FEMA_FY2021-EMPG-NOFO_02-19-21.pdf

FY 2021 EMPG NOFO Back to the Top

The Department of Homeland Security (DHS)

Notice of Funding Opportunity (NOFO)

Fiscal Year 2021 Emergency Management Performance Grant (EMPG)

Program 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 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, 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.”

Table of Contents 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

2. Period of Performance

3. Projected Period of Performance Start Dates

4. Projected Period of Performance End Dates

5. Funding Instrument Type C. Eligibility Information

1. Eligible Applicants

2. Applicant Eligibility Criteria

3. Other Eligibility Criteria

4. Cost Share or Match D. Application and Submission Information

1. Key Dates and Times http://www.grants.gov/web/grants/register.html

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

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

A. Program Description

1. Issued By

U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency

(FEMA)/Grant Programs Directorate (GPD)

2. Assistance Listings Number

97.042

3. Assistance Listings Title

Emergency Management Performance Grant (EMPG) Program

4. Funding Opportunity Title

Fiscal Year 2021 Emergency Management Performance Grant Program

5. Funding Opportunity Number

Grant Program Title NOFO Number

EMPG – Region I DHS-21-GPD-042-01-01

EMPG – Region II DHS-21-GPD-042-02-01

EMPG – Region III DHS-21-GPD-042-03-01

EMPG – Region IV DHS-21-GPD-042-04-01

EMPG – Region V DHS-21-GPD-042-05-01

EMPG – Region VI DHS-21-GPD-042-06-01

EMPG – Region VII DHS-21-GPD-042-07-01

EMPG – Region VIII DHS-21-GPD-042-08-01

EMPG – Region IX DHS-21-GPD-042-09-01

EMPG – Region X DHS-21-GPD-042-10-01

6. Authorizing Authority for Program

Section 662 of the Post-Katrina Emergency Management Reform Act of 2006 (PKEMRA), as amended, (Pub. L. No. 109-295) (6 U.S.C. § 762); the Robert T. Stafford Disaster Relief and

Emergency Assistance Act, as amended (Pub. L. No. 93-288) (42 U.S.C. §§ 5121 et seq.); the

Earthquake Hazards Reduction Act of 1977, as amended (Pub. L. No. 95-124) (42 U.S.C. §§

7701 et seq.); and the National Flood Insurance Act of 1968, as amended (Pub. L. No.

90448) (42 U.S.C. §§ 4001 et seq.).

7. Appropriation Authority for Program

Department of Homeland Security Appropriations Act, 2021 (Pub. L. No. 116-260)

8. Announcement Type

Initial

9. Program Category

Preparedness: Emergency Management

10. Program Overview, Objectives, and Priorities

a. Overview

The Fiscal Year (FY) 2021 Emergency Management Performance Grant (EMPG) program is one of the grant programs that constitute DHS/FEMA’s focus on all-hazards emergency preparedness. These grant programs are part of a comprehensive set of measures authorized by Congress and implemented by DHