of the EMI Basic
Academy. The EMI Basic Academy provides a foundational education in emergency
management as a way for emergency managers to begin or advance their career. The goal of the
Basic Academy is to support the early careers of emergency managers through a training
experience combining knowledge of all fundamental systems, concepts and practices of cutting-
edge emergency management.
EMPG 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. NIMS is also included in the curriculum of the EMI
Basic Academy. The NIMS Training Program can be found at
https://www.fema.gov/training-0.
All EMPG funded personnel are expected to be trained emergency managers. In addition to
training activities aligned to and addressed in the TEP, all EMPG -funded personnel (including
Page 44 of 59
Appendix B – FY 2018 EMPG Funding Guidelines
full- and part-time state, local, tribal and territorial (SLTT) recipients and subrecipients) shall
complete the following training requirements and record proof of completion:
(1) NIMS Training, Independent Study (IS) -100 (any version), IS -200 (any version), IS -
700 (any version), and IS -800 (any version)' AND
(2) Professional Development Series (PDS) OR the Emergency Management
Professionals Program (EMPP) Basic Academy listed in the chart below.
Professional Development Series or'Basic, Academy
PDS '
Basic Academy
Professional Develo` ment Series
Basic Academy Pre -requisites and Courses
IS -120.a An Introduction to Exercises
IS -100 (any version) Introduction to the
Incident Command System
IS -230.d Fundamentals of Emergency
IS -700 (any version) National Incident
Management
Management System (NIMS)-An Introduction
IS -235.b Emergency Planning
IS -800 (any version) National Response
OR
Framework, An Introduction
IS -240.b Leadership and Influence
IS -230.d Fundamentals of Emergency
Management
IS -241.b Decision Making and
E/1,101 Foundations of Emergency
Problem Solving
Management
IS -242.b Effective Communication
E/1,102 Science of Disasters
IS -244.b Developing and Managing
E/1,103 Planning Emergency Operations
E/L104 Exercise Design
Volunteers
E/1,105 Public Information & Warning
Recipients must maintain proof of completion of training requirements.
EMPG funds may be used for emergency management -related training activities to enhance the
capabilities of state and local emergency management personnel. Training activities should align
to a current, Multi -Year TEP developed through an annual Training and Exercise Planning
Workshop (TEPW) and build from training gaps identified in the THIRA/SPR process. Further
guidance concerning the TEP and the TEPW can be found at
htlps:Hprgptoolkit.fema.gov/web/hseep-resources/program-management. Training should:
• Foster the development of a community -oriented approach to emergency management
that emphasizes engagement at the community level;
• Strengthen best practices; and
• Provide a path toward building sustainable resilience.
The EMI Basic Academy provides this foundational Emergency Management education.
4 NIMS training courses IS -100, IS -200, IS -700, and IS -800 only have to be taken once to fulfill requirements.
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Appendix B — FY 2018 EMPG 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.
Additional Training Information
Per DHS/FEMA GPD Policy FP 207-008-064-1, Review and Approval Requirements for
Training Courses Funded Through Preparedness Grants, issued on September 9, 2013, states,
territories, tribal entities, and urban areas are no longer required to request approval from
DHS/FEMA for personnel to attend non-DHS/FEMA training as long as the training is
coordinated with and approved by the state, territory, tribal, or urban area training point of
contact (TPOC) and falls within the DHS/FEMA mission scope and the jurisdiction's EOP. The
only exception to this policy is for Countering Violent Extremism courses. For additional
information on review and approval requirements for training courses funded with preparedness
grants, please refer to the following policy: http://www.fema.gov/media-
library/assets/documents/34856.
DHS/FEMA will conduct periodic reviews of all state, territory, and urban area training funded
by DHS/FEMA. These reviews may include requests for all course materials and physical
observation of, or participation in, the funded training. If these reviews determine that courses
are outside the scope of this guidance, recipients will be asked to repay grant funds expended in
support of those efforts.
For further information on developing courses using the instructional design methodology and
tools that can facilitate the process, SAAB and TPOCs are encouraged to review the NTED
Responder Training Development Center (RTDC) website at
https://www.firstrespondertraining.gov/rtdc/state.
NTED's National Preparedness Course Catalog
This online searchable catalog features a compilation of courses managed by the three primary
DHS/FEMA training organizations: the CDP, EMI, and NTED. The catalog features a wide
range of course topics in multiple delivery modes DHS/FEMA for Federal, state, local,
territorial, and tribal audiences. The catalog is located here:
http://www.firstrespondertraining.gov.
Training Information Reporting System ("Web Forms'9
Web Forms is an electronic data management system built to assist SAA TPOCs and Federal
agencies to submit non-NTED training courses for inclusion in the State/Federal-Sponsored
Course Catalog. The information collected is used in a two-step review process to ensure that
the training programs adhere to EMPG intent and the course content is sound and current. While
reporting training activities through Web Forms is not required under FY 2018 EMPG, the
system remains available and can be accessed through the DHS/FEMA Toolkit located at
https://www.firstrespondertraining_ og v/frt/ to support recipients in their own tracking of training
deliveries.
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Appendix B — FY 2018 EMPG Funding Guidelines
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 EMI training or delivering EMI train -the -trainer courses
• Attending other DHS/FEMA-approved emergency management training
• State -approved, locally -sponsored CERT training
• Mass evacuation training at local, state, territorial and tribal levels
Allowable training -related costs include the following:
Funds Used to Develop, Deliver, and Evaluate Training: Includes costs related to
administering training, such as 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 Analyze, Design, Develop, Implement, and Evaluate (ADDIE) model for
instruction design. https://www.firstrespondertraining.gov.
Overtime and Backfill: Overtime costs, including payments related to backfilling
personnel, which are the direct result of attendance at DHS/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 DHS/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.
Hiring of Full- or Part -Time 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 DHS/FEMA,
whichever is applicable.
Certification/Recertification 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.
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Appendix B — FY 2018 EMPG Funding Guidelines
Exercises
Allowable exercise -related costs include:
• Funds Used to Design, Develop, Conduct and Evaluate Preparedness Exercises: 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 included in the After Action Report (AAR)/Improvement
Plan (IP) and addressed in the exercise cycle.
• Hiring of Full- or Part -Time 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 DHS/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, that 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 DHS/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).
• HSEEP Implementation: This refers to costs related to developing and maintaining an
exercise program consistent with HSEEP.
• Other Items: These costs are limited to items consumed in direct support of exercise
activities, such as space/locations rentals for planning and conducting an exercise,
equipment rentals, and the procurement of other essential nondurable goods. 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:
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Appendix B — FY 2018 EMPG Funding Guidelines
Reimbursement for 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 nondurable goods purchased for installation and/or use beyond the scope of
exercise conduct
Construction and Renovation
Construction and renovation projects for a state, local, tribal, or territorial government's principal
Emergency Operations Center (EOC), as defined by the SAA are allowable under the EMPG.
DHS/FEMA must provide written approval prior to the use of any EMPG funds for construction
or renovation. Requests for EMPG 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.gov/pdf/govemment/grant/2011/fyl l eoc inv.pdD) to their Regional EMPG
Manager for review. Additionally, recipients are required to submit a SF -424C Form 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's) 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 DHS Instruction Manual 023-01-
001-01, Revision 01, FEMA Directive 108-1 and FEMA Instruction 108-1-1, 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 gpdehpinfo(a,fema.gov.
EMPG 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 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:
https://www.dol.gov/whd/goveontracts/dbra.htm.
Maintenance and Sustainment
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Appendix B — FY 2018 EMPG Funding Guidelines
Use of DHS/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 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 and hazards that pose the greatest risk to the security of the
Nation. To assist recipients in meeting 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:
(1) In direct support of existing capabilities;
(2) An otherwise allowable expenditure under the applicable grant program;
(3) 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 DHS/FEMA Policy FP 205-402-125-1, Maintenance Contracts and Warranty
Coverage Funded by Preparedness Grants, located at: http://www.fema.gov/media-
library/assets/documents/32474.
Unallowable Costs
Grant funds may not be used for:
• Unallowable Equipment: Grant funds must comply with IB 426 and may not be used for
the purchase of the following equipment: firearms, ammunition, grenade launchers,
bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed.
• Expenditures for weapons systems and ammunition
• Costs to support hiring 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
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 NOFO.
Page 50 of 59
Appendix B — FY 2018 EMPG Funding Guidelines
Appendix C — FY 2018 EMPG Work Plan
EMPG Work Plan Instructions
All EMPG 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 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 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 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 101v2
• 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
• Detailed 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 personnel supported with
EMPG funds. This will assist in documenting the extent to which EMPG funding supports
personnel at the state level. Submit this template with the EMPG 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 51 of 59
Appendix C — FY 2018 EMPG Work Plan
Personnel Data Table Template
Personnel Metrics
Data
EMPG funds (Federal and match) allocated towards state emergency management
personnel
EMPG 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)
Number of state emergency management full-time equivalent (FTE) personnel
supported (fully or partially) by EMPG
Total Number of state, local, tribal and territory emergency management personnel
supported (fully or partially) by the EMPG
Personnel Data Table Definitions
• Line 1 — All EMPG funds (Federal and match) allocated for state emergency
management personnel
• Line 2 — All EMPG funds (Federal and 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)
• Line 4 — Number of state emergency management full-time equivalent (FTE) personnel
supported by the EMPG
• Line 5 — Total Number of state and local emergency management personnel funded (fully
or partially) by the EMPG. This number provides the "Universe" number for the training
and 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 training requirements. EMPG funded personnel should complete the listed training
requirements and record proof of completion.
