Final DRAFT FY 2020 NDSP NOFO_5_7_20_OMB_cleanRevised_50122020.pdf

The Department of Homeland Security (DHS) Notice of Funding Opportunity (NOFO) FY 2020 National Dam Safety Program

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

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

Fiscal Year 2020 National Dam Safety Program State Assistance Grant

5. Funding Opportunity Number Region 1: DHS-20-MT-041-01-01 Region 2: DHS-20-MT-041-02-01 Region 3: DHS-20-MT-041-03-01 Region 4: DHS-20-MT-041-04-01 Region 5: DHS-20-MT-041-05-01 Region 6: DHS-20-MT-041-06-01 Region 7: DHS-20-MT-041-07-01 Region 8: DHS-20-MT-041-08-01 Region 9: DHS-20-MT-041-09-01 Region 10: DHS-20-MT-041-10-01

6. Authorizing Authority for Program http://www.grants.gov/web/grants/register.html

Section 8 of the National Dam Safety Program Act, as amended, (Pub. L. No. 104-303) (codified as amended at 33 U.S.C. §§ 467-467n).

7. Appropriation Authority for Program

The Department of Homeland Security Appropriations Act, 2020 (Pub. L. No. 116-93) Division D, Title III, FEMA, Operations and Support, paragraph 1

8. Announcement Type Initial

9. Program Overview, Objectives, and Priorities The National Dam Safety Program’s mission is to reduce risks to lives, property, and the environment from dam failure by guiding public policy and leveraging industry best practices across the dam safety community. The National Dam Safety Program supports FEMA Strategic Goal 1: Build a Culture of Preparedness and FEMA Strategic Goal 2:

Ready the Nation for Catastrophic Disasters.

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.

Objectives The objectives of the Program are to:

• Ensure that new and existing dams are safe through the development of technologically and economically feasible programs and procedures for national dam safety hazard reduction;

• Encourage acceptable engineering policies and procedures to be used for dam site investigation, design, construction, operation, maintenance, and emergency preparedness;

• Encourage the establishment and implementation of effective dam safety programs in each State based on State standards;

• Develop and implement a comprehensive dam safety hazard education and public awareness initiative to assist in preparing for, mitigating, responding to, and recovering from dam incidents;

• Develop mechanisms with which to provide Federal technical assistance for dam safety to non-Federal dam safety practitioners; and

• Develop technical assistance materials, seminars, and guidelines to improve security for dams in the United States.

Priorities The National Dam Safety Program (NDSP) supports state dam safety programs in the development and maintenance of dam safety programs. The program enables statutory state dam safety programs to take precautions that ensure the safety of the dams, such as the development of regulatory authority for the design, construction, operation, and maintenance of dams, the undertaking of dam inspections, development of Emergency

Action Plans for dams, and educating dam owners and the public about the necessity of dam safety.

10. Performance Metrics

• The number of high hazard potential dams inspected expressed as a percentage of the number of high hazard potential dams due for inspection.

• The percentage of high hazard potential dams that have emergency action plans in place.

• The percentage of high hazard potential dams with condition assessments entered in the National Inventory of Dams (NID).

Please refer to F. 3 b. Programmatic Performance Reporting Requirements of this announcement for additional information on metrics for the National Dam Safety Program.

B. Federal Award Information

1. Available Funding for the NOFO: $6,150,000

2. Projected number of Awards: 50

3. Period of Performance: 12 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 H of this announcement.

4. Projected Period of Performance Start Date(s): 08/15/2020

5. Projected Period of Performance End Date(s): 08/14/2021

6. Funding Instrument Type: Grant

C. Eligibility Information

1. Applicant Eligibility Criteria

This funding opportunity is restricted to the state dam safety program for eligible entities meeting the statutory definition of a “state” (See 33 U.S.C. § 467(10)).

Per 33 U.S.C. § 467(10), 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. Other Eligibility Criteria

For a State to be eligible for assistance under this program, a State dam safety program must be authorized by State legislation and working toward meeting certain criteria and budgeting requirements. Eligible State dam safety programs must:

1. Have the authority to review and approve plans and specifications to construct, enlarge, modify, remove, and abandon dams;

2. Have the authority to perform periodic inspections during dam construction to ensure compliance with approved plans and specifications;

3. Maintain a requirement that, on completion of dam construction, State approval must be given before operation of the dam;

4. Have the authority to require or perform periodic evaluations of all dams and reservoirs to determine the extent of the threat to human life and property in case of failure;

5. Have the authority to require or perform the inspection, at least once every five (5) years, of all dams and reservoirs that would pose a significant threat to human life and property in case of failure to determine the continued safety of the dams and reservoirs;

6. Maintain procedures for conducting more detailed and frequent safety inspections, if necessary;

7. Maintain a requirement that all inspections be performed under the supervision of a State-registered professional engineer with experience in dam design and construction;

8. Have the authority to require dam owners to perform necessary maintenance or remedial work, install and monitor instrumentation, improve security, revise operating procedures, or take other actions, including breaching dams when necessary;

9. Maintain regulations for carrying out the State legislation described in this subparagraph;

10. Have access to funds necessary—

a. to ensure timely repairs or other changes to, or removal of, a dam in order to protect human life and property; and

b. to take appropriate action as expeditiously as practicable if a dam owner does not take action described in 10.a.;

11. Maintain emergency procedures to be used if a dam fails or if the failure of a dam is imminent; and

12. Identify

a. each dam the failure of which could be reasonably expected to endanger human life;

b. the maximum area that could be flooded if such dams failed; and

c. critical public facilities that would be affected by the flooding.

3. Maintenance of Effort (MOE) Assistance may not be provided to a State under this program for a fiscal year unless the State maintains the aggregate expenditures of the State from all other sources for programs to ensure dam safety for the protection of human life and property at or above a level equal to the average annual level of such expenditures for the two fiscal years preceding the current fiscal year.

4. Cost Share or Match There is no Cost Match or Cost Share requirement for this program.

D. Application and Submission Information

1. Key Dates and Times

a. Application Start Date: 05/13/2020

b. Application Submission Deadline: 06/15/2020 at 5:00PM (EDT)

c. Anticipated Funding Selection Date: No later than 07/10/2020

d. Anticipated Award Date: No later than 08/01/2020

e. Other Key Dates

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 complete 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

Event Suggested Deadline for Completion Obtaining DUNS Number 05/18/2020

Obtaining a valid EIN Four weeks before actual submission deadline 05/18/2020

Updating SAM registration Four weeks before actual submission deadline 05/18/2020

Starting application in Grants.gov

One week before actual submission deadline 06/08/2020

Final application in ND Grants One week before submission deadline

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;

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

h. Submit initial (SF 424) application in Grants.gov;

i. Submit the final application in the ND Grants System and

j. 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.

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 their initial application through Grants.gov and the final application through the ND Grants System.

a. How to Register to Apply 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 https://www.login.gov/ 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

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 your grant applications. To add an organizational profile to your Grants.gov https://www.grants.gov/web/grants/applicants/organization-registration.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 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

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 people 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.

6. How to Submit an Initial Application to DHS via Grants.gov

Standard Form 424 (SF-424) is the initial application for this NOFO.

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

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.

https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html https://www.grants.gov/web/grants/applicants/applicant-training.html mailto:support@grants.gov

7. Submitting the Final Application in Non-Disaster Grants System (ND GRANTs)

After submitting the initial application in Grants.gov, eligible applicants will be notified by DHS/FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement. 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) 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.

8. Timely Receipt Requirements and Proof of Timely Submission mailto:ndgrants@fema.dhs.gov https://www.fema.gov/non-disaster-grants-management-system https://www.fema.gov/non-disaster-grants-management-system

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 with the successful transmission of the initial application. This notification does not serve as proof of timely submission as the application is not complete until it is submitted in the ND Grants System. Applicants can also view the ND Grants Agency Tracking Number by accessing the Details tab in the submitted workspace section in Grants.gov, under the Agency Tracking Number column.

Should the Agency Tracking Number not appear, the application has not yet migrated from Grants.gov into the ND Grants System. Please allow 24 hours for your ND Grants application tracking number to migrate. All applications must be received in ND Grants by 5:00 PM (EDT) on 06/15/2020. Failure of an applicant to comply with any of the required steps before the deadline for submitting their application will automatically disqualify their application from funding.

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.

9. 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

b. ND Grants: Standard Forms or Information 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) 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 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.

https://www.grants.gov/web/grants/forms/sf-424-family.html

c. ND Grants: Program-Specific Forms or Information

• Program and Budget Narrative

• Program Work Plan

• Project Objectives

• Detailed budget.

10. Other Submission Requirements

Recent large scale hydrometeorological events (Hurricanes, Northeasters, Major Snowstorms & Melt Runoff, Precipitation Training Events, etc.) have generated exceptionally high volumes of storm water runoff resulting in dam failures. In some instances, these failures have generated significant impacts to communities, infrastructure as well as causing environment damage. To identify and characterize potential dam safety actions in advance of adverse loading conditions, if information is available, states must submit a tabulated list of potentially vulnerable dam projects of interest within their area of responsibility. If this information is not available, states must be working towards gathering this data and provide a timeframe as to when this information can be provided.

This list will be updated and submitted quarterly with the required Programmatic Performance Report. The tabulated information, as described below, shall be made available to FEMA, upon request, for dissemination to appropriate Federal Agencies involved in an event-driven disaster response/recovery effort.

Data Requested from States:

State dam safety offices shall maintain a list of potentially vulnerable HHP dams.

Information shall include:

• Designation of a State Official to act as the Point of Contact (POC) with Federal partners by Name, Phone Number & Email address;

• Identify vulnerable HHP dams by NID Number or by project name and location (geospatially referenced by latitude and longitude) for dams that are:

o Currently under construction;

o Operating with pool restrictions, o Having structural or hydrologic deficiencies that may adversely impact performance under loading conditions which may realistically occur o Recognized to require immediate or emergency remedial action o Having poor performance based on historical loading conditions, o Under consideration for FEMA’s High Hazard Potential Dam (HHPD)

Grant Program;

o Identified by the State for another consideration.

11. 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).

12. Funding Restrictions

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

Award funds cannot be used to construct or repair any Federal or non-Federal dam.

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.

13. Allowable Costs

a. Pre-Award Costs Pre-award costs are NOT allowed.

b. Management and Administration (M&A) Costs

M&A costs are not allowable under this program.

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

Applications will be reviewed to ensure conformance with the Eligibility Criteria in Section C of this NOFO, consistency with the goals and objectives of the National Dam Safety Program (NDSP), and consistency with the Application Submission Criteria in Section D. Applicants that do not meet eligibility or application submission requirements will be removed from consideration.

https://www.archives.gov/federal-register/codification/executive-order/12372.html https://www.whitehouse.gov/wp-content/uploads/2019/02/SPOC-February-2019.pdf

FEMA will review submitted work plans for approval and/or discuss recommended modification of the planned tasks given the circumstances for that individual state (e.g. delinquent inspections, revised EAPs, or need for inspections).

FEMA will review state funding documentation submitted with applications. States unable to document state-appropriated funds will be deemed ineligible to participate.

b. Financial Integrity Criteria

Prior to making a federal award, FEMA is required by 31 U.S.C. § 3321 note, 41 U.S.C. § 2313, and 2 C.F.R. § 200.205 to review information available through any OMB-designated repositories of government wide eligibility qualification or financial integrity information. 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) 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) 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 Regional Offices and Headquarters. Once the application is submitted into Grants.gov, the appropriate FEMA Regional Office will review the application and work plan for eligibility. The FEMA Regional Office will make sure there are clearly defined goals https://www.whitehouse.gov/wp-content/uploads/2018/06/M-18-18.pdf https://www.whitehouse.gov/wp-content/uploads/2018/06/M-18-18.pdf https://www.fapiis.gov/fapiis/index.action https://www.fapiis.gov/fapiis/index.action https://sam.gov/SAM/pages/public/index.jsf and objectives in the applicants’ work plan and necessary critical data. Applicants will be evaluated and selected for funding based on the following:

• The applicant has the authority and demonstrates the expertise necessary to fulfill the requirements of the National Dam Safety Program.

• The applicant’s proposed work plan employs sound concepts and techniques, and realistic timetables. Proposed projects are deliverable, sustainable, and compatible with the goals of the National Dam Safety Program.

• The applicant proposes costs that are complete, reasonable, and cost-effective in relation to proposed projects and tasks.

If the application and work plan are deemed eligible by the Regional Office, it is recommended for award.

The budget narrative and budget worksheets are critical elements of the budget. These documents help the recipient justify the need for each line item and cost estimates. They explain how the costs relate to the programmatic goals for the project and support the budget by showing the basis of computation. The budget narrative and basis of computation must be related to, and include all costs necessary to complete, each of the proposed activities in the work plan. FEMA uses the budget narrative/justification and basis of computation submitted by the applicant to review the funding amounts listed in the project narrative/SOW, the SF- 424, and confirm that award costs are allowable, allocable, reasonable, and necessary.

Funds will not be made available for obligation, expenditure, or drawdown until the applicant’s budget (to include Indirect Cost Agreement, if applicable) and budget narrative have been approved by FEMA and the grant award accepted by the recipient.

F. Federal Award Administration Information

1. Notice of Award Before accepting the award, the AOR and recipient should carefully read the award package. The award package includes instructions on administering the grant award and the terms and conditions associated with responsibilities under federal awards.

Recipients must accept all conditions in this NOFO as well as any special terms and conditions in the Notice of Award to receive an award under this program.

Notification of award approval is made through the ND Grants system through an automatic e-mail to the awardee point of contact (the “authorized official”) listed in the initial application. The date FEMA approves the award is the “award date.” The awardee should follow the directions in the notification to accept the award.

Recipients must accept their awards no later than 90 days from the award date. The recipient shall notify FEMA of its intent to accept and proceed with work under the award or provide a notice of intent to decline through the ND Grants system. For instructions on how to accept or decline an award in the ND Grants system, please see the ND Grants Grant Recipient User Guide.

Funds will remain on hold until the recipient accepts the award through the ND Grants system 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.

2. Administrative and National Policy Requirements

All successful applicants for DHS grant and cooperative agreements are required to comply with DHS Standard Terms and Conditions, which are available online at: DHS Standard Terms and Conditions.

The applicable DHS Standard Terms and Conditions will be those in effect at the time the award was made. What terms and conditions will apply for the award will be clearly stated in the award package at the time of award.

3. Reporting

a. Federal Financial Reporting Requirements The Federal Financial Report (FFR) form is available online at: SF-425 OMB #4040- 0014 The following reporting periods and due dates apply for the FFR:

Reporting Period Report Due Date

October 1 – December 31 January 30

January 1 – March 31 April 30

April 1 – June 30 July 30

July 1 – September 30 October 30

b. Programmatic Performance Reporting Requirements Grant recipients are responsible for providing performance reports on a quarterly basis. Performance progress reports should be submitted as either a word document or a pdf file. Performance progress reports are due within 30 days after the end of each reporting period, must be submitted via ND Grants, and must include at a minimum the following:

• A progress report reflecting how dam safety grant objectives are being met;

• Program updates for each task proposed in the work plan, to include a comparison of actual accomplishments to the approved proposed project objectives and performance metrics; and

• Program reports on the standard program metrics listed below.

https://www.fema.gov/media-library-data/1553003058332-2016d7d4ab538f3e6fa49b6e0c59e236/2019_Grant_Recipient_User_Guide.pdf http://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions http://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1

The program work plan shall also be updated on a quarterly basis and submitted through the ND Grants system for review. Work plan modifications must include updated project objectives and performance metrics, as appropriate.

