fema_fy-2021-hhpd-nofo_final_5-21-21rev.pdf

The D epartment of Homeland Security (DHS) Notice of Funding Opportunity (NOFO)

Fiscal Year 2021 Rehabilitation of High Hazard Potential Dams (HHPD) NOTE: If you are going to apply for this funding opportunity and have not obtained an Employer Identification Number (EIN), a Data Universal Numbering System (DUNS) number, are not currently registered in the System for Award Management (SAM), or your SAM registration is not active, please take immediate action to obtain an EIN and DUNS Number, if applicable, and then register immediately in SAM or, if applicable, renew your SAM registration. It may take four weeks or more after you submit your SAM registration before your registration is active in SAM. Detailed information regarding DUNS, EIN, and SAM is also provided in Section D of this NOFO under the subsection titled “How to Register to Apply.” Detailed information regarding the time required for each registration is also provided in Section D of this NOFO under the subsection titled “Other Key Dates.”

A. Program Description

1. Issued By

2. Assistance Listings Number

3. Assistance Listings Title

4. Funding Opportunity Title

5. Funding Opportunity Number

6. Authorizing Authority for Program

7. Appropriation Authority for Program

8. Announcement Type

9. Program Category

10. Program Overview, Objectives, and Priorities

11. Performance Metrics

B. Federal Award Information

1. Available Funding for the NOFO: $11,640,000.00

2. Projected Number of Awards: 50

3. Period of Performance: 36 Months

4. Projected Period of Performance Start Date(s): 09/15/2021

5. Projected Period of Performance End Date(s): 09/14/2024

6. Funding Instrument Type: Grant

C. Eligibility Information

1. Eligible Applicants

2. Applicant Eligibility Criteria

3. Subrecipient E ligibility Criteria

4. Other Program-Specific Eligibility Criteria

5. Cost Share or Match

D. Application and Submission Information

1. Key Dates and Times

2. Agreeing to Terms and Conditions of the Award

3. Address to Request Application Package

4. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award

Management (SAM), and Submit an Application

5. Electronic Delivery

FY 2021 HHPD NOFO Back to the Top

6. How to Register to Apply through Grants.gov

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

8. Submitting the Final Application in ND Grants

9. Timely Receipt Requirements and Proof of Timely Submission

10. Content and Form of Application Submission

11. Intergovernmental Review

12. Funding Restrictions and Allowable Costs

E. Application Review Information

1. Application Evaluation Criteria

2. Review and Selection Process

F. Federal Award Administration Information

1. Notice of Award

2. Pass-Through Requirements

3. Administrative and National Policy Requirements

4. Reporting

5. Monitoring and Oversight

G. DHS Awarding Agency Contact Information

1. Contact and Resource Information

2. Systems Information

H. Additional Information

1. Termination Provisions

2. Period of Performance Extensions

3. Disability Integration

4. Conflicts of Interest in the Administration of Federal Awards or Subawards

5. Procurement Integrity

6. Record Retention

7. Actions to Address Noncompliance

8. Audits

9. Payment Information

10. Whole Community Preparedness

11. Mitigation Plan Requirement Extension Requests

12. Example Mitigation Plan Extension Request Template

13. Examples Using Funding Formula

14. Minimum Requirements for Risk-Based Prioritization

15. Unacceptable Risk to the Public Determination

16. Eligible Activities

17. Floodplain Management Plan

18. Definitions

19. Appendices

A. Program Description

1. Issued By

U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA)/ Federal Insurance and Mitigation Administration (FIMA)/ Risk Management Directorate/ Planning, Safety and Building Sciences Division/ Planning and Safety Branch

2. Assistance Listings Number

97.041

3. Assistance Listings Title National Dam Safety Program

4. Funding Opportunity Title Fiscal Year 2021 Rehabilitation of High Hazard Potential Dams (HHPD)

5. Funding Opportunity Number

DHS-21-[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, 2021 (Pub. L. No. 116-68)

8. Announcement Type Initial

9. Program Category Mitigation: Risk Analysis

10. Program Overview, Objectives, and Priorities

a. Overview 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 state 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. The HHPD Program incentivizes eligible states to:

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

• Incorporate risk-informed analysis and decision making into their dam safety practice and HHPD dam rehabilitation investments.

