HomeMy WebLinkAboutC-5732 - Agreement to Transfer Funds for 2013 Emergency Management Performance Grant Program�l
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Exhibit 8
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AGREEMENT TO TRANSFER FUNDS
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FOR 2013 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM
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THIS AGREEMENT is entered into this 2I day of bra _j20 , which date is
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enumerated for purposes of reference only, by and between the COUNTY OF ORANGE, a political
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subdivision of the State of California, hereinafter referred to as "COUNTY," and
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l ' Oi- ft kA 'r+- EtaL k a municipal corporation, hereinafter referred to as
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"SUBRECIPIENTSUBRECIPIENT."
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WHEREAS, COUNTY, acting through its Sheriff - Coroner Department, hereinafter referred to
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as SHERIFF, in its capacity as the lead agency for the Operational Area, has applied for, received and
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accepted the Emergency Management Performance Grant (hereinafter referred to as "the grant ") from
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the California Office of Emergency Services ( "CalOES ").
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WHEREAS, the purpose of the grant is to support comprehensive emergency management at
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the state, tribal and local levels and to encourage the improvement of prevention, protection, mitigation,
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response and recovery capabilities for all hazards, as set forth in Attachment A hereto (FY2013
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Emergency Management Performance Grants [EMPG] Program Funding Opportunity Announcement
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[FOA]), which is attached hereto and incorporated herein by reference.
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NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
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1. COUNTY shall transfer to SUBRECIPIENT grant funds, in arrears, as necessary to
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reimburse SUBRECIPIENT for reasonable and permissible expenditures for the grant purposes. In
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order to obtain grant funds, SUBRECIPIENT shall comply with the instructions and submit to SHERIFF
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all required information and documentation, as set forth in Attachment B (EMPG City Financial
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Management Forms Workbook), which is attached hereto and incorporated herein by reference.
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2. Throughout their useful life, grant property and equipment shall be used by
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SUBRECIPIENT only for grant purposes in accordance with Attachment A hereto.
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3. SUBRECIPIENT shall exercise due care to preserve and safeguard grant property and
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equipment from damage or destruction and shall provide regular maintenance and such repairs for gran!
CFDA: 97.042 `
Emcrgency Management Perrom== Grant
Deparum:nt orflomeland Security Page 1 OF .
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Exhibit B
I property and equipment as are necessary, in order to keep said grant property and equipment
2 continually in good working order.
3 5. If grant property or equipment becomes obsolete, SUBRECIPIENT shall dispose of it
4 only in accordance with the instructions of COUNTY or the agency from which COUNTY received the
5 grant funds.
6 6. SUBRECIPIENT shall submit to the COUNTY grant program reporting documents and
7 information in accordance with requirements set out in the Attachment C (Emergency Management
8 Performance Grant Program: California Supplement to the Federal Program Funding Opportunity
9 Announcement; or, The State Guidance), which is attached hereto and incorporated herein by reference.
10 7. By executing this Agreement, SUBRECIPIENT agrees to comply with and be fully
11 bound by this Agreement and all applicable provisions of Attachments A, B, C, and D (FY13
12 Emergency Management Performance Grant Agreement Articles, Assurances, Certifications, Terms,
13 and Conditions) hereto. SUBRECIPIENT shall notify COUNTY immediately upon discovery that it has
14 not abided or no longer will abide by any applicable provision of this Agreement or Attachments A, B,
15 C, or D hereto.
16 8. SUBRECIPIENT agrees to indemnify, defend and save harmless COUNTY and the
17 agency from which COUNTY received grant funds, and their elected and appointed officials, officers,
18 agents and employees from any and all claims and losses accruing or resulting to any and all contractors,
19 subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work,
20 services, materials or supplies in connection with SUBRECIPIENT's performance of this Agreement,
21 including Attachments A, B, C, and D hereto, and from any and all claims and losses accruing or
22 resulting to any person, firm, or corporation who may be injured or damaged by SUBRECIPIENT in the
23 performance of this Agreement, including Attachments A, B, C, and D hereto.
24 9. No alteration or variation of the terms of this Agreement shall be valid unless made in
25 writing and signed by duly authorized representatives of the paries hereto, and no oral understanding or
26 agreement not incorporated herein shall be binding on any of the parties hereto.
27 10. SUBRECIPIENT may not assign this Agreement in whole or in part without the express
28 written consent of COUNTY.
CFDA:. 97.042 "
Emergency Managenent Performance Gent "
Dew rtment of Homeland Security Page 2 of ei '
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11. SUBRECIPIENT shall provide to COUNTY all records and information requested by
COUNTY for inclusion in quarterly reports and such other reports or records as COUNTY may be
required to provide to the agency from which COUNTY received grant funds or other persons or
agencies.
12. For a period of three years after the final Federal Financial Report hereunder or until all
claims related to this Agreement are finally settled, whichever is later, SUBRECIPIENT shall preserve
and maintain all documents, papers and records relevant to the work performed or property or equipment
acquired in accordance with this Agreement, including Attachments A, B, C, and D hereto. For the
same time period, SUBRECIPIENT shall make said documents, papers and records available to
COUNTY and the agency from which COUNTY received the grant funds or their duly authorized
representative(s), for examination, copying, or mechanical reproduction on or off the premises of
SUBRECIPIENT, upon request, during usual working hours.
13. SUBRECIPIENT and COUNTY shall be subject to examination and audit by the State
Auditor General with respect to this Agreement for a period of three years after the final Federal
Financial Report hereunder.
14. COUNTY may terminate this Agreement and be relieved of the payment of any
consideration to SUBRECIPIENT if a) SUBRECIPIENT fails to perform any of the covenants
contained in this Agreement, including the applicable terms of Attachments A, B, C, and D hereto, at the
time and in the manner herein provided, or b) COUNTY loses funding under the grant. In the event of
termination, COUNTY may proceed with the work in any manner deemed proper by COUNTY.
15. SUBRECIPIENT and its agents and employees shall act in an independent capacity in
the performance of this Agreement, including Attachments A, B, C, and D hereto, and shall not be
considered officers, agents or employees of COUNTY or SHERIFF or of the agency from which
COUNTY received grant funds.
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CFDA: 97.412
Emergency Managnnrnt Performance Grans
Department of Homeland Severity
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Exhibit B
IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange,
State of California.
DATED: g"' _ 20� COUNTY OF ORANGE, a political
subdivision of the State of California
By i a dzulilt=
Sberiff-CororW
"COUNTY"
APPROVED AS TO FORM:
COUNTY COUNSEL Q
By /u r
Wendy Mips, Deputy
DATED: I Z1I YI .2013
NEWPORT BEACH FIRE DEPARTMENT
P.O. BOX 1768
DATED: p4 M4 20, SUBRECIPIENT: RT BEACH, CA8215
By
scan
ATTEST:
ty Clerk
DATED: 20N
(I CFDA: 97.042
Emergency Management Perfon na Gmnt
Dganmmi of Homeland Secunty
Page 4 oF4
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Exhibit B
IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange,
State of California.
DATED: , 20_
DATED: FEB 0 4 701*l. ,20_
MA: 97.042
t;mergency Managernent Perfortrtance Grunt
Drpartment of Homr.?_r:d Sect::ity
9-A
COUNTY OF ORANGE, a political
subdivision of the State of California
Sheriff -Coroner
"COUNTY"
APPROVED AS TO FORM:
COUNTY COUNSEL
By /A21�Z-
I
Wendy s, Depu
DATED: J 2-11s7-1 2013
NEWPORT BEACH FIRE DEPARTMEM
P.O. BOX 1768
SUBRECIPIENT: NEWPORT BEACH, CA 92658-8915
By
REVIEWED & ROVEV
Scott Poster, Fire Chid
ATTEST:
bow-,.)
ity Clerk
DATED: Y ,6 .20`
[Inge 4 oro
4ach muk-f
FY 2013 EMERGENCY MANAGEMENT PERFORMANCE GRANTS
(EMPG) PROGRAM
FUNDING OPPORTUNITY ANNOUNCEMENT (FOA)
OVERVIEW INFORMATION
Issued By
U.S. Department of Homeland Security (DNS): Federal Emergency Management
Agency (FEMA)
Catalog of Federal Domestic Assistance (CFDA) Number
97.042
CFDA Title
Emergency Management Performance Grants
Funding Opportunity Announcement Title
Fiscal Year (FY) 2013 Emergency Management Performance Grants (EMPG) Program
Authorizing Authority for Program
National Flood Insurance Act of 1968 (42 U.S.C. 4001 et seq.); Robert T. Stafford
Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.); Earthquake
Hazards Reduction Act of 1977 (42 U.S.C. 7701 et seq.); Reorganization Plan No. 3 of
1978 (5 U.S.C. App.); and, Section 662 of the Post - Katrina Emergency Management
Reform Act of 2006 (PKEMRA), Public Law 109 -295, as amended, (6 U.S.C. § 762).
Appropriation Authority for Program
The Department of Homeland Security Appropriations Act, 2013 (Public Law 113 -6)
FOA Number
Key Dates and Time
Application Start Date: 05/21/2013
Application Submission Deadline Date: 06124/2013 at 11:59:59 p.m. EST
Anticipated Funding Selection Date: 08/02/2013
Anticipated Award Date: 09/30/2013
Other Key Dates
Applying for FY 2013 EMPG Program funds requires a two -step process. Step One:
initial submission to determine eligibility and Step Two: full application. Applicants are
encouraged to initiate Step One immediately after the FOA is published, but no later
than June 17, 2013, by submitting a complete Standard Form 424 to Grants.gov.
Successful completion of this step is necessary for FEMA to determine eligibility of the
applicant. Late submissions of Step One to Grants.gov could result in applicants
missing the application deadline in Step Two. Once FEMA has determined an applicant
to be eligible, applicants can proceed to Step Two, which involves submitting the full
application package via the Non Disaster (ND) Grants system. The submission
deadline for the full application package is June 24, 2013. For additional details see
Section X of the full FOA.
Intergovernmental Review
Is an intergovernmental review required?
If yes, applicants must contact their State's Single Point of Contact (SPOC) to
determine if the program has been selected for State review and comply with the State's
process under Executive Order 12372. Names and addresses of the SPOCs are
maintained at the Office of Management and Budget's home page at
http: //www.whitebouse.gov/omb /grants spoc.
FOA EXECUTIVE SUMMARY
Program Type
Select the applicable program type:
❑ New ® Continuing ❑ One -time
Date of origin for Program: 01/01/2001
Opportunity Category
Select the applicable opportunity category:
M Discretionary ❑ Mandatory ❑ Competitive ® Non - competitive
Application Process
DHS makes all funding opportunities available through htta: / /www.grants.gov. If you
experience difficulties accessing information or have any questions, please call the
Grants.gov customer support hotline at (800) 518 -4726.
Application forms and instructions are available at Grants.gov. To access these
materials, go to http: / /www.grants.gov, select "Apply for Grants," and then select
"Download Application Package." Enter the CFDA and /or the funding opportunity
number located on the cover of this announcement. Select "Download Application
Package," and then follow the prompts to download the application package. To
download the instructions, go to 'Download Application Package" and select
"Instructions."
For additional details on how to apply, please refer to Section X of the full FOA.
Eligible Applicants
The following entities are eligible to apply directly to FEMA under this solicitation:
® State governments
For additional information, see the Eligibility Criteria section of this FOA.
Type of Funding Instrument
Select the applicable funding instrument:
® Grant ❑ Cooperative Agreement
Cost Share or Match
Select the applicable requirement:
0 Cost Match ❑ Cost Share ❑ None Required
In FY 2013, the Federal share of funds made available under the program shall not
exceed 50 percent (50 %) of the total budget. 42 U.S.C. § 51960). Unless otherwise
authorized by law, Federal funds cannot be matched with other Federal funds.
FEMA administers EMPG Program cost matching requirements in accordance with 44
CFR §13.24. To meet matching requirements, the grantee contributions must be
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 U.S. territories of American Samoa,
Guam, the U.S. Virgin Islands, and the Commonwealth of the Northern Mariana Islands.
Maintenance of Effort
Is there a Maintenance of Effort (MOE) requirement?
Management and Administration
Management and Administration (M &A) activities are those defined as directly relating
to the management and administration of EMPG Program funds, such as financial
management and monitoring. It should be noted that salaries of State and local
emergency managers are not typically categorized as M &A, unless the State or local
Emergency Management Agency (EMA) chooses to assign personnel to specific M &A
activities.
If the State Administrative Agency (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 uiay use up to five percent (5 %) 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 only if the applicant has an approved indirect cost rate with
the cognizant Federal agency. 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. Indirect costs will be evaluated as part of the application for Federal
funds to determine if allowable and reasonable.
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FULL FOA
Funding Opportunity Description
Program Overview and Priorities
The purpose of the EMPG Program is to make grants to States to assist State, local,
territorial, and tribal governments in preparing for all hazards, as authorized by the
Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et
seq.). Title VI of the Stafford Act authorizes FEMA to make grants for the purpose of
providing a system of emergency preparedness for the protection of life and property in
the United States from hazards and to vest responsibility for emergency preparedness
jointly in the Federal Government, States, and their political subdivisions. The Federal
Government, through the EMPG Program, provides necessary direction, coordination,
and guidance, and provides necessary assistance, as authorized in this title so that a
comprehensive emergency preparedness system exists at all levels for all hazards.
Program Objectives
The FY 2013 EMPG Program plays an important role in the implementation of the
National Preparedness System (NPS) by supporting the building, sustainment, and
delivery of core capabilities essential to achieving the National Preparedness Goal
(NPG) of a secure and resilient Nation. Delivering core capabilities requires the
combined effort of the whole community, rather than the exclusive effort of any single
organization or level of government. The FY 2013 EMPG Program's allowable costs
support efforts to build and sustain core capabilities across the Prevention, Protection,
Mitigation, Response, and Recovery mission areas.
Examples of tangible outcomes from the EMPG Program include building and
sustaining core capabilities through:
• Building and sustaining core capabilities
• Completion of the Threat and Hazard Identification and Risk Assessment
(THIRA) process
• Strengthening governance integration
• Approved emergency plans
• Development and maintenance of multi -year Training and Exercise Plans (TEPs)
• Targeted training and verification of personnel capability
• Whole community approach to security and emergency management
For additional details on priorities for the EMPG Program please refer to Appendix B —
FY 2013 EMPG Program Priorities.
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II. Funding Information
Award Amounts, Important Dates, and Extensions
Available Funding for the FOA: $332,456,012
Projected number of awards: 58
Projected Award Start Date(s): 10/01/2012
Projected Award End Date(s): 09/30/2014
Period of Performance: 24 months
Grantees must accept their grant awards no later than 90 days from the notification of
award. The grantee shall notify the awarding agency of its intent to accept and proceed
with work under the award, or provide a written notice of intent to decline. Funds will
remain on hold until the grantee accepts the award through official correspondence,
(e.g., written, electronic signature, signed letter or fax to the Grant Programs Directorate
[GPD]), and all other conditions of award have been satisfied, or the award is otherwise
rescinded. Failure to accept the grant award within the 90 day timeframe may result in
a loss of funds.
For details on funding amounts, please refer to Appendix A — FY 2093 EMPG Program
Allocations.
Period of Performance
Is an extension to the period of performance permitted?
M Yes ❑ No
Extensions to the period of performance will be considered only through formal requests
to FEMA with specific and compelling justifications as to why an extension is required.
Extension requests should be submitted to the FEMA Regional Program Manager.
Additional Funding Information
In FY 2013, the total amount of funds distributed under this grant will be $332,456,012.
FY 2013 EMPG Program funds will be allocated in compliance with Section 662 of the
Post - Katrina Emergency Management Reform Act of 2006 (6 U.S.C. 762). All 50
States, the District of Columbia, and Puerto Rico will receive a base amount of 0.75
percent of the total available grant funding. Four territories (American Samoa, Guam,
Northern Mariana Islands, and the U.S. Virgin Islands) will receive a base amount of
0.25 percent of the total available grant funding. The balance of EMPG Program funds
is distributed on a population -share basis. Pursuant to Title 11 of the Compact of Free
Association Amendments Act of 2003 (Public Law 108 -188), funds are also available for
the Federated States of Micronesia and for the Republic of the Marshall Islands.
III. Eligibility Information
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 2013 EMPG Program funds.
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Either the SAA or the State's EMA are eligible to apply directly to FEMA for EMPG
Program funds on behalf of State and local emergency management agencies, however
only one application will be accepted from each State or territory.
IV. Funding Restrictions
Restrictions on Use of Award Funds
DHS grant funds may only be used for the purpose set forth in the grant, and must be
consistent with the statutory authority for the award. Grant funds may not be used for
matching funds for other Federal grants /cooperative agreements, lobbying, or
intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal
funds may not be used to sue the Federal government or any other government entity.
Federal employees are prohibited from serving in any capacity (paid or unpaid) on any
proposal submitted under this program. Federal employees may not receive funds
under this award.
EMPG Program grantees may only fund activities and projects that were included in the
FY 2013 Work Plan that was submitted to and approved by a FEMA Regional Program
Manager. Activities and projects may include the sustainment of capabilities supported
by previous EMPG Program funds.
For additional details on restrictions on the use of funds, please refer to Appendix C -
Funding Guidelines.
V. Application Review Information and Selection Process
Application Review Information
Submitted applications will undergo a complete content review within their respective
FEMA Region. Each FEMA Region will be responsible for reviewing the FY 2013
EMPG Program Work Plan for their respective States /territories in order to assess their
emergency management sustainment and enhancement efforts as well as the linkage to
the core capabilities identified in the NPG.
For additional details on application review information please refer to Appendix D — FY
2093 EMPG Program Work Plan,
Application Selection Process
All Work Plans will require final approval by the corresponding FEMA Region. Funds for
grantees who have not submitted their Work Plan as part of their application will not be
released until such Work Plan is received, reviewed, and approved by the FEMA
Region. Grantees will be notified by their FEMA Regional Program Manager should any
component of the EMPG Program application require additional information.
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VI. Post - Selection and Pre -Award Guidelines
Notice of Award
All successful applicants for all DHS grant and cooperative agreements are required to
comply with DHS Standard Administrative Terms and Conditions available within
Section 6.1 .1 of http: //www.dhs.pov/xlibrary/ assets /cfo- financial - management - policy
manual.pdf.
Upon approval of an application, the award will be made in the form of a grant.
Notification of award approval is made through the ND Grants system through an
automatic e -mail to the grantee point of contact listed in the initial application. Once an
award has been approved and recorded in the system, a notice is sent to the authorized
grant official. Follow the directions in the notification to accept your award documents.
The authorized grant official should carefully read the award package for instructions on
administering the grant and to learn more about the terms and conditions associated
with responsibilities under Federal awards.
Obligation of Funds
EMPG Program awards must be accepted by grantees within 30 days of the issuance of
the Award Letter. Each State shall obligate 100 percent (100 %) of its total EMPG
Program allocation amount to the designated State -level EMA. If the SAA is also the
EMA, this requirement is automatically met. If the SAA is a separate agency, or has
separate budget processes, then these funds must be obligated to the EMA within 15
days of the grant award date.
Administrative and Federal Financial Requirements
Grantees are obligated to submit various financial and programmatic reports as a
condition of their award acceptance. Please see below for a summary of financial
and /or programmatic reports as required. Future awards and fund drawdowns may be
withheld if these reports are delinquent.
1. Federal Financial Report (FFR) — required quarterly. Obligations and
expenditures must be reported on a quarterly basis through the FFR (SF -425). A
report must be submitted for every quarter of the period of performance, including
partial calendar quarters, as well as for periods where no grant activity occurs.
Future awards and fund draw downs may be withheld if these reports are delinquent,
demonstrate lack of progress, or are insufficient in detail. The final FFR is due 90
days after the end date of the performance period. FFRs must be filed electronically
through Payment and Reporting System (PARS).
