FY2020 HHPD NOFO final 05082020_amend_05142020.pdf

The Department of Homeland Security (DHS)

Notice of Funding Opportunity (NOFO) FY 2020 Rehabilitation of High Hazard Potential Dams (HHPD)

NOTE: If you are going to apply for this funding opportunity and have not obtained a Data Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management (SAM), please take immediate action to obtain a DUNS Number, if applicable, and then to register immediately in SAM. It may take 4 weeks or more after you submit your SAM registration before your registration is active in SAM, then an additional 24 hours for Grants.gov to recognize your information. Information on obtaining a DUNS number and registering in SAM is available from Grants.gov at:

http://www.grants.gov/web/grants/register.html. Detailed information regarding DUNS and SAM is also provided in Section C of this NOFO, subsection, How to Register to Apply

A. Program Description

1. Issued By U.S. Department of Homeland Security (DHS) Federal Emergency Management Agency (FEMA), Federal Insurance and Mitigation Administration (FIMA), National Dam Safety Program Office (NDSP)

2. Assistance Listings (formerly Catalog of Federal Domestic Assistance (CFDA) Number) 97.041

3. Assistance Listings Title (formerly CFDA Title) National Dam Safety Program

4. Funding Opportunity Title

FY 2020 Rehabilitation of High Hazard Potential Dams (HHPD)

5. Funding Opportunity Number

DHS-20-MT-041-00-01

6. Authorizing Authority for Program

National Dam Safety Program Act (Pub. L. 92–367), as amended, 33 U.S.C. § 467f-2.

7. Appropriation Authority for Program The Department of Homeland Security Appropriations Act, 2020 (Pub. L. No. 116-93)

8. Announcement Type Initial http://www.grants.gov/web/grants/register.html

9. Program Overview, Objectives, and Priorities FEMA’s National Dam Safety Program (NDSP) is committed to protecting lives and property from the risks associated with dams. The Rehabilitation of High Hazard Potential Dams Grant Program (HHPD) makes available federal funds to eligible states for pass through to non-Federal governmental organizations or nonprofit organizations for the rehabilitation of dams that fail to meet minimum dam safety standards and pose unacceptable risk to life and property.

For the purposes of the HHPD Program, rehabilitation means the repair, replacement, reconstruction, or removal of a dam that is carried out to meet applicable state dam safety and security standards.

Given the requirements of this grant (e.g. National Flood Insurance Program participation, state and local hazard mitigation plans, floodplain management plan, risk prioritization, state dam safety agency approval of the award), applicants must pursue this grant in coordination with the State Dam Safety Officer and the State Hazard Mitigation Officer, regardless of which entity will implement the grant. Contact information for the State Hazard Mitigation Officers (SHMOs) is provided on the FEMA website at http://www.fema.gov/state-hazard-mitigation-officers.

Objectives The objectives of the program are to:

1. Provide financial assistance for repair, removal, or rehabilitation of eligible high hazard potential dams.

2. Protect the federal investment by requiring operation and maintenance of the project for the 50-year period following completion of rehabilitation.

3. Encourage state, local, and territorial governments to consider all dam risk in state and local mitigation planning.

4. Promote community preparedness by requiring recipients to develop and implement floodplain management plans that address potential measures, practices, and policies to reduce loss of life, injuries, damage to property and facilities, public expenditures, and other adverse effects of flooding in the area impacted by the project; plans for flood fighting and evacuation; and public education and awareness of flood risks.

5. Reduce the potential consequences to life and property of high hazard potential dam incidents.

6. Incentivize states to incorporate risk-informed analysis and decision making into their dam safety practice.

7. Reduce the overall number of high hazard potential dams that pose an unacceptable risk to the public.

8. Promote a program of Emergency Action Plan (EAP) implementation, compliance, and exercise for high-hazard potential dams.

9. Reduce costs associated with dam rehabilitation through the deployment of innovative solutions and technologies.

http://www.fema.gov/state-hazard-mitigation-officers

Priorities For FY2020, the HHPD priorities are: the technical, planning, design, pre-construction, and construction activities related to the repair, removal, or rehabilitation of eligible high hazard dams.

The HHPD supports FEMA Strategic Goal 1: Build a Culture of Preparedness and Presidential Policy Directive 8: Build and Sustain National Preparedness. Specifically, the HHPD supports Objective 1.1 of Strategic Goal 1 to incentivize investments that reduce risk, including pre-disaster mitigation, and reduce disaster costs at all levels.

The 2018 Quadrennial Homeland Security Review (QHSR) has identified strengthening national preparedness and resilience as one of the basic Homeland Security missions.

This initiative supports this mission by providing grant assistance for high hazard potential dams that poses an unacceptable risk to the public.

10. Performance Metrics

The HHPD grant recipients’ performance will be evaluated on their progress on delivering the following outcomes:

Increased understanding of risk posed by eligible dams through studies, prioritization, planning, and preliminary engineering.

Reduced consequences through rehabilitation of eligible high hazard potential dams.

To demonstrate the progress of the HHPD grant, the recipient must use the following metrics to measure performance outcomes:

o The percentage of eligible high hazard potential that have implemented pre-construction rehabilitation activities under the HHPD grant, and the Population at Risk (PAR) associated with each dam.

o The percentage of HHPD grant subrecipients that have developed floodplain management plans (see below for requirements), and the Population at Risk (PAR) associated with each dam.

o The total non-federal investment (including in-kind contributions) applied toward eligible activities supporting the rehabilitation of eligible high hazard potential dams under the HHPD grant.

o The anticipated losses avoided as a result of dam rehabilitation projects completed under the HHPD grant, and the Population at Risk (PAR) associated with the dam.

See Section H.2.c Performance Metrics, for examples of how to demonstrate progress.

B. Federal Award Information

1. Available Funding for the NOFO: $10,000,000.00

The allocation of available HHPD grant funds is determined by 33 U.S.C § 467f-2(g)(2) Allocation of Funds. The allocation of the HHPD funds is calculated as follows:

(i) Equal distribution

One-third of the available funding will be distributed equally among states in which the projects for which eligible applications are submitted are located.

(ii) Need-based Two-thirds of the available funding will be distributed among states in which the projects for which eligible applications are submitted are located based on the proportion that:

a. the number of eligible high hazard potential dams in the state; bears to

b. the number of eligible high hazard potential dams in all such states.

2. Projected number of Awards: 50

3. Period of Performance: 36 Months

An extension to the Period of Performance for this program is allowed. For details on the requirements for requesting an extension to the Period of Performance, please refer to Section F, Additional Information, of this announcement.

4. Projected Period of Performance Start Date(s): 09/01/2020

5. Projected Period of Performance End Date(s): 08/31/2023

6. Funding Instrument Type: Grant

C. Eligibility Information

1. Eligible Applicants A state with a state dam safety program authorized by state legislation is the only entity eligible to submit HHPD applications to DHS/FEMA.

For the purposes of the HHPD, the term “state” means each of the several states of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, and any other territory or possession of the United States.

2. Applicant Eligibility Criteria

Each eligible state must designate one State Administrative Agency (SAA) to serve as the applicant for HHPD funding. Each SAA may submit only one (1) HHPD grant application to FEMA and be able to comply with regulations associated with receipt of federal financial contributions from FEMA.

3. Subrecipient Eligibility Criteria

Eligible subrecipients under FY2020 HHPD are non-federal governmental organizations (other than the designated applicant) and nonprofit organizations. Under FY 2020 HHPD, eligible subrecipients apply for and receive subawards directly from the SAA.

Subrecipients must meet the following criteria to be eligible:

(A) Acts in accordance with the state dam safety program and the project dam must be regulated by the state dam safety program. All activities must be approved by the state dam safety agency. Any engineering studies, plans, or design drawings and specifications must be approved, signed, and stamped by a qualified design professional registered in the state in which the project is located.

(B) Participate in, and comply with, the National Flood Insurance Program (NFIP);

(C) Commit to provide operation and maintenance of the project for the 50-year period following completion of rehabilitation;

(D) Subrecipients must have in place at the time of obligation of subgrant funds a local FEMA-approved hazard mitigation plan that includes all dam risks (See Section H.2.i, Definitions, for the definition of All Dam Risk) and complies with the Disaster Mitigation Act of 2000 (Public Law 106–390; 114 Stat. 1552).

Nonprofit organizations that are subrecipients must be located in a local jurisdiction with a FEMA-approved hazard mitigation plan that includes all dam risks and complies with the Disaster Mitigation Act of 2000 (Public Law 106– 390; 114 Stat. 1552). If an HHPD subrecipient does not have a local mitigation plan that includes all dam risks, the subrecipient may request an extension to meet this requirement. (See Section H.2.b., Mitigation Plan Requirement Extension Requests)

(E) Carries out activities relating to the public in the area around the dam in accordance with the hazard mitigation plan.

(F) Complies with section 5196(j)(9) of title 42 of the U.S. Code (as in effect on

December 16, 2016) with respect to projects receiving assistance under this section in the same manner as recipients are required to comply in order to receive financial contributions from the Administrator for emergency preparedness purposes. See Section H.2.c., 42 U.S.C. § 5196(j)(9), for additional information.

(G) Complies with chapter 11 of title 40; Selection of Architects and Engineers. (See

Section D.4, Requirements Related to Contract and Subcontract Services.)

(H) Have in place (or will be developed not later than 1 year after the date of execution of a project agreement and implemented not later than 1 year after the date of completion of construction of the project) a floodplain management plan to reduce the impacts of future flood events in the area impacted by the project.

The floodplain management plan must address:

a. potential measures, practices, and policies to reduce loss of life, injuries, damage to property and facilities, public expenditures, and other adverse impacts of flooding in the area protected by the project;

https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-228302293-327866849&term_occur=20&term_src=title:33:chapter:9:subchapter:VII:section:467f%E2%80%932 https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-563890319-327866846&term_occur=3&term_src=title:33:chapter:9:subchapter:VII:section:467f%E2%80%932 https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-99216-266518314&term_occur=41&term_src=title:33:chapter:9:subchapter:VII:section:467f%E2%80%932 https://uscode.house.gov/view.xhtml?req=section+5196%28j%29%289%29+of+title+42&f=treesort&fq=true&num=4&hl=true&edition=prelim&granuleId=USC-prelim-title42-section5196 http://uscode.house.gov/view.xhtml?path=/prelim@title40/subtitle1/chapter11&edition=prelim.

b. plans for flood fighting and evacuation; and

c. public education and awareness of flood risks.

FEMA may provide technical support for the development and implementation of floodplain management plans prepared under this grant.

4. Other Eligibility Criteria FEMA-Approved Hazard Mitigation Plan The state must have in place (by the application deadline and at the time of obligation of grant funds) a FEMA-approved state hazard mitigation plan that includes all dam risks (See Section H.2.i, Definitions, for the definition of All Dam Risk) and complies with the Disaster Mitigation Act of 2000 (Public Law 106–390; 114 Stat. 1552). If an HHPD applicant does not have a state mitigation plan that includes all dam risks, the applicant may request an extension to meet this requirement. (See Section H.2.b., Mitigation Plan Requirement Extension Requests).

List of Eligible High Hazard Dams The SAA must submit a list of all eligible high hazard potential dams in their state with the application. The SAA must submit an official assurance statement (signed by the State Dam Safety Officer or Governor's Authorized Representative [GAR]) that all dams included on the list of eligible high hazard potential dams are regulated by the state dam safety program and meet the following HHPD criteria for eligible high hazard potential dams (Source: 33 U.S.C. § 467(4)(A)):

(A) a non-federal dam that—

(i) is located in a state with a state dam safety program;

(i) is classified as “high hazard potential” by the state dam safety agency in the state in which the dam is located;

(ii) has an emergency action plan (EAP) approved by the relevant state dam safety agency; and

(iii) the state in which the dam is located determines—

(I) fails to meet minimum dam safety standards of the state; and

(I) poses an unacceptable risk to the public.

(B) Exclusion: The term “eligible high hazard potential dam” does not include—

(i) a licensed hydroelectric dam; or

(ii) a dam built under the authority of the Secretary of Agriculture.

In addition to the minimum requirements listed above, FEMA will review the Condition Assessment data reported in the NID to validate a dam’s eligibility. Dams that meet the NID criteria for POOR or UNSATISATISFACTORY condition assessments may be eligible to include on the list of dams if a regulatory notice has also been issued. Dams with SATISFACTORY or NOT RATED condition assessments are not eligible for the HHPD program. Dams classified as FAIR in the NID will be evaluated by FEMA on a case-by-case basis to determine if they meet the requirements for eligibility.

Upon request, the SAA must provide to FEMA substantiating documentation that verify dams submitted are eligible under the HHPD grant. The requested documentation may include, but is not limited to, copies of the regulatory notices, risk assessments, engineering analyses, etc.

See Section H.2.f, Unacceptable Risk to the Public Determination, and Section H.2.i, Definitions, for the NID Condition Assessment definitions and the definitions of Unacceptable Risk to the Public and Official Regulatory Notice.

5. Cost Share or Match

Assistance provided under the HHPD grant is subject to a non-Federal cost-sharing requirement of not less than 35 percent. Federal funding is available for up to 65 percent of the eligible activity costs. The remaining 35 percent of eligible activity costs must be derived from non-federal sources, which may be in-kind. Requirements for cash and third-party in-kind contributions can be found in 2 C.F.R. § 200.306. The non-Federal cost share contribution is not limited to 65 percent.

The non-federal cost share contribution is calculated based on the total cost of the proposed activity. For example, if the total cost is $400,000 and the non-Federal cost share is 35 percent, then the non-federal contribution is $140,000: 35 percent of $400,000 is $140,000. The federal share cannot exceed $260,000 ($400,000 x 65%).

D. Application and Submission Information

1. Key Dates and Times

a. Application Start Date: 05/08/2020

b. Application Submission Deadline: 06/26/2020

5:00 PM (EST)

c. Anticipated Funding Selection Date No later than

09/01/2020

d. Anticipated Award Date No later than 09/30/2020

e. Other Key Dates

Applying for an award under this program is a multi-step process and requires time to complete. To ensure that an application is submitted on time applicants are advised to start the required steps well in advance of their submission. Applicants should review the table above for estimated deadlines to complete each required step. Failure of an

Event Suggested Deadline for Completion Obtaining DUNS Number Four weeks before actual submission deadline Obtaining a valid EIN Four weeks before actual submission deadline Updating SAM registration Four weeks before actual submission deadline Starting application in Grants.gov One week before actual submission deadline Final application in ND Grants By the submission deadline applicant to comply with any of the required steps before the deadline for submitting their application will automatically disqualify their application from funding.

2. Agreeing to Terms and Conditions of the Award By submitting an application, applicants agree to comply with the requirements of this NOFO and the terms and conditions of the award, should they receive an award.

3. Address to Request Application Package

Initial applications will be processed through the Grants.gov portal and final application will be processed through the Non-Disaster Grants (ND Grants) System.

Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov.

Hardcopies of the NOFO and associated application materials can be downloaded from Grants.gov.

In addition, the following Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this Notice is: (800) 462-7585

4. Steps Required to Submit an Application, Unique Entity Identifier, and System for

Award Management (SAM)

To apply for an award under this program, all applicants must:

a. Apply for, update, or verify their Data Universal Numbering System (DUNS)

Number from Dun & Bradstreet (D&B) and Employer ID Number (EIN)

b. In the application, provide a valid Data Universal Numbering System DUNS number, which is currently the unique entity identifier;

c. Have an account with login.gov;

d. Register for, update, or verify their SAM account and ensure the account is active before submitting the application;

e. Create a Grants.gov account;

f. Add a profile to a Grants.gov account;

a. Establish an Authorized Organizational Representative (AOR) in Grants.gov;

b. Submit initial application in Grants.gov;

g. (Submit the final application in the ND Grants System; and

h. Continue to maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency.

http://www.grants.gov/ https://www.login.gov/

Applicants are advised that DHS/FEMA may not make a federal award until the applicant has complied with all applicable DUNS and SAM requirements. Therefore, an applicant’s SAM registration must be active not only at the time of application, but also during the application review period and when DHS/FEMA is ready to make a federal award. Further, as noted above, an applicant’s or recipient’s SAM registration must remain active for the duration of an active federal award. If an applicant’s SAM registration is expired at the time of application, expires during application review, or expires any other time before award, DHS/FEMA may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

5. Electronic Delivery

DHS is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. DHS encourages or requires applicants to submit their applications online through Grants.gov, depending on the funding opportunity. For this funding opportunity, FEMA requires applicants to submit initial applications through Grants.gov and final applications through the ND Grants System.

6. How to Register to Apply

a. Instructions: Registering in Grants.gov is a multi-step process. Read the instructions below about registering to apply for DHS funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

The registration process can take up to four weeks to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required application submission deadlines.

Organizations must have a Data Universal Numbering System (DUNS) Number, active System for Award Management (SAM) registration, and Grants.gov account to apply for grants. If individual applicants are eligible to apply for this grant funding opportunity, then you may begin with step 3, Create a Grants.gov account, listed below.

Creating a Grants.gov account can be completed online in minutes, but DUNS and SAM registrations may take several weeks. Therefore, an organization's registration should be done in sufficient time to ensure it does not impact the entity's ability to meet required application submission deadlines. Complete organization instructions can be found on Grants.gov here:

https://www.grants.gov/web/grants/applicants/organization-registration.html https://www.grants.gov/web/grants/applicants/organization-registration.html

1) Obtain a DUNS Number: All entities applying for funding, including renewal funding, must have a DUNS number from Dun & Bradstreet (D&B). Applicants must enter the DUNS number in the data entry field labeled "Organizational DUNS" on the SF-424 form.

For more detailed instructions for obtaining a DUNS number, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html

2) Register with SAM: All organizations applying online through Grants.gov must register with the System for Award Management (SAM). Failure to register with SAM will prevent your organization from applying through Grants.gov. SAM registration must be renewed annually.

For more detailed instructions for registering with SAM, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html

3) Create a Grants.gov Account: The next step is to register an account with Grants.gov. Follow the on-screen instructions or refer to the detailed instructions here: https://www.grants.gov/web/grants/applicants/registration.html

4) Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single applicant organization the user represents (i.e., an applicant) or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to one Grants.gov account to access all of your grant applications. To add an organizational profile to your Grants.gov account, enter the DUNS Number for the organization in the DUNS field while adding a profile.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/registration/add-profile.html

5) EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an Organization Applicant Profile, the organization applicant's request for Grants.gov roles and access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html

6) Track Role Status: To track your role request, refer to:

https://www.grants.gov/web/grants/applicants/registration/track-role-status.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/registration.html https://www.grants.gov/web/grants/applicants/registration/add-profile.html https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html https://www.grants.gov/web/grants/applicants/registration/track-role-status.html

7) Electronic Signature: When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize individuals who are able to make legally binding commitments on behalf of the organization as a user with the AOR role; this step is often missed, and it is crucial for valid and timely submissions.

7. How to Submit an Initial Application to DHS/FEMA via Grants.gov

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different webforms within an application. For each NOFO, you can create individual instances of a workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities using Workspace, refer to:

https://www.grants.gov/web/grants/applicants/workspace-overview.html

a. Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting.

b. Complete a Workspace: Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission. The Workspace progress bar will display the state of your application process as you apply. As you apply using Workspace, you may click the blue question mark icon near the upper-right corner of each page to access context-sensitive help.

c. Adobe Reader: If you decide not to apply by filling out webforms you can download individual PDF forms in Workspace. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at:

https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

d. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

e. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS number.

To trigger this feature, an applicant must complete the SF-424 information first.

Once it is completed, the information will transfer to the other forms.

https://www.grants.gov/web/grants/applicants/workspace-overview.html https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

f. Submit a Workspace: An application may be submitted through workspace by clicking the Sign and Submit button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24- 48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

g. Track a Workspace Submission: After successfully submitting a workspace application, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the Confirmation page that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace.

For additional training resources, including video tutorials, refer to:

https://www.grants.gov/web/grants/applicants/applicant-training.html

Applicant Support: Grants.gov provides applicants 24/7 support via the toll-free number 1-800-518-4726 and email at support@grants.gov. For questions related to the specific grant opportunity, contact the number listed in the application package of the grant you are applying for.

If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist DHS with tracking your issue and understanding background information on the issue.

8. Submitting the Final Application in ND Grants System After submitting the initial application in Grants.gov, eligible applicants will be notified by DHS/FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement. Early registration will allow applicants to have adequate time to start and complete their application.

If you need assistance registering for the ND Grants system, please contact ndgrants@fema.dhs.gov or (800) 865-4076. For step-by-step directions on using the ND Grants system and other guides, please see https://www.fema.gov/non-disaster-grants-management-system.

In ND Grants, applicants will be prompted to submit the standard application information required as described below. The Standard Forms (SF) are auto generated in ND Grants, but applicants may access these forms in advance through the Forms tab under the SF- 424 family on Grants.gov. Applicants should review these forms before applying to ensure they have all the information required:

• SF-424A, Budget Information (Non-construction) o For construction under an award, submit SF-424C, Budget Information

(Construction) in addition to or instead of SF-424A

• SF-424B, Standard Assurances (Non-construction) https://www.grants.gov/web/grants/applicants/applicant-training.html mailto:support@grants.gov mailto:ndgrants@fema.dhs.gov https://www.fema.gov/non-disaster-grants-management-system https://www.fema.gov/non-disaster-grants-management-system o For construction under an award, submit SF-424D, Standard Assurances (Construction), in addition to or instead of SF-424B

• SF-LLL, Disclosure of Lobbying Activities

• Indirect Cost Agreement or Proposal, if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. See further information below regarding allowability of indirect costs and documentation requirements, including if the applicant does not have or is not required to have an indirect cost rate agreement or proposal, or contact the relevant DHS/FEMA staff identified in Section G, “DHS Awarding Agency Contact Information” for further instructions.

Generally, applicants have to submit either the non-construction forms (i.e., SF-424A and SF-424B) or construction forms (i.e., SF-424C and SF-424D), meaning that applicants that only have construction work and do not have any non-construction work need only submit the construction forms (i.e., SF-424C and SF-424D) and not the non-construction forms (i.e., SF-424A and SF-424B), and vice versa. However, applicants who have both construction and non-construction work under this program need to submit both the construction and non-construction forms.

For program-specific application submission requirements, please refer to the subsection titled “Content and Form of Application Submission” under Section D of this NOFO or to other program documents.

9. Timely Receipt Requirements and Proof of Timely Submission

a. As application submission is a two-step process, the applicant with the Authorized Organizational Representative (AOR) role who submitted the application will receive an acknowledgment of receipt, and a tracking number (GRANTXXXXXXXX) from Grants.gov. This notification does not serve as proof of timely submission as the application is not complete until it is submitted in ND Grants. All applications must be received in ND Grants by 5:00 PM 06/26/2020

Proof of timely submission is automatically recorded by ND Grants. An electronic date/time stamp is generated within the system when the application is successfully received by ND Grants. Additionally, the applicant(s) listed as contacts on the application will receive a system-generated email to confirm receipt.

10. Content and Form of Application Submission The following forms or information are required to be submitted in either Grants.gov or ND Grants. The Standard Forms (SF) are submitted either through Grants.gov, through forms generated in ND Grants, or as an attachment in ND Grants. Applicants may also access the SFs at https://www.grants.gov/web/grants/forms/sf-424-family.html.

a. Grants.gov SF-424, Application for Federal Assistance (Initial Application) Grants.gov Lobbying Form, Certification Regarding Lobbying https://www.grants.gov/web/grants/forms/sf-424-family.html

b. ND Grants: Standard Forms or Information SF-424A, Budget Information (Non-construction) o For construction under an award, submit SF-424C, Budget Information (for Construction) in addition to or instead of SF-424A Programs

SF-424B, Standard Assurances (Non-construction) o For construction under an award, submit SF-424D, - Standard Assurances for (Construction), in addition to or instead of SF-424B Programs SF-LLL, Disclosure of Lobbying Activities Indirect Cost Rate Agreement or Proposal if the budget includes indirect costs.

See further information below regarding allowability of indirect costs and documentation requirements, including if the applicant does not have or is not required to have an indirect cost rate agreement or proposal, or contact the relevant DHS/FEMA staff identified in Section G, “DHS Awarding Agency Contact Information” for further instructions.

c. ND Grants: Program-Specific Forms or Information In addition, applicants are also be required to submit the following in ND Grants:

1. Detailed Budget

2. The SAA must submit a list of all eligible high hazard potential dams, including

National Inventory of Dams (NID) ID Identifiers, in their state with the application.

See Section C.2, List of Eligible High Hazard Potential Dams, for specific requirements.

3. A description of the state’s risk-based prioritization method if the application includes activities for more than one dam. (See Section H.2.e, Minimum Requirements for Risk-Based Prioritization.)

4. Statement that the applicant is able to comply with regulations associated with receipt of federal financial contributions from FEMA.

5. Assurance statement that subrecipients will meet all criteria listed in Section C.3, Subrecipient Eligibility Criteria.

6. Assurance statement that the 35 percent cost share requirement can be met. See Section C.5, Cost Share or Match, for requirements.

7. A Program Work Plan that describes how HHPD funds will be used to advance HHPD priorities and performance goals. The Program Work Plan must clearly identify how the SAA proposes to meet the performance metrics identified in Section A.10, Performance Metrics.

8. A Grant Management Plan for the administration of the HHPD Grant Program. At a minimum, the Grant Management Plan must include the items listed below:

i. Designation of the SAA responsible for program administration.

ii. Identification of the State Official responsible for all matters related to the High Hazard Potential Dam Rehabilitation Grant Program.

iii. Determination of staffing requirements and sources of staff necessary for administration of the program.

iv. Establishment of procedures to:

1. Identify and notify potential subrecipients of the availability of the program.

2. Ensure that potential subrecipients are provided information on the application process, program eligibility, including the requirement for a FEMA-approved mitigation plan that includes all dam risks, and key deadlines.

3. Determine subrecipient eligibility, including the requirement for a FEMA-approved mitigation plan

4. Submit revisions or amendments for FEMA review and approval. See Section F.2, Pass-Through Requirements.

5. Conduct environmental and floodplain management reviews.

6. Establish priorities for selection of projects.

7. Process requests for advances of funds and reimbursement.

8. Monitor and evaluate the progress and completion of the selected projects.

9. Review and approve cost overruns.

10. Process appeals.

11. Provide technical assistance as required to subgrantee(s) including coordination with State Hazard Mitigation Officer regarding mitigation plan requirement.

12. Comply with the administrative and audit requirements of 2 CFR parts 200 and 3002.

13. Provide quarterly progress reports to FEMA on approved projects.

3. Intergovernmental Review An intergovernmental review may be required. Applicants must contact their state’s Single Point of Contact (SPOC) to comply with the state’s process under Executive Order 12372.(See https://www.archives.gov/federal-register/codification/executive-order/12372.html; https://www.whitehouse.gov/wp-content/uploads/2019/02/SPOC- February-2019.pdf).

4. Funding Restrictions

All costs charged to awards covered by this NOFO must comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated in the NOFO or the terms and conditions of the award.

Federal funds made available through this award may only be used for the purpose set forth in this NOFO and must be consistent with the statutory authority for the award.

Award funds may not be used for matching funds for any 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.

HHPD recipients may only fund activities and projects that are included and approved in the FY 2020 HHPD Program Work Plan and Budget. See Section H.2.g, Eligible Activities, for a description of eligible activities. See Section D.10, Content and Form of Application Submission, for Program Work Plan requirements.

The maximum amount of funding any Subrecipient can receive under HHPD is statutorily limited. The maximum subrecipient funding cannot exceed the lesser of 12.5 https://www.archives.gov/federal-register/codification/executive-order/12372.html https://www.archives.gov/federal-register/codification/executive-order/12372.html https://www.whitehouse.gov/wp-content/uploads/2019/02/SPOC-February-2019.pdf https://www.whitehouse.gov/wp-content/uploads/2019/02/SPOC-February-2019.pdf percent of the total amount of funds made available, or $7,500,000. For the FY 2020 program, $10,000,000 is allocated to the HHPD program; therefore, no subrecipient may receive an award for more than $1,250,000 (See Section H.2.d, Examples Using Funding Formula).

Requirements Related to Contractor and Subcontractor Wages Recipients and Subrecipients are required to comply with the requirements of 42 U.S.C. § 5196(j)(9). All laborers and mechanics employed by contractors or subcontractors in the performance of construction work financed with the assistance of any contribution of Federal funds made by the Administrator under this subsection shall be paid wages at rates not less than those prevailing on similar construction in the locality as determined by the Secretary of Labor in accordance with sections 3141–3144, 3146, and 3147 of title 40, and every such employee shall receive compensation at a rate not less than one and ½ times the basic rate of pay of the employee for all hours worked in any workweek in excess of eight hours in any workday or 40 hours in the workweek, as the case may be.

The Administrator shall make no contribution of Federal funds without first obtaining adequate assurance that these labor standards will be maintained upon the construction work. The Secretary of Labor shall have, with respect to the labor standards specified in this subsection, the authority and functions set forth in Reorganization Plan Numbered 14 of 1950 (5 U.S.C. App.) and section 3145 of title 40.

Requirements Related to Contract and Subcontract Services A contract awarded shall not be considered to confer a proprietary interest upon the United States. As a condition on the receipt of a grant under this section of an amount greater than $1,000,000, recipients and subrecipients shall require that each contract and subcontract for program management, construction management, planning studies, feasibility studies, architectural services, preliminary engineering, design, engineering, surveying, mapping, and related services entered into using funds from the grant be awarded in the same manner as a contract for architectural and engineering services is awarded under 40 U.S. Code Chapter 11 or an equivalent qualifications-based requirement prescribed by the recipient state.

Unallowable Activities Federal funds provided under the HHPD cannot be used to (See 33 U.S.C. § 467f-2(h)):

a. Rehabilitate a federal dam.

b. Perform routine operation or maintenance of a dam.

c. Modify a dam to produce hydroelectric power.

d. Increase water supply storage capacity.

e. Make any other modification to a dam that does not also improve the safety of the dam.

5. Allowable Costs

a. Pre-Award Costs

Pre-award costs are not allowed.

b. Management and Administration (M&A) Costs Management and administration (M&A) activities are those directly relating to the management and administration of HHPD funds, such as financial management and monitoring. A maximum of up to 10 percent of HHPD funds awarded may be retained by the state, and any funds retained are to be used solely for M&A purposes associated with the HHPD award. Subrecipients may also retain a maximum of up to 5 percent of the funding passed through by the state solely for M&A purposes associated with the HHPD award. Applicant requests for management costs must be included in the Program Work Plan. Subrecipient management cost activities must be added to the scope of work section and reflected in the cost estimate section of subgrant applications.

Applicants and subrecipients who do not receive awards/subawards will not receive reimbursement for management costs.

c. Indirect Facilities & Administrative (F&A) Costs

Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above.

E. Application Review Information

1. Application Evaluation Criteria

a. Programmatic Criteria

Mitigation Plan Requirement

Applicant During the application review period for completeness and eligibility, FEMA will validate if the Applicant has a FEMA-approved state mitigation plan that includes all dam risks (See Section H.2.i, Definitions, for the definition of All Dam Risk). If the Applicant has a FEMA-approved state mitigation plan that does not include all dam risks, FEMA will inform the Applicant of the determination and the Applicant may submit a request for an extension to the mitigation plan requirement. All supplemental attachments must be submitted via ND Grants. (See Section H.2.b., Mitigation Plan Requirement Extension Requests)

Applicant’s state hazard mitigation plan will be assessed against 44 C.F.R. Part 201, Mitigation Planning, to determine if the plan complies with the requirement.

Specifically, FEMA will validate whether each of the following elements are included in the state hazard mitigation plan:

a. Does the plan describe how the state dam safety agency, other agencies, and stakeholders participated in the planning process and contributed expertise, data, studies, information, etc. relative to eligible high hazard potential dams?

b. Does the plan address all dam risk for eligible high hazard potential dams in the risk assessment?

c. Does the plan include mitigation goals to reduce long-term vulnerabilities from eligible high hazard potential dams that pose an unacceptable risk to the public?

d. Does the plan prioritize mitigation actions to reduce vulnerabilities from eligible high hazard potential dams that pose an unacceptable risk to the public?

e. Does the plan identify current and potential sources of funding to implement mitigation actions and activities for eligible high hazard potential dams that pose an unacceptable risk to the public?

f. Does the plan generally describe and analyze the effectiveness of local mitigation policies, programs, and capabilities that address eligible high hazard potential dams that pose an unacceptable risk to the public?

g. Does the plan describe the criteria for prioritizing funding for eligible high hazard potential dams that pose an unacceptable risk to the public?

For additional information on state mitigation plan requirements and FEMA procedures for review and approval of state mitigation plans, see FEMA’s State Mitigation Plan Review Guide (FP 302-094-2, March 2015).

Subrecipients The subrecipient’s local hazard mitigation plan will be assessed against 44 C.F.R. Part 201, Mitigation Planning, to determine if the plan complies with the requirement.

Specifically, FEMA will validate whether each of the following elements are included in the local hazard mitigation plan:

a. Does the plan describe the incorporation of existing plans, studies, reports, and technical information for eligible high hazard potential dams?

b. Does the plan address eligible high hazard potential dams in the risk assessment?

c. Does the plan include mitigation goals to reduce long-term vulnerabilities from eligible high hazard potential dams that pose an unacceptable risk to the public?

d. Does the plan prioritize mitigation actions to reduce vulnerabilities from eligible high hazard potential dams that pose an unacceptable risk to the public?

For additional information on local mitigation plan requirements and FEMA procedures for review and approval of local mitigation plans, see FEMA’s Local Mitigation Plan Review Guide (Local Guide) (October 2011) https://www.fema.gov/media-library/assets/documents/101659 https://www.fema.gov/media-library/assets/documents/101659 https://www.fema.gov/media-library/assets/documents/23194 https://www.fema.gov/media-library/assets/documents/23194

b. Financial Integrity Criteria

Prior to making a federal award, the DHS/FEMA is required by 31 U.S.C. § 3321 note, 41 U.S.C. § 2313, and 2 C.F.R. § 200.205 to review information available through any OMB-designated repositories of government wide eligibility qualification or financial integrity information. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant:

1) Financial stability.

2) Quality of management systems and ability to meet management standards.

3) History of performance in managing federal award.

4) Reports and findings from audits.

5) Ability to effectively implement statutory, regulatory, or other requirements.

c. Supplemental Financial Integrity Criteria and Review

Prior to making a federal award where the anticipated total federal share will be greater than the simplified acquisition threshold, currently $250,000 (see Section 805 of the National Defense Authorization Act for Fiscal Year 2018, Pub. L. No. 115-91, OMB Memorandum M-18-18 at https://www.whitehouse.gov/wp-content/uploads/2018/06/M-18-18.pdf):

1) DHS/FEMA is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM, which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS) and is accessible through the SAM website.

2) An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a federal awarding agency previously entered.

3) DHS/FEMA will consider any comments by the applicant, in addition to the other information in FAPIIS, in making a judgment about the applicant’s integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 C.F.R. § 200.205.

2. Review and Selection Process

Applications will be reviewed and recommended for funding by FEMA.