• Incorporate risk-analysis results and information and consider all dam risk in state, local, tribal, and territorial mitigation planning.

• 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.

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

Given the requirements of this grant (e.g. National Flood Insurance Program participation, state, local, and tribal 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.

b. Objectives The objectives of the program are to:

1. Reduce or eliminate risk of dams of highest consequence.

2. Increased understanding and management of risks posed by eligible dams.

c. Priorities For FY2021, the HHPD priorities are: the technical, planning, design, pre-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 HHPD supports DHS Strategic Goal 5: Strengthen Preparedness and Resilience, Objective 5.1: Build a National Culture of Preparedness and Presidential Policy Directive 8: Build and Sustain National Preparedness. Specifically, the HHPD supports Sub-Objective 5.1.1 of Strategic Goal 5 to incentivize investments that reduce risk and increase pre-disaster mitigation, including expanding the use of insurance to manage risk. DHS Strategic Plan, Fiscal years 2020-2024 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 pose an unacceptable risk to the public.

11. Performance Metrics The HHPD grant recipients’ performance will be evaluated on their progress on delivering the following outcomes: (see appendix A for examples)

• The percentage of high hazard potential dams that have preliminary engineering or dam rehabilitation project scoping activities.

• The total number of dam rehabilitation designs completed as a result of HHPD awards funded.

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

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

• The percentage of eligible high hazard potential dams that have implemented planning and design rehabilitation activities under the HHPD grant, and the Population at Risk (PAR) analysis associated with each dam.

• The total number of completed floodplain management plans as a result of HHPD awards funded.

B. Federal Award Information

1. Available Funding for the NOFO: $11,640,000.00

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 the 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 the 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

Extensions to the period of performance are allowed. For additional information on period of performance extensions, please refer to Section H.2, Period of Performance Extensions, of this NOFO.

FEMA awards only include one budget period, so it will be same as the period of performance. See 2 C.F.R. § 200.1 for definitions of “budget period” and “period of performance.”

4. Projected Period of Performance Start Date(s): 09/15/2021

5. Projected Period of Performance End Date(s): 09/14/2024 https://11,640,000.00

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.

Each Recipient must have a FEMA-approved state mitigation plan that includes all dam risks; and complies with the Disaster Mitigation Act of 2000 (Pub. L. 106–390; 114 Stat.

1552). For more information on the Mitigation Plan Requirements, see Section E.1., Application Evaluation Criteria.

3. Subrecipient Eligibility Criteria Eligible subrecipients under FY2021 HHPD are non-federal governmental organizations (other than the designated Recipient) and nonprofit organizations. Under FY 2021 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) The community in which the dam is located participates in, and complies with, all applicable regulations of the National Flood insurance Program, and is in good standing, not on probation, suspended, or withdrawn from such Program;

(C) The Tribal or local government with jurisdiction over the area in which the dam is located has in place a FEMA-approved hazard mitigation plan that includes all dam risks, and complies with the Disaster Mitigation Act of 2000 (Pub. L. 106–390; 114 Stat. 1552). For more information on the Mitigation Plan Requirements, see Section E.1., Application Evaluation Criteria. If the Tribal or local mitigation plan does not include all dam risks, the subrecipient may request an extension to meet this requirement. For more information

FY 2021 HHPD NOFO Back to the Top https://www.law.cornell.edu/rio/citation/Pub._L._106-390 https://www.law.cornell.edu/rio/citation/114_Stat._1552 https://www.law.cornell.edu/rio/citation/114_Stat._1552 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/rio/citation/Pub._L._106-390 https://www.law.cornell.edu/rio/citation/114_Stat._1552 on the Mitigation Plan Requirements, see Section H.11, Mitigation Plan Requirement Extension Requests.

(D) Commit to provide operation and m aintenance of the project for the expected life of the dam following completion of rehabilitation.

(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 D.13, Requirements Related to Contractor and Subcontractor Wages, for additional information.

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

D.13, Requirements Related to Contract and Subcontract Services.

(H) Have in place (or will be developed not later than 2 years after the date of execution of a dam rehabilitation or removal project agreement and implemented not later than 2 years after the date of completion of a project) a floodplain management plan to reduce the impacts of future flood events in the area impacted by the project. The floodplain management plan shall 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;

b. plans for flood fighting and evacuation; and

c. public education risk communication targeting communities in the inundation area.