2. Grant Close -Out Process. Within 90 days after the end of the period of
performance, or after an amendment has been issued to close out a grant,
whichever comes first, grantees must submit a final FFR and final progress report
detailing all accomplishments and a qualitative summary of the impact of those
accomplishments throughout the period of performance. After these reports have
been reviewed and approved by FEMA, a close -out notice will be completed to close
out the grant. The notice will indicate the period of performance as closed, list any
remaining funds that will be deobligated, and address the requirement of maintaining
the grant records for three years from the date of the final FFR. The grantee is
responsible for returning any funds that have been drawn down but remain as
unliquidated on grantee financial records. As part of the final report, grantees must
submit the Tangible Personal Property Report (SF -428), available at
http://www.whitehouse.pov/ sites /default/files/omb /grants /approved forms /sf- 428pdf,
to provide an inventory of all tangible personal property acquired using EMPG
Program funds. An inventory of all construction projects that used EMPG Program
funds has to be reported using the Real Property Status Report (Standard Form SF
429) available at
http:// www, whitehouse._q ov lsitesldefaultlfileslomb/arants /approved forms /sf -429 pdf.
Programmatic Reporting Requirements
State Preparedness Report (SPR) Submittal. Section 652(c) of the Post - Katrina
Emergency Management Reform Act of 2006 (Public Law 109 -295), 6 U.S.C.
§752(c), requires any State that receives Federal preparedness assistance to submit
an SPR (OMB Control Number: 1660 -0131) to FEMA. States submitted their most
recent SPRs in December 2012 thus satisfying this requirement to receive funding
under the FY 2013 EMPG Program.
2. Quarterly Performance Progress Reports (SF -PPR). EMPG Program Quarterly
Performance Progress Reports must be submitted to the Regional Program
Manager located at the FEMA regional office on a quarterly basis through the ND
Grants system. The Quarterly Performance Progress Reports must be based on the
approved EMPG Program Work Plan and are due no later than 30 days after the
end of the quarter, i.e., on January 31, April 30, July 31 and October 31. The
Quarterly Performance Progress Report must be completed using the cover page of
the SF -PPR (OMB Control Number: 0970 - 0334), available at
http: / /www.na.fs.fed.us /fap /SF -PPR Cover %20Sheet.pdf.
Grantees are required to report quarterly on progress towards completing activities
and projects approved in their Work Plans as well as progress made towards
implementing performance measures as described in Appendix B — FY 2013 EMPG
Program Priorities.
• Percentage completion towards CPG 101 v.2 compliance (Available at
http://www. fema. gov /national- preparedness /plan);
• Percent completion of the progressive exercise series to include percent
completion of planned personnel participation;
• Any After Action Reports /Improvements Plans (AAR/IP) that relate to the four
quarterly exercises and one full -scale exercise;
• A roster of EMPG Program funded personnel at both the State and local levels;
along with the training completed together with the Personnel Data Table
Template (available in Appendix D — FY 2013 EMPG Program Work Plan); and
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Percent completion of the Training and Exercise Plan (TEP) outlined in the FY
2013 EMPG Program Work Plan together with the Training and Exercise Data
Tables Template (available in Appendix D — FY 2013 EMPG Program Work
Plan),
3. Biannual Strategy Implementation Reports (BSIR). In addition to the Quarterly
Reports grantees are responsible for completing and submitting BSIR reports. 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); and January 30
for the reporting period of July 1 through December 31. Updated obligations and
expenditure information must be provided within the BSIR to show progress made
toward meeting strategic goals and objectives as well as how expenditures support
Planning, Organization, Equipment, Training and Exercises (POETE). The first
BSIR is not due until at least six months after the award notice has been received by
the grantee.
4. Exercise Evaluation and Improvement. Exercises implemented with grant funds
should evaluate performance of the capabilities against the level of capabilities
required to respond to the exercise scenario_ Guidance related to exercise
evaluation and the implementation of improvements is defined in the Homeland
Security Exercise and Evaluation Program (HSEEP) located at
https: / /hseep. dhs. gov.
5. Monitoring. Grant recipients will be monitored on an annual and as needed basis
by FEMA staff, both programmatically and financially, to ensure that the activities
and project goals, objectives, performance requirements, timelines, milestone
completion, budgets, and other related program criteria are being met.
Monitoring may be accomplished through either a desk -based review or on -site
monitoring visits, or both. Monitoring will involve the review and analysis of the
financial, programmatic, performance, compliance and administrative processes,
policies, activities, and other attributes of each Federal assistance award and will
identify areas where technical assistance, corrective actions and other support may
be needed.
VII. DHS FEMA Contact Information
Contact and Resource Information
This section describes several resources that may help applicants in completing a
FEMA grant application. These points of contact are also available for successful
applicants who may require assistance during execution of their award.
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Financial and Administrative Information
FEMA Regions. FEMA Regions manage, administer and conduct application
budget review, create the award package, approve, amend and close out awards, as
well as conduct cash analysis, financial monitoring, and audit resolution for the
EMPG Program. The Regions also provide technical assistance to EMPG Program
primary awardees. For a list of contacts, please go to
http://www. fema. gov/about/contact/regions. shtm.
2. FEMA Grant Programs Directorate (GPD). GPD's Grant Operations Division
Business Office may also provide support and technical assistance. Additional
guidance and information can be obtained by contacting the FEMA Call Center at
(866) 927 -5646 or via e -mail to ASK- GMD(a)dhs.gov.
3. GPD Environmental Planning and Historic Preservation (GPD -EHP). The FEMA
GPD -EHP Team provides guidance and information about the EHP review process
to grantees and sub - grantees. 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.11www.rkb.uslehp docs.cfm.
Programmatic Information
Centralized Scheduling and Information Desk (CSID). CSID is a non - emergency
comprehensive management and information resource developed by DHS for grants
stakeholders. CSID provides general information on all FEMA grant programs and
maintains a comprehensive database containing key personnel contact information
at the Federal, State, and local levels. When necessary, grantees will be directed to
a Federal point of contact who can answer specific programmatic questions or
concerns. CSID can be reached by phone at (800) 368 -6498 or by e -mail at
askcsid afema.gov Monday through Friday, 8:00 a.m. — 5:30 p.m. EST.
Systems Information
1. Grants.gov. For technical assistance with Grants.gov, please call the Grants.gov
customer support hotline at (800) 518 -4726.
Non Disaster (ND) Grants. For technical assistance with the ND Grants system,
please contact ndorants(c)fema.gov or (800) 865 -4076.
Vlll. Other Critical Information
Emergency Management Assistance Compact (EMAC) Membership
In support of the NPG, grantees must belong to, be located in, or act as a temporary
member States of EMAC, except for American Samoa and the Commonwealth of the
11
Northern Mariana Islands, which are not required to belong to EMAC at this time. All
assets supported in part or entirely with FY 2013 EMPG Program funding by States,
territories, and Tribes must be readily deployable to support emergency or disaster
operations per existing EMAC agreements. In addition, funding may be used for the
sustainment of core capabilities that, while they may not be physically deployable,
support national response capabilities such as Geographic /Geospatial Information
Systems (GIS), interoperable communications systems, capabilities as defined under
the mitigation mission area of the NPG, and fusion centers.
National Preparedness
DHS coordinates with local, State, territory, tribal, and Federal governments as well as
the private and nonprofit sectors to facilitate an all -of- nation /whole community, risk
driven, and capabilities -based approach to preparedness. This approach is grounded it
the identification and assessment of risk through the THIRA. Urban Areas and States
must maintain and update their THIRAs, and States their SPRs, annually to ensure that
the community's shared understanding of risk evolves to account for changes in the risk
landscape, including successful mitigation efforts, emerging threats, hazards, and
associated consequences. Information on the NPS can be found in the National
Preparedness System Description (released Nov 2011), which is posted on the FEMA
website at http://www.fema.gov /national- preparedness /national- preparedness - system.
Additional details regarding the NPS and how it's supported by the EMPG Program can
be found in Appendix B – FY 2013 EMPG Program Priorities.
National Incident Management System (NIMS) Implementation
Prior to allocation of any Federal preparedness awards in FY 2013, grantees must
ensure and maintain adoption and implementation of NIMS
Emergency management and incident response activities require carefully managed
resources (personnel, teams, facilities, equipment and /or supplies) to meet incident
needs. Utilization of the standardized resource management concepts such as typing,
inventorying, and cataloging promote a strong national mutual aid capability needed to
support delivery of core capabilities. Additional information on resource management
and national Tier I NIMS Resource Types can be found at
http: / /www. fema. gov /resource - management.
FEMA developed the NIMS Guideline for Credentialing of Personnel to describe
national credentialing standards and to provide written guidance regarding the use of
those standards. This guideline describes credentialing and typing processes, and
identifies tools which Federal Emergency Response Officials (FEROs) and emergency
managers at all levels of government may use both routinely and to facilitate
multijurisdictional coordinated responses.
Although State, local, tribal, and private sector partners— including nongovernmental
organizations —are not required to credential their personnel in accordance with these
guidelines, FEMA strongly encourages them to do so in order to leverage the Federal
investment in the Federal Information Processing Standards (FIPS) 201 infrastructure
12
and to facilitate interoperability for personnel deployed outside their home jurisdiction.
Additional information can be found at
http✓/ www. fema .goy /pdf/emergency/nims/nims alert cred puideline.pdf
Environmental Planning and Historic Preservation (EHP) Compliance. As a
Federal agency, FEMA is required to consider the effects of its actions on the
environment and/or historic properties to ensure that all activities and programs funded
by the agency, including grants- funded projects, comply with Federal EHP regulations,
laws and Executive Orders as applicable. Grantees and sub - grantees proposing
projects that have the potential to impact the environment, including but not limited to
construction of communication towers, modification or renovation of existing buildings,
structures and facilities, or new construction including replacement of facilities, must
participate in the FEMA EHP review process. The EHP review process involves the
submission of a detailed project description that explains the goals and objectives of the
proposed project along with supporting documentation so that FEMA may determine
whether the proposed project has the potential to impact environmental resources
and/or historic properties. In some cases, FEMA is also required to consult with other
regulatory agencies and the public in order to complete the review process. The EHP
review process must be completed before funds are released to carry out the proposed
project.
SAFECOM Guidance for Emergency Communications Grant Compliance
Grantees (including sub - grantees) that are using EMPG Program funds to support
emergency communications activities should comply with the FY 2013 SAFECOM
Guidance for Emergency Communications Grants. SAFECOM Guidance is available at
http ✓ /www. safecomprogram. gov/grantlDefault. aspx.
Emergency Operation Plan (EOP)
Grantees must update their EOP at least once every two years. An evaluation matrix to
describe and calculate the percentage towards compliance with CPG 101 v.2 is
available at http://www.fema.aov /national - preparedness /plan.
Threat and Hazard Identification and Risk Assessment (THIRA)
Grantees must update their THIRA through the SPR by December 31, 2013. Further
details on the THIRA as it relates to EMPG Program requirements can be found in
Appendix B — FY 2013 EMPG Program Priorities. For additional guidance on THIRA,
please refer to CPG 201 and the supplemental toolkit, available at
http✓ /www. fema. gov /national - preparedness /plan.
IX. How to Apply
Application Instructions
All EMPG Program applicants are encouraged to use the template provided by FEMA 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 FY 2013 EMPG Program period of performance. The Work
13
Plan consists of a Program and Budget Narrative, Personnel Data Table, Training Data
Table, Exercise Data Table, and Grant Activities Outline.
For additional details on Application instructions please refer to Appendix D — FY 2093
EMPG Program Work Plan.
X. Application and Submission Information
Address to Request Application Package
FEMA makes all funding opportunities available on the Internet at
http: / /www.prants.gov. If you experience difficulties accessing information or have any
questions please call the Grants.gov customer support hotline at (800) 518 -4726.
Application forms and instructions are available at Grants.gov. To access these
materials, go to htto: / /www.grants.gov, select "Apply for Grants," enter the CFDA
number (97.042) or the Region- specific FOA Number noted in the Overview Information
section of the FOA and then select "Download Application Package ". Select "Download
Application Package," and then follow the prompts to download the application package.
To download the instructions, go to "Download Application Package" and select
"Instructions."
Content and Form of Application
Application via Grants.gov. All applicants must file their applications using the
Administration's common electronic "storefront" — http: / /www.grants.gov. Eligible
grantees must apply for funding through this portal, accessible on the Internet at
http: / /www. grants. gov.
The application must be started and submitted using Grants.gov after registration in
the System for Award Management (SAM) is confirmed. The on -line application
includes the following required form:
Standard Form 424, Application for Federal Assistance
Applying for FY 2013 EMPG Program funds requires a two -step process. Step One:
initial submission to determine eligibility and Step Two: full application. Applicants
are encouraged to initiate Step One as soon after the FOA is published but no later
than June 17, 2013. This involves submitting a complete Standard Form 424 to
http : / /www.grants.gov. The Standard Form 424 will be retrieved by ND Grants and
the system will automatically populate the relevant data fields in the application.
Successful completion of this step is necessary for FEMA to determine eligibility of
the applicant. Late submissions to Grants.gov to complete Step One could result in
applicants missing the application deadline in Step Two. Once FEMA has
determined an applicant to be eligible, applicants can proceed to Step Two which
involves submitting the full application package via the ND Grants system. The
submission deadline for the full application package is June 24, 2013.
14
The application must be completed and final submission made through the ND
Grants system located at https://portaLfema.gov. If you need assistance registering
for the ND Grants system, please contact ndorants o)fema.gov or (800) 865 -4076.
Applicants are encouraged to begin their ND Grants registration at the time of
solicitation to ensure they have adequate time to start and complete their application
submission. Unless otherwise referenced, the ND Grants system includes the
following required forms and submissions:
• Standard Form 424A, Budget Information (Non- construction)
• Standard Form 4248, Standard Assurances (Non- construction)
• Standard Form 424C, Budget Information (Construction)
• Standard Form 424D, Standard Assurances (Construction)
• Standard Form LLL, Disclosure of Lobbying Activities (if the grantee has
engaged or intends to engage in lobbying activities)
• Grants.gov (GG) Lobbying Form, Certification Regarding Lobbying
• FEMA Form 112 -0 -3C, Certifications Regarding Lobbying; Debarment,
Suspension and Other Responsibility Matters; and Drug -Free Workplace
Requirements
• EMPG Program Work Plan
• Detailed budget
The program title listed in the CFDA is "Emergency Management Performance Grant
Program" The CFDA number is 97.042.
2. Dun and Bradstreet Data Universal Numbering System (DUNS) Number. The
applicant must provide a DUNS number with their application. This number is a
required field within http://www.,qrants.gov and for SAM. Organizations should verify
that they have a DUNS number, or take the steps necessary to obtain one, as soon
as possible. Applicants can receive a DUNS number at no cost by calling the
dedicated toll -free DUNS Number request line at (866) 705 -5711.
3. System for Award Management (SAM). The application process also involves an
updated and current SAM registration by the applicant at http.-Ilwww.sam.gov.
Please ensure that your organization's name, address, DUNS number and EIN are
up to date in SAM and that the DUNS number used in SAM is the same one used to
apply for all FEMA awards. Future payments will be contingent on the information
provided in SAM; therefore it is imperative that the information is correct.
Applicants will obtain FOA Overviews and Full Announcement information from the
Grants.gov website where the full FOA is posted.
In addition, the following Telephone Device for the Deaf (TDD) and /or Federal
Information Relay Service (FIRS) number available for this Announcement is: (800)
462 -7585.
15
Applications will be processed through the Grants.gov portal and the ND Grants system.
Hard copies of the application will not be accepted.
16
Appendix A - FY 2013 EMPG Program Allocations
Alabama
$5,517,091
New Hampshire
$3,321,582
Alaska
$2,952,078
New Jersey
$8,052,000
Arizona
$6,602,667
New Mexico
$3,801,166
Arkansas
$4,342,686
New York
$14,765,038
California
$26,347,468
North Carolina
$8,608,500
Colorado
$5,746,316
North Dakota
$2,932,125
Connecticut
$4,744,763
Ohio
$9,732,277
Delaware
$3,068,487
Oklahoma
$4,885,520
District of Columbia
$2,889,921
Oregon
$4,938,526
Florida
$14,606,586
Pennsylvania
$10,496,851
Georgia
$8,713,765
Rhode Island
$3,152,010
Hawaii
$3,366,476
South Carolina
$5,455,451
Idaho
$3,494,028
South Dakota
$3,015,978
Illinois
$10,566,905
Tennessee
$6,541,836
Indiana
$6,592,684
Texas
$18,833,958
Iowa
$4,421,102
Utah
$4,283,840
Kansas
$4,303,039
Vermont
$2,885,963
Kentucky
$5,240,179
Virginia
$7,626,404
Louisiana
$5,379,057
Washington
$6,818,222
Maine
$3,326,896
West Virginia
$3,656,865
Ma land
$6,183,361
Wisconsin
$6,084,183
Massachusetts
$6,660,914
Wyoming
$2,854,862
Michigan
$8,690,824
Puerto Rico
$4,792,881
Minnesota
$5,866,433
U.S. Virgin Islands
$897,153
Mississippi
$4,365,131
American Samoa
$865,595
Missouri
$6,269,534
Guam
$931,415
Montana
$3,123,698
Northern Mariana Islands
$863,367
Nebraska
$3,656,935
Republic of the Marshall
Islands
$50,000
Nevada
$4,223,420
Federated States of
Micronesia
$50.000
17
Appendix A - FY 2013 EMPG Program Allocations
Appendix B - FY 2013 EMPG Program Priorities
The Alignment of the EMPG Program to the National Preparedness System (NPS)
The NPS is the instrument the Nation will employ to build, sustain, and deliver core
capabilities in order to achieve the National Preparedness Goal (Goal). The Goal is "a
secure and resilient Nation with the capabilities required across the whole community to
prevent, protect against, mitigate, respond to, and recover from the threats and hazards
that pose the greatest risk." The objective of the NPS is to facilitate an integrated, all -of-
Nation, risk informed, capabilities -based approach to preparedness. The guidance,
programs, processes, and systems that support each component of the NPS enable a
collaborative, whole community approach to national preparedness that engages
individuals, families, communities, private and nonprofit sectors, faith -based
organizations, and all levels of government (http: / /Www.fema.,qov /whole- community).
National preparedness is a shared responsibility of the whole community. Every
member must be given the opportunity to contribute. The FY 2013 EMPG Program
plays an important role in the implementation of the NPS by supporting the building,
sustainment, and delivery of core capabilities. Core capabilities are essential for the
execution of critical tasks for each of the five mission areas outlined in the Goal.
Delivering core capabilities requires the combined effort of the whole community, rather
than the exclusive effort of any single organization or level of government. The EMPG
Program's allowable costs support efforts to build and sustain core capabilities across
the Prevention, Protection, Mitigation, Response, and Recovery mission areas.
Particular emphasis will be 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. Funding will support deployable assets that can be utilized anywhere in the
Nation through automatic assistance and mutual aid agreements, including but not
limited to the EMAC.
Using the core capabilities, the FY 2013 EMPG Program supports the achievement of
the NPG by:
• Preventing, a threatened or an actual act of terrorism.
• Protecting our citizens, residents, visitors, and assets against the greatest threats
and hazards.
• Mitigating the loss of life and property by lessening the impact of future disasters.
• Responding quickly to save lives, protect property and the environment, and meet
basic human needs in the aftermath of a catastrophic incident.
• Recovering 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.
18
Appendix B - FY 2013 EMPG Program Priorities
The core capabilities contained in the Goal are highly interdependent and require us to
use existing preparedness networks and activities, improve training and exercise
programs, promote innovation, and ensure that the appropriate administrative, finance,
and logistics systems are in place.
To support building, sustaining, and delivering these core capabilities, grantees will use
the components of the NPS. The components of the NPS are: Identifying and
Assessing Risk; Estimating Capability Requirements; Building and Sustaining
Capabilities; Planning to Deliver Capabilities; Validating Capabilities; and Reviewing
and Updating. For more information on each component, read the National
Preparedness System Description available at http://www.fema.pou/national-
preparedness /national - preparedness - system.
Building and Sustaining Core Capabilities
The FY 2013 EMPG Program focuses on the development and sustainment of core
capabilities as outlined in the Goal. Particular emphasis will be placed on building and
sustaining capabilities that address high consequence events that pose the greatest risk
to the security and resilience of the United States and that can be utilized nationwide.
The EMPG Program uses a comprehensive process for assessing regional and national
risks and identifying capability needs in order to prioritize and invest in key deployable
assets, as well as those elements that support deployment.
Capabilities are the means to accomplish a mission, function, or objective based on the
performance of related tasks, under specified conditions, to target levels of
performance. The most essential capabilities are the core capabilities identified in the
Goal.
Working together, individuals, government officials, and elected leaders can develop
plans to allocate resources effectively and reduce risk. For these plans to be effective,
those involved must consider methods to reduce and manage risk as well as how to
sustain appropriate levels of capability and address potential shortfalls in order to
achieve the Goal.
Achieving the Goal will require participation and resources from the whole community.
Not all capabilities can be addressed in a given local, State, or Federal funding cycle,
nor can funding be expected to flow from any one source. Officials must prioritize the
achievement of certain capabilities to most effectively ensure their security and
resilience while understanding the effects of not addressing other identified needs.
Building and sustaining capabilities will include a combination of organizational
resources, equipment, training, and education. Consideration must also be given to
finding, connecting to, and strengthening community resources by using the expertise
and capacity of individuals, communities, private and nonprofit sectors, faith -based
organizations, and all levels of government. Jurisdictions must also use mutual aid
agreements to fill needs and work with partners to develop regional capabilities.
Ultimately, a jurisdiction may need to rely on other levels of government or partners to
19
Appendix B - FY 2013 EMPG Program Priorities
address a particular need. This expectation should be communicated well before an
event occurs when the capabilities are most urgently needed.
As these issues are considered in light of the eligible activities, the results of an
effective risk assessment must inform jurisdictions' planning efforts. This risk picture
will provide an understanding of potential consequences from the range of threats and
hazards a community faces daily as well as those infrequent events that would stress
the core capabilities of a jurisdiction. Coupled with the desired outcomes and capability
targets established by a community, this combined perspective is crucial to enabling all
levels of government to effectively estimate the level of capabilities required to manage
its greatest risks.
Files and information on the NPS can be found at http: / /www.fema.govinationa/
preparedness /national- preparedness - system.
THIRA and Capability Estimation Process
Knowledge of risks enables a community to make informed decisions about how to
manage risk and develop needed capabilities. Risk is commonly thought of as a
product of a threat or hazard, the vulnerability of a community or facility to a threat or
hazard, and the resulting consequences that may impact the community or facility. By
considering these elements of risk, which often change, as well as the impact of
successful mitigation initiatives, as outlined in the NPS (http://www.fema.gov/national-
preparedness- system), a jurisdiction can understand how to best manage or reduce its
exposure to risk.
Federal investments in local, State, territory, and tribal preparedness capabilities have
contributed to the development of a significant national -level capacity to prevent, protect
against, mitigate, respond to, and recover from emergencies and catastrophic incidents.
The EMPG Program prescribes national capability priorities in order to prioritize and
invest in key deployable capabilities.
A THIRA provides a comprehensive approach for identifying and assessing risks and
associated impacts. It expands on existing local, tribal, territorial, and State Hazard
Identification and Risk Assessments (HIRAs) and other risk methodologies by
broadening the factors considered in the process, incorporating the whole community
throughout the entire process, and by accounting for important community- specific
characteristics. A guide on how to complete a THIRA is available at
http://www, fema. gov /national- preparedness/plan.
A jurisdiction should apply the results of their THIRA through a capability estimation
process to determine the resources needed to deliver core capabilities to the targets set
in their THIRAs, identify what resources they currently have to meet those needs, and
determine where they currently have adequate resources and surpluses that may need
to be maintained or shortfalls that may need to be filled. Jurisdictions should examine
current capability levels through the lens of real -world incidents, assessments, and
exercises to determine whether changes to current capability levels are warranted. This
capability estimation process should consider identifying, connecting to, and
20
Appendix B - FY 2013 EMPG Program Priorities
strengthening community resources by using the expertise and capability of the whole
community; individuals, communities, the private and nonprofit sectors, faith -based
organizations, and all levels of government.
The outputs of the capability estimation process serve as the foundation for jurisdictions
to work with whole community partners to develop strategies to reduce resource
requirements through mitigation and protection activities, sustain current strengths in
investments where capabilities have already been built, obtain required resources from
whole community partners or borrow resources through mutual aid to bridge shortfalls,
and build new capabilities through grants and investments. A jurisdiction should
consider all resources available to it, including local and State appropriations, bond
initiatives, mutual aid, and Federal grants, as appropriate, to support building and
sustaining capabilities.
Data from the State hazard mitigation plan, fusions centers, and other sources of threat
and risk data should be considered when developing a THIRA, conducting a capability
estimation process, and developing a strategic plan. Ultimately, a jurisdiction may find
that it can address capability needs through existing or new mutual aid agreements with
neighboring communities or fill shortfalls through the private sector or other means in
order to build and sustain capabilities.
Risk - informed planning, such as that based on the THIRA output is consistent with and
expands on nationally accepted emergency management standards, which have long
required using risk assessments, such as hazard mitigation plans, as the basis for
planning across the mission areas. A continuous cycle of identifying and assessing risk,
estimating capabilities, implementing strategic plans, and incorporating the results into
future THIRAs allows a jurisdiction to identify and understand changes to its risk
landscape. It also provides the means to communicate and educate individuals,
families, businesses, organizations, community leaders, and senior officials on the risks
facing a community and the required capabilities to address them. Grantees must also
ensure that regional plans (e.g., emergency operations plans, local /regional /State
catastrophic plans, etc.) incorporate the desired outcomes and capability targets from
the THIRA in order to address the roles, responsibilities, strategies and procedures
necessary to deliver the core capabilities, and achieve secure and resilient
communities.
The primary grantee of EMPG Program funds is responsible for sharing the results from
their State and Urban Area's THIRA, which informs and supports the SPR, with their
FEMA Federal Preparedness Coordinator (FPC).
Updates to the THIRA guidance are under development based on feedback and
experiences gained from the 2012 THIRA submittals. An updated version of the
guidance, reflecting that feedback, and guidance on the capability estimation process,
will be available in the near future to guide development of 2013 THIRAs.
Strengthening Governance Integration
21
Appendix B - FY 2013 EMPG Program Priorities
DHS 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 requires that all governance processes that guide the allocation of preparedness
grant funds adhere to the following guiding principles:
• Prioritization of Investments — resources must be allocated to address the most
critical capability needs.
• Transparency— stakeholders must be provided visibility on how preparedness
grant funds are allocated and distributed, and for what purpose.
• Substantive Local Involvement— the tools and processes that are used to inform
the critical priorities which DHS grants support must include local government
representatives. At the State and regional level, local risk assessments must be
included in the overarching analysis to ensure that all threats and hazards are
accounted for.
• Flexibility with Accountability — recognition of unique preparedness gaps at the
local level, as well as maintaining and sustaining existing capabilities.
• Support of Regional Coordination — recognition of inter /intra -State partnerships
and dependencies at the State and regional level, and within metropolitan areas.
Reporting on Program Priorities
Whole Community Approach to Security and Emergency Management Priority
Objectives and Performance Measures
To address this priority, five objectives have been identified and each is given a
performance measure and associated reporting requirement to determine how effective
grantees are in utilizing EMPG Program funding to prepare for all hazards and advance
a whole community approach. With these measures, grantees must evaluate their
progress toward achieving the stated objective in the Quarterly Performance Progress
Report and in compliance with the below reporting requirements.
Objective One: update of Threat and Hazard Identification and Risk Assessments
(THIRAs). THIRA processes at all levels of government establish a defensible and
rational foundation to guide preparedness activities and investments. In order to qualify
for EMPG Program funding, all grantees shall develop and maintain a THIRA which
informs and supports the SPR.
Measurement Methods
22
Appendix B - FY 2013 EMPG Program Priorities
• Percentage of THIRAs and SPR that meet current DHS guidance.
Reporting
States are required to submit an annual update to their THIRA. States will
submit their THIRA update to their respective FEMA Region as part of their SPR.
THIRA submissions shall be in alignment with CPG 201. State submissions of
the updated THIRA, and State submissions of the SPR, are due no later than
December 31, 2013.
Objective Two: Planning — including strategic planning for sustaining and
building capabilities, and planning to deliver capabilities.
CPG 101 v.2, helps planners at all levels of government in their efforts to develop and
maintain viable all threats and hazards EOPs by engaging the whole community in
thinking through the life cycle of a potential crisis, determining required capabilities that
support the NPG, and establishing a framework for roles and responsibilities. All
EMPG Program grantees shall maintain, or revise as necessary, jurisdiction wide all
threats and hazards emergency operations plans consistent with the CPG 101 v.2
which serves as the foundation for State, local, tribal, and territory emergency planning.
CPG 101 v.2 can be found at http: / /www.fema.gov /national- preparedness /plan.
Grantees must update their EOP at least once every two years. A Plan Analysis Tool to
describe progress towards aligning with CPG 101 v.2 is published and available at
http: / /www. fema. oov /national- preparednesslplan.
In building future EOPs, planners should anticipate the increasing complexity and
decreasing predictability of the future operating environment. These efforts should
actively use strategic foresight, including the multiple driving forces of change and the
associated evolving strategic needs shown in FEMA's Crisis Response and Disaster
Resilience 2030 Report. The Report can be found at http://www.fema.aov/stratepic-
planning -anal ysis- spa- division /strategic - foresight- initiative.
Measurement Method
Grantees will report progress toward aligning their EOP with CPG 101 v.2 by
completing the Plan Analysis Too/ CPG 101 v.2 available at
http:/ /www. fema. go v /plan.
Reporting
Grantees are required to submit a Plan Analysis Tool annually that describes the
percentage of completion of the CPG 101 v.2 alignment.
The most recent Plan Analysis Too/ must be submitted as part of the summer
reporting period as an attachment in ND Grants throughout the period of
performance of the award.
23
Appendix B - FY 2013 EMPG Program Priorities
Grantees must submit a copy of their existing EOP to their respective Regional
Program Manager.
Objective Three: Sustaining Capabilities. EMPG Program grantees should ensure
that grant funding is utilized to sustain critical core capabilities within the NPG that were
funded by past EMPG Program funding cycles to include training of personnel and
lifecycle replacement of equipment. New capabilities should not be built at the expense
of maintaining current and critically needed core capabilities. If new core capabilities
are being built utilizing EMPG Program funding, grantees must ensure that the
capabilities are able to be deployable outside of their community to support regional and
national efforts or otherwise shareable with regional partners. All capabilities being built
or sustained must have a clear linkage to one or more core capabilities in the NPG.
Measurement Method
• Percentage of funding, on a project -by- project basis that supports the
maintenance and sustainment of the NPG's core capabilities.
Reporting
As part of programmatic monitoring grantees will be required to describe how
expenditures first support maintenance and sustainment of current NPG core
capabilities within the BSIR. EMPG Program grantees will, on a project -by-
project basis, check one of the following:
• Sustaining or maintaining a capability acquired with Federal
homeland security funding;
• Sustaining or maintaining a capability acquired without Federal
homeland security funding; or
Developing or acquiring a new core capability
Objective Four: Develop and Maintain Multi -Year Training and Exercise Plan
(TEP).
The Multi -Year TEP provides a roadmap to accomplish the multi -year priorities identified
by elected and appointed officials and whole community stakeholders. These priorities
(see also Objective five) help curriculum and exercise planners design and develop a
progressive program of training and exercises that build, sustain, and deliver core
capabilities. States and Urban Areas are required to conduct an annual Training and
Exercise Plan Workshop (TEPW). The purpose of the TEPW is to use the guidance
provided by elected and appointed officials to identify and set training and exercise
program priorities and develop a multi -year schedule of exercise events and supporting
training activities (as delineated in objective five) to meet those priorities. Following the
TEPW, all grantees and sub - grantees are required to develop a Multi -Year TEP that
incorporate linkages to the NPG core capabilities and update it annually. The TEP shall
be submitted to hseep@dhs.gov and the FEMA Regional Exercise Officer; States are
encouraged to post their schedules to the National Exercise Scheduling System (NEXS)
at https://hseep.dhs._qovlDHS SSO / ?RetumUr1= %2fhseep em %2fT6o1kitHome.as13x.
24
Appendix B - FY 2013 EMPG Program Priorities
All EMPG Program grantees will develop and maintain a progressive exercise program
consistent with the National Exercise Program base plan, to include no less than four
quarterly exercises (i.e., one exercise per quarter) of any type (e.g., Drills, Tabletop
Exercises, Functional), and one full -scale exercise within a 12 -month period (a total of
five exercises per year). In addition, all EMPG Program funded personnel shall
participate in no fewer than three exercises in a 12 -month period. An AAR/IP shall be
completed for each exercise and submitted to hseep(a)dhs.gov.
If a State /territory/local jurisdiction has experienced a major disaster, and would like to
request exemptions for a scheduled exercise, the grantee should send this request to its
assigned FEMA Regional Program Manager through the quarterly EMPG Program
report. Exemptions will be reviewed on a case -by -case basis by the Regional Grant
Manager.
Measurement Method
Percent completion in a progressive exercise series of four quarterly exercises
and one full -scale exercise in a 12 month period (to include response to any real-
world events)
Percent completion of EMPG Program funded personnel participation in no fewer
than three exercises within a 12 month period
Submission of an AAR/IP for each of the four quarterly exercises and one full -
scale exercise that includes a list of corrective actions and lessons learned
Grantees must report quarterly in the Quarterly Performance Progress Report the
percent completion of the progressive exercise series to include percent
completion of personnel participation
Grantees must submit AAR/IPs for each of the four quarterly exercises and one
full -scale exercise to include corrective actions in the Quarterly Performance
Progress Report.
Objective Five: Target Training and Verify Capability of Personnel,
Training activities supported with EMPG Program funds should strategically align to the
priorities and NPG core capabilities identified in the Multi -Year TEP. In addition to
training activities aligned to TEP priorities and addressed in the TEP, all EMPG
Program funded personnel shall complete the following training requirements and
record proof of completion: NIMS Training, IS 100, IS 200, IS 700, and IS 800, and
other Independent Study courses identified in FEMA Professional Development Series.
Previous versions of the IS courses meet the NIMS training requirement. A complete
list of Independent Study Program Courses may be found at http://training.fema.gov /is.
25
Appendix B - FY 2013 EMPG Program Priorities
Measurement Method
Submission of an updated Multi -Year TEP to address the above requirements
(see https: / /hseep.dhs.gov)
Percent of EMPG Program funded personnel completing the required courses
listed above
In each year of the period of performance of the award grantees are required to
share with their respective Regional Program Manager a TEP that includes a
progressive exercise plan and schedule and a plan for training personnel. The
Regional Program Manager shall confer the TEP with the Regional Exercise
Officer. Information related to TEPs and TEPWs can be found on the HSEEP
website at https: / /hseep.dhs.gov.
Submission of a list of EMPG Program funded personnel along with the training
completed to be included in the Quarterly Performance Progress Report.
Quarterly reporting of implementation of TEP, including percent addressed in the
FY 2012 EMPG Program Work Plan Exercise Data Table Template in Appendix
D - FY 2012 EMPG Program Work Plan.
Standardized Reporting through the Work Plan Template
The Work Plan Template has been modified to standardize data collection for improved
analysis and reporting. The Work Plan Template includes four components: a
Personnel Data Table, a Training Data Table, an Exercise Data Table, and a Grant
Activities Outline. The Personnel Data Table and the Grant Activities Outline will form
the basis of the Quarterly Performance Progress Report. 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. Quarterly training and exercise activities will be reported in the Grant
Activities Outline under EMF number 13 and number 14.
26
Appendix B - FY 2013 EMPG Program Priorities
Appendix C — Funding Guidelines
EMPG Program recipients and sub - recipients may only use EMPG Program funds for
the purpose set forth in the grant, and must be consistent with the statutory authority for
the award. Grant funds must support the development or sustainment of core
capabilities identified in the NPG. Grant funds may not be used for matching funds for
other Federal grants /cooperative agreements, lobbying, or intervention in Federal
regulatory or adjudicatory proceedings. In addition, Federal funds may not be used to
sue the Federal government or any other government entity.
Funding Information
Program funds are allocated according to 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 will receive a base amount of 0.75 percent of the
total available grant funding. Four territories (American Samoa, Guam, Northern
Mariana Islands, and the U.S. Virgin Islands) will receive a base amount of 0.25 percent
of the total available grant funding. The balance of EMPG Program funds is distributed
on a population -share basis. Pursuant to Title 11 of the Compact of Free Association
Amendments Act of 2003 (Public Law 108 -188), funds are also available for the
Federated States of Micronesia and for the Republic of the Marshall Islands.
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 2013 EMPG Program funds.
Either the SAA or the State's EMA are eligible to apply directly to FEMA for EMPG
Program funds on behalf of State and local emergency management agencies, however
only one application will be accepted from each State or territory.
The EMPG Program Requires a Cost Match
The Federal share that is used towards the EMPG Program funds shall not exceed 50
percent of the total budget. The State must cost match (cash or in -kind) the Federal
contribution according to the Robert T. Stafford Disaster Relief and Emergency
Assistance Act (Public Law 93 -288), as amended, 42 U.S.C. 5121 -5207, specifically,
Title VI, sections 611(j) and 613. Unless otherwise authorized by law, Federal funds
cannot be matched with other Federal funds.
FEMA administers cost matching requirements in accordance with 44 CFR §13.24
which is located at http.// www. access.apo.gov /nara/cfr/waisidx 07 144cfrvl 07.html or 2
CFR §215.23 which is located at
http:// www. access.gpo.gov /nara/cfr/waisidx 07 12cfrvl 07.html. To meet matching
requirements, the grantee contributions must be 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
27
Appendix C — Funding Guidelines
the insular areas: the U.S. territories of American Samoa, Guam, the U.S. Virgin
Islands, the Federated States of Micronesia, and the Republic of the Marshall Islands.
Allowable Costs
Management and Administration
M&A activities are those defined as directly relating to the management and
administration of EMPG Program funds, such as financial management and monitoring.
It should be noted that salaries of State and local emergency managers are not typically
categorized as M &A, unless the State or local EMA chooses to assign personnel to
specific M &A activities.
If the SAA is not the EMA, the SAA is not eligible to retain funds for M &A. M &A costs
are allowable for both State and local -level EMAs. The State EMA may use up to five
percent (5 %) 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 only if the applicant has an approved indirect cost rate with
the cognizant Federal agency. 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. Indirect costs will be evaluated as part of the application for Federal
funds to determine if allowable and reasonable.
Planning
Planning spans across all five NPG mission areas and provides a baseline for
determining potential threats and hazards, required capabilities, required resources, and
establishes a framework for roles and responsibilities. Planning provides a methodical
way to engage the whole community in the development of a strategic, operational,
and /or community -based approach to preparedness.
EMPG Program funds may be used to develop or enhance upon emergency
management planning activities, some examples include:
Development of THIRA that is representative of the jurisdiction
Development of an all- hazards mitigation plan based on identified risks and
hazards
Emergency Management/Operation Plans
• Maintaining a current EOP that is aligned with guidelines set out in CPG 101v.2
htt .- #Www.fema.gov /national- preparedness /plan.