Page 52 of 59
Appendix C — FY 2018 EMPG Work Plan
Training Data Table Template
Training Data Table Definitions
• Column 1 — Name of Training
• Column 2 — Is the course required of EMPG-funded personnel?
• Column 3 — Number of Personnel Trained
• Column 4 — Total number of state, local, tribal, and territorial EMPG-funded personnel
(Universe)
• Column 5 — Total number of state, local, tribal, and territorial EMPG-funded personnel
that completed the course
• Column 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.
Page 53 of 59
Appendix C — FY 2018 EMPG Work Plan
EMPG
Number
Total Number
Total Number' of
Training
Name of
Required
of
of SLTT
SLTT EMPG
Identifie
Training
Training?
Personnel
EMPG
Funded Personnel
TEP
(Y/l�
Trained
Funded
that completed the
.din
��
Personnel
Course
Training Data Table Definitions
• Column 1 — Name of Training
• Column 2 — Is the course required of EMPG-funded personnel?
• Column 3 — Number of Personnel Trained
• Column 4 — Total number of state, local, tribal, and territorial EMPG-funded personnel
(Universe)
• Column 5 — Total number of state, local, tribal, and territorial EMPG-funded personnel
that completed the course
• Column 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.
Page 53 of 59
Appendix C — FY 2018 EMPG Work Plan
W
hel
Exercise Data Table Definitions:
• Column 1— Name/Description of Exercise
• Column 2 — Date of exercise
• Column 3 — Type of exercise (e.g., seminar, workshop, tabletop, games, drills,
functional, and/or full-scale)
• Column 4 — Program priority associated with the exercise
• Column 5 — Is the exercise part of a progressive exercise series?
• Column 6 — Total # of SLTT EMPG Funded Personnel
• Column 7 — Total # of SLTT EMPG Funded Personnel Participating in Exercise
• Column 8 — Does the exercise fulfill the EMPG requirement that EMPG Program
funded personnel participate in no less than three exercises?
• Column 9 — Is exercise identified in the multi-year TEP?
Grant Activities Outline
To facilitate perforniance measures and focus on outcomes, an EMPG Grant Activities Outline should
be completed for activities supported with FY 2018 EMPG 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
2016 version of the Emergency Management Accreditation Program (EMAP) Standard
(e.g. Resource Management, Communications and Warning, etc.) The link to the
EMAP 2016 Standard is at: https://www.emap.org/index.php/what-is-ema /p the -
emergency -management -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.
• Challenges/Risks: Identify any challenges to implementing this project or any of its
activities.
Page 55 of 59
Appendix C — FY 2018 EMPG Work Plan
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.
Page 56 of 59
Appendix C — FY 2018 EMPG Work Plan
Grant Activities Outline - Template
Name of Planned
Project:
Project Objective:
Core Capabilities
Addressed:
Performance Measure
and Basis of
Evaluation:
Challenges/Risks:
1St Quarter Activity
Planned Activities:
Step:
Comments:
2nd Quarter Activity
Planned Activities:
Step:
Comments:
3rd Quarter Activity
Planned Activities:
Step:
Comments:
4th Quarter Activity
Planned Activities:
Step:
Comments:
5th Quarter Activity
Planned Activities:
Step:
Comments:
6th Quarter Activity
Planned Activities:
Step:
Comments:
7t" Quarter Activity
Planned Activities:
Step:
Comments:
8th Quarter Activity
Planned Activities:
Step:
Comments:
Page 57 of 59
Appendix C — FY 2018 EMPG Work Plan
Project Management Lifecycle
Steps
Description
Process
Involves preparing for,
The authorization to begin
assembling resources and
getting work started. May
Initiate
work or resume work on
apply to any level, e.g.
any particular activity.
program, project, phase,
activity, task.
The purposes of establishing, at
Involves working out and
an early date, the parameters of
extending the theoretical,
the project that is going to be
practical, and/or useful
worked on as well as to try to
application of an idea, concept,
Plan
delineate any specifics and/or
or preliminary design. This
any peculiarities to the project
also involves a plan for moving
as a whole and/or any specific
a project concept to a viable
phases of the project.
project.
The period within the project
Involves directing,
lifecycle during which the
accomplishing, managing, and
Execute
actual work of creating the
completing all phases and
project's deliverables is
aspects of work for a given
carried out.
project.
Involves exercising corrective
A mechanism which reacts to
action as necessary to yield a
the current project status in
required outcome consequent
order to ensure
upon monitoring performance.
accomplishment of project
Or, the process of comparing
Control
objectives. This involves
actual performance with
planning, measuring,
planned performance, analyzing
monitoring, and taking
variances, evaluating possible
corrective action based on the
alternatives, and taking
results of the monitoring.
appropriate correct action as
needed.
The completion of all work on
Involves formally terminating
a project. Can also refer to
and concluding all tasks,
completion of a phase of the
activities, and component
Close Out
project.
parts of a particular project, or
phase of a project.
Page 58 of 59
Appendix C — FY 2018 EMPG Work Plan
Page 59 of 59
Appendix C — FY 2018 EMPG Work Plan
Attachment B
(Cal OES Use Only)
Cal OES # FIPS # VS# Subaward # 2018-0908
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES
GRANT SUBAWARD FACE SHEET
The California Governor's Office of Emergency Services (Cal OES) hereby makes a Grant Subaward of funds to the following:
1. Subrecipient: County of Orange 1a. DUNS#: 00-965-7602
2. Implementing Agency: Newport Beach Police Department 2a. DUNS#: 60-752-482
3. Implementing Agency Address: 100 Civic Center Newport Beach 92660-3267
Street City i
4. Location of Project: Newport Beach Orange County 92660-3267
ity County Zip+4
5. Disaster/Program Title: Emergency Management Performance Grant 6. Performance Period: 07/01/18 to 06/30/19
7. Indirect Cost Rate: ❑ N/A; ❑ 10% de Minimis; ❑ Federally Approved ICR; %
Grant Fund Source A. State B. Federal
Year
C. Total
D. Cash Match E. In -Kind F. Total G. Total Project
Match Match Cost
2018 6. EMPG $10,924
$10,924
Select 9. Select
Select 10. Select
Select 11. Select
12. TOTALS
120. total ProtM Cost:
$10,924
13. Gertitication - This Grant Subaward consists of this title page, the application for the grant, which is attached and made a part hereof, and the
Assurances/Certifications. I hereby certify I am vested with the authority to enter into this Grant Subaward, and have the approval of the City/County
Financial Officer, City Manager, County Administrator, Governing Board Chair, or other Approving Body. The Subrecipient certifies that all funds received
pursuant to this agreement will be spent exclusively on the purposes specified in the Grant Subaward. The Subrecipient accepts this Grant Subaward and
agrees to administer the grant project in accordance with the Grant Subaward as well as all applicable state and federal laws, audit requirements, federal
program guidelines, and Cal OES policy and program guidance. The Subrecipient further agrees that the allocation of funds may be contingent on the
enactment of the State Budget.
14. CA Public Records Act - Grant applications are subject to the California Public Records Act, Government Code section 6250 et seq. Do not put any
personally identifiable information or private information on this application. If you believe that any of the Information you are putting on this application is
exempt from the Public Records Act, please attach a statement that indicates what portions of the application and the basis for the exemption. Your
statement that the information is not subject to the Public Records Act will not guarantee that the information will not ba disclosed.
15. Official Authorized to Sign for Subrecipient:
16. Federal Employer ID Number: 95-6000751
Name: Grace Leung Title: City Manager
Telephone:949 644-3670 FAX: Email: keing(Qnbpd.org
(area co a area code)
Payment Mailing Address: 870 Santa Barbara Drive City: Newport Beach Zip+ 4: 92660-6303
Signature: Date: 10-17-1
1 g
(FOR Cel OES USE ONLYI
I hereby certify uVon my personal knowledge that budgeted funds are available for the period and purposes of this expenditure stated above
Cal OES Fiscal Officer
Date
Grant Award Face Sheet - Cal OES 2-101 (Revised 3/2018)
Cal OES Director (or designee)
Date
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FFATA Financial Disclosure
Federal Funding Accountability and Transparency Act (FFATA)
Financial Disclosure
Public Law (PL) 109-282 Federal Funding Accountability and Transparency Act of 2006,
as amended by Section 6202(a) of the Government Funding Transparency Act of 2008
(PL 110-252), which is outlined in FEMA GPD information Bulletin No. 350.
If the Subrecipient in the preceding year received 80 percent or more of its annual gross
revenues in Federal Awards; and $25,000,000 or more in annual gross revenues from
Federal awards, and the public does not have access to information about the
compensation of the senior executives of the entity, then the Subrecipient is subject to
the FFATA Financial Disclosure requirements, and will need to fill out this form.
Executive Name
Title
Annual
Salary
Annual Dollar
Value of
Benefits
Total
Compensation
0
0
0
0
0
1Z Not Subiect to FFATA Financial Disclosure
Grace Leung, City Manager
Printed Name and Title
Signatu of Authorized Agent
10-15-18
Date
}
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Attachment C
I
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Fiscal Year 2018
Emergency Management Performance Grant
Program
California Supplement to the
Federal Notice of Funding Opportunity
October 2018
FOREWORD: DIRECTOR'S MESSAGE.........................................................................1
SECTION1—OVERVIEW.............................................................................................. 2
Federal Notice of Funding Opportunity Announcement
Information Bulletins
Purpose of the California Supplement
Key Changes to the FY 2018 Emergency Management Performance Grant
Grant Management Memoranda
Eligible Subrecipients
Tribal Allocations
Subrecipient Allocations
NIMS Implementation
Supplanting
Public/Private Organizations
Debarred/Suspended Parties
SECTION 2—FEDERAL CHANGES AND INITIATIVES.................................................5
FY 2018 Program Priorities
Public Alert and Warning
Match Requirement
Management and Administration
Indirect Costs
Equipment Typing/Identification and Use
Equipment Maintenance/Sustainment
Small Unmanned Aircraft Systems
Emergency Operations Plans
Access and Functional Needs Population
Conflict of Interest
SECTION 3—STATE CHANGES AND INITIATIVES.................................................... 8
"On Behalf Of'
Regional Approach
SECTION 4—REQUIRED STATE APPLICATION COMPONENTS ............................. 9
Financial Management Forms Workbook
Subrecipient Grants Management Assessment
Narrative Attachments
Grant Assurances
Governing Body Resolution
Authorized Agent Information
SECTION 5—THE STATE APPLICATION PROCESS................................................12
Application Submission
Late or Incomplete Application
EMPG Contact Information
Subaward Approval
SECTION 6—POST AWARD REQUIREMENTS..........................................................14
Payment Request Process
Modifications
Training Requirements
Exercises, Improvement Plans and After Action Reporting
Noncompetitive Procurements
Procurement Thresholds
Environmental Planning and Historic Preservation
Construction and Renovation
Inventory Control & Property Management
Equipment Disposition
Performance Reporting
Extension Requests
Progress Reports on Grant Extensions
Monitoring
Failure to Submit Required Reports
Suspension/Termination
Closeout
Records Retention
ATTACHMENTS
A — FY 2018 EMPG Allocations
B — Subrecipient Grants Management Assessment
C — FFATA Financial Disclosure
D — Sample Governing Body Resolution
E — FY 2018 EMPG Timeline
F — FY 2018 EMPG Program Checklist
Foreword 12018
Director's Message
In California, the Emergency Management Performance Grant (EMPG) Program has been
leveraged by state, local, and tribal emergency management agencies to acquire the
resources necessary to ensure a well -organized and rapid response to disasters. As a
result, the State, Local, and Tribal capabilities established utilizing EMPG Program funds
have built the advanced capacities that are necessary for ensuring our collective optimum
readiness in the complex all hazards environment of California.
The EMPG Program provides direct fiduciary support for California's Standardized
Emergency Management System (SEMS) and the series of activities which continue to
maintain its tiered system of emergency management support. In fact, California's SEMS
and its Incident Command System ultimately became the cornerstone for the National
Incident Management System; this is a prime example of how California's experience and
leadership in emergency management activities ultimately benefit the entire Nation.
As California's emergency management professionals, it's up to us to stay integral in our
emergency management role if we are to remain robust, resilient, and forward -leaning to
combat the ever-expanding list of hazards that we face.
To that end, I announce the California Governor's Office of Emergency Services (Cal OES)
Fiscal Year 2018 Emergency Management Performance Grant Program California
Supplement to the Federal Notice of Funding Opportunity.
Sincerely,
"l -WW -AAM.
MARK S. GHILARDUCCI
Director
Section 1 — Overview 12018
Federal Notice In May 2018, the U.S. Department of Homeland Security
of Funding (DHS)/Federal Emergency Management Agency (FEMA) issued the
Opportunity Fiscal Year (FY) 2018 Emergency Management Performance Grant
Announcement Program (EMPG), Notice of Funding Opportunity (NOFO) found on
the Cal OES and FEMA websites and is available for download at
https://www.fema.gov/media-library-data/1526578379064-
1a52c022786d147e1509a186a2764889/FY 2018 EMPG REGULA
R NOFO 5 11 2018 FINAL 508.pdf. Subrecipients must follow
the programmatic requirements set forth in the NOFO, and the
applicable provisions of the Uniform Administrative Requirements,
Cost Principles, and Audit Requirements for Federal Awards located
in Title 2, Code of Federal Regulations (C.F.R.), Part 200.
Information DHS issues Information Bulletins (IBs) to provide updates,
Bulletins clarification, and new requirements throughout the life of the grant.
IBs may be obtained at: https://www.fema.gov/qrants/grant-
programs-directorate-information-bu Ileti ns.
Purpose of The FY 2018 EMPG California Supplement to the NOFO
the California (State Supplement) is intended to complement, rather than replace,
Supplement the NOFO published by DHS. It is recommended that Applicants
thoroughly read the NOFO before referring to the State Supplement.
The State Supplement will emphasize differences between the
FY 2017 and FY 2018 EMPG, and highlight additional California
policies and requirements applicable to the FY 2018 EMPG.
Key Changes • The Federal Funding Accountability and Transparency Act
to the FY 2018
(FFATA) Financial Disclosure is now incorporated as an
Emergency
attachment to be included with the required application
Management
documents. It is no longer a part of the Financial Management
Performance
Forms Workbook (FMFW).
Grant
. Subrecipients will receive a Notification of Award Approval
letter. Subrecipients will be required to accept the award
letter by signing and returning the original to their
Program Representative within 20 days.
• The FY 2018 EMPG NOFO identified that there is no minimum
exercise requirement for the State Administrative Agency
(SAA). In order to meet exercise requirements that address the
capability gaps in the priority areas of logistics, housing, and
catastrophic planning, Subrecipients are required to complete a
minimum of three exercises. The exercises must be completed
by the end of the subaward performance period.
2
Section 1 — Overview 12018
Grant Cal OES issues Grant Management Memorandum (GMMs) which
Management provide additional information and requirements regarding EMPG
Memoranda funds. GMMs can be located at: https://www.caloes.ca..qov/cal-oes-
divisions/grants-management/homeland-security-prop-1 b-grant-
programs/memos.
Eligible Eligible Applicants, referred to as Subrecipients, include
Subrecipients Counties/Operational Areas (OAs) and Tribes located in California.
Tribal The NOFO strongly encourages Cal OES to provide access to
Allocations EMPG funds directly to Tribes in California. To implement this
requirement, a special Request for Proposal will be issued to
California's federally -recognized Tribes and Indian organizations,
as described in the Cal OES Tribal Consultation Policy.
http://www.caloes.ca.gov/cal-oes-divisions/tribal-coordination
All Subrecipients are encouraged to coordinate with Tribal
governments to ensure that Tribal needs are considered in their
grant applications.
Subrecipient FY 2018 EMPG Subrecipient allocations are included in
Allocations Attachment A.
NIMS Prior to allocation of any federal preparedness awards in FY 2018,
Implementation Subrecipients must ensure and maintain adoption and
implementation of the National Incident Management System
(NIMS). Additional information can be found at
https://www.fema.gov/national-incident-management-system.
Supplanting Grant funds must be used to supplement existing funds, not
replace (supplant) funds that have been appropriated for the same
purpose. Subrecipients may be required to provide supporting
documentation that certifies a reduction in non-federal resources
occurred for reasons other than the receipt or expected receipt of
federal funds. Supplanting will result in the disallowance of the
activity(s) associated with this improper use of the federal grant
funds.
Public/Private Subrecipients may contract with any other public or private
Organizations organizations to perform eligible activities on approved EMPG
projects.
Debarred/ Subrecipients must not make or permit any award (subgrant,
Suspended subaward or contract) at any tier, to any party, that is debarred,
Parties suspended, or otherwise excluded from, or ineligible for,
participation in federal assistance programs.
3
Section 1 — Overview 12018
Debarred/ Subrecipients must obtain documentation of eligibility prior to
Suspended making any subaward or contract funded by EMPG funds, and
Parties Cont. must be prepared to present supporting documentation to
monitors/auditors.
Before entering into a Grant Subaward, the Subrecipient must
notify Cal OES if it knows if any of the principals under the
subaward fall under one or more of the four criteria listed at 2
C.F.R. § 180.335. The rule also applies to Subrecipients who pass-
through funding to other local entities.
If at any time after accepting a subaward, Subrecipients learn that
any of its principals fall under one or more of the criteria listed at
2 C.F.R. § 180.335, immediate written notice must be provided to
Cal OES and all grant activities halted until further instructions are
received from Cal OES. The rule also applies to subawards passed
through by Subrecipients to local entities.
In
Section 2 — Federal Changes and Initiatives 12018
FY 2018 Program DHS/FEMA annually publishes the National Preparedness
Priorities Report (NPR) to report National progress in building, sustaining,
and delivering the core capabilities outlined in the goal of a
secure and resilient Nation. This analysis provides a National
perspective on critical preparedness trends for whole community
partners to use to inform program priorities, allocate resources,
and communicate with stakeholders about issues of concern.
EMPG Subrecipients are encouraged to consider national areas
for improvement identified in the National Preparedness Goal
(NPG), which include the following core capabilities:
• Cybersecurity
• Infrastructure Systems
• Economic Recovery
• Housing
• Supply Chain Integrity and Security
• Natural and Cultural Resources
DHS FEMA does not prescribe a minimum funding amount for
these priorities. However, Subrecipients are required to support
local, regional, state, and national efforts in achieving the desired
outcomes of these priorities.