For additional information, please see Section H.17., Floodplain Management Plan.

4. Other Program-Specific 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 and complies with the Disaster Mitigation Act of 2000 (Pub. L. 106–390; 114 Stat. 1552). For more information on the Mitigation Plan Requirements, see Section E.1., Application Evaluation Criteria. 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.11., Mitigation Plan Requirement Extension Requests.

Allowable Activities

See Section H.16, Eligible Activities, for more information on allowable activities. See Section D.12, Requirements Related to Contract and Subcontract Services, for information about Unallowable Activities.

FY 2021 HHPD NOFO Back to the Top 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 https://uscode.house.gov/view.xhtml?path=/prelim@title40/subtitle1/chapter11&edition=prelim https://www.law.cornell.edu/rio/citation/Pub._L._106-390 https://www.law.cornell.edu/rio/citation/114_Stat._1552

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.

“(A) In general, the term “eligible high hazard potential dam” means a non-Federal dam that—

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

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

(iii) has an emergency action plan that—

(I) is approved by the relevant State dam safety agency; or (II) is in conformance with State law and pending approval by the relevant State dam safety agency;

(iv) fails to meet minimum dam safety standards of the State in which the dam is located, as determined by the State; and

(v) poses an unacceptable risk to the public, as determined by the Administrator, in consultation with the Board.

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

(i) a licensed hydroelectric dam under a hydropower project with an authorized installed capacity of g reater than 1.5 megawatts; or

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

33 U.S.C. § 467(4)(A)

To meet the requirements of subsection (A)(v) above, a risk informed process is used to identify the eligible dams for the HHPD Grant Program. The SAA must submit a risk matrix that plots the dams that meet the eligibility requirements above, shown in Figure 1, Risk-Based Eligibility Matrix.

Figure 1: Risk-Based Eligibility Matrix

The risk matrix shown in Figure 1, Risk-Based Eligibility Matrix, defines the high hazard potential dams considered as unacceptable risk to the public. The NID condition assessment is correlated to the likelihood of failure as follows:

• Low Likelihood of Failure (NID Condition Assessment of Satisfactory)

• Moderate Likelihood of Failure (NID Condition Assessment of Fair)

• High Likelihood of Failure (NID Condition Assessment of Poor)

• Very High Likelihood of Failure (NID Condition Assessment of Unsatisfactory)

The population at risk (PAR) is correlated to represent consequences of failure as follows:

• Low Consequences (PAR of 1-10)

• Medium Consequences (PAR of 11-100)

• High Consequences (PAR of 101-1000)

• Very High Consequences (PAR of 1001+)

For FY21 HHPD grant program, dams that fall in the red cells meet the requirements of unacceptable risk to the public and can be included on the list of eligible dams. The list of eligible dams will be used to allocate grant funds to the state. See Section H.14, Example Using the Funding Formula, for a sample calculation how eligible dams is used for state grant allocations.

The yellow cells identify medium risk and the green cells identify low risk and are not considered eligible.

Note: Dams with SATISFACTORY or NOT RATED condition assessments are not eligible for the HHPD program.

If the SAA chooses to be a pass-through entity, the SAA must contact potential subrecipients to identify potential eligible subrecipients with an eligible dam who express interest in obtaining a grant for a specific planning or design project and are capable of meeting the requirements of the HHPD grant. See Section H.16, for information on Eligible Activities.

The list or prospective eligible dams will be used to allocate grant funds to the state. See Section H.14, Example Using the Funding Formula, for a sample calculation on how eligible dams is used for state grant allocations.

States receiving HHPD grant funds must use the FEMA risk prioritization methodology to prioritize projects for use in the allocation of funds to qualified subrecipients. See Section H.15, Minimum Requirements for Risk-Based Prioritization, for requirements. Projects selected for funds must include a justification statement for distribution of funds to eligible projects.

See Section C.4, List of Eligible High Hazard Dams Template, for an example template format.

Upon request, the SAA must provide to FEMA substantiating documentation that documents 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.16, Unacceptable Risk to the Public Determination, and Section H.19, Definitions, for the NID Condition Assessment definitions and the definitions of Unacceptable Risk to the Public and Official Regulatory Notice.

List of Eligible High Hazard Dams Template The list of dams must be submitted in table format with NID Data and must include the below column row headers and must be signed by the State Dam Safety Agency or GAR:

• Does the state have a state dam safety program?