• Modifying existing incident management and emergency operations plans
• Developing /enhancing comprehensive emergency management plans
• Developing /enhancing large -scale and catastrophic event incident plans
28
Appendix C — Funding Guidelines
Communications Plans
Developing and updating Statewide Communication Interoperability Plans
Developing and updating Tactical Interoperability Communications Plans
Continuity /Administrative Plans
• Developing /enhancing Continuity of Operation (COOP) /Continuity of Government
(COG) plans
• Developing /enhancing financial and administrative procedures for use before,
during, and after disaster events in support of a comprehensive emergency
management program
Whole Community engagement/planning
• Developing /enhancing emergency operations plans to integrate citizen /volunteer
and other non- governmental organization resources and participation
• Engaging the "Whole Community" in security and emergency management is
critical to achieving the NPG
• Public education and awareness on emergency management and preparedness
• Planning to foster public - private sector partnerships
Development or enhancement of mutual aid agreements /compacts, including
required membership in EMAC
Resource management planning
• Developing /enhancing logistics and resource management plans
• Developinglenhancing volunteer and /or donations management plans
• Acquisition of critical emergency supplies defined as: shelf stable food products,
Water, and /or basic medical supplies. Acquisition of critical emergency supplies
requires each State to have FEMA's approval of a viable inventory management
plan; an effective distribution strategy; sustainment costs for such an effort; and
logistics expertise to avoid situations where funds are wasted because supplies
are rendered ineffective due to lack of planning.
Supply preparation
Evacuation planning
O Developing /enhancing evacuation plans, including plans for: alerts /warning, crisis
communications, pre - positioning of equipment for areas potentially impacted by
mass evacuations sheltering, and re -entry.
Pre - disaster and post- disaster Recovery planning
• Disaster housing planning, such as creating /supporting a State disaster housing
task force and developing /enhancing State disaster housing plans
• Pre -event response /recovery/mitigation plans in coordination with State, local,
and tribal governments
• Developing /enhancing other response and recovery plans
24
Appendix C — Funding Guidelines
Develop recovery plans and preparedness programs consistent with the
principles and guidance in the NDRF that will provide the foundation for recovery
programs and whole- community partnerships. Preparedness and pre- disaster
planning was given special attention within the NDRF with specific guidance:
Planning for a Successful Disaster Recovery (pages 63 -70). For more
information on the NDRF see
http:// www. fema. gov/poffIrecoveryframework/ndrf. pdf.
F /ERO Credentialing and Validation:
• Working group meetings and conferences relating to emergency responder
credentialing and validation
• Compiling data to enter into an emergency responder repository
• Coordinating with other State, local, territorial, and tribal partners to ensure
interoperability among existing and planned credentialing and validation systems
and equipment
• Planning to incorporate emergency responder identity and credential validation
into training and exercises.
Continuity of Operations / Continuity of Government Planning (COOP /COG) Grant
Funding Opportunity
COOP /COG planning is the fundamental responsibility of every government agency that
performs an essential function at the State and local level. In order to conduct
necessary emergency operations, recovery actions, and other key essential functions
during a large -scale or catastrophic event, the agency must have effective Continuity
plans in place to support continued operations. Continuity efforts also provide the
foundational basis for COG programs, such as succession planning, which are
designed to ensure the survival of not only leadership at the State and local level, but
also an enduring constitutional government. State and local plans to address
COOP /COG issues should be consistent with the Nations Continuity Policy described in
Homeland Security Presidential Directive 20 (HSPD -20); the National Continuity Policy
Implementation Plan (NCPIP); and Continuity Guidance Circular's 1 (CGC 1) and 2
(CGC 2), which provides guidance for State, local, territorial, and tribal governments,
and private sector organizations in developing robust Continuity plans and programs in
support of a comprehensive and integrated national continuity capability. Continuity
issues to address include, but are not limited to:
Determine essential functions and activities, interdependencies, and resources
needed to perform them
Establish orders of succession and delegations of authority to key
agency positions and establish and maintain current roster(s) of fully equipped
and trained COOP personnel with the authority to perform essential functions
Provide for the identification and preparation of alternate operating facilities for
relocated operations
30
Appendix C — Funding Guidelines
Provide for the regular training, testing, and exercising of COOP
personnel, systems, and facilities
Provide for reconstitution of agency capabilities, and transition from continuity
operations to normal operations
Organization
Per the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended,
42 U.S.C. 5121 -5207, EMPG Program funds may be used for all- hazards emergency
management operations, staffing, and other day -to -day activities in support of
emergency management, including hazard mitigation staffing of the State Hazard
Mitigation Officer (SHMO) position; performing close out activities on FEMA Disaster
Assistance grants; 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 outlined in the EMPG Program
Work Plan. To ensure adequate resources are dedicated to the critical components of
preparedness, grantees are encouraged to fund at least one dedicated Planner,
Training Officer, and Exercise Officer.
Personnel costs, including salary, overtime, compensatory time off, and associated
fringe benefits, are allowable costs with EMPG Program funds. These costs must
comply with 2 CFR Part §225, Cost Principles for State, Local, and Indian Tribal
Governments (Office of Management and Budget [OMB] Circular A-87).
Equipment
Allowable equipment categories for the EMPG Program are listed on the web -based
version of the Authorized Equipment List (AEL) on the Responder Knowledge Base
(RKB), which is sponsored by FEMA at http: / /www.rkb.us. 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.
The select allowable equipment includes equipment from the following AEL categories
• 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)
31
Appendix C — Funding Guidelines
In addition to the above, general purpose vehicles are allowed to be procured in order to
carry out the responsibilities of the EMPG Program. If State agencies and /or local
governments have questions concerning the eligibility of equipment not specifically
addressed in the AEL, they should contact their FEMA Regional Program Manager for
clarification.
Training
EMPG Program funds may be used for a range of emergency management - related
training activities to enhance the capabilities of State and local emergency management
personnel through the establishment, support, conduct, and attendance of training.
Training activities should align to a current, Multi -Year TEP developed through an
annual TEPW. Further guidance concerning the Training and Exercise Plan and the
Training and Exercise Plan Workshop can be found at https: / /hseep.dhs.gov. 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 EMPG
Program funded personnel shall participate in no less than three exercises in a 12
month period and should complete the following training requirements and record proof
of completion.
EMPG Program funds used for training should support the nationwide implementation of
NIMS. The NIMS Training Program establishes a national curriculum for NIMS and
provides information on NIMS courses; grantees are encouraged to place emphasis on
the core competencies as defined in the NIMS Training Program. The NIMS Training
Program can be found at
http:// www. femaUov/pdf/emergency/nims/nims training program.pdf.
The NIMS Guideline for Credentialing of Personnel provides guidance on the national
credentialing standards. The NIMS Guidelines for Credentialing can be found at
http:// www .fema.00v/pdf/emergenc&ims/nims cred guidelines report.pdf.
To ensure the professional development of the emergency management workforce, the
grantee must ensure a routine capabilities assessment is accomplished and a multi-
year training plan is developed and implemented.
Additional types of training include, but are not limited to, the following:
• Developing /enhancing systems to monitor training programs
• Conducting all hazards emergency management training
• Attending Emergency Management Institute (EMI) training or delivering EMI
train -the- trainer courses
• Attending other FEMA- approved emergency management training
• Mass evacuation training at local, State, and tribal levels
32
Appendix C — Funding Guidelines
Allowable training - related costs include the following:
Funds Used to Develop, Deliver, and Evaluate Training. Includes costs
related to administering the training: planning, scheduling, facilities, materials and
supplies, reproduction of materials, and equipment. Training should provide the
opportunity to demonstrate and validate skills learned, as well as to identify any
gaps in these skills. Any training or training gaps, including those for children
and individuals with disabilities or access and functional needs, should be
identified in the AAR/IP and addressed in the training cycle. States are
encouraged to use existing training rather than developing new courses. When
developing new courses States are encouraged to apply the Analysis Design
Development and Implementation Evaluation (ADDIS) model for instruction
design.
Overtime and Backfill. The entire amount of overtime costs, including
payments related to backfilling personnel, which are the direct result of
attendance at FEMA and /or approved training courses and programs are
allowable. These costs are allowed only to the extent the payment for such
services is in accordance with the policies of the State or unit(s) of local
government and has the approval of the State or the awarding agency,
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
approved training.
Hiring of Full or Part-Time Staff or Contractors /Consultants. Full- or part-
time staff 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 awarding
agency, 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.
Exercises
Exercises implemented with grant funds should evaluate performance of the capabilities
required to achieve exercise objectives. Exercise activities should align to a current,
Multi -Year TEP developed through an annual TEPW. Further guidance concerning the
TEP and the TEPW can be found at https://hseel).dhs.gov. Grantees are encouraged
to develop exercises that test their EOP in accordance with the EMPG Program Priority
requirements.
33
Appendix C — Funding Guidelines
Allowable exercise - related costs include:
• Funds Used to Design, Develop, Conduct and Evaluate an Exercise. This
includes costs related to planning, meeting space and other meeting costs,
facilitation costs, materials and supplies, travel, and documentation. Grantees
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. Any exercise or exercise gaps, including those for children
and individuals with disabilities or access and functional needs, should be
identified in the AAR/IP and addressed in the exercise cycle.
• Hiring of Full or Part -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 the awarding agency,
whichever is applicable. The services of contractors /consultants may also be
procured to support the design, development, conduct and evaluation of
exercises.
• Overtime and Backfill. The entire amount of overtime costs, including
payments related to backfilling personnel, which are the direct result of time
spent on the design, development and conduct of exercises are allowable
expenses. These costs are allowed only to the extent the payment for such
services is in accordance with the policies of the State or unit(s) of local
government and has the approval of the State or the awarding agency,
whichever is applicable. In no case is dual compensation allowable. That is, an
employee of a unit of government may not receive compensation from their unit
or agency of government AND from an award for a single period of time (e.g.,
1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities.
• Travel. Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as
expenses by employees who are on travel status for official business related to
the planning and conduct of the exercise activities
• Supplies. Supplies are items that are expended or consumed during the course
of the planning and conduct of the exercise activities (e.g., gloves, non - sterile
masks, and disposable protective equipment)
• Implementation of HSEEP. This refers to costs related to developing and
maintaining a self- sustaining State HSEEP which is modeled after the national
HSEEP
• Other Items. These costs are limited to items consumed in direct support of
exercise activities such as the rental of space /locations for planning and
conducting an exercise, rental of equipment, and the procurement of other
essential nondurable goods. Grantees are encouraged to use free public
space /locations, whenever available, prior to the rental of space /locations. Costs
associated with inclusive practices and the provision of reasonable
accommodations and modifications that facilitate full access for children and
34
Appendix C — Funding Guidelines
adults with disabilities.
Unauthorized exercise - related costs include:
Reimbursement for the maintenance and /or wear and tear costs of general use
vehicles (e.g., construction vehicles) and emergency response apparatus (e.g.,
fire trucks, ambulances). The only vehicle costs that are reimbursable are
fuel /gasoline or mileage.
Equipment that is purchased for permanent installation and /or use, beyond the
scope of exercise conduct (e.g., electronic messaging signs)
Durable and non - durable goods purchased for installation and /or use beyond the
scope of exercise conduct
Construction and Renovation
Construction and renovation projects for a State, local, territorial, or tribal government's
principal Emergency Operations Center (EOC) as defined by the SAA are allowable
under the EMPG Program.
Written approval must be provided by FEMA prior to the use of any EMPG Program
funds for construction or renovation. Requests for EMPG Program funds for
construction of an EOC must be accompanied by an EOC Investment Justification
(FEMA Form 089- 0 -0 -3; OMB Control Number; 1660 -0124 (available through ND
grants) to their Grant Program Manager for review. Additionally, grantees are required
to submit a SF -424C Budget and Budget detail citing the project costs.
When applying for funds to construct communication towers, grantees and sub - grantees
must submit evidence that the 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. Grantees and sub - grantees 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 grantee believes an Environmental Assessment (EA) may be needed, as defined in
44 CFR 10.8 and 10.9, must also be identified to the FEMA Program Analyst 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 gpdehpinfot7a fema.gov.
EMPG Program grantees 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 employed directly at
the work -site no less than the prevailing wages and fringe benefits paid on projects of a
similar character. Additional information, including Department of Labor (DOL) wage
35
Appendix C — Funding Guidelines
determinations, is available from the following website:
http.-Ilwww.dol.govlcompliancellawslcomp-dbra.htm.
Maintenance and Sustainment
The use of FEMA preparedness grant funds for maintenance contracts, warranties,
repair or replacement costs, upgrades, and user fees are allowable under all active and
future grant awards, unless otherwise noted.
EMPG Program grant funds are intended to support the NPG and fund activities and
projects that build and sustain the capabilities necessary to prevent, protect against,
mitigate the effects of, respond to, and recover from those threats that pose the greatest
risk to the security of the Nation. In order to provide grantees the ability to meet this
objective, the policy set forth in GPD's IB 379 (Guidance to State Administrative
Agencies to Expedite the Expenditure of Certain DHS /FEMA Grant Funding) allows for
the expansion of eligible maintenance and sustainment costs which must be in 1) direct
support of existing capabilities; (2) must be an otherwise allowable expenditure under
the applicable grant program; (3) be tied to one of the core capabilities in the five
mission areas contained within the National preparedness Goal, and (4) shareable
through the Emergency Management Assistance Compact. Additionally, eligible costs
must also be in support of equipment, training, and critical resources that have
previously been purchased with either Federal grant or any other source of funding
other than DHS /FEMA preparedness grant program dollars.
Unallowable Costs
Expenditures for weapons systems and ammunition
Costs to support the hiring of sworn public safety officers for the purposes of
fulfilling traditional public safety duties or to supplant traditional public safety
positions and responsibilities
Activities and projects unrelated to the completion and implementation of the
EMPG Program
In general, grantees should consult with their FEMA Regional Program Manager prior to
making any Investment that does not clearly meet the allowable expense criteria
established in this Guidance.
36
Appendix C — Funding Guidelines
Appendix D — FY 2013 EMPG Program Work Plan
Work Plan Instructions
All EMPG Program applicants are encouraged to use the template to submit a required
Work Plan that outlines the State's emergency management sustainment and
enhancement efforts, including new and ongoing activities and projects, proposed for
the EMPG Program period of performance. The Work Plan consists of a Program and
Budget Narrative, Personnel Data Table, Training Data Table, Exercise Data Table, and
Grant Activities Outline. FEMA regional offices will work closely with States to monitor
Work Plans during the performance period and may request further documentation from
the grantee to clarify the projected work plan. In addition, FEMA regional offices must
approve final Work Plans before States may draw down EMPG Program funds. Grant
funds will be released on a rolling basis upon approval of the State's final Work Plan.
Program and Budget Narrative
Provide a brief description of the State emergency management priorities and
initiatives that will be addressed with EMPG Program funds. In addition, the
narrative should address, if applicable, the following:
• Overview of the State's risk profile such as resulting from a THIRA
• Areas of need identified through assessment processes such as the State
Preparedness Report, Emergency Management Accreditation Program
Assessment Process, National Emergency Communications Plan Goal
Assessments, or other Emergency Management assessment processes
• Baseline inventory of where States are now relative to goals and objectives
identified in relevant strategic plans per CPG 101 v.2 Plan Analysis Support
Tool (PAST)
• State emergency management priorities and planning focus for current
budget year (including linkage to the core capabilities identified in the NPG)
Personnel Data Table
To facilitate consistent data reporting and performance measures collection, a
Personnel Data Table should be completed for personnel supported with EMPG
Program funds. The data requested will assist in documenting the extent to which
EMPG Program funding contributes to enhancing or sustaining emergency
management capacity in terms of personnel support at the State level. This
template will serve as the first component of the Quarterly Performance Progress
Report.
37
Appendix D — FY 2013 EMPG Program Work Plan
Personnel Data Table Template
Personnel Metrics
Data
All EMPG Program funds (Federal and match) allocated towards State
emergency management personnel
Funds allocated towards State contractors
Non -EMPG Program funds allocated towards State emergency management
personnel
Total Number of State emergency management full -time equivalent (FTE)
personnel (including those supported and not supported by the EMPG Program)
Number of State emergency management full -time equivalent (FTE) personnel
supported by the EMPG Program
Training Data Table
To facilitate consistent data reporting and performance measures collection, a
Training Data Table should be completed for training sessions funded with EMPG
Program funds. The data requested will be used to assess the strategic allocation
of training funds according to long -term core capability development. Grantees are
encouraged to list the name of the training course, total the number of personnel
trained, number of EMPG Program supported personnel trained and whether the
funded training is aligned to the State's Multi -Year TER Grantees should report
quarterly completion of planned training activities in the Grant Activities Outline
using EMF #13 ( "Training "), and the number of personnel trained should be
included in the "Comments' section. All EMPG Program funded personnel shall
participate in no less than three exercises, have completed the listed training
requirements, and record proof of completion.
38
Appendix D — FY 2013 EMPG Program Work Plan
Training Data Table Template
Exercise Data Table
To facilitate consistent data reporting and performance measures collection, an
Exercise Data Table should be completed for exercises conducted using EMPG
Program funds. The data requested will be used to assess the extent to which
funded exercises test jurisdiction- specific capability requirements. Grantees are
encouraged to list the number of discussion -based exercises funded by type, the
number of operations -based exercises funded by type, the name or description of
each exercise, and whether the exercise tests the Emergency Operations Plan.
Grantees should report quarterly completion of planned exercise activities in the
Grant Activities Outline using EMF #14 ( "Exercises, Evaluations and Corrective
Actions "), and the number of exercises completed should be included in the
"Comments" section. The table on the following page should be used to document
progress toward EMPG Program Priority requirements.
39
Appendix D — FY 2013 EMPG Program Work Plan
Training Aligned
Number of EMPG
to Multi -Year
Number of
Number of EMPG
Program
Training and
Name of Training
Personnel Trained
Program funded
supported
Exercise Plan and
personnel
Personnel Trained
NPG Core
Capabilities?
(Yes/No)
Exercise Data Table
To facilitate consistent data reporting and performance measures collection, an
Exercise Data Table should be completed for exercises conducted using EMPG
Program funds. The data requested will be used to assess the extent to which
funded exercises test jurisdiction- specific capability requirements. Grantees are
encouraged to list the number of discussion -based exercises funded by type, the
number of operations -based exercises funded by type, the name or description of
each exercise, and whether the exercise tests the Emergency Operations Plan.
Grantees should report quarterly completion of planned exercise activities in the
Grant Activities Outline using EMF #14 ( "Exercises, Evaluations and Corrective
Actions "), and the number of exercises completed should be included in the
"Comments" section. The table on the following page should be used to document
progress toward EMPG Program Priority requirements.
39
Appendix D — FY 2013 EMPG Program Work Plan
Exercise Data Table Template
40
Appendix D — FY 2013 EMPG Program Work Plan
Number of
Exercise
Exercises - No
Number C
Number of
Number of EMPG
Aligned to
less than four
Counting
EMPG
-
Program Funded
Name or
Emergency
quarterly
.Towards
Program
Personnel
Description `,
Operations
exercises (i.e.,
Multi -Year
Funded
_Participating in
of Exercise
Plan and NPG
one exercise
Core
per quarter) of
TEP
Personnel
Exercise
Capabilities?
anytype
(Yes /No)
Discussion -Based
Seminar
• AAR complete
• Corrective
Actions identified
Workshop
• AAR complete
• Corrective
Actions identified
Tabletop Exercise
(TTX)
• AAR complete
• Corrective
Actions identified
Game
• AAR complete
• Corrective
Actions identified
Progress made towards addressing Corrective Actions. Please indicate at least the percentage progress (i.e. 25% AAR/IP in
process- 50% AAR/IP awaiting final approval to submit- 75% AAR /IP Final submitted - 100% AAR /IP actions implemented)
made towards the addressing the findings and recommendations of the AAR. Provide more details if satisfactory progress has not
been made.
Operations -Based
Drill
• AAR complete
• Corrective
Actions identified
Functional Exercise
• AAR complete
• Corrective
Actions identified
Full -Scale Exercise
• AAR complete
• Corrective
Actions identified
Progress made towards addressing Corrective Actions. Please indicate at least the percentage progress (i.e. 25% AARAP in
process- 50% AAR/IP awaiting final approval to submit- 75% AAR/IP Final submitted - 100% AAR /IP actions implemented)
made towards the addressing the findings and recommendations of the AAR. Provide more details if satisfactory progress has not
been made.