Public Alert and It is the priority of Cal OES to develop and enhance sheltering
Warning and evacuation plans for alerting and warning the public of an
emergency. As stated in the FY 2018 NOFO, EMPG funds may
be used to develop or enhance emergency management
planning activities including developing and enhancing sheltering
and evacuation plans for alerts/warning, crisis communications,
pre -positioning of equipment for areas potentially impacted by
mass evacuations, and re-entry.
Cal OES encourages Subrecipients to consider how use of this
funding may ensure that their jurisdiction's alert and warning
activities are consistent with the guidelines developed Pursuant
to Senate Bill 833 of the 2018 Legislative Session.
Match The FY 2018 EMPG requires a dollar -for -dollar match. This can
Requirement be cash or third party in-kind contributions. Refer to 2 C.F.R. §
200.29 and § 200.306 for specific details. Utilizing the FMFW
Match tab, Subrecipients will indicate the appropriate Solution
Area and Solution Area Subcategory that accurately represents
the specific activity(s) and cost(s) used to meet the match
requirement under the FY 2018 EMPG subaward.
5
Section 2 — Federal Changes and Initiatives 12018
Management and The Management and Administration (M&A) allowance for
Administration Subrecipients is set at a maximum of 5% for the FY 2018 EMPG.
Indirect Costs Indirect costs are allowable under the FY 2018 EMPG Grant
Award. Subrecipients who claim indirect costs may do so
provided they use one of the following two methods:
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 as described in 2
C.F.R. Part 200, § 200.68, and Subpart E.
Indirect costs are in addition to the M&A allowance, and must be
included in the Grant Award application as a "Project" and
reflected in the FMFW on the Indirect cost category ledger if
being claimed under the award. Indirect costs may be claimed no
more than once annually, and only at the end of the fiscal year.
Costs must be broken out by fiscal year if there is a rate change.
Indirect costs must be based on claimed direct costs, excluding
equipment expenditures.
Equipment
Subrecipients who allocate FY 2018 EMPG funds for equipment
Typing/
are required to type and identify the capability associated with
Identification
that equipment. Also, per FEMA policy, the purchase of weapons
and Use
and weapon accessories is not allowed with EMPG funds.
Allowable EMPG equipment is listed on the Authorized Equipment
List (AEL) website at https://www.fema.gov/authorized-equipment-
list.
Expenditures for general purpose equipment are allowable if they
align to and support one or more core capabilities identified in
the NPG, and in addition, are sharable through the Emergency
Management Assistance Compact and allowable under 6 U.S. C.
§ 609. Refer to the FY 2018 NOFO for examples of allowable
general purpose equipment.
F.
Section 2 — Federal Changes and Initiatives 12018
Equipment
Use of EMPG funds for maintenance contracts, warranties,
Maintenance/
repair or replacement costs, upgrades, and user fees are
Sustainment
allowable as described in FEMA IB 336 and 379.
Small Unmanned
All requests to purchase Small Unmanned Aircraft Systems
Aircraft Systems
(SUAS) with FEMA grant funding must comply with IB 426 and
Needs
include a description of the policies and procedures in place to
Population
safeguard individuals' privacy, civil rights, and civil liberties of the
jurisdiction that will purchase, take title to or otherwise use the
Conflict of
SUAS equipment.
Emergency
Subrecipients should maintain a current Emergency Operation
Operations
Plan that is aligned with guidelines set out in Comprehensive
Plans
Preparedness Guide 101 version 2.0.
Access and
Subrecipients conducting major planning projects (including, but
Functional
not limited to Evacuation, Mass Care and Shelter, Disaster
Needs
Recovery, etc.) should address access and functional needs,
Population
including the needs of children, within their planning documents
in order to maintain EMPG eligibility.
Conflict of
Subrecipients must disclose to their Program Representative, in
Interest
writing, any real or potential conflict of interest as defined by the
Federal, State, Local, or Tribal statutes or regulations, which
may arise during the administration of the EMPG subaward
within five days of learning of the conflict of interest.
7
Section 3 — State Changes and Initiatives 12018
"On Behalf Cal OES may, in conjunction with local approval authorities,
Of" designate funds "on behalf of local entities who choose to decline
or fail to utilize their subaward in a timely manner.
Regional Subrecipients must take a regional approach and consider the
Approach needs of local units of government in the projects and activities
included in their FY 2018 EMPG application.
0
Section 4 — Required State Application Components 12018
Financial The FY 2018 Cal OES FMFW can be accessed at
Management http://www.caloes.ca.gov/cal-oes-divisions/grants-
Forms management/criminal-justice-emergency-management-victim-
Workbook services-grant-programs/emergency-management-i)erFormance-
grant and includes:
Grant Subaward Face Sheet — Use the Grant Subaward Face
Sheet to apply for grant programs. The Grant Subaward Face
Sheet must be signed and printed in portrait format.
Authorized Agent Contact Information — Provides the contact
information of any additional Authorized Agents (AA) and staff
related to grant activities. It is recommended more than one person
be designated as the AA so if one AA is not available, a second AA
can sign requests.
Project Ledger — The Project Ledger is used in the application
process to submit funding information and is used for submitting
Cash Requests, Grant Subaward Modifications, and to assist with
completion of the Biannual Strategy Implementation Report (BSIR).
Planning Ledger — Provides detailed information on grant -funded
Planning activities with a final product identified.
Organization Ledger — Provides detailed information on grant -
funded Organizational activities.
Equipment Ledger — It is an EMPG requirement that detailed
information be provided under the equipment description for all
grant -funded equipment. AEL numbers must be included for all
items of equipment. Always refer to the AEL for a list of allowable
equipment and conditions, if any.
Training Ledger — Provides detailed information on grant -funded
Training activities. All training activities must receive Cal OES
approval prior to starting the event, including a Training Feedback
number. The form to obtain a Training Feedback number may be
found at the following link:
https://w3.calema.ca.gov/WebPage/trainreg. nsf/Train Reguest?Ope
nForm
Exercise Ledger — Provides detailed information on grant -funded
Exercises.
M&A Ledger — Provides information on grant -funded M&A
activities.
9
Section 4 — Required State Application Components 12018
Financial Indirect Costs Ledger — Provides information on Indirect Costs.
Management
Forms Consultant -Contractor Ledger — Provides detailed information on
Workbook grant -funded consultants.
Cont.
Personnel Ledger — Provides detailed information on grant -funded
Personnel activities.
Authorized Agent Page — The AA Page must be submitted with
the application, all Cash Requests, and Grant Subaward
Modifications. The AA must include the appropriate signature,
expenditure period, and date.
Subrecipient Per 2 C.F.R. § 200.331, Cal OES is required to evaluate the risk of
Grants noncompliance with federal statutes, regulations, and grant terms
Management and conditions posed by each Subrecipient of pass-through
Assessment funding. The Subrecipient Grants Management Assessment, found
as Attachment B, contains questions related to your organization's
experience in the management of federal grant awards. It is used to
determine and provide an appropriate level of technical assistance,
training, and grant oversight to Subrecipients during the subaward.
The questionnaire must be completed and returned with your grant
application. A PDF fillable version of the form may be found at:
http://www.caloes.ca.gov/cal-oes-divisions/grants-
management/criminal-Justice-emergency-management-victim-
services-grant-programs/emergency-management-performance-
grant.
Narrative Indirect Cost Rate Agreement — If claiming indirect costs at a
Attachments federally -approved rate, please provide a copy of your approved
Indirect Cost Rate Agreement.
FFATA Financial Disclosure — Use the FFATA Financial
Disclosure, referenced as Attachment C, to provide information
required by the Federal Funding Accountability and Transparency
Act of 2006. If your organization is not subject to the FFATA
Financial Disclosure requirements, check the "Not Subject to
FFATA Financial Disclosure" box at the bottom of the page.
Grant The Grant Assurances list the requirements to which the
Assurances Subrecipients will be held accountable. All Applicants will be
required to submit a signed, original of the FY 2018 Grant
Assurances as part of their FY 2018 EMPG application. The
required Grant Assurances can be found only in PDF format on the
Cal OES website.
NOTE: Self-created Grant Assurances will not be accepted.
10
Section 4 — Required State Application Components 12018
Governing The Governing Body Resolution (GBR) appoints AAs (identified by
Body the individual's name or by a position title) to act on behalf of the
Resolution governing body and the Applicant by executing any actions
necessary for each application and subaward. All Applicants are
required to submit a copy of their FY 2018 GBR with their
application. A sample Resolution is found as Attachment D.
Authorized For each person or position appointed by the governing body,
Agent identify the individual in the AA and Contact Information page of the
Information FMFW.
11
Section 5 — The State Application Process 12018
Application Subrecipients must submit an electronic copy of their completed
Submission FMFW to their Program Representative for review. After the
application is approved, a completed hardcopy of the FMFW, along
with all other application components must be mailed, with original
signatures, by the application due date. During the application
process, if it is determined all allocated funds cannot be expended
by the end of the performance period, inform your Program
Representative as soon as possible. The completed application
should be received by Cal OES by no later than November 16,
2018. The FY 2018 EMPG Timeline is referenced as Attachment E.
HAND -DELIVERED APPLICATIONS WILL NOT BE ACCEPTED
Late or Late or incomplete applications may be denied. If an application is
Incomplete incomplete, the Program Representative may request additional
Application information. Requests for late submission of applications must be
made in writing to the Program Representative prior to the
application due date. Cal OES has sole discretion to accept or
reject a late or incomplete grant application. All application
documents requiring an original signature must be mailed in
hardcopy.
EMPG Contact All Subrecipient application materials, questions, comments, and
Information correspondence should be directed to:
California Governor's Office of Emergency Services
ATTN: Grants Management (Building E)
Emergency Management Performance Grants Unit
3650 Schriever Avenue
Mather, CA 95655
Alissa Adams, Chief
(916) 845-8415
Patti Delaney
(916) 845-8469
Christine So
(916) 845-8383
Yer Yang
(916) 845-8468
The Program Representative Regional Assignments Map is available
under "Regional Assignments" at: htto://www.caloes.ca.gov/cal-oes-
divisions/qrants-management/criminal-iustice-emeraencv-manaaement-
victim-services-grant-programs/emeraencv-manaaement-performance-
12
Section 5 — The State Application Process 12018
Subaward The Subrecipient will receive written notice of the State's approval
Approval of its Grant Subaward. Subrecipient reimbursements will not be
made until all required application components have been
approved by Cal OES. Grant Subaward letters must be signed and
the original must be returned to Cal OES within 20 days.
Subrecipients should retain a copy of the signed form for their
records.
13
Section 6 — Post Award Requirements 12018
Payment EMPG is a reimbursement grant; no cash advances are permitted.
Request To request a cash reimbursement of FY 2018 EMPG funds,
Process Subrecipients must first complete a payment request using the
Cal OES FMFW, returning it to the appropriate Program
Representative. Subrecipients who fail to follow the workbook
instructions may experience delays in processing the payment
request.
Payments can only be made if the Subrecipient has submitted a
completed and approved application.
Exercise costs will not be reimbursed until an After Action
Report (AAR) has been posted and access to the AAR has been
granted to your Program Representative.
Modifications Post award budget, scope, and time modifications must be
requested using the Cal OES FMFW V 1.18 signed by the
Subrecipient's AA, and submitted to the Program Representative.
The Subrecipient may implement grant modification activities, and
incur associated expenses, only after receiving written final approval
of the modification from Cal OES.
Training Training activities supported with EMPG Program funds should align
Requirements to NPG core capabilities identified in each Subrecipients Training
and Exercise Plan. Subrecipients must obtain a Training Feedback
Number from Cal OES before beginning any Training activities. This
includes project components like travel to, materials for, or
attendance in training courses. Training Feedback Numbers must
be obtained no later than 30 days before the first day of the training
or related activities. Subrecipients must complete a Training
Request Form and submit it electronically to Cal OES.
For more information on this or other training -related inquiries,
contact the Cal OES Training Branch at (916) 845-8752 or their
website at: http://www.caloes.ca.gov/Cal-OES-Divisions/California-
Specialized-Training-Institute.
All EMPG-funded personnel, including M&A staff, must complete
one of the two following sets of training courses. Proof of completion
of the training requirements must be kept on file by the Subrecipient
and be made available for review upon request. When seeking
approval of non-DHS/FEMA developed courses, course materials
must be submitted with the approval requests. Conditional approvals
are not offered.
14
Section 6 — Post Award Requirements 12018
Training EMPG TRAINING — OPTION 1
Requirements
Cont. IS 100 (any version), Introduction to Incident Command System
(ICS)
IS 200 (any version), ICS for Single Resources and Initial Action
Incident
IS 700 (any version), National Incident Management System, An
Introduction
IS 800 (any version), National Response Framework, An
Introduction
IS 120.a 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
EMPG TRAINING — OPTION 2
IS 100 (any version), Introduction to the Incident Command System
(ICS)
IS 700 (any version), National Incident Management System
(NIMS), An Introduction
IS 800 (any version), National Response Framework, An
Introduction
IS 230.d Fundamentals of Emergency Management
E/1-0101, Foundations of Emergency Management
E/1-0102, Science of Disaster
E/1-0103, Planning Emergency Operations
E/1-0104, Exercise Design
15
Section 6 — Post Award Requirements 12018
Training E/L0105, Public Information and Warning
Requirements
Cont. For EMPG-funded personnel who choose Option 2, please report
the employee's full name, name of the training, and the date the
training was completed in your performance report.
In the event that any of the listed courses have been updated and
the required version is no longer available, it is acceptable to take
the updated course in place of the listed course (i.e., since IS -120.a
has been replaced with IS -120.C, the latter may be used in the
place of the original course.) The courses listed above are the
minimum accepted versions for FY 2018 EMPG.
Exercises,
Subrecipients should engage stakeholders to identify long-term
Improvement
training and exercise priorities. These priorities should address
Plans and
capability targets and gaps identified through the annual Threat and
After Action
Hazard Identification and Risk Assessment and Stakeholder
Reporting
Preparedness Review process, real-world events, previous
exercises, and national areas for improvement identified in the NPR.
Subrecipients must report on all exercises conducted with EMPG
grant funds. An After Action Report (AAR) and Improvement Plan
(IP) or Summary Report (for Seminars & Workshops) must be
completed and submitted to Cal OES within 90 days after the
exercise/seminars/workshops are conducted. It is acceptable to
submit an Exercise Summary Report for Seminars and Workshops
in lieu of a full AAR/IP.
AAR/IPs and Summary Reports should be emailed to:
Exercise@caloes.ca.gov
hseep@fema.dhs.gov
Your Program Representative
All EMPG-funded personnel, including M&A staff, must participate in
three exercises of any type between July 1, 2018 and
June 30, 2019. Extensions to the grant do not apply to this
requirement or its deadline. There is no specific requirement for
level of participation in the exercises and the exercises can be of
any type.
For exercise -related issues and/or questions, please email the
Cal OES Exercise Team at exercise(a)caloes.ca.gov.
16
Section 6 — Post Award Requirements 12018
Noncompetitive To be eligible for reimbursement, noncompetitive procurements
Procurements exceeding the simplified acquisition threshold require Cal OES prior
written approval. 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 submission. Cal OES may request additional
documentation that supports the procurement effort.
Procurement Effective June 20, 2018, the micro -purchase threshold was
Thresholds increased from $3,500 to $10,000 and the simplified acquisition
threshold was increased from $150,000 to $250,000. These
increases apply to all Subrecipient procurements executed on or
after June 20, 2018. Refer to IB 434 for additional information.
Environmental DHS/FEMA is required to ensure all activities and programs that are
Planning and funded by the agency comply with federal Environmental Planning
Historic and Historic Preservation (EHP) regulations. Subrecipients
Preservation proposing projects or activities (including, but not limited to, training,
exercises, the installation of equipment, and construction or
renovation projects) which have the potential to impact the
environment must participate in the EHP review process. EHP
Screening Memos must include detailed project information and
explain the goals and objectives of the proposed project, and
include supporting documentation. DHS/FEMA may also require the
Subrecipient provide a confidential California Historical Resources
Information System (CHRIS) report in addition to the EHP Screening
Form. Determination on the necessity of a CHRIS report is based
upon information disclosed on the EHP Screening Form. Your
Program Representative will provide you with additional instructions
should this report be required. EHP requests should be submitted to
Cal OES as early as possible. All projects/activities triggering EHP
must receive DHS/FEMA written approval prior to commencement
of the funded activity.
The EHP Screening Form is at: http://www.caloes.ca.gov/cal-oes-
divisions/grants-management/criminal justice-emergency-
management-victim-services-grant-programs/emergency-
management-performance-q rant.
Updated information on Grants Program Directorate (GPD) EHP
FEMA Policy #108-023-1 can be accessed at:
http://www.fema.gov/grant-programs-directorate-policy.
17
Section 6 — Post Award Requirements 12018
Construction When applying for construction funds, including communications
and towers, at the time of application, Subrecipients must submit
Renovation evidence of approved zoning ordinances, architectural plans, any
other locally required planning permits, and a notice of federal
interest. Additionally, Subrecipients are required to submit a SF -
424C Budget and Budget Detail that cites the project costs.
Communications tower construction requests also require evidence
the Federal Communications Commission's Section 106 review
process has been completed.
Written approval for construction must be provided by
DHS/FEMA prior to the use of any EMPG funds for construction
or renovation.
Inventory
FY 2018 EMPG Subrecipients must use standardized resource
Control and
management concepts for resource typing and credentialing, in
Property
addition to maintaining an inventory by which to facilitate the
Management
effective identification, dispatch, deployment, tracking and recovery
of resources.
Subrecipients must have an effective inventory management
system, to include:
• Property records that document description, serial number or
other ID, title information, acquisition date, cost, location, use
and condition, and ultimate disposition;
• Conducting a physical inventory at least every two years;
• A control system to prevent loss, damage, and theft of grant
purchased equipment and supplies; and
• Adequate maintenance procedures must be developed to keep
the property in good condition.
Equipment When original or replacement equipment acquired under the EMPG
Disposition is no longer needed for program activities, the Subrecipient must
contact the Program Representative to request disposition
instructions.
Performance Subrecipients must complete a BSIR each Winter and Summer
Reporting using the DHS/FEMA Grants Reporting Tool (GRT) for the duration
of the subaward performance period or until all grant activities are
completed and the subaward is formally closed by Cal OES. Failure
to submit a BSIR could result in subaward reduction, termination, or
suspension.
To obtain access to the online GRT, please log on the DHS/FEMA
website at https://www.reporting.odp.dhs.gov. To create a new
im
Section 6 — Post Award Requirements 12018
Performance account, please follow the instructions that read, "If you need to
Reporting register for an account, please click here." The Subrecipient will be
Cont. required to ensure up-to-date project information is entered. For
additional assistance with the GRT, please contact your Program
Representative.
Extension Extensions to the initial performance period identified in the
Requests subaward will only be considered through formal, written requests to
your Program Representative. Upon receipt of the extension
request, Cal OES will:
1. Verify compliance with performance reporting requirements by
confirming the Subrecipient has submitted all necessary
performance reports;
2. Confirm the Subrecipient has provided sufficient justification for
the request; and
3. If applicable, confirm the Subrecipient has demonstrated
sufficient progress in past situations where an extension was
authorized by Cal OES.
Extension requests will be granted only due to compelling legal,
policy, or operational challenges, and will only be considered for the
following reasons:
1. Contractual commitments with vendors that prevent completion
of the project within the performance period;
2. The project must undergo a complex environmental review which
cannot be completed within this timeframe;
3. Projects are long-term by design and therefore, acceleration
would compromise core programmatic goals, and
4. Where other special circumstances exist.
To be considered, extension requests must be received no later
than 60 days prior to the end of the Subrecipient's performance
period, and must contain specific and compelling justifications as to
why an extension is required. All extension requests must address
the following:
1. Grant program, fiscal year, and award number;
2. Reason for delay;
3. Current status of the activity/activities;
4. Approved performance period 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
19
Section 6 — Post Award Requirements 12018
Extension will be expended;
Requests 8. Plan for completion, including milestones and timeframes for
Cont. 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 performance period without any modification to the
original Statement of Work.
General questions regarding extension requirements should be
directed to your Program Representative. For additional information,
please see IB 379 at: https://www.fema.gov/pdf
/govern ment/grant/buIletin s/info379.pdf. Extension requests for
personnel and salaries do not meet the requirements of IB 379 and
will not be granted. Subrecipients are expected to complete all grant
funded personnel activity by the end of the subaward performance
period.
Progress All Subrecipients that receive Cal OES approval to extend their
Reports on FY 2018 grant subaward performance period may be required to
Grant submit progress reports indicating completed and future project
Extensions milestones on all extended projects. Progress reports must be
submitted electronically to the Program Representative. Deadlines
for the submission of progress reports will be established at the time
of extension approval.
Monitoring Cal OES Grants Monitoring actively monitors Subrecipients, both
through desk and on-site field reviews. Monitoring is based on the
cost principals and administrative requirements addressed in Local,
State, and Federal controlling authority, in addition to applicable
financial guidelines. Reviews may include, but are not limited to:
• Entries recorded on the FMFW categories;
• Eligibility of and support for expenditures, typically covering two
to three years of data;
• Comparing actual Subrecipient activities to those approved in the
grant application and subsequent modifications, including the
review of timesheets as appropriate;
• Ensuring advances have been disbursed in accordance with
applicable guidelines;
• Confirming compliance with:
o Grant Assurances, and
o Information provided on performance reports and payment
requests.
NOTE: It is the responsibility of all Subrecipients that pass through
funds to monitor and audit the grant activities of their subawards.
20
Section 6 — Post Award Requirements 12018
Monitoring This requirement includes, but is not limited to, on-site verification
Cont. of grant activities, as required. Many Subrecipients receive "findings"
which necessitate a Corrective Action Plan (CAP) on
their part. Those Subrecipients who fail to submit a CAP as required
shall have a "hold" placed on any future reimbursements until the
"finding" is resolved.
Failure to Periodic reporting is required by the grant. Subrecipients who miss a
Submit single reporting deadline may receive a letter addressed to their
Required Board of Supervisors informing them of the failure to report. County
Reports OAs and Tribes who fail to report twice in a row may have
subsequent awards reduced by 10% until timely reporting is
reestablished.
Suspension/ Cal OES may suspend or terminate grant funding, in whole or in
Termination part, or other measures may be imposed for any of the following
reasons:
• Failure to submit required reports.
• Failure to expend funds in a timely manner consistent with the
grant milestones, guidance and assurances.
• Failure to comply with the requirements or statutory progress
toward the goals or objectives of federal or state law.
• Failure to make satisfactory progress toward the goals or
objectives set forth in the Subrecipient application.
• Failure to follow grant agreement 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.
• False certification in the application or document.
• Failure to adequately manage, monitor or direct the grant funding
activities of their Subrecipients.
Before taking action, Cal OES will provide the Subrecipient
reasonable notice of intent to impose corrective measures and will
make every effort to informally resolve the problem.
Closeout Cal OES will close-out Subrecipient awards when it determines all
applicable administrative actions and all required work of the federal award
have been completed. Subawards will be closed after:
Receiving any applicable Subrecipient Performance Report
indicating all approved work has been completed, and all funds
have been distributed;
All funds have been requested and reimbursed, or
21
Section 6 — Post Award Requirements 12018
Closeout . disencumbered;
Cont. . Completing a review to confirm the accuracy of reported
information;
• Reconciling actual costs to subawards, modifications and
payments; and
• Verifying the Subrecipient has submitted a final BSIR showing all
grant funds have been expended.
Records The records retention period is three years from the date of the
Retention subrecipient's final BSIR submittal showing all grant funds have
been expended. The Cal OES Grant Closeout Letter will notify the
Subrecipient of the start of the records retention period for all
programmatic and financial grant -related records. If the SAA award
remains open after the Subrecipient's Submission of the final BSIR,
Cal OES will complete any additional BSIR reporting required under
the award on behalf of the Subrecipient. Closed grants may still be
monitored and audited. Failure to maintain all grant records for the
required retention period could result in a reduction of grant funds,
and an invoice to return costs associated with the unsupported
activities.
22
Attachment A - FY 2018 EMPG Allocations 12018
Emergency Management Performance Grant (EMPG)
Operational Area
Population
Base
Amount
Per Capita Total Award
Total
ALAMEDA
1,660,202
$125,000
$335,021
$460,021
ALPINE
1,154
$125,000
$233
$125,233
AMADOR
38,094
$125,000
$7,687
$132,687
BUTTE
227,621
$125,000
$45,933
$170,933
CALAVERAS
45,157
$125,000
$9,112
$134,112
COLUSA
22,098
$125,000
$4,459
$129,459
CONTRA COSTA
11149,363
$125,000
$231,936
$356,936
DEL NORTE
27,221
$125,000
$5,493
$130,493
ELDORADO
188,399
$125,000
$38,018
$163,018
FRESNO
1,007,229
$125,000
$203,254
$328,254
GLENN
28,796
$125,000
$5,811
$130,811
HUMBOLDT
136,002
$125,000
$27,445
$152,445
IMPERIAL
190,624
$125,000
$38,467
$163,467
INYO
18,577
$125,000
$3,749
$128,749
KERN
905,801
$125,000
$182,786
$307,786
KINGS
151,662
$125,000
$30,605
$155,605
LAKE
65,081
$125,000
$13,133
$138,133
LASSEN
30,911
$125,000
$6,238
$131,238
LOS ANGELES
10,283,729
$125,000
$2,075,209
$2,200,209
MADERA
158,894
$125,000
$32,064
$157,064
MARIN
263,886
$125,000
$53,251
$178,251
MARIPOSA
18,129
$125,000
$3,658
$128,658
MENDOCINO
89,299
$125,000
$18,020
$143,020
MERCED
279,977
$125,000
$56,498
$181,498
MODOC
9,612
$125,000
$1,940
$126,940
MONO
13,822
$125,000
$2,789
$127,789
MONTEREY
443,281
$125,000
$89,452
$214,452
NAPA
141,294
$125,000
$28,512
$153,512
NEVADA
99,155
$125,000
$20,009
$145,009
ORANGE
3,221,103
$125,000
$650,004
$775,004
PLACER
389,532
$125,000
$78,606
$203,606
PLUMAS
19,773
$125,000
$3,990
$128,990
RIVERSIDE
2,415,955
$125,000
$487,529
$612,529
SACRAMENTO
1,529,501
$125,000
$308,646
$433,646
SAN BENITO
57,088
$125,000
$11,520
$136,520
SAN BERNARDINO
2,174,938
$125,000
$438,892
$563,892
SAN DIEGO
3,337,456
$125,000
$673,483
$798,483
SAN FRANCISCO
883,963
$125,000
$178,380
$303,380
SAN JOAQUIN
758,744
$125,000
$153,111
$278,111
Attachment A - FY 2018 EMPG Allocations 12018
SAN LUIS OBISPO
280,101
$125,000
$56,523
$181,523
SAN MATEO
774,155
$125,000
$156,221
$281,221
SANTA BARBARA
453,457
$125,000
$91,506
$216,506
SANTA CLARA
1,956,598
$125,000
$394,832
$519,832
SANTA CRUZ
276,864
$125,000
$55,870
$180,870
SHASTA
178,271
$125,000
$35,974
$160,974
SIERRA
3,207
$125,000
$647
$125,647
SISKIYOU
44,612
$125,000
$9,003
$134,003
SOLANO
439,793
$125,000
$88,748
$213,748
SONOMA
503,332
$125,000
$101,570
$226,570
STANISLAUS
555,624
$125,000
$112,122
$237,122
SUTTER
97,238
$125,000
$19,622
$144,622
TEHAMA
64,039
$125,000
$12,923
$137,923
TRINITY
13,635
$125,000
$2,752
$127,752
TULARE
475,834
$125,000
$96,021
$221,021
TUOLUMNE
54,740
$125,000
$11,046
$136,046
VENTURA
859,073
$125,000
$173,357
$298,357
YOLO
221,270
$125,000
$44,651
$169,651
YUBA
74,727
$125,000
$15,080
$140,080
TRIBAL NATIONS
362,801
$125,000
$73,212
$198,212
TOTAL
40,172,494 1
$7,375,000 1
$8,106,623 1
$15,481,623
Attachment B — Subrecipient Grants Management Assessment 12018
C.A,1t,IFt,?&NTk CO%'MN r%*S OFFICE OF ENWAGENCY SERVICES
SUBREECI M—N-T GRA TS 4LANAGENIL S ASSESSMY-N-T
Srbretpkat DCS ak FM it
Crain DisasttlPr%Vm= TWc
Yariostaaxae Period:: eo Ssbattord Asmat Requested:
Type otNosoredail Raft (Chock Ras) I OStaee Cor. (..oral Cot. E3JPA E3N�a-Profit Mribe
Per Title 2 CPR § 200331. Cal t?ES is required to "u&t* tis risk ofaoncaaplia=*wi6 WOW stattvsts.arMaluiota< and VW
texas and cocditionsposedby #&* subrecipi*wofpast-*x** faedin This assessmatt ismade ion older to deestmize aatd
provide an appropriate ltval of tedaical assistsnce, ua nin; aad Bret oceait tt to abtecigiana for the arrrd reffettactd altos e
ThtUouviag tae gttastiota rtlated to your osgteirioti s es psrieect is the t of fedsral yrat rwards. This
quotionasitt taustbe cov*leted an4mmmed yr h you put spplkstim nnwrials
Far purposesofcomplefing isthe individualWho b"primayresponsibdityfordr,-"s
ad-*Eisuationofthrput.boo yvactotowAtssgQ"ctmtheiedividtuiwhoLurnporit"hlkybrr irwi and
det&wA% itr d+ M*"itnta to be cbatgd to the S=t award, saad o'rmnarron Win to tht subtociosat applyieg for the vntd.