• Dam Name

• NID ID

• Longitude

• Latitude

• Hazard Potential

• State Approved EAP? (Y/N)

• EAP Date

• Owner Type

• Built by USDA/NRCS? (Y/N)

• Licensed by FERC? (Y/N)

• NID Condition Assessment*

• Population at Risk (PAR)

• Method for Determining PAR

• Fails to Meet Minimum State Dam Safety Standards

• Dam has a documented Dam Safety Deficiency?**

• Was Dam Safety Deficiency caused by lack of Routine Operation and Maintenance?

• Was Dam Safety Deficiency caused by Deferred Maintenance?

• Brief Description of Deficiency

• Name of potential Subrecipient that has indicated interest in HHPD and is capable of meeting HHPD requirements***

* 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 UNSATISFACTORY condition assessments may be eligible to include on the list of eligible high hazard potential dams. Dams classified as FAIR in the NID with a Population at Risk (PAR) of 1001 or more may be eligible to include on the list of eligible high hazard potential dams. Dams with SATISFACTORY or NOT RATED condition assessments are not eligible for the HHPD program. 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.

**Dam Safety Deficiency (Source NID): A load capacity limit or other issue that can result in a failure of the dam or appurtenant structure. It is a characteristic or condition that does not meet the applicable minimum regulatory criteria.

*** the SAA must contact potential subrecipients to identify potential eligible subrecipients with an eligible dam who express interest in obtaining a grant for a specific planning or design project and are capable of meeting the requirements of the HHPD grant. (Only fill out this field if the potential subrecipient has been contacted or is the SAA.)

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. The calculation to determine the non-Federal Cost share is:

Non-Federal Share = [0.35*(Federal Share)]/(0.65).

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: 05/21/2021 https://Share)]/(0.65

b. Application Submission Deadline: 06/25/2021 at

5:00 PM ET

All applications must be received by the established deadline.

The Non-Disaster (ND) Grants System has a date stamp that indicates when an application is submitted. Applicants will receive an electronic message confirming receipt of their submission. For additional information on how an applicant will be notified of application receipt, see the subsection titled “Timely Receipt Requirements and Proof of Timely Submission” in Section D of this NOFO.

FEMA will not review applications that are received after the deadline or consider these late applications for funding. FEMA may, however, extend the application deadline on request for any applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may include technical problems outside of the applicant’s control that prevent submission of the application by the deadline, other exigent or emergency circumstances, or statutory requirements for FEMA to make an award.

Applicants experiencing technical problems outside of their control must notify FEMA as soon as possible and before the application deadline. Failure to timely notify FEMA of the issue that prevented the timely filing of the application may preclude consideration of the award. “Timely notification” of FEMA means: prior to the application deadline and within 48 hours after the applicant became aware of the issue.

A list of FEMA contacts can be found in Section G of this NOFO, “DHS Awarding Agency Contact Information.” For additional assistance using the ND Grants System, please contact the ND Grants Service Desk at (800) 865-4076 or NDGrants@fema.dhs.gov. The ND Grants Service Desk is available Monday through Friday, 9:00 AM – 6:00 PM Eastern Time (ET).

For programmatic or grants management questions, please contact your Program Analyst or Grants Specialist. If applicants do not know who to contact or if there are programmatic questions or concerns, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by e-mail at askcsid@fema.dhs.gov, Monday through Friday, 9:00 AM – 5:00 PM ET.

c. Anticipated Award Date: 09/14/2021

d. Other Key Dates

Event Suggested Deadline for Completion

Obtaining DUNS Number Four weeks before actual submission deadline

Obtaining a valid EIN Four weeks before actual submission deadline Creating an account with login.gov Four weeks before actual submission deadline Registering in SAM or Updating SAM registration Four weeks before actual submission deadline mailto:NDGrants@fema.dhs.gov mailto:askcsid@fema.dhs.gov

Registering in Grants.gov Four weeks before actual submission deadline Starting application in Grants.gov One week before actual submission deadline Submitting the final application in ND Grants By the submission deadline

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 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 are processed through the Grants.gov portal. Final applications are completed and submitted through FEMA’s 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 Obtain a Unique Entity Identifier, Register in the System for Award

Management (SAM), and Submit an Application Applying for an award under this program is a multi-step process and requires time to complete. Applicants are encouraged to register early as the registration process can take four weeks or more to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines.