Progress made
towards completing
Multi -Year TEP
40
Appendix D — FY 2013 EMPG Program Work Plan
41
Appendix D — FY 2013 EMPG Program Work Plan
^c4
Fund Source
(Cal EMA Use Only)
B. Federal
Cal EMA # 059 -00000 FIPS # 059-00000 VS CFDA # 97.042 Grant #
2013 -0047
CALIFORNIA EMERGENCY MANAGEMENT AGENCY
F. Total
Match
GRANT AWARD FACE SHEET (Cal EMA 2 -101)
2013
The California Emergency Management Agency, hereafter designated Cal EMA, hereby makes a Grant Award of funds to the following:
area co c a
1. Grant Recipient: City of Newport Beach 1a. DUNS#
060752462
In the amount and for the purpose and duration set forth in this Grant Award.
Payment Mailing Add 3-'
2. Implementing Agency: Newport Beach Fire Department 2a. DUNS#
$26,832
3. Implementing Agency Address: 100 Civic Center Newport Beach
92656 -6915
Street City
Zip-4
4. Location of Project: Newport Beach Orange
92658 -8915
City County
ZIP +4
5. Disaster /Program Title: Emerqency Management Performance Grant 6. Performance Period: 07101/13 to 06!30/14
Grant
Year
Fund Source
A. State
B. Federal
C. Total
D. Cash
Match
E. In-Kind
Match
F. Total
Match
G. Total Project
Cost
2013
7. EMPG
area co c a
$13,416
$13,416
Payment Mailing Add 3-'
$13,416
$26,832
Select
8. Select
i 70,'T+F
,s. Date:
1 z.I,-:!. h Zj
$0
$0
Select
9. Select
$0
$0
Select
10. Select
$0
$0
Select
11. Select
$0
$0
12. TOTALS
$0
$13 416
$13,416
$13,416
$0
$13,416
uc. �orsiawl.n coat
$26,832
13. This Grant Award 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 Award Agreement, and have the approval of the
City /County Financial Officer, City Manager, County Administrator, Governing Board Chair, or other Approving Body. The Grant Recipient certifies
that all funds received pursuant to this agreement will be spent exclusively on the purposes specified in the Grant Award. The Grant Recipient
accepts this Grant Award and agrees to administer the grant project in accordance with the Grant Award as well as all applicable state and federal
laws, audit requirements, federal program guidelines, and Cal EMA policy and program guidance. The Grant Recipient further agrees that the
allocation of funds may be contingent on the enactment of the State Budget.
14. Official Authorized to Sign for Applicant/Grant Recipient:
15.
Federal Employer ID Number: 95- 6000751
Name: Scott Poster
Title:
Fire Chief
Telephone: 949- 644 -3101
FAX:
Email:
soosterolnbfd.net
area co c a
area cod? -ems
Payment Mailing Add 3-'
100 Civic Center
City:
Newport Beach Zip+ 4: 92656 -8915
Signature:
i 70,'T+F
,s. Date:
1 z.I,-:!. h Zj
(FOR Cal EMAUSE ONLY)
I hereby certify upon my personal knowledge that budgeted funds are available for the period and purposes of this expenditure stated above
Cal EMA Fiscal Officer
Grant Award Face Sheet - Cal EMA 2 -101 (Revised 1/13)
Date
Cal EMA Secretary (or designee)
Date
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Fiscal Year 2013
California Supplement to the Federal Program Funding
Opportunity Announcement; or, The State Guidance
Edmund G. Brown Jr, Governor
CALIFORNIA EMERGENCY MANAGEMENT AGENCY
Mark S. Ghilarducci, Secretary
Mike Dayton, Undersecretary
Brendan A. Murphy, Assistant Secretary
OFFICE OF GRANTS MANAGEMENT
Gina Buccieri- Harrington, Assistant Director
CRIMINAL JUSTICE /
EMERGENCY MANAGEMENT BRANCH
John Isaacson, Branch Chief
EMERGENCY MANAGEMENT GRANTS SECTION
John Thomas, Section Chief
Cheryl McCorkle, Program Specialist
Angela Ardisana, Program Specialist
Secretary's Message
I am pleased to present you with the FY 2013 Emergency Management Performance Grant - California Supplement
to the Federal Program Funding Opportunity Announcement, which will serve to expand your efforts that continue
to make California a national leader in emergency management and homeland security.
As a direct result of the collaborative efforts with our federal partners at the U.S. Department of Homeland Security
and the Federal Emergency Management Agency, we have made our communities safer and better prepared for
when a disaster strikes. To further our progress, this year's Emergency Management Performance Grant (EMPG)
Program will play an important role in the implementation of the National Preparedness System by supporting the
building, sustainment, and delivery of core capabilities essential to achieving the National Preparedness Goal of a
secure and resilient nation.
Effective July 1, 2013, the California Emergency Management Agency will be renamed the California Governor's
Office of Emergency Services (Cal OES) but will continue to enhance public safety and disaster preparedness in
California through its strong leadership, collaborative efforts, and meaningful partnerships. Although our name is
changing, our shared goal to protect lives and property by effectively preparing for, preventing, responding to, and
recovering from all threats, crimes, hazards, and emergencies, will remain unchanged.
The FY 2013 EMPG program will support efforts to build and sustain core capabilities, which requires the
combined effort of the whole community, rather than the exclusive effort of any single organization or level of
government. And the dedicated staff at Cal OES will continue to serve as a resource for you as we work together to
advance our combined efforts to benefit our communities. I encourage you to contact them for guidance and advice
throughout the duration of the grant.
Mark S. Ghiiardtteci
Secretary
Table of Contents
FEDERALPROGRAM GUIDANCE ........................................................................................ ..............................1
INFORMATIONBULLETINS ................................................................................................ ..............................1
GRANT MANAGEMENT MEMORANDUMS .......................................................................... ..............................1
PURPOSE OF THIS SUBGRANT & GUIDANCE ...................................................................... ..............................1
ELIGIBLE SUBGRANT RECIPIENTS ..................................................................................... ..............................1
PERFORMANCE PERIOD ..................................................................................................... ..............................1
MATCHREQUIREMENTS ................................................................................................... ..............................1
ALLOCATIONS AND METHODOLOGY ................................................................................. ..............................2
EXCESSFUNDS ................................................................................................................. ..............................2
SUBGRANTTIMELINES ...................................................................................................... ..............................2
WHAT'S NEW? ................................................................................................................. ..............................3
EMPGPROGRAM EMPHASIS ............................................................................................ ..............................3
APPLICANT RESPONSIBILITIES .......................................................................................... ..............................4
APPLICATIONDOCUMENTS ............................................................................................... ..............................4
OPTIONAL APPLICATION COMPONENTS ............................................................................ ..............................4
GOVERNING BODY RESOLUTION ( GBR) ........................................................................... ..............................5
ADDENDUM TO GOVERNING BODY RESOLUTION ............................................................. ..............................5
GRANT CERTIFICATIONS AND ASSURANCES ..................................................................... ..............................5
NIMSADOPTION .............................................................................................................. ..............................6
APPLICATIONDUE DATE .................................................................................................. ..............................6
APPLICATION SUBMITTAL ................................................................................................. ..............................6
MAILING ADDRESS & CONTACT INFORMATION ................................................................ ..............................6
ADDITIONALFUNDS ......................................................................................................... ..............................7
APPLICABLE LAWS & REGULATIONS ................................................................................ ..............................7
ENVIRONMENTAL PLANNING AND HISTORIC PRESERVATION (EHP) COMPLIANCE .......... ..............................7
FEDERALLY MANDATED OBJECTIVE INFORMATION ......................................................... ..............................8
OBJECTIVE FOUR: DEVELOP AND MAINTAIN MULTI -YEAR TEPS .................................... ..............................8
OBJECTIVE FIVE: TARGET TRAINING AND VERIFY CAPABILITY OF PERSONNEL .............. .............................10
SUBCONTRACTS............................................................................................................... .............................11
SYSTEM FOR AWARD MANAGEMENT ............................................................................... .............................11
UNALLOWABLECOSTS .................................................................................................... .............................11
SUPPLANTING..................................................................................................................
.............................11
ACCESSIBILITY OF RECORDS ...........................................................................................
.............................12
APPROVALOF APPLICATION ............................................................................................
.............................12
REIMBURSEMENT OF ELIGIBLE COSTS .............................................................................
.............................12
GRANT MODIFICATIONS ..................................................................................................
.............................12
PERFORMANCEREPORTS .................................................................................................
.............................13
CLOSEOUT.......................................................................................................................
.............................13
RECORDSRETENTION ......................................................................................................
.............................13
FINAL SUBGRANT REPORT ...............................................................................................
.............................13
AUDITREQUIREMENTS ....................................................................................................
.............................13
MONITORING SUBGRANT PERFORMANCE ........................................................................
.............................13
KEYDATES TO REMEMBER .............................................................................................
.............................14
GRANT - RELATED DOCUMENTS':
• FINANCIAL MANAGEMENT FORMS WORKBOOK (FMFW) - (REQUIRED)
• GOVERNING BODY RESOLUTION (GBR) & ADDENDUM TO GBR- (REQUIRED)
• GRANT CERTIFICATIONS AND ASSURANCES - (REQUIRED)
• FY2013 EMPG APPLICATION CHECKLIST - (REQUIRED)
• EXCESS FUNDS STATEMENT FORM - (OPTIONAL)
• ADDITIONAL PROJECT USING EXCESS FUNDS FORM - (OPTIONAL)
• ADDITIONAL PROJECT USING EXCESS FUNDS DETAILED BUDGET FORM - (OPTIONAL)
• HOW TO SUBMIT AN EMPG GRANT MODIFICATION - (INSTRUCTIONAL)
• HOW TO SUBMIT AN EMPG REIMBURSEMENT REQUEST - (INSTRUCTIONAL)
'All documents can be located on Cal EMA's website at: htW://www.calema.ca.aov/ EMS- HS- HazMaUPa ges /Emereency- Manaeement-
Performance- Grant - Documents. asnx.
Federal Program The U.S. Department of Homeland Security (DHS) published the Fiscal Year 2013
Guidance Emergency Management Performance Grants (EMPG) Program, Funding Opportunity
Announcement (FOA) on May 21, 2013 2.
Information DHS issues Information Bulletins that provide updates, clarification, and requirements
Bulletins throughout the life of the grant 3.
Grant Cal EMA issues Grant Management Memorandums (GMMs) that provide additional
Management information regarding EMPG funds4.
Memorandums
Purpose of this The purpose of the Fiscal Year 2013 Emergency Management Performance Grants (FYI 3
Subgrant & EMPG) is to support comprehensive emergency management at the state, tribal, and local
Guidance levels and to encourage the improvement of mitigation, preparedness, response, and recovery
capabilities for all hazards. Funds provided under the EMPG must be used to support
activities that contribute to the Operational Area's capability to prevent, prepare for, mitigate
against, respond to, and recover from emergencies and disasters, whether natural or man-
made. This California Supplement to the Federal Program Funding Opportunity
Announcement will provide the Operational Areas (OAs) with guidance and forms to apply
for, perform, and closeout the FYI EMPG subgrant. This Supplemental Guide specifies the
performance period, objectives, eligible activities, and other Subgrant related information and
requirements. This document is to supplement the U.S. Department of Homeland Security
FYI EMPG Program Funding Opportunity Announcement.
Eligible Subgrant The eligible Subgrant recipients are the 58 County Operational Areas (OAs). The Tribal
Recipients Guidance will be issued under separate cover.
( Subgrantees may contract with any other public or private organizations to perform eligible
activities on approved projects.)
Note: Cal EMA is the `grantee'; the County is the ` subgrantee'; and the County's pass
through entities are the `sub- recipients'.
Performance The performance period for FYI EMPG is July 1, 2013 through June 30, 2014.
Period Pending receipt of all valid application materials, subgrantees may request retroactive
reimbursement of approved activities and/or budgeted items to the start of the performance
period, listed above; with the exception of Equipment. Procurement of equipment shall occur
only after the OA is in grant award, and any applicable federal requirements have been met.
Match The FYI EMPG requires a dollar- for - dollar match. This can be cash or in -kind. Refer to 44
Requirements Code of Federal Regulations (CFR), Part 13.24 for specific details.
z U.S. Department of Homeland Security, FY13 EMPG Program Funding Opportunity Announcement may be viewed and downloaded at:
htto://www.fema.gov/governinent/grant/empg .
a Information Bulletins may be obtained at: httn• / /www.fema gov /grants /grant- i)rograms- directorate - information- bulletins.
4 GMMs can be located at: httt):Hwww calema ca.gov /EMS- HS- HazMat/Paees /Grant - Management- Memos.asax.
[1]
Allocations and California will subgrant a total of $15,250,001 to Operational Areas. The local allocations
Methodology were determined using a $125,000 base award, with remaining funds distributed using per
capita figures in the Department of Finance's yearly report called:
E -1: City /County Population Estimates with Annual Percent Changes
Excess Funds While developing an application, if it is determined that all allocated funds cannot be
expended by the end of the performance period and the need to return a portion of
funds to Cal EMA exists, then it will be necessary to complete the Excess Funds
Statement Form 6. These funds can then be reallocated to other OAs who have
identified one -time projects they would like to undertake; if funding is available.
Subgrant
Timelines
May 21, 2012
DHS releases announcement of FY13 EMPG
June 24, 2013
Cal EMA Application due to DHS
July 9, 11, 16, 23, 25, 30, 2013
EMPG Application Workshops
July 1, 2013
Sub grantee Performance Period Begins
July 1, 2013
FY13 EMPG California Supplement to the
Federal Program Funding Opportunity
Announcement released
August 14, 2013
OAs are to deliver completed/correct
applications to the appropriate Cal EMA Office
of Grants Management Program Specialist by
this date
September 30, 2013
DHS awards grant funds to Cal EMA
September 30, 2013
MY -TEPs due to be submitted
October 14, 2013
Performance Report due to Program Specialist for
7/1/13 — 9/30/13
October 14, 2013
Anticipated date that OAs will be notified of
application a pproval and award
January 14, 2014
Performance Report due to Program Specialist for
7/1/2013 — 12/31/2013
April 14, 2014
Performance Report due to Program Specialist for
7/1/2013 — 3/31/2014
June 30, 2014
Subgrantee performance period ends. All
subgrant activities must be completed and all
rant funds expended.
July 14, 2014
Final Performance Report due to Program
Specialist for 7/1/2013 — 6/30/2014
July 14, 2014
Final Reimbursement Request due to Program
Specialist
September 30, 2014
Cal EMA's Federal Performance Period Ends
'This report can be accessed at the following website: http / /www dof ea gov/ research /demographic /reports /estimates /e -1 /view phl2.
6 This form can be located at: http://www.calema.ca.eoN! EMS- HS- HazMat/Paizes /Emergency- Management - Performance - Grant-
Documents.asox.
[2l
What's New? • The Financial Management Forms Workbook (FMFW) will continue to be used and has
been revised and updated to be EMPG - specific for the FY13 EMPG application process,
revision requests, and reimbursement requests.
• Maintenance and Sustainment, associated with new equipment purchases, has been
expanded to allow limited flexibility regarding maintenance contracts, warranties, licenses,
and user fees that extend beyond the subgrant performance period.7
• Activities and costs previously allowed under the FYI Emergency Operations Center
(EOC) Grant Program (except for pre - approved principal EOC construction and
renovation), and the FYI l Metropolitan Medical Response System (MMRS) Grant Program
are not allowable costs under the FY13 EMPG Program.
• Cal EMA Office of Grants Management's (OGM) Emergency Management Grants Section
(EMGS) staff members are now the primary Points of Contact (POC) for all EMPG
Program "grant- related" matters.
EMPG The FY13 EMPG Program will focus on the building, sustainment, and delivery of all- hazards
Program emergency management capabilities in the following areas:
Emphasis • Planning
• Organization
• Equipment Acquisitions
• Training
• Exercises
• EOC Construction and Renovation
• Maintenance and Sustainment
The FY13 EMPG Program plays an important role in the implementation of the National
Preparedness System (NPS)s by supporting the development and sustainment of core
capabilities. Core capabilities are essential for the execution of each of the five mission areas
outlined in the National Preparedness Goal (NPG). The development and sustainment of these
core capabilities are not exclusive to any single level of government or organization, but rather
require the combined effort of the whole community. The FY13 EMPG Program supports all
core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission
areas based on allowable costs.
The Grants Program Directorate (GPD) Maintenance Policy, can be located under EMPG Reference Links at:
h�dhvww calema ca gov/ EMS- HS- IlazMat /Pages /Emergency- Management- Performance- Grant- Documents.asnx
6 The National Preparedness System can be located at: http://www.fema.gov/national-preparedness-system
[31
Applicant The applicants' responsibilities are to:
Responsibilities 1.
Submit a Financial Management Forms Workbook application, both electronic copy and
hard copy, to their Cal EMA Program Specialist by August 14, 2013 along with all other
required application components.
Note: An electronic copy of the FMFW shall be submitted for Program Specialist review
prior to submission of signed hard copy original.
2.
Comply with all certifications and assurances contained in the Grant Assurances submitted
with the FYI EMPG application. In addition, if the OA subgrants funds to other entities,
their subgrant agreements /contracts must also include these same assurances and
certifications; along with any local requirements.
3.
Prepare and submit timely Performance Reports for the duration of the performance period.
4.
Maintain financial management systems that support subgrant activities in accordance with
Title 44 CFR, Part 13.20.
5.
Submit revision requests to Cal EMA prior to incurring any associated expenditures; if
changes are required after the initial subgrant award. Further details are included, in this
guidance, under "Grant Modifications."
6.
Deobligate unexpended subgrant funds to Cal EMA after all work has been completed and
reimbursements have been disbursed.
7.
Maintain property, programmatic, and financial records in accordance with the grant record
retention requirements.
8.
Comply with the audit requirements in (OMB) Circular A -133, and Title 44 CFR, Part
13.26.
Application The application must include the following five components 9:
Documents
1.
Financial Management Forms Workbook
2.
Governing Body Resolution (GBR)
3.
Addendum to Governing Body Resolution
4.
Grant Certifications and Assurances
5.
FYI Emergency Management Performance Grants Application Checklist
Optional Excess Funds Statement Form - While developing an application, any excess funds
Application should be identified and returned to Cal EMA so that the funds can be reallocated to
Components other Operational Areas. In this case, it will be necessary to complete and submit the
Excess Funds Statement Form to your Program Specialist by the application due date.
Additional Project Using Excess Funds Form and Additional Project Using Excess Funds
Detailed Budget - These two forms are to be used for requesting additional funding; should it
become available.
'Application components can be found on the Cal EMA website on the Emergency Management Performance Grants Documents page at:
http / /www calema.ca eov/ EMS- HS- HazMat /Pages /Emereencv- Management- Performance- Grant - Documents asnx.
[4]
Governing The Governing Body Resolution (GBR) appoints agents authorized to execute any actions
Body necessary under this subgrant. GBRs can be used for up to three years as long as the majority
Resolution of the original approving Board members (three out of five) are still currently on the board. If
(GBR) past GBRs are going to be utilized for present applications, then the OA will still need to
submit a copy with their application. Universal GBRs are strongly encouraged. This refers to a
GBR that does not identify a specific grant award amount, specific grant years, and does not
identify a specific grant program by name. For the EMPG Program, if the GBR identifies
Authorized Agents by name, then the first person listed will be the person who will receive all
official written correspondence from Cal EMA. If the GBR only lists the titles, then all official
written correspondence will go to the first person listed on the Addendum to GBR.
Addendum to
Governing
Body
Resolution
Note: Changes identifying the Authorized Agent can be made if and when necessary. If the
Governing Body Resolution identifies the Authorized Agent by name, a new Resolution and
corresponding Addendum to the GBR are needed when any changes are made. If the
Governing Body Resolution indentified the Authorized Agents by position and/or title, changes
can be made by only submitting a new Addendum to the GBR. Cal EMA will not accept
signatures of an Authorized Agent's designee.
For each person or position appointed by the governing body, submit the following information
to Cal EMA, along with the Resolution, on the applicant's letterhead:
• Name
• Jurisdiction
• Title
• E -Mail Address
• Street Address, City, & Zip Code • Phone and Fax Number(s)
Grant The Grant Certifications and Assurances Form lists the requirements to which the OA will be
Certifications held accountable. OAs are required to file a new Grant Certifications and Assurances form
and Assurances with the FY13 EMPG application. Failure to comply with any of the Certifications and
Assurances may result in suspension, termination, or reduction of grant funds.
The State may suspend or terminate subgrant funding, in whole or in part, or other measures
may be imposed for any of the following reasons:
• Failing to expend funds in a timely manner consistent with the grant milestones, guidance,
and assurances
• Failing to comply with the requirements or statutory objectives of federal or state law
• Failing to make satisfactory progress toward the goals or objectives set forth in the subgrant
application
• Failing 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
• Failing to submit required reports on time
• Providing false certification in the application or other report or document
• Failing to adequately manage, monitor, or direct the grant funding activities of their
subrecipients
• Failing to submit a Reimbursement Request
Before taking action, the State will provide the subgrantee reasonable notice of intent to
impose corrective measures and will make every effort to resolve the problem informally.
[51
NIMS Adoption In accordance with the Homeland Security Presidential Directive (HSPD) -5, Management of
Domestic Incidents, the adoption of the National Incident Management System (NIMS) is a
requirement to receive federal preparedness assistance, through grants, contracts, and other
activities. The Certification and Assurances Form includes NIMS adoption for certifying
compliance. This certifies that the OA is registered with NIMS Compliance Assistance Support
Tool (NIMSCAST), working on their metrics, and has adopted NIMS.
For further details and/or assistance regarding NI.MS- related matters contact Nate Ortiz at
nate.ortizna calema.ca.gov, (916) 845 -8799; or Cindy Shipley at cynthia.shi lleey@calema.ca.gov
or (916) 845 -8753.
Application Due The application must be received by Cal EMA no later than 5:00pm on August 14, 2013.
Date
Application The completed original hard copy of the FMFW and all other application components must be
Submittal mailed with original signatures, with enough time to be received by Cal EMA's Office of
Grants Management by the Application Due Date. Signatures should be in ink. OAs will also
submit an electronic copy of the completed FMFW to their Program Specialist. All application
materials shall be received by Cal EMA's Office of Grants Management by August 14, 2013
at 5:00pm.
Note: To streamline the process, electronically submit the completed FMFW to your EMPG
Program Specialist prior to submitting a signed hard copy, in order to identify any corrections
that may need to be addressed. Work closely with your Program Specialist10 to ensure that
all application documents are complete and accurate. Further, EMPG Program Specialists
(Grant Management Staff) are available to assist in any EMPG - related matters. If the
application is received with errors or is incomplete, this will cause a delay in receiving your
award letter by October 2013. Subgramees must receive the grant award letter prior to
drawing down any grant funds.
Grant Management Staff-
Inland Region —John Thomas: iohn.thomas@calema.ca.gov, (916) 845 -8413
Southern Region — Cheryl McCorkle: chervl .mccorkle@a,calema.ca.gov, (916) 845 -8415
Coastal Region — Angela Ardisana: angela.ardisana ealema.ca.gov, (916) 845 -8383
Mailing Cal EMA
Address & Emergency Management Grants Section
Contact 3650 Schriever Avenue
Information Mather, CA 95655
(916) 845 -8413
10 Emergency Management Grants Section contact information: http: / /wvnv.calema ca.gov /EMS -HS-
I-IazMat/ Documents /EMPG/ EMPG% 20- OGM% 20Staff %20Reeional %20Assienments JT %203.1 13 docx
[6]
Additional In order to reallocate any identified excess funds, we are asking the OAs to submit one -time
Funds EMPG eligible projects that they can fully execute in a 2 -5 month period, as well as, within
the subgrant performance period. The Additional Project Usine Excess Funds Form and
Additional Project Usine Excess Funds Detailed Budget are required to be submitted if
you are interested in additional funds". If selected for funding, the applicant will be
required to submit an FMFW Modification Request and an Amendment Form that will
comprehensively integrate the approved excess funds project(s), both financially and
programmatically, into their existing, approved FMFW application. These documents need
to be submitted within 15 days of being notified; or funds may be re- directed to some other
project(s).
Applicable OAs must ensure that local and internal departments are aware of the following laws,
Laws & regulations, and guidance documents that apply to this subgrant:
Regulations
• Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended
• Office of Management and Budget (OMB) Circulars A -87, A -102,
A -133 at: http: / /www.whitehouse.gov /omb /circulars /index.html
• Title 44 Code of Federal Regulations Part 13
• California Emergency Services Act, Chapter 7 of Division 1 of Title 2 of the Government
Code — provides the legal basis for Emergency Management activities in California
• Government Code Section 8607 describes the Standardized Emergency Management System
• California Supplement to the Federal Program Funding Opportunity Announcement provided
by Cal EMA
• FY 2013 Emergency Management Performance Grants (EMPG) Funding Opportunity
Announcement (FOA), issued by the U.S. Department of Homeland Security (DHS): Federal
Emergency Management Agency (FEMA)
Environmental The Federal Emergency Management Agency (FEMA) is legally required to consider the
Planning and potential impacts of all grant- funded projects on environmental resources and historic properties.
Historic For the EMPG Program and other preparedness grant programs, this is accomplished through
Preservation FEMA's EHP review. Any project with the potential to impact natural or biological resources, or
(EHP) historic properties, or that involves Emergency Operation Center construction and renovation
cannot be initiated until FEMA has completed the required EHP compliance review.
Compliance
Subgrantees that implement projects prior to receiving EHP approval from FEMA risk de-
obligation of funds. Subgrantees who are proposing communication tower projects are
encouraged to complete their Federal Communication Commission (FCC) EHP process prior to
preparing their EHP review materials for the Grants Program Directorate (GPD), and to include
their FCC EHP materials with their submission to GPD. EMPG Program projects that involve
the installation of equipment; ground- disturbing activities; new construction, including
communication towers; or modification/renovation of existing buildings or structures must
undergo a FEMA EHP review. Furthermore, for those proposed construction or renovation
projects that are part of larger projects funded from a non -FEMA source (such as an Emergency
Operation Center that is part of a larger proposed public safety complex), a FEMA EHP review
must be completed before the larger project is initiated.
"These forms can be located at: htt_p: / /www calema ea Gov/ EMS- HS- HazMaUPages /Emergency- Management- Performance - Grant-
Documents.aspx.
[7]
Environmental For these types of projects, grantees must complete the FEMA EHP Screening Form (OMB
Planning and Number 1660 - 0115 /FEMA Form 024 -0 -01) and submit it, with all supporting documentation, to
Historic Cal EMA. Subgrantees should submit the FEMA EHP Screening Form for each project as soon
as possible upon receiving their grant award. Refer to IBs 329, 345, 356, and 371 (located at:
Preservation http: / /www.fema.izov/ ants /grant- programs- directorate - information- bulletins) for further details
(EHP) on EHP requirements. The EHP Screening Form can be downloaded at:
Compliance, http:// www.f ema. gov/ doc/ government /grant/bulletins /info329 final screening memo doex.
Continued
Forward completed EHP documents electronically to the appropriate Cal EMA Office of Grants
Management Program Specialist.
The following activities would not require the submission of the FEMA EHP Screening Form:
planning and development of policies or processes; management, administrative or personnel
actions; classroom -based training; tabletop exercises; and acquisition of mobile and portable
equipment (not involving installation).
Projects initiated after August 29, 2008, without proper EHP review will not be funded. Projects
that were initiated or completed before an EHP review was concluded, using EMPG Program
funds, will be deobligated. To avoid unnecessary delays in starting a project, subgrantees are
encouraged to pay close attention to the reporting requirements for an EHP review.
Federally
Whole Community Priority Objective and Performance Measures 12
Mandated
To address the EMPG priorities, five objectives have been identified and each is given a
Objective
performance measure and associated reporting requirement to determine how effective
Information
subgrantees are in utilizing EMPG Program funding to prepare for all hazards and advance a
whole community approach. With these measures, subgrantees must evaluate their progress
toward achieving the stated objectives in the quarterly EMPG Performance Report and in
compliance with all reporting requirements. Objective three relates to the BSIR (see
Performance Reports), four and five apply to the subgrantee; as identified below.
Obieetive Subgrantee Requirements:
Four: Develop
and Maintain 1. All subgrantees are required to develop a Multi -Year Training and Exercise Plan (TEP) that
Multi -Year incorporates linkages to the NPG core capabilities and update it annually. The Multi -Year
TEPS TEP shall encompass the period of January 1, 2014 — December 31, 2015,
2. The TEP must be submitted to the Cal EMA Exercise Division POCs and EMPG Program
Specialist by September 30, 2013.
3. All EMPG Program - funded personnel shall participate in no less than three exercises in a
12 -month period. This 12 -month period shall be the subgrant performance period of
7/1/2013 — 6/30/2014, regardless of time extensions. Response to real -world events within
the 12 -month performance period may fulfill a single exercise requirement. EMPG grant -
funded personnel are any personnel paid at any percentage with EMPG funding, including
M &A staff. There is no specific requirement for level of "participation" in the exercises; so,
observation and attendance satisfies the objective. The exercises can be of any type (e.g.,
Drills, Tabletop Exercises, or Functional Exercises) within the performance period (see
https: //hseep. dhs. goy).
2 The five Federally Mandated Objectives can be located in the FY 2013 EMPG Funding Opportunity Announcement, Appendix B -FY 2013
EMPG Program Priorities, pages 22 -26 at: httv://www.fema.gov/govemment/grant/eml)g/.
Objective 4. An After Action Report/Improvement Plan (AAR/IP) must be completed by the host of each
Four: Develop EMPG - funded exercise and submitted to hsegpa,dhs.gov, and a copy sent to your EMPG
Program Specialist within 90 days after the completion of an exercise.
and Maintain 5. Each exercise needs to be posted to the National Exercise Scheduling System (NEXS) at:
Multi -Year httos: //hseen.dhs.eov /DHS SSO / ?RetumUrl= %2fhseen em %2fToolkitHome.asox.
TEPs, 6. A summary of all collected corrective action items and the tracking of their implementation
Continued shall be reported as part of the EMPG quarterly reporting.
All subgrantees are required to submit, with their performance report, on a one -time basis, a
copy of the OA's Multi -Year TEP (i.e., the training and exercise plan calendar). Additional
information and guidance related to AAR/IPs and the National Exercise Program (NEP) Base
Plan can be found on the HSEEP website at https:Hhsepp.dhs.gov. Questions regarding HSEEP
guidance may be directed to HSEEP ,dhs.gov. For HSEEP Toolkit technical support, contact
the HSEEP helpdesk at support(@hseen.net or 877 - 612 -4357.
Subgrantees are not required to submit a TEP only if their entire EMPG funding is being used
exclusively (100 percent) for equipment purchases.
Note: TEPs shall be e- mailed to Cal EMA Exercise Division Point of Contacts (POCs), listed
below, with a copy to their EMPG Program Specialist (Grant Management Staff) no later than
September 30th each year (this gives Cal EMA enough time to roll the Operational Area TEPs
into the State's TEP). Exercise POCs are available for assistance, if needed, in any exercise -
related matters.
Inland Region — Kevin Leisher: kevin.leisher@calema.ca.gov
Southern Region —Nick Lowe: nicholas.loweQcalema.ca.gov
Coastal Region — Kevin Leisher: kevin.leishernkcalema.ca.Qov
An After Action Report/Improvement Plan (AAR/IP) must be completed by the host for each
EMPG - funded exercise and submitted to FEMA and your EMPG Program Specialist within 90
days of completion of the exercise. Please ensure the AARAP document is sent to
hseepgdhs.gov and your EMPG Program Specialist.
Note: It is acceptable to submit an Exercise Summary Report for Seminars and Workshops in
lieu of a full AAR/IP. E -mail the copies of the AAR/IPs to your EMPG Program Specialist.
A summary of all collected corrective action items and a tracking of their implementation shall
be reported as part of the EMPG quarterly reporting. FEMA encourages the use of the
Homeland Security Exercise and Evaluation Program (HSEEP).
All subgrantees will post their EMPG - funded exercises to the National Exercise Schedule
(NEXS) by creating it in the Design & Development System (DDS) portion of the Homeland
Security Exercise and Evaluation Program (HSEEP) Toolkit.
191
Obieetive Once an exercise is approved by an Exercise Administrative Authority (EAA) in the Cal EMA
Four: Develop Exercise Division, the exercise is automatically posted to the National Exercise Schedule
and Maintain (NEXS) and assigned a unique ID number. A unique ID # will be used to establish a standard
naming convention for tracking purposes. The standard naming convention will be
Multi -Year exercisename_uniqueID #. (Example: GGI2TFWorkshop_205- 104- 12 -00). Exercise Division
TEPs, staff are available for assistance with any exercise - related questions or matters.
Continued
Measurement Method:
• Percent of exercises participated by the OA's EMPG - funded personnel.
• Submission of an AAR/IP completed by the host of the EMPG - funded exercises.
Reporting:
Subgrantees must report quarterly in the EMPG performance report, the percent completed
of the exercise requirements for the EMPG- funded personnel.
Subgrantees must submit AAR/IPs for each EMPG - funded exercise, if the exercise is hosted
by the subgrantee. AAR/IPs will be completed by the host of the exercise. Participants do
not have to individually complete an AARAP.
Obieetive Training activities supported with EMPG Program funds should strategically align to the NPG
Five: Target core capability identified in the Multi -Year TEP. To ensure the development of a professional
Training and emergency management workforce all EMPG grant- funded personnel shall complete 11 training
Verify requirements and record proof of completion. EMPG grant- funded personnel are any personnel
paid at any percentage with EMPG funding. This includes M &A staff funded by EMPG
Capability of Program funds.
Personnel
National Incident Management System (NIMS ) Training:
IS 100.b Introduction to Incident Command System (ICS)
IS 200.b ICS for Single Resources and Initial Action Incident
IS 700.a National Incident Management System, An Introduction
IS 800.b National Response Framework, An Introduction
FEMA Professional Development Series:
IS 120.a Introduction to Exercises
IS 230.c
Fundamentals of Emergency Management
IS 235.b
Emergency Planning
IS 240.a
Leadership and Influence
IS 241.a
Decision Making and Problem Solving
IS 242.a
Effective Communication
IS 244.b
Developing and Managing Volunteers
The aforementioned listed courses are available on -line and at no cost from the Emergency
Management Institute (EMI) at the following links:
http://training.fema.gov/IS/NIMS.aspx & http: / /training.fema.gov /emiweb /PDS/
[ 10]
Obiective Note: The "G" course series and classroom -based equivalents can be used as an alternate to
Five: Target satisfy these training requirements. Past completion of the above courses (or qualifying
equivalent) is considered acceptable in meeting this requirement. Recorded proof of
Training and completion, such as certificates of completion, must exist and be kept on file by the subgrantee
Verify and be made available for review upon request.
Capability of
Personnel, Measurement Method:
Continued
• Submission to Cal EMA of an updated Multi -Year TEP.
• Percent of EMPG grant- funded personnel completing the previously identified 11
required training courses.
Reporting:
Subgrantees are required to share with Cal EMA a TEP that includes an exercise plan and
schedule, and a plan for training personnel. Information related to TEPs can be obtained
by consulting Cal EMA's Exercise Division POC.
• Submission of a list of EMPG grant- funded personnel along with the training completed
is to be included in the EMPG Program quarterly Performance Report.
• Reporting on the implementation of the TEP, including percent addressed is to be
included in the EMPG Program quarterly Performance Report.
Subcontracts Any time funds are given to a contractor, the local jurisdiction must ensure that the Assurances
and Certifications of this subgrant are included as part of the contractual agreement with the
contractor. The OA must monitor and ensure that the contractors are adhering to all applicable
federal and state laws. The OA must not make or permit any award (subgrant or contract) at any
tier to any party that is debarred, suspended, or otherwise excluded from, or ineligible for
participation in federal assistance programs, such as the EMPG. Subgrantees must obtain
documentation of eligibility prior to any subaward of EMPG funds and be prepared to present
supporting documentation to monitors.
System for The System for Award Management (SAM) includes information regarding entities debarred,
Award suspended, proposed for debarment, excluded or disqualified under the non - procurement
Management common rule, or otherwise declared ineligible from receiving federal contracts, certain
subcontracts, and certain federal assistance and benefits. Contractor disbarment verification can
be obtained from the following website: htlps: / /www.sam.Qov.
Unallowable • Expenditures for weapons systems and ammunition
Costs • Costs to support the hiring of sworn officers for the purposes of fulfilling traditional public
safety duties or to supplant traditional public safety positions and responsibilities
• Activities unrelated to the completion and implementation of the EMPG Program
Supplanting Grant funds must be used to supplement existing funds, not replace (supplant) funds that
have been appropriated or budgeted for the same purpose through non- federal sources. In
the event that supplanting is suspected, the subgrantee will be required to supply
documentation demonstrating or certifying that a reduction in non - federal resources
occurred for reasons other than the receipt, or expected receipt, of federal funds.
[11]
Accessibility of The federal Department of Homeland Security, the DHS Office of Inspector General, the
Records Comptroller General of the United States, Cal EMA, and any of their authorized
representatives, shall have the right of access to any books, documents, papers, or other
records which are pertinent to the subgrant, in order to make audits, monitoring reviews,
examinations, excerpts, and transcripts. The right of access is not limited to the required
retention period but shall last as long as the records are retained. Refer to Title 44 CFR,
Part 13.42 for more information about accessibility of records.
Approval of Cal EMA will notify the OA, in writing, of the approved application, award amount, and
Application performance period. Subgrantee reimbursements will not be made until all required application
components have been approved by the State.
Reimbursement The EMPG is a reimbursement grant and therefore no cash advances are permitted under the
of Eligible Costs EMPG. The EMPG funds will be disbursed on a reimbursement basis, using the FMFW.
Follow the Workbook instructions for reimbursement requests 13 and submit the signed
forms to your EMPG Program Specialist.
It can take between six to eight weeks to receive payment, after the Office of Grants
Management receives a valid and complete Reimbursement Request. It is strongly
recommended that copies of all documents adding up to the total of each reimbursement
request be retained to make verification by monitors and /or auditors easier. Cal EMA may
require submittal of these documents at any time.
Grant Post award budget, scope, and other modifications must be requested using the Cal EMA FMFW
Modifications and be signed by the subgramee's Authorized Agent. A hard copy must be submitted to
Cal EMA and approved by Cal EMA's Office of Grants Management, prior to initiating any
revised scope of work or incurring the associated expenditures.
The OAs may submit modifications to Cal EMA once per quarter during the performance
period. Failure to submit modifications and receive approval prior to expenditure could result in
a reduction or disallowance of that part of the subgrant.
Instructions on how to submit a grant modification are available at the link identified in the
footnote. 14
13 The Reimbursement instructions can be located at: http: / /www.calema.ca gov/ EMS- HS- HazMat/Pages /Emergency- Management-
Performance- Grant - Documents. asnx.
14 The Modification instructions can be located at: http: / /www.calema.ca.eov/ EMS- HS- I-IazMat/Paees /Emergency -Mana ee ment_
Performance- Grant - Documents. asnx.
[ 12]
Performance Subgrantees must prepare and submit Performance Reports to the State for the duration of the
Reports grant performance period, or until all grant activities are completed and the grant is formally
closed by Cal EMA. The report must include the progress made on identified activities, as well
as other requested information and data. Failure to submit a Performance Report could result in
subgrant reduction, termination, or suspension.
Subgrantees must also complete a Biannual Strategy Implementation Report (BSIR) using the
DHS /FEMA Grants Reporting Tool (GRT). To obtain access to the online GRT, log on to their
website at www.reportina.odp.dhs.gov. To create a new account, follow the instructions that
read, "If you need to register for an account, please click here." For additional assistance with
the GRT, contact: Gina Joaquin at gma.joaquin@calema.ca.gov or (916) 845 -8647.