States will report on a quarterly basis on the following program metrics:

• Number (#) of dams that fail during the year; and

• Number (#) of lives lost in association with dam failure.

Metric 1 - Safety Inspections: The number of high hazard potential dams inspected expressed as a percentage of the number of high hazard potential dams due for inspection.

This metric will be calculated as follows:

• Divide the number of high hazard potential dams inspected by the number of high hazard potential dams due for inspection.

• Multiply the resulting number by 100 to obtain a percentage.

Metric 2 - Emergency Action Plans: The percentage of high hazard potential dams that have emergency action plans in place. This metric will be calculated as follows:

• Divide the number of high hazard potential dams with emergency action plans by the total number of high hazard potential dams.

• Multiply the resulting number by 100 to obtain a percentage.

Metric 3 - Condition Assessments: The percentage of high hazard potential dams with condition assessments entered into the NID.

This metric will be calculated as follows:

• Divide the number of high hazard dams with condition assessments entered into the NID by the total number of high hazard potential dams.

• Multiply the resulting number by 100 to obtain a percentage.

State performance towards each metric listed above will be classified as low, intermediate, or high, as follows:

Performance Metric Value Low 0 to 49% Intermediate 50 to 74% High 75 – 100%

States will identify dam safety/dam risk management tasks to accomplish in the FY 2020 proposed work plan. (See Section E of this NOFO).

If a State has at least one intermediate performing metric, the State must dedicate a minimum of ten (10) percent of the remaining grant award to improving one or more of the intermediate performing metrics.

If a State has at least one low performing metric, the State must dedicate a minimum of thirty-three (33) percent of the remaining grant award to improving one or more of the low performing metrics.

States that, over two consecutive grant cycles, do not meet the performance objectives they proposed in their work plans may lose five percent of funding from their next year grant award.

c. Closeout Reporting Requirements

Within 90 days after the end of the period of performance, or after an amendment has been issued to close out a grant, recipients must submit the following:

1) The final request for payment, if applicable;

2) The final FFR (SF-425);

3) The final progress report detailing all accomplishments;

4) A qualitative narrative summary of the impact of those accomplishments throughout the period of performance; and

5) Other documents required by this NOFO, terms and conditions of the award, or other FEMA guidance.

If applicable, an inventory of all construction projects that used funds from this program must be reported with the final progress report.

After these reports have been reviewed and approved by FEMA, a closeout 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, unless a longer period applies, such as due to an audit or litigation, for equipment or real property used beyond the period of performance, or due to other circumstances outlined in 2 C.F.R. § 200.333.

In addition, any recipient that issues subawards to any subrecipient is responsible for closing out those subawards as described in 2 C.F.R. § 200.343. Recipients acting as pass-through entities must ensure that they complete the closeout of their subawards in time to submit all necessary documentation and information to FEMA during the closeout of their prime grant award.

The recipient is responsible for returning any funds that have been drawn down but remain as unliquidated on recipient financial records.

d. Disclosing Information per 2 C.F.R. § 180.335

This reporting requirement pertains to disclosing information related to government-wide suspension and debarment requirements. Before a recipient enters into a grant award with FEMA, the recipient must notify FEMA if it knows if it or any of the recipient’s principals under the award fall under one or more of the four criteria listed at 2 C.F.R. § 180.335:

1) Are presently excluded or disqualified;

2) Have been convicted within the preceding three years of any of the offenses listed in 2 C.F.R. § 180.800(a) or had a civil judgment rendered against it or any of the recipient’s principals for one of those offenses within that time period;

3) Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state or local) with commission of any of the offenses listed in 2 C.F.R. § 180.800(a); or

4) Have had one or more public transactions (federal, state, or local) terminated within the preceding three years for cause or default.