Please review the table above for estimated deadlines to complete each of the steps listed.

Failure of an applicant to comply with any of the required steps before the deadline for submitting an application may disqualify that application from funding.

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 a nd Employer Identification Number (EIN) from the Internal Revenue Service;

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

FY 2021 HHPD NOFO Back to the Top https://www.grants.gov/ http://www.grants.gov/ https://Grants.gov

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. Register in ND Grants

i. Submit an initial application in Grants.gov;

j. Submit the final application in ND Grants, including electronically signing applicable forms; and

k. 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. As part of this, applicants must also provide information on an applicant’s immediate and highest-level owner and subsidiaries, as well as on all predecessors that have been awarded federal contracts or federal financial assistance within the last three years, if applicable.

Specific instructions on how to apply for, update, or verify a DUNS number or SAM registration or establish an AOR are included below in the steps for applying through Grants.gov.

Applicants are advised that 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 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, 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.

Per 2 C.F.R. § 25.110(c)(2)(iii), if an applicant is experiencing exigent circumstances that prevents it from receiving a DUNS number and completing SAM registration prior to receiving a federal award, the applicant must notify FEMA as soon as possible by contacting askcsid@fema.dhs.gov and providing the details of the circumstances that prevent completion of these requirements. If FEMA determines that there are exigent circumstances and FEMA has decided to make an award, the applicant will be required to obtain a DUNS number and complete SAM registration within 30 days of the federal award date.

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 a final application through ND Grants.

FY 2021 HHPD NOFO Back to the Top https://www.login.gov/ mailto:askcsid@fema.dhs.gov https://Grants.gov https://Grants.gov https://Grants.gov https://Grants.gov https://Grants.gov https://Grants.gov

6. How to Register to Apply through Grants.gov

a. General Instructions:

Registering and applying for an award under this program is a multi-step process and requires time to complete. Read the instructions below about registering to apply for FEMA funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

The registration process can take up to four weeks to complete. To ensure an application meets the deadline, applicants are advised to start the required steps well in advance of their submission.

Organizations must have a Data Universal Numbering System (DUNS) Number, Employer Identification Number (EIN), and an active System for Award Management (SAM) registration.

Organizations must also have a Grants.gov account to apply for an award under this program.

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.

If individual applicants are eligible to apply for this grant funding opportunity, refer to:

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

b. 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

Note: At some point, the DUNS Number will be replaced by a “new, non-proprietary identifier” requested in, and assigned by, SAM.gov. This new identifier is being called the Unique Entity Identifier (UEI), or the Entity ID. Grants.gov has begun preparing for this transition by educating users about the upcoming changes and updating field labels and references to the DUNS Number (the current identifier) within the Grants.gov system. Users should continue using the DUNS Number in UEI fields until further notice. To learn more about SAM’s rollout of the UEI, please visit https://gsa.gov/entityid.

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c. Obtain Employer Identification Number:

In addition to having a DUNS number, all entities applying for funding must provide an Employer Identification Number (EIN). The EIN can be obtained from the IRS by visiting:

https://www.irs.gov/businesses/small-businesses-self-employed/apply-for-an-employer-identification-number-ein-online.

d. Create a login.gov account:

Applicants must have a login.gov account in order to register with SAM or update their SAM registration. Applicants can create a login.gov account here:

https://secure.login.gov/sign_up/enter_email?request_id=34f19fa8-14a2-438c-8323-a62b99571fd3.

Applicants only have to create a login.gov account once. For applicants that are existing SAM users, use the same email address for the login.gov account as with SAM.gov so that the two accounts can be linked.

For more information on the login.gov requirements for SAM registration, refer to:

https://www.sam.gov/SAM/pages/public/loginFAQ.jsf.

e. Register with SAM:

In addition to having a DUNS number, all organizations applying online through Grants.gov must register with 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.

Note: As a new requirement per 2 C.F.R. § 25.200, applicants must also provide the applicant’s immediate and highest-level owner, subsidiaries, and predecessors that have been awarded federal contracts or federal financial assistance within the last three years, if applicable.

I. ADDITIONAL SAM REMINDERS

Existing SAM.gov account holders should check their account to make sure it is “ACTIVE.”