and=or the gramwmul irpleawwi g apscy. as appliaablc
A66essswat Facwrs _ FLapusse
1. Flow marry }gra of experience floes y— Cment pasts manger h— —VMS gststs?
2. Hoar meaty }ear ofmcpanew# does yaw amen bool9:tepwacoounzin nsf'f bxm
Pants?
3. Flaw Man), Srsnts 4046 yVvr otga=ZKiaa txtatastly tOMN1e?
4_ 'iMs is the approximeA tout dollar amount of all gents yea reoW%V?
S. An i14%iidasl staff members ss pM to ee"k on crdtiPlt gMW.
6. Do you use umiabwas to track the time sufl• speed cuvdcmg on sctiuitses pta wU?
7. Roar often does your argadsation hank a finatacial amt?
& Has yaw organisation f"ved any audit fiaoduW in tha text three y s?
it. Do IOU haw a Vnitten plan to chop costs to gauss?
10. Do your bane ashlers ptoomment policies?
11. Do you get multiple q=4s at bids a3sea buying heats or services?
12. i%w mrerty yon do )VU maintain recedpu, deposits, cane aiad ehee3:1, innroices, etc.?
13. Do you btu -t pcocedt ses to maacitor Fact fiords pasad through to odast entities?
C*vtifict &m.- 2"ha is to rvnjj that to A# barn of or7 know Isdre and bd:,V, tht dW4JLTnfzh#d allow is a"UrXit
toaVtsre aiirtgnm
Signature: n o Q
DOW
t .stems
t
The attached form in PDF fillable format is available for download at:
https://www.caloes.ca.gov/cl-oes-divisions/grants-management/homeland-security-
prop-1 b-grant-program s/homeland-security-grants-program
Attachment C — FFATA Financial Disclosure 12018
Federal Funding Accountability and Transparency Act (FFATA)
Financial Disclosure
Public Law (PL) 109-282 Federal Funding Accountability and Transparency Act of 2006,
amended by Section 6202(a) of the Government Funding Transparency Act of 2008
(PL 110-252), which is outlined in FEMA GPD information Bulletin No. 350.
If the Subrecipient in the preceding year received 80 percent or more of its annual
gross revenues in federal Awards; and $25,000,000 or more in annual gross
revenues from federal awards, and the public does not have access to information
about the compensation of the senior executives of the entity, then the Subrecipient
is subject to the FFATA Financial Disclosure requirements, and will need to fill
out this form.
0 Not Subject to FFATA Financial Disclosure
Printed Name and Title
Signature of Authorized Agent
Date
Attachment D — Sample Governing Body Resolution 12018
BE IT RESOLVED BY THE
OF THE
(Governing Body)
THAT
(Name of Applicant)
,OR
(Name or Title of Authorized Agent)
,OR
(Name or Title of Authorized Agent)
(Name of Title of Authorized Agent)
is hereby authorized to execute for and on behalf of the named Applicant, a
public entity established under the laws of the State of California, any actions
necessary for the purpose of obtaining federal financial assistance provided by
the federal Department of Homeland Security and subgranted through the State
of California for the following Grant Award:
(List Grant Year and Program)
Passed and approved this day of , 20
Certification
duly appointed and
(Name)
Of the
(Title) (Governing Body)
do hereby certify that the above is a true and correct copy of a resolution passed and
approved by the
day of ,20
(Official Position)
(Signature) (Date)
Attachment E — FY 2018 EMPG Timeline 12018
DHS Announcement of FY 2018 EMPG NOFO
May 21, 2018
Cal OES Application due to DHS
June 20, 2018
Subrecipient performance period begins
July 1, 2018
FY 2018 EMPG California Supplement release
September 2018*
Subrecipient Workshops
October 2018*
Multi Year -Training and Exercise Plans due
September 30, 2018
Subrecipient Final Applications due to Cal OES
November 16, 2018*
Submission of the FY 2018 EMPG Performance
Report for the period of 7/1/18 — 9/30/18
October 16, 2018
All FY 2018 EMPG EHP-related documents
must be received by Program Representative
December 31, 2018
Submission of the FY 2018 EMPG Performance
Report for the period of 7/1/18 — 12/31/18
January 16, 2019
Submission of the FY 2018 EMPG Performance
Report for the period of 7/1/18 — 3/31/19
April 16, 2019
Subrecipient performance period ends
June 30, 2019
Submission of the FY 2018 EMPG Performance
Report for the period of 7/1/18 — 6/30/19
July 20, 2019
Final Request for Reimbursement due
Within 20 calendar days of the
subaward expiration date
Cal OES's performance period ends
September 30, 2019
* These dates are approximate and based on anticipated date of DHS award to
California
Attachment F — FY 2018 EMPG Program Checklist 12018
Subrecipient:
Program
Representative:
Financial Management Forms Workbook:
Grant Subaward Face Sheet
Authorized Agent and Contact
Project Descriptions
Project Ledger
Planning Ledger
Organization Ledger
Equipment Ledger
Training Ledger
Exercise Ledger
Management and Administration Ledger
Indirect Cost Ledger
Consultant -Contractor Ledger
Personnel Ledger
Match Ledger
Indirect Cost Rate Summary
Authorized Agent Sheet
FIPS#:
Required Documents:
Environmental Planning and Historic Preservation (EHP) Screening Form
FFATA Financial Disclosure
Governing Body Resolution
Subrecipient Grants Management Assessment form
2018 EMPG Grant Assurances
Indirect Cost Rate Agreement (If Applicable)
Attachment D
U
Cal OES
OOVERNOR'S OFFICE
OF EMEROENCY SERVICES
Standard Assurances
For All Cal CIES 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
(C.F.R.). 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:
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, and
(d) The official executing this agreement is, in fact, authorized to do so.
This Proof of Authority must be maintained on file and readily available upon request.
Emergency Management Performance Grant Program (EMPG) — 2018 Grant Assurances Page 1 of 11
Initials`
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 United States 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 C.F.R. § 200.213 and codified in
2 C.F.R. Part 180, Debarment and Suspension, the Applicant will provide protection
against waste, fraud, 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, subgrantees, recipients or subrecipients:
Emergency Management Performance Grant Program (EMPG) — 2018 Grant Assurances Page 2 of 11
Initials -&L
(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 Vlll of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), relating to
nondiscrimination in the sale, rental or financing of housing as implemented by
the Department of Housing and Urban Development at 24 C.F.R. Part 100. The
prohibition on disability discrimination includes the requirement that new
multifamily housing with four or more dwelling units—i.e., the public and common
use areas and individual apartment units (all units in buildings with elevators and
ground -floor units in buildings without elevators)— be designed and constructed
with certain accessible features (See 24 C.F.R. § 100.201);
Emergency Management Performance Grant Program (EMPG) — 2018 Grant Assurances Page 3 of 11
Initials2diz
(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;
(1) Executive Order 11375, which bans discrimination 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) DHS policy to ensure the equal treatment of faith -based organizations, under
which all applicants and recipients must comply with equal treatment policies
and requirements contained in 6 C.F.R. Part 19;
(1) Any other nondiscrimination provisions in the specific statute(s) under which
application for federal assistance is being made; and
(m)The requirements of any other nondiscrimination statute(s) which may
apply to the application.