Closeout The State will close a subgrantee award after:
Receiving a subgrantee Performance Report indicating that all approved work has been
completed, and all funds have been disbursed
Completing a review to confirm the accuracy of reported information
Reconciling actual costs to awards, Modifications, and payments
If the closeout review and reconciliation indicates that the subgrantee:
• Is owed additional funds, the State will send the final payment automatically to the
subgrantee
• Did not use all funds received, the State will issue a deobligation amendment, invoice or
letter to recover unused funds
• Did not expend all obligated grant funds, the State will require that a Grant Award
Amendment be done to deobligate the unspent funds and revert them back to the State
Specific requirements for record retention can be found in Title 44 CFR, Part 13.42. In the
Records Grant Closeout Letter, the State will notify the subgrantee of the start of the record retention
Retention period for all programmatic and financial grant - related records.
Final Subgrant Cal EMA will review the OA's final Performance Report for compliance with all subgrant
Report conditions. The final Performance Report is due to Cal EMA by July 14, 2014 (unless the
subgrant performance period is extended) and will serve as the final subgrant report.
Audit The OAs, and their subrecipients, must comply with the audit requirements contained in OMB
Requirements Circular A -133 and Title 44 CFR, Part 13.26.
Monitoring The State may perform periodic reviews of the OA's subgrant performance. The Monitoring
Subgrant Division is actively conducting monitoring visits, both desk review and on -site, among
Performance subgrantees. These reviews may include, but are not limited to:
• Comparing actual subgrant activities to those approved on the Financial Management
Forms Workbook
• Confirming compliance with:
— Grant Assurances
— Information provided on the Performance Reports
• Reviewing and monitoring financial and administrative records
[13]
Key Dates to
Remember
July 1, 2013
Request for application announced / State Guidance released
August 14, 2013
Application packet due to Cal EMA
September 30, 2013
Training and Exercise Plan (TEP) due
October 14, 2013
Receive notification of approved application
January 14, 2014
Quarterly Performance Report due
April 14, 2014
Quarterly Performance Report due
June 30, 2014
Performance period ends. All activities must be completed and all
funds expended.
July 14, 2014
Final Performance Report due
July 14, 2014
Final Reimbursement Request due to Cal EMA
[ 14]
f
FY13 Emergency Management Performance Grant
Agreement Articles, Assurances, Certifications, Terms, and Conditions
FEDERAL AGREEMENT ARTICLES
Article I - Administrative Requirements
The administrative requirements that apply to most DHS award recipients through a grant or cooperative
agreement arise from two sources: - a) Office of Management and Budget (OMB) Circular A -102, Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments (also
known as the "A -102 Common Rule "), found under DHS regulations at Title 44, Code of Federal Regulations
(CFR) Part 13, "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments." - OMB Circular A -I 10, Uniform Administrative Requirements for Grants and Agreements with
Institutions of Higher Education, Hospitals, and Other Non - Profit Organizations, relocated to 2 CFR Part 215. The
requirements for allowable costs /cost principles are contained in the A -102 Common Rule, OMB Circular A -110
(2 CFR § 215.27), DHS program legislation, Federal awarding agency regulations, and the terms and conditions of
the award. b) The four costs principles that apply to DHS award recipients through a grant or cooperative
agreement originate from: - OMB Circular A -21, Cost Principles for Educational Institutions, relocated to 2 CFR
Part 220. - OMB Circular A -87, Cost Principles for State, Local, and Indian Tribal Governments, relocated to 2
CFR Part 225. - OMB Circular A -122, Cost Principles for Non - Profit Organizations, relocated to 2 CFR Part 230.
— OMB Circular A -133, Audits of States, Local Governments and Non - Profit Organizations.
Article II - DHS Specific Acknowledgements and Assurances
All recipients of financial assistance must acknowledge and agree -and require any subrecipients, contractors,
successors, transferees, and assignees acknowledge and agree -to comply with applicable provisions governing
DHS access to records, accounts, documents, information, facilities, and staff. 1. Recipients must cooperate with
any compliance review or complaint investigation conducted by DHS. 2. Recipients must give DHS access to and
the right to examine and copy records, accounts, and other documents and sources of information related to the
grant and permit access to facilities, personnel, and other individuals and information as may be necessary, as
required by DHS regulations and other applicable laws or program guidance. 3. Recipients must submit timely,
complete, and accurate reports to the appropriate DHS officials and maintain appropriate backup documentation to
support the reports. 4. Recipients must comply with all other special reporting, data collection, and evaluation
requirements, as prescribed by law or detailed in program guidance. 5. If, during the past three years, the recipient
has been accused of discrimination on the grounds of race, color, national origin (including limited English
proficiency), sex, age, disability, religion, or familial status, the recipient must provide a list of all such
proceedings, pending or completed, including outcome and copies of settlement agreements to the DHS awarding
office and the DHS Office of Civil Rights and Civil Liberties. 6. In the event any court or administrative agency
makes a finding of discrimination on grounds of race, color, national origin (including limited English
proficiency), sex, age, disability, religion, or familial status against the recipient, or the recipient settles a case or
matter alleging such discrimination, recipients must forward a copy of the complaint and findings to the DHS
Component and /or awarding office. The United States has the right to seek judicial enforcement of these
obligations.
Article III - Lobbying Prohibitions
None of the funds provided under an award may be expended by the recipient to pay any person to influence, or
attempt 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 any Federal action concerning the award or
renewal of any Federal contract, grant, loan, cooperative agreement. These lobbying prohibitions can be found at
31 U.S.C. § 1352.
Article IV - Acknowledgement of Federal Funding from DHS
All recipients of financial assistance will comply with requirements to acknowledge 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.
Article V - Copyright
All recipients of financial assistance will comply with requirements that publications or other exercise of copyright
for any work first produced under Federal financial assistance awards hereto related unless the work includes any
information that is otherwise controlled by the Government (e.g., classified information or other information
subject to national security or export control laws or regulations). For any scientific, technical, or other copyright
work based on or containing data first produced under this award, including those works published in academic,
technical or professional journals, symposia proceedings, or similar works, the recipient grants the Government a
royalty -free, nonexclusive and irrevocable license to reproduce, display, distribute copies, perform, disseminate, or
prepare derivative works, and to authorize others to do so, for Government purposes in all such copyrighted works.
The recipient shall affix the applicable copyright notices of 17 U.S.C. § 401 or 402 and an acknowledgement of
Government sponsorship (including award number) to any work first produced under an award.
Article VI - Use of DHS Seal, Logo and Flags
All recipients of financial assistance must obtain DHS's approval 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.
Article VII - Activities Conducted Abroad
All recipients of financial assistance will comply with the requirements 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.
Article VIII - Fly America Act of 1974
All recipients of financial assistance will comply with the requirements of the Preference for U.S. Flag Air
Carriers: Travel supported by U.S. Government funds requirement, which states preference for the use of 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. § 401 l 8) and the interpretative guidelines issued by the
Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision
13138942.
Article IX - GPD - Drug -Free Workplace Regulations
All recipients of financial assistance will comply with the requirements of the Drug -Free Workplace Act of 1988
(412 U.S.C. § 701 et seq.), which requires that all organizations receiving grants from any Federal agency agree to
maintain a drug -free workplace. The recipient must notify the awarding office if an employee of the recipient is
convicted of violating a criminal drug statute. Failure to comply with these requirements may be cause for
debarment. These regulations are codified at 2 CFR 3001.
Article X - GPD - Trafficking Victims Protection Act of 2000
All recipients of financial assistance will comply with the requirements of the government -wide award term which
implements Section 106(8) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. §
7104), located at 2 CFR Part 175. This is implemented in accordance with OMB Interim Final Guidance, Federal
Register, Volume 72, No. 218, November 13, 2007. In accordance with the statutory requirement, in each agency
award under which funding is provided to a private entity, Section 106(g) of the TVPA, as amended, requires the
agency to include a condition that authorizes the agency to terminate the award, without penalty, if the recipient or
a subrecipient - (a) Engages in severe forms of trafficking in persons during the period of time that the award is in
effect; (b) Procures a commercial sex act during the period of time that the award is in effect; or (c) Uses forced
labor in the performance of the award or sub - awards under the award. Full text of the award term is provided at 2
CFR § 175.15.
Article XI - Civil Rights Act of 1964
All recipients of financial assistance will comply with the requirements of Title VI of the Civil Rights Act of 1964
(42 U.S.C. § 2000d et seq.), which provides that no person in the United States will, on the grounds of race, color,
or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination
under any program or activity receiving Federal financial assistance.
Article XII - Civil Right Act of 1968
All recipients of financial assistance will comply with Title VIII of the Civil Rights Act of 1968, which prohibits
recipients from discriminating in the sale, rental, financing, and advertising of dwellings, or in the provision of
services in connection therewith, on the basis of race, color, national origin, religion, disability, familial status, and
sex (42 U.S.C.§ 3601 et seq.), as implemented by the Department of Housing and Urban Development at 24 CFR
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 CFR § 100.201).
Article XIII - Americans with Disabilities Act of 1990
All recipients of financial assistance will comply with the requirements of Titles I, II, and III of the Americans
with Disabilities Act, which prohibits recipients from discriminating on the basis of disability in the operation of
public entities, public and private transportation systems, places of public accommodation, and certain testing
entities (42 U.S.C. §§ 12101- 12213).
Article XIV - Age Discrimination Act of 1975
All recipients of financial assistance will comply with the requirements of the Age Discrimination Act of 1975 (42
U.S.C. § 6101 et seq.), which prohibits discrimination on the basis of age in any program or activity receiving
Federal financial assistance.
Article XV - Title IX of the Education Amendments of 1972
All recipients of financial assistance will comply with the requirements of Title IX of the Education Amendments
of 1972 (20 U.S.C. § 1681 et seq.), which provides that no person in the United States will, on the basis of sex, be
excluded from participation in, be denied the benefits of, or be subjected to discrimination under any educational
program or activity receiving Federal financial assistance. These regulations are codified at 44 CFR Part 19.
Article XVI - Rehabilitation Act of 1973
All recipients of financial assistance will comply with the requirements of Section 504 of the Rehabilitation Act of
1973, 29 U.S.C. § 794, as amended, which provides that no otherwise qualified handicapped individual in the
United States will, solely by reason of the handicap, be excluded from participation in, be denied the benefits of, or
be subjected to discrimination under any program or activity receiving Federal financial assistance. These
requirements pertain to the provision of benefits or services as well as to employment.
Article XVII - Limited English Proficiency
All recipients of financial assistance will comply with the requirements of Executive Order 13166, Improving
Access to Services for Persons with Limited English Proficiency, and resulting agency guidance, national origin
and resulting agency guidance, national origin discrimination includes discrimination on the basis of limited
English proficiency (LEP). To ensure compliance with Title VI, recipients must take reasonable steps to ensure
that LEP persons have meaningful access to your programs. Meaningful access may entail providing language
assistance services, including oral and written translation, where necessary. Recipients are encouraged to consider
the need for language services for LEP persons served or encountered both in developing budgets and in
conducting programs and activities. For assistance and information regarding LEP obligations, go to
http: / /www.lgp.gov.
Article XVIII - Animal Welfare Act of 1966
All recipients of financial assistance will comply with the requirements of the Animal Welfare Act, as amended (7
U.S.C. § 2131 et seq.), which requires that minimum standards of care and treatment be provided for vertebrate
animals bred for commercial sale, used in research, transported commercially, or exhibited to the public.
Recipients must establish appropriate policies and procedures for the humane care and use of animals based on the
Guide for the Care and Use of Laboratory Animals and comply with the Public Health Service Policy and
Government Principles Regarding the Care and Use of Animals.
Article XIX - Clean Air Act of 1970 and Clean Water Act of 1977
All recipients of financial assistance will comply with the requirements of 42 U. S.C. § 7401 et seq. and Executive
Order 11738, which provides for the protection and enhancement of the quality of the nation's air resources to
promote public health and welfare and for restoring and maintaining the chemical, physical, and biological
integrity of the nation's waters is considered research for other purposes.
Article XX - Protection of Human Subjects
All recipients of financial assistance will comply with the requirements of the Federal regulations at 45 CFR Part
46, which requires that recipients comply with applicable provisions /law for the protection of human subjects for
purposes of research. Recipients must also comply with the requirements in DHS Management Directive 026 -04,
Protection of Human Subjects, prior to implementing any work with human subjects. For purposes of 45 CFR Part
46, research means a systematic investigation, including research, development, testing, and evaluation, designed
to develop or contribute to general knowledge. Activities that meet this definition constitute research for purposes
of this policy, whether or not they are conducted or supported under a program that is considered research for other
purposes. The regulations specify additional protections for research involving human fetuses, pregnant women,
and neonates (Subpart B); prisoners (Subpart C); and children (Subpart D). The use of autopsy materials is
governed by applicable State and local law and is not directly regulated by 45 CFR Part 46.
Article XXI - National Environmental Policy Act (NEPA) of 1969
All recipients of financial assistance will comply with the requirements of the National Environmental Policy Act
(NEPA), as amended, 42 U.S.C. § 4331 et seq., which establishes national policy goals and procedures to protect
and enhance the environment, including protection against natural disasters. To comply with NEPA for its grant -
supported activities, DHS requires the environmental aspects of construction grants (and certain non - construction
projects as specified by the Component and awarding office) to be reviewed and evaluated before final action on
the application.
Article XXII - National Flood Insurance Act of 1968
All recipients of financial assistance will comply with the requirements of Section 1306(c) of the National Flood
Insurance Act, as amended, which provides for benefit payments under the Standard Flood Insurance Policy for
demolition or relocation of a structure insured under the Act that is located along the shore of a lake or other body
of water and that is certified by an appropriate State or local land use authority to be subject to imminent collapse
or subsidence as a result of erosion or undermining caused by waves or currents of water exceeding anticipated
cyclical levels. These regulations are codified at 44 CFR Part 63.
Article XXIII - Flood Disaster Protection Act of 1973
All recipients of financial assistance will comply with the requirements of the Flood Disaster Protection Act of
1973, as amended (42 U.S.C. § 4001 et seq.), which provides that no Federal financial assistance to acquire,
modernize, or construct property may be provided in identified flood -prone communities in the United States,
unless the community participates in the National Flood Insurance Program and flood insurance is purchased
within one year of the identification. The flood insurance purchase requirement applies to both public and private
applicants for DHS support. Lists of flood -prone areas that are eligible for flood insurance are published in the
Federal Register by FEMA.
Article XXIV - Coastal Wetlands Planning, Protection, and Restoration Act of 1990
All recipients of financial assistance will comply with the requirements of Executive Order 11990, which provides
that federally funded construction and improvements minimize the destruction, loss, or degradation of wetlands.
The Executive Order provides that, in furtherance of Section 101(b)(3) of NEPA (42 U.S.C. § 4331(b)(3)), Federal
agencies, to the extent permitted by law, must avoid undertaking or assisting with new construction located in
wetlands unless the head of the agency finds that there is no practicable alternative to such construction, and that
the proposed action includes all practicable measures to minimize harm to wetlands that may result from such use.
In making this finding, the head of the agency may take into account economic, environmental, and other pertinent
factors. The public disclosure requirement described above also pertains to early public review of any plans or
proposals for new construction in wetlands. This is codified at 44 CFR Part 9.
Article XXV - USA Patriot Act of 2001
All recipients of financial assistance will comply with the 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. Among other things, it prescribes criminal penalties for possession of any
biological agent, toxin, or delivery system of a type or in a quantity that is not reasonably justified by a
prophylactic, protective, bona fide research, or other peaceful purpose. The act also establishes restrictions on
access to specified materials. "Restricted persons," as defined by the act, may not possess, ship, transport, or
receive any biological agent or toxin that is listed as a select agent.
Article XXVI — Best Practices for Collection and Use of Personally Identifiable Information (PII)
All recipients of financial assistance who collect PII are required to have a publically- available privacy policy that
describes what PII they collect, how they use the PII, whether they share PII with third parties, and how individual
may have their PII correct where appropriate. Useful resources are the DHS Privacy Impact Assessments:
http: / /www.dhs.gov /xlibrary /assets /privacy /privacy pia guidance iune2010.pdf, and
http: / /www.dhs.gov /xlibrary /assets /privacy /privacy pia template.pdf.
Article XXVII — Duplication of Benefits
State, Local, and Tribal Recipients must comply with 2 CFR Part §225, Appendix A, paragraph (C)(3)(c), which
provides that any cost allocable to a particular Federal award or cost objective under the principles provided for in
this authority may not be charged to other Federal awards to overcome fund deficiencies.
Article XXVIII — False Claims Act and Program Fraud Civil Remedies
All recipient of financial assistance must comply with the requirements of 31 U.S.0 §3729 which set forth that no
recipient of federal payments shall submit a false claim for payment. See also 38 U.S.0 § 3801 -3812 which details
the administrative remedies for false claims and statements made.
Article XXIX — Federal Debt Status
All recipients of financial assistance are required to be non - delinquent in their repayment of any Federal debt.
Examples of relevant debt include delinquent payroll and other taxes, audit disallowance, and benefit
overpayments. See OMB Circular A -129 and form SF -424, item number 17 for additional information and
guidance.
Article XXX — Hotel and Motel Fire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. §2225(a), all recipients
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, 15 U.S.C. §2225.
Article XXXI — Non - supplanting Requirement
All recipients of financial assistance mush ensure that Federal funds do not replace (supplant) funds that have been
budgeted for the same purpose through non - Federal sources. Applicants or award recipients may be required to
demonstrate and document that a reduction in non - Federal resources occurred for reasons other than the receipt of
expected receipt of Federal funds.
Article XXXII — Debarment and Suspension
All recipients must comply with Executive Orders 12549 and 12689, which provide protection against waste, fraud
and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the Federal
government.
ASSURANCES
The applicant hereby assures and certifies compliance with all applicable Federal statutes, regulations, policies,
guidelines, and requirements. See Article I above. The applicant also specifically assures and certifies that it:
1. Has the legal authority to apply for Federal assistance, and the institutional, managerial, and financial
capability (including funds sufficient to pay the non - Federal share of project costs) to ensure proper planning,
management, and completion of the project described in this application.
2. 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; and will establish a proper accounting system in accordance with generally
accepted accounting standards or agency directives. See Article II above.
3. 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.
4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding
agency.
5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§ 4728 -4763) relating to
prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations
specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 C.F.R. 900,
Subpart F).
6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a)
Title VI of the Civil Rights Act of 1964 (P.L. 88 -352) which prohibits discrimination on the basis of race,
color or national origin: (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. § §1681-
1683, and 1685- 1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the
Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which prohibits discrimination on the basis of
handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. § §6101- 6107), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92 -255), as
amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91 -616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or alcoholism;(g) §§ 523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. § §290 dd -3 and 290 ee -3), as amended, relating to confidentiality of alcohol
and drug abuse patient records; (h) Title VIII of the Civil Right Act of 1968 (42 U.S.C. § §3601 et seq.), as
amended, relating to nondiscrimination in the sale, rental, or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being
made; and, 0) the requirements of any other nondiscrimination statute(s) which may apply to the application.
See Articles XI, XII, XIII, XIV, XV, XVI, and XVIL
7. Will comply, or has already complied, with the requirements of Titles II and 111 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 purchases.
8. Will comply with the 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.
9. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. §§ 276a to 276a7), the
Copeland Act (40 U.S.C. § 276c and 18 U.S.C. §§ 874), and the Contract Work Hours and Safety Standards
Act (40 U.S.C. §§ 327- 33.3), regarding labor standards for federally assisted construction sub - agreements.
10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood
Disaster Protection Act of 1973 (P.L. 93234) which requires recipients 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; and the National Flood Insurance Act of 1968. See Articles XXII and XXIII.
11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution
of environmental quality control measures under National Environmental Protection Agency (NEPA) Act of
1969 (P.L. 91 -190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation flood hazards in floodplains in
accordance with EO 11988; (e) 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 (Clean Air) Implementation Plans under Section 176(c) of the Clear
Air Act of 1955, as amended (42 U.S.C. § §7401 et seq.); (g) protection of underground sources of drinking
water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93 -523); and (h) protection of
endangered species under the Endangered Species Act of 1973, as amended, (P.L. 93 -205). See Articles
XXI, XIX, and XXIV.
All proposed construction and renovation activities must undergo an Environmental Planning and Historic
Preservation (EHP) review, including approval of the review from FEMA, prior to undertaking any action
related to the project. Any applicant that is proposing a construction project should pay special attention to
the EHP requirements contained in Part VI (B, 5.7) of the Guidance.
12. Will comply with the 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.
13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic
Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification and protection of historic
properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a -1 et seq.).
14. Will comply with P.L. 93 -348 regarding the protection of human subjects involved in research, development,
and related activities supported by this award of assistance. See Article XX.
15. Will comply with the Laboratory Animal welfare Act of 1966 (P.L. 89 -544, as amended, 7 U.S.C. § §2131 et
seq.) pertaining to the care, handling, and treatment of warn blooded animals held for research, teaching, or
other activities supported by this award of assistance. See Article XVII.
16. Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et seq.) which
prohibits the use of lead based paint in construction or rehabilitation of residence structures.
17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit
Act of 1996 or OMB Circular No. A -133, Audits of Institutions of Higher Learning and other Non - profit
Institutions.
18. Will comply with Homeland Security Presidential Directive (HSPD) -5, Management of Domestic Incidents.
The adoption of the NIMS is a requirement to receive Federal preparedness assistance, through grants,
contracts, and other activities. The NIMS provides a consistent nationwide template to enable all levels of
government, tribal nations, nongovernmental organizations, and private sector partners to work together to
prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause,
size, location, or complexity.
19. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and
policies governing this program. This includes all requirements, restrictions and regulations identified in the
California Emergency Management Agency (Cal EMA) Fiscal Year 2013 Emergency Management
Performance Grant (EMPG) Program - California Supplement to the Federal Program Funding Opportunity
Announcement.
20. Will 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
interest in the title of real property in accordance with 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 non-
discrimination during the useful life of the project.
21. Will comply with the requirements of the assistance awarding agency with regard to the drafting, review
and approval of construction plans and specifications.
22. Will 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 progress reports
and such other information as may be required by the assistance awarding agency or State.
23. Will comply with 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 subgrantee in the preceding year did not get
80% or more of its annual gross revenues from Federal Awards, and $25M or more in annual gross revenues
from Federal Awards, and the public does have access to information about the compensation of the senior
executives of the entity, then the subgrantee is not subject to the FFATA Financial Disclosure requirements.
CERTIFICATIONS
1. CERTIFICATION FOR CONTRACTS GRANTS LOANS AND COOPERATIVE AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) 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. See Article III.
(2) 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.
(3) 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. This certification is a material
representation of fact upon which reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or entering into this transaction imposed by
section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a
civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
Statement for Loan Guarantees and Loan Insurance
The undersigned states, to the best of his or her knowledge and belief, that:
If any 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 commitment providing for the United States to insure or guarantee a loan, the
undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this
transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall
be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
2. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS (DIRECT RECIPIENT)•
As required by Executive Orders 12549 and 12589, Debarment and Suspension, and implemented at 44 CFR,
Part 17 (See Article XXXII):
A. The applicant certifies that it and its principals:
(1) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a
denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions
by any Federal department or agency;
(2) 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;
(3) 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 (A)(2) of this
certification; and
(4) Have not within a three -year period preceding this application had one or more public transactions
(Federal, State, or Local) terminated for cause or default; and
B. 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.
3. CERTIFICATIONS REGARDING DRUG -FREE WORKPLACE REQUIREMENTS: This certification
commits the applicant to compliance with the certification requirements under 44 CFR, Part 17 Government -
wide Requirements for Drug -Free Workplace (Grants). See Article IX.
A. The grantee certifies that it will or will continue to provide a drug -free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing,
possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the
actions that will be taken against employees for violation of such prohibition;
(b) Establishing an ongoing drug -free awareness program to inform employees about—
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug -free workplace;
(3) Any available drug counseling, rehabilitation, and employee assistance programs; and
(4) The penalties that may be imposed upon employees for drug abuse violations occurring in the
workplace;
(c) Making it a requirement that each employee to be engaged in the performance of the grant be given a
copy of the statement required by paragraph (a);
(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment
under the grant, the employee will —
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute
occurring in the workplace no later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph
(d)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted
employees must provide notice, including position title, to every grant officer or other designee on
whose grant activity the convicted employee was working, unless the Federal agency has designated a
central point for the receipt of such notices. Notice shall include the identification number(s) of each
affected grant;
(f) Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph
(d)(2), with respect to any employee who is so convicted—
(1) Taking appropriate personnel action against such an employee, up to and including termination,
consistent with the requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation
program approved for such purposes by a Federal, State, or local health, law enforcement, or other
appropriate agency;
(g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of
paragraphs (a), (b), (c), (d), (e), and (f).
4. SWEATFREE CODE OF CONDUCT:
a. All applicants contracting for the procurement or laundering of apparel, garments or corresponding
accessories, or the procurement of equipment, materials, or supplies, other than procurement related to a
public works contract, declare under penalty of perjury that no apparel, garments or corresponding
accessories, equipment, materials, or supplies furnished to the state pursuant to the subgrant have been
laundered or produced in whole or in part by sweatshop labor, forced labor, convict labor, indentured labor
under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor, or with the
benefit of sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms
of child labor or exploitation of children in sweatshop labor. The applicant further declares under penalty of
perjury that they adhere to the Sweatfree Code of Conduct as set forth on the California Department of
Industrial Relations website located at www.dir.ca.gov, and Public Contract Code Section 6108.
b. The applicant agrees to cooperate fully in providing reasonable access to the applicant's records, documents,
agents or employees, or premises if reasonably required by authorized officials of the contracting agency, the
Department of Industrial Relations, or the Department of Justice to determine the contractor's compliance
with the requirements under paragraph (a).
5. DOMESTIC PARTNERS: For subgrants executed or amended after July 1, 2004, the applicant may elect to
offer domestic partner benefits to the applicant's employees in accordance with Public Contract Code section
10295.3. However, the applicant cannot require an employee to cover the costs of providing any benefits which
have otherwise been provided to all employees regardless of marital or domestic partner status.
TERMS AND CONDITIONS
The following laws apply to persons or entities doing business with the State of California.
1. CONFLICT OF INTEREST: Applicant needs to be aware of the following provisions regarding current or
former state employees. If subgrantee has any questions on the status of any person rendering services or
involved with the Agreement, the awarding agency must be contacted immediately for clarification.
Current State Employees (Public Contract Code ,¢10410):
1) No officer or employee shall engage in any employment, activity or enterprise from which the officer or
employee receives compensation or has a financial interest and which is sponsored or funded by any state
agency, unless the employment, activity or enterprise is required as a condition of regular state employment.
2) No officer or employee shall contract on his or her own behalf as an independent contractor with any state
agency to provide goods or services.
Former State Employees (Public Contract Code §10411):
1) For the two -year period from the date he or she left state employment, no former state officer or employee
may enter into a contract in which he or she engaged in any of the negotiations, transactions, planning,
arrangements or any part of the decision- making process relevant to the contract while employed in any
capacity by any state agency.
2) For the twelve -month period from the date he or she left state employment, no former state officer or
employee may enter into a contract with any state agency if he or she was employed by that state agency in a
policy - making position in the same general subject area as the proposed contract within the 12 -month period
prior to his or her leaving state service.
If applicant violates any provisions of above paragraphs, such action by applicant shall render this Agreement
void. (Pub. Contract Code § 10420)
Members of boards and commissions are exempt from this section if they do not receive payment other than
payment of each meeting of the board or commission, payment for preparatory time and payment for per
diem. (Pub. Contract Code § 10430 (e))
2. LABOR CODE/WORKERS' COMPENSATION: Applicant needs to be aware of the provisions which require
every employer to be insured against liability for Workers Compensation or to undertake self - insurance in
accordance with the provisions, and applicant affirms to comply with such provisions before commencing the
performance of the work of this Agreement. (Labor Code Section 3700)
3. AMERICANS WITH DISABILITIES ACT: Applicant assures the State that it complies with the Americans
with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability, as well as all
applicable regulations and guidelines issued pursuant to the ADA. (42 U.S.C. 12101 et seq.)
4. APPLICANT NAME CHANGE: An amendment is required to change the applicant's name as listed on this
Agreement. Upon receipt of legal documentation of the name change the State will process the amendment.
Payment of invoices presented with a new name cannot be paid prior to approval of said amendment.
5. RESOLUTION: A county, city, district, or other local public body must provide the State with a copy of a
resolution, order, motion, or ordinance of the local governing body which by law has authority to enter into an
agreement, authorizing execution of the agreement.
6. AIR OR WATER POLLUTION VIOLATION: Under the State laws, the applicant shall not be:
(1) in violation of any order or resolution not subject to review promulgated by the State Air Resources Board or
an air pollution control district;
(2) subject to cease and desist order not subject to review issued pursuant to Section 13301 of the Water Code
for violation of waste discharge requirements or discharge prohibitions; or
(3) finally determined to be in violation of provisions of federal law relating to air or water pollution.
7. SYSTEM FOR AWARD MANAGEMENT (SAM) AND UNIVERSAL IDENTIFIER REQUIREMENTS:
A. Requirement for System for Award Management (SAM)
Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the
currency of your information in the SAM until you submit the final financial report required under this
award or receive the final payment, whichever is later. This requires that applicants and recipients review
and update the information at least annually after the initial registration, and more frequently if required by
changes in your information or another award term.
B. Requirement for Data Universal Numbering System (DUNS) Numbers
If recipients are authorized to make subawards under this award, they:
1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award term)
may receive a subaward from you unless the entity has provided its DUNS number to you.
2. May not make a subaward to an entity unless the entity has provided its DUNS number to you.
C. Definitions
For purposes of this award term:
1. System for Award Management (SAM) means the Federal repository into which an entity must
provide information required for the conduct of business as a recipient. Additional information
about registration procedures may be found at the SAM Internet site (currently at
http://www.sam.go ,
2. Data Universal Numbering System (DUNS) number means the nine digit number established and
assigned by Dun and Bradstreet, Inc. (D &B) to uniquely identify business entities. A DUNS
number may be obtained from D &B by telephone (currently 866 - 705 -5711) or the Internet
(currently at http : / /fedsrov.dnb.corn/webform).
3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR § 25.320,
subpart C:
a. A Governmental organization, which is a State, Local government, or Indian Tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for - profit organization; and
e. A Federal agency, but only as a subrecipient under an award or subaward to a non - Federal
entity.
4. Subaward, as defined in 2 CFR § 170.325:
a. This term means a legal instrument to provide support for the performance of any portion of
the substantive project or program for which you received this award and that you as the
recipient award to an eligible subrecipient.
b. The term does not include your procurement of property and services needed to carry out the
project or program (for further explanation, see Sec. 210 of the attachment to OMB Circular
A -133, " Audits of States, Local Government, and Non - Profit Organizations ").
c. A subaward may be provided through any legal agreement, including an agreement that you
consider a contract.
5. Subrecipient, as defined in 2 CFR § 25.360, means an entity that:
a. Receives a subaward from you under this award; and
b. Is accountable to you for the use of the Federal funds provided by the subaward.
8. FINANCIAL GUIDELINES:
The recipient and any subrecipient shall comply with the most recent version of the Administrative Requirements,
Cost Principles, and Audit Requirements. A non - exclusive list of regulations commonly applicable to FEMA
grants are listed below:
A. Administrative Requirements
1, 44 CFR 13, Uniform Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments
2. 2 CFR Part 215, Uniform Administrative Requirements for Grants and Agreements with Institutions
of Higher Education, Hospitals, and Other Non - Profit Organizations (OMB Circular A -110)
3, 44 CFR part 10, Environmental Considerations
B. Cost Principles
1. 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal Governments (OMB Circular A-
87)
2. 2 CFR Part 220, Cost Principles for Educational Institutions (OMB Circular A -21)
3. 2 CFR Part 230, Cost Principles for Non - Profit Organizations (OMB Circular A -122)
4. 48 CFR 31.2, Federal Acquisition Regulations (FAR), Contracts with Commercial Organizations
C. Audit Requirements
1. OMB Circular A -133, Audits of States, Local Governments, and Non - Profit Organizations
9. PROHIBITION ON USING FEDERAL FUNDS:
The recipient understands and agrees that it cannot use any Federal funds, either directly or indirectly, in support
of the enactment, repeal, modification or adoption of any law, regulation or policy, at any level of government,
without the express prior written approval of FEMA.
10. COMPLIANCE WITH PROGRAM GUIDANCE:
The recipient agrees that all allocations and use of funds under this grant will be in accordance with the Program
guidance and application kit.
11. CLASSIFIED SECURITY CONDITION:
A. Classified national security information," as defined in Executive Order (EO) 12958, as amended, means
information that has been determined pursuant to EO 12958 or any predecessor order to require protection
against unauthorized disclosure and is marked to indicate its classified status when in documentary form.
B. No funding under this award shall be used to support a contract, subaward, or other agreement for goods
or services that will include access to classified national security information if the award recipient has
not been approved for and has access to such information.
C. Where an award recipient has been approved for and has access to classified national security
information, no funding under this award shall be used to support a contract, subaward, or other
agreement for goods or services that will include access to classified national security information by the
contractor, subawardee, or other entity without prior written approval from the DHS Office of Security,
Industrial Security Program Branch (ISPB), or, an appropriate official within the Federal department or
agency with whom the classified effort will be performed.
D. Such contracts, subawards, or other agreements shall be processed and administered in accordance with the
DHS "Standard Operating Procedures, Classified Contracting by States and Local Entities," dated July 7,
2008; EOs 12829, 12958, 12968, as amended; the National Industrial Security Program Operating Manual
(NISPOM); and /or other applicable implementing directives or instructions. All security requirement
documents are located at: http: / /www.dhs.gov /xopnbiz /grants /index.shtm
E. Immediately upon determination by the award recipient that funding under this award will be used to
support such a contract, subaward, or other agreement, and prior to execution of any actions to
facilitate the acquisition of such a contract, subaward, or other agreement, the award recipient shall
contact ISPB, or the applicable Federal department or agency, for approval and processing
instructions.
DHS Office of Security ISPB contact information:
Telephone: 202 - 447 -5346
Email: DD254AdministrativeSecurity (a,dhs.90 v
Mail: Department of Homeland Security
Office of the Chief Security Officer
ATTN: ASD /Industrial Security Program Branch
Washington, D.C. 20528
12. REPORTING SUBAWARD AND EXECUTIVE CONPENSATION:
A. Reporting of first -tier subawards.
1. Applicability. Unless you are exempt as provided in paragraph D. of this award term, you must
report each action that obligates $25,000 or more in Federal funds that does not include Recovery
funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009,
Pub. L. 111 -5) for a subaward to an entity (see definitions in paragraph E. of this award term).
2. Where and when to report.
a.You must report each obligating action described in paragraph A.1. of this award term to
htt-o://www.fsrs.,gov.
b.For subaward information, report no later than the end of the month following the month
in which the obligation was made. (For example, if the obligation was made on November
7, 2012, the obligation must be reported by no later than December 31, 2010.)
3. What to report. You must report the information about each obligating action that the submission
instructions posted at http: / /www.fsrs.gov specify.
B. Reporting Total Compensation of Recipient Executives
1. Applicability and what to report. You must report total compensation for each of your five most
highly compensated executives for the preceding completed fiscal year, if-
a.The total Federal funding authorized to date under this award is $25,000 or more;
b.in the preceding fiscal year, you received -
i. 80 percent or more of your annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act, as
defined at 2 CFR 170.320 (and subawards); and
ii. $25,000,000 or more in annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act, as
defined at 2 CFR 170.320 (and subawards); and
c.The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange
Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of
1986. (To determine if the public has access to the compensation information, see the
U.S. Security and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report executive total compensation described in paragraph
B.1. of this award term:
a. As part of your registration profile at http: / /www.sam,gov.
b.By the end of the month following the month in which this award is made, and annually
thereafter.
C. Reporting of Total Compensation of Subrecipient Executives
1. Applicability and what to report. Unless you are exempt as provided in paragraph D. of this award
term, for each first -tier Subrecipient under this award, you shall report the names and total
compensation of each of the subrecipient's five most highly compensated executives for the
subrecipient's preceding completed fiscal year if-
a. in the subrecipient's preceding fiscal year, the Subrecipient received -
i. 80 percent or more its annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act,
as defined at 2 CFR 170.320 (and subawards); and
ii. $25,000,000 or more in annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act,
as defined at 2 CFR 170.320 (and subawards); and
b.The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15 (d) of the Securities Exchange
Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of
1986. (To determine if the public has access to the compensation information, see the
U.S. Security and Exchange Commission total compensation filings at
htip://www.sec.gov/answers/execoinp. htm.)
2. Where and when to report. You must report Subrecipient executive total compensation described in
paragraph C.1. of the award term:
a.To the recipient,
b.By the end of the month following the month during which you make the subaward. For
example, if a subaward is obligated on any date during the month of October of a given
year (i.e., between October 1 and 31), you must report any required compensation
information of the Subrecipient by November 30 of that year.
D. Exemptions
1. If, in the previous tax year, you had gross income, from all sources, under $300,000, you are
exempt from the requirements to report:
a. Subaward, and
b.The total compensation of the five most highly compensated executives of any Subrecipient.
E. Definitions. For purposes of the award terms:
Entity means all of the following, as defined in CFR § 25.320:
a.A Governmental organization, which is a State, Local government, or Indian tribe;
b.A foreign public entity;
c.A domestic or foreign nonprofit organization;
d.A domestic or foreign for -profit organization;
e.A Federal agency, but only as a subrecipient under an award or subaward to a non - Federal
entity
2. Executive means officers, managing partners, or any other employees in management positions, as
defined in2 CFR § 170.315.
3. Subaward, as defined in 2 CRF § 170.325:
a. This term means a legal instrument to provide support for the performance of any portion of
the substantive project or program for which you received this award and that you as the
recipient award to an eligible subrecipient.
b.The term does not include your procurement of property and services needed to carry out
the project or program (for further explanation, see Sec._ 210 of the attachment to OMB
Circular A-133, "Audits of States, Local Governments, and Non -Profit Organizations").
c. A subaward may be provided through any legal agreement, including an agreement that
you or a subrecipient considers a contract.
4. Subrecipient, as defined in 2 CFR § 25.360 means an entity that:
a. Receives a subaward from you (the recipient) under this award;
b.Is accountable to you for the use of the Federal funds provided by the subaward.
5. Total compensation, as defined in 2 CFR § 170.330 means the cash and noncash dollar value
earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes
the following (for more information see 17 CFR 229.402(c)(2)):
a. Salary or bonus.
b.Awards of stock, stock options, and stock appreciation rights. Use the dollar amount
recognized for financial statement reporting purposes with respect to the fiscal year in
accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004)
(FAS 123R), Shared Based Payments.
c. Earnings for services under non -equity incentive plans. This does not include group life,
health, hospitalization or medical reimbursement plans that do not discriminate in favor of
executives, and are available generally to all salaried employees.
d. Change in pension value. This is the change in present value of defined benefit and
actuarial pension plans.
e. Above -market earnings on deferred compensation which is not tax -qualified.
f. Other compensation, if the aggregate value of all such other compensation (e.g. severance,
termination payments, value of life insurance paid on behalf of the employee, perquisites or
property) for the executive exceeds $10,000.
Failure to comply with these requirements may result in suspension of payments under the Agreement or
termination of the Agreement or both and applicant may be ineligible for award of any future State agreements if
the department determines that any of the following has occurred: the applicant has made false certification, or
violated the certification by failing to carry out the requirements as noted above. (Gov. Code §8350 et seq.)
I, the official named below, CERTIFY UNDER PENALTY OF PERJURY that I am duly authorized to legally
bind the prospective jurisdiction to the assurances and certifications listed above.
Jurisdiction (Printed)^ rvCVVrvHI MAUM MHt utP
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By (Authorized Signature)
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