SAM registration should be completed at the very beginning of the application period and should be renewed annually to avoid being “INACTIVE.” Please allow plenty of time before the grant application submission deadline to obtain a DUNS number and then to register in SAM. It may be four weeks or more after an applicant submits the SAM registration before the registration is active in SAM, and then it may be an additional 24 hours before FEMA’s system recognizes the information.

It is imperative that the information applicants provide is correct and current. Please ensure that your organization’s name, address, DUNS number, and Employer Identification Number, or EIN, are up to date in SAM and that the DUNS number used in SAM is the same

FY 2021 HHPD NOFO Back to the Top https://www.irs.gov/businesses/small-businesses-self-employed/apply-for-an-employer-identification-number-ein-online https://www.irs.gov/businesses/small-businesses-self-employed/apply-for-an-employer-identification-number-ein-online https://secure.login.gov/sign_up/enter_email?request_id=34f19fa8-14a2-438c-8323-a62b99571fd3 https://secure.login.gov/sign_up/enter_email?request_id=34f19fa8-14a2-438c-8323-a62b99571fd3 https://www.sam.gov/SAM/pages/public/loginFAQ.jsf 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://Grants.gov https://Grants.gov https://login.gov https://login.gov https://login.gov https://login.gov one used to apply for all other FEMA awards. Payment under any FEMA award is contingent on the recipient’s having a current SAM registration.

II. HELP WITH SAM

The SAM quick start guide for new recipient registration and SAM video tutorial for new applicants are tools created by the General Services Administration (GSA) to assist those registering with SAM. If applicants have questions or concerns about a SAM registration, please contact the Federal Support Desk at https://www.fsd.gov/fsd-gov/home.do or call toll free (866) 606-8220.

f. Create a Grants.gov Account:

The next step in the registration process is to create an account with Grants.gov. Applicants must know their organization's DUNS number to complete this process.

For more information, follow the on-screen instructions or refer to:

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

See also Section D.8 in this NOFO, “Submitting the Final Application in ND Grants,” for instructions on how to register early in ND Grants.

g. 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.

h. 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 Authorized Organization Representative (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.

i. Track Role Status:

To track your role request, refer to:

https://www.grants.gov/web/grants/applicants/registration/track-role-status.html.

j. Electronic Signature:

FY 2021 HHPD NOFO Back to the Top https://www.fsd.gov/fsd-gov/home.do 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

When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize individuals who are able to make legally binding commitments on behalf of the organization as an AOR;

this step is often missed, and it is crucial for valid and timely submissions.

7. How to Submit an Initial Application to FEMA via Grants.gov Standard Form 424 (SF-424) is the initial application for this NOFO.

Grants.gov applicants can apply online using a workspace. A workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each Notice of Funding Opportunity, you can create individual instances of a workspace. Applicants are encouraged to submit their initial applications in Grants.gov at least seven days before the application deadline.

In Grants.gov, applicants need to submit the following forms:

• SF-424, Application for Federal Assistance

• Grants.gov Lobbying Form, Certification Regarding Lobbying

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.

c. Adobe Reader:

If you decide not to apply by filling out webforms you can download individual PDF forms in Workspace so that they will appear similar to other Standard or DHS forms. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

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

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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:

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

h. Additional Training and Applicant Support:

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

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

Grants.gov provides applicants 24/7 (except federal holidays) support via the toll-free number (800) 518-4726, email at support@grants.gov and the website at https://www.grants.gov/support.html. 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 FEMA with tracking your issue and understanding background information on the issue.

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

Applicants needing assistance registering for the ND Grants system should 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/grants/guidance-tools/non-disaster-grants-management-system.

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In ND Grants, applicants will be prompted to submit the standard application information and any program-specific information required as described in Section D.10 of this NOFO, “Content and Form of Application Submission.”. 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.

For additional application submission requirements, including program-specific requirements, please refer to the subsection titled “Content and Form of Application Submission” under Section D of this NOFO or the Rehabilitation of High Hazard Potential Dams Grant Program Guidance (FEMA, June 2020).

9. Timely Receipt Requirements and Proof of Timely Submission As application submission is a two-step process, the applicant with the AOR role who submitted the application in Grants.gov will receive an acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of its initial application. This notification does not serve as proof of timely submission, as the application is not complete until it is submitted in ND Grants. 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.