In addition to the items listed in (a) through (m), the Applicant will comply with
California's Fair Employment and Housing Act (FEHA). FEHA prohibits harassment
and discrimination in employment because of ancestry, familial status, 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 et 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 et 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) — 2018 Grant Assurances Page 4 11
Initials I �/
(e) Institution of environmental quality control measures under the National
Environmental Policy Act (NEPA) of 1969 (P.L. 91-190); the Council on
Environmental Quality Regulations for Implementing the Procedural Provisions of
NEPA; and 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) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988;
(g) Executive Order 11514 which sets forth national environmental standards;
(h) 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 11990 which requires preservation of
wetlands;
(i) The Safe Drinking Water Act of 1974, (P.L. 93-523);
(j) The Endangered Species Act of 1973, (P.L. 93-205);
(k) Assurance of project consistency with the approved state management program
developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451 et
seq.);
(1) Conformity of Federal Actions to State (Clear Air) Implementation Plans under
Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et
seq.);
(m) Wild and Scenic Rivers Act of 1968 (16 U.S.C. § 1271 et 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 C.F.R. § 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.
Emergency Management Performance Grant Program (EMPG) — 2018 Grant Assurances Page 5 gf 11
Initials,
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 §§ 3729-3733 which sets forth that no
subgrantee, recipient, or subrecipient shall submit a false claim for payment,
reimbursement or advance.
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 C.F.R. Part 25 Financial Assistance Use of Universal
Identifier and Central Contractor Registration and 2 C.F.R. 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) 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, and
(b) 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.
Emergency Management Performance Grant Program (EMPG) — 2018 Grant Assurances Page 6 9f 11
Initials_
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 at all times during the performance of
the work of this Agreement, as per the workers compensation laws set forth in California
Labor Code §§ 3700 et 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;
(b) Comply with flood insurance purchase requirements of Section 102(a) of the Flood
Dis ster 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), Executive
Order 11593 (identification and protection of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §469a-1 et seq.);
and
(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; and
(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.
Emergency Management Performance Grant Program (EMPG) — 2018 Grant Assurances Page 7 gf,l1
Initials
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. California Public Records Act and 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 Records Act, California Government
Code section 6250 et 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.
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 for 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 courts or administrative agencies make a finding of discrimination on grounds of
race, color, national origin (including LEP), sex, age, disability, religion, or familial status
against the recipient, or the recipients settle 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 by e-mail or mail at the addresses listed above.
The United States has the right to seek judicial enforcement of these obligations.
22. Acknowledgment of Federal Funding from DHS
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.
23. 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.
Emergency Management Performance Grant Program (EMPG) — 2018 Grant Assurances Page 8,9f, 11
Initials (_—'
24. 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. Recipients may also find the DHS Privacy Impact Assessments: Privacy
Guidance and Privacy template a useful resource respectively.
26. Copyright
All recipients must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402 and an
acknowledgement of U.S. Government sponsorship (including the award number) to any
work first produced under federal financial assistance awards.
26. Duplication of Benefits
Any cost allocable to a particular federal financial assistance award provided for in 2 C.F.R.
Part 200, Subpart E may not be charged to other federal financial assistance awards to
overcome fund deficiencies, to avoid restrictions imposed by federal statutes, regulations,
or federal financial assistance award terms and conditions, or for other reasons. However,
these prohibitions would not preclude recipients from shifting costs that are allowable
under two or more awards in accordance with existing federal statutes, regulations, or the
federal financial assistance award terms and conditions.
27. 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.
28. 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.
29. Fly America Act of 1974
All recipients 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.
30. 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.
Emergency Management Performance Grant Program (EMPG) - 2018 Grant Assurances Page 9 f 11
Initials
31. Non -supplanting Requirement
All recipients who receive federal financial assistance 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.
32. 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 et 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.
33. SAFECOM
All recipients who receive federal financial assistance awards made under programs that
provide emergency communication equipment and its related activities must comply with
the SAFECOM Guidance for Emergency Communication Grants, including provisions on
technical standards that ensure and enhance interoperable communications.
34. Terrorist Financing
All recipients 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. Recipients are legally responsible to ensure
compliance with the Order and laws.
35. Reporting of Matters Related to Recipient Integrity and Performance
If the total value of the recipient's currently active grants, cooperative agreements, and
procurement contracts from all federal assistance offices exceeds $10,000,000 for any
period of time during the period of performance of this federal financial assistance award,
you 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 award terms
and conditions.
36. 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.
37. Use of DHS Seal, Logo, and Flags
All recipients must obtain permission from their DHS 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.
Emergency Management Performance Grant Program (EMPG) — 2018 Grant Assurances Page 10 of 11
Initials
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 OES 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. All recipients are bound by the Department of
Homeland Security Standard Terms and Conditions 2018, Version 8.1, hereby incorporated
by reference, which can be found at: https://www.dhs.gov/publication/fvl5-dhs-standard-
terms-and-conditions.
The undersigned represents that he/she is authorized to enter into this agreement for
and on behalf of the Applicant.
Subrecipient:
Signature of Authorized Agent:
Printed Name of Authorized Agent: v cl-)rcCc LeLkvv
Title: C ' } i r Date:
IJ 11 1
Emergency Management Performance Grant Program (EMPG) - 2018 Grant Assurances Page 11f�11
Initials -
(Cal OES Use Only)
Cal OES # FIPS # VS# Subaward # 2018-0008
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES
GRANT SUBAWARD FACE SHEET
The California Governor's Office of Emergency Services (Cal OES) hereby makes a Grant Subaward of funds to the following:
1. Subrecipient: County of Orange 1a. DUNS#: 00-965-7602
2. Implementing Agency: Newport Beach Police Department 2a. DUNS#: 60-752-482
3. Implementing Agency Address: 100 Civic Center Newport Beach 92880-3287
Street City i
4. Location of Project: Newport Beach Orange County 92660-3267
City County I
5. Disaster(Program Title: Emergency Management Performance Grant 6. Performance Period: 07/01/18 to 06/30/19
7. Indirect Cost Rate: ❑ N/A; ❑ 10% de Minimis; ❑ Federally Approved ICR; %
Grant
Year
Fund Source A. State B. Federal
C. Total
D. Cash Match E. In -Kind F. Total G. Total Project
Match Match Cost
2018
8. EMPG $10,924
$10,924
Select
9. Select
Select
10, Select
Select
11. Select
12. TOTALS
t20. Total Prolect Cost:
$10.924
13. Certification - This Grant Subaward consists of this title page, the application for the grant, which Is attached and made a part hereof, and the
Assurances/Certifications. I hereby certify I am vested with the authority to enter Into this Grant Subaward, and have the approval of the City/County
Financial Officer, City Manager, County Administrator, Governing Board Chair, or other Approving Body. The Subrecipient certifies that all funds received
pursuant to this agreement will be spent exclusively on the purposes specified In the Grant Subaward. The Subreciplent accepts this Grant Subaward and
agrees to administer the grant project in accordance with the Grant Subaward as well as all applicable state and federal laws, audit requirements, federal
program guidelines, and Cal OES policy and program guidance. The Subrecipient further agrees that the allocation of funds may be contingent on the
enactment of the State Budget.
14. CA Public Records Act - Grant applications are subject to the California Public Records Act, Government Code section 6250 et seq. Do not put any
personally identifiable information or private information on this application. if you believe that any of the Information you are putting on this application is
exempt from the Public Records Act, please attach a statement that indicates what portions of the application and the basis for the exemption. Your
statement that the Information is not subject to the Public Records Act will not guarantee that the information will not be disclosed.
16. Official Authorized to Sign for Subrecipient:
Name: Grace Leung
Telephone:9( 49) 844-3870 FAX:
(area coTej— area code)
Payment Mailing Address: 870 Santa Barbara Drive City: Newport Beach Zip+ 4: 92660-6303
Signature: — Date: )0 -1T -I g
(FOR Cal OES USE ONLY)
I hereby certify on my personal knowledge that budgeted funds are available for the period and purposes of this expenditure stated above.
16. Federal Employer ID Number: 95-6000751
Title: City Manager
Email: keing2nbpd.org
Cal OES Fiscal Officer
Date
Grant Award Face Sheet - Cal OES 2-101 (Revised 3/2018)
Cal OES Director (or designee)
Date
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FFATA Financial Disclosure
Federal Funding Accountability and Transparency Act (FFATA)
Financial Disclosure
Public Law (PL) 109-282 Federal Funding Accountability and Transparency Act of 2006,
as amended by Section 6202(a) of the Government Funding Transparency Act of 2008
(PL 110-252), which is outlined in FEMA GPD information Bulletin No. 350.
If the Subrecipient in the preceding year received 80 percent or more of its annual gross
revenues in Federal Awards; and $25,000,000 or more in annual gross revenues from
Federal awards, and the,public does not have access to information about the
compensation of the senior executives of the entity, then the Subrecipient is subject to
the FFATA Financial Disclosure requirements, and will need to fill out this form.
Executive Name
Title
Annual
Salary
Annual Dollar
Value of
Benefits
Total
Compensation
0
0
0
0
0
0 Not Subject to FFATA Financial Disclosure
Grace Leung, City Manager
Printed Name and Title
Signatu of Authorized Agent
10-15-18
Date
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