At any time after accepting the award, if the recipient learns that it or any of its principals falls under one or more of the criteria listed at 2 C.F.R. § 180.335, the recipient must provide immediate written notice to FEMA in accordance with 2 C.F.R. § 180.350.

e. Reporting of Matters Related to Recipient Integrity and Performance

Per 2 C.F.R. Part 200, Appendix I § F.3, the additional post-award reporting requirements in 2 C.F.R. Part 200, Appendix XII may apply to applicants who, if upon becoming recipients, have a total value of currently active grants, cooperative agreements, and procurement contracts from all federal awarding agencies that exceeds $10,000,000 for any period of time during the period of performance of an award under this funding opportunity. Recipients that meet these criteria must maintain current information reported in FAPIIS about civil, criminal, or administrative proceedings described in paragraph 2 of Appendix XII at the reporting frequency described in paragraph 4 of Appendix XII.

4. Monitoring

Per 2 C.F.R. § 200.336, FEMA, through its authorized representatives, has the right, at all reasonable times, to make site visits to review project accomplishments and management control systems to review project accomplishments and to provide any required technical assistance. During site visits, FEMA will review grant recipients’ files related to the grant award. As part of any monitoring and program evaluation activities, grant recipients must permit FEMA, upon reasonable notice, to review grant-related records and to interview the organization’s staff and contractors regarding the program.

Recipients must respond in a timely and accurate manner to FEMA requests for information relating to the grant program.

G. DHS Awarding Agency Contact Information

1. Contact and Resource Information

The FEMA Region Program and Grants Offices manage, administer, and conduct application and budget review, create the award package, approve, amend and close out awards, as well as conduct audit resolution for this program. For Program Questions contact the Program Analyst and for financial and administrative questions contact the Grant Point of Contact.

a. Region Program Analyst Grants Management Specialist

1 John Grace, Engineer 99 High St.

Boston, MA 02110 John.Grace@fema.dhs.gov 617-832-4715 Work

857.205.2839 Mobile

NH, RI and ME Delilah Solorzano Grants Management Specialist Delilah.Solorzano@fema.dhs.gov 617.956.7607

VT, MA and CT Tracy Narbeth Grants Management Specialist tracy.narbeth@fema.dhs.gov 617.956.7633

2 Alan Springett, Senior Engineer 26 Federal Plaza, Room 1337 New York, NY 10278 Alan.Springett@fema.dhs.gov 212-680-8557 Work

Clark Brewer Clark.Brewer@fema.dhs.gov Shudipto Rahman, Civil Engineer Shudipto.Rahman@fema.dhs.gov 212-680-8825

3 Darlene Messina, CFM Risk Analysis Branch Mitigation Division FEMA Region 3 One Independence Mall 615 Chestnut Street. Sixth Floor Philadelphia, PA 19106-4404 Darlene.Messina@fema.dhs.gov 215 873-5303 Work

Kathryn Lipiecki, Branch Chief:

Kathryn.Lipiecki@fema.dhs.gov 215-931-5655 Work

Maura Hannigan-Pierce:

Maura.Hannigan-pierce@fema.dhs.gov 215-931-5728 Work

4 Katy Goolsby-Brown, Mitigation 3003 Chamblee-Tucker Rd.

Atlanta, GA 30341 Katy.Goolsby-Brown@fema.dhs.gov 770-220-8811 Work 678-218-2110 Work 2

Kristen Martinenza Kristen.Martinenza@fema.dhs.gov 770 - 220 - 3174 Work

John Plisich, Engineer John.Plisich@fema.dhs.gov 770-220-5380 Work 404-354-5283 Work

5 Duane Castaldi Risk Analysis Branch Chief 536 South Clark Street Chicago, IL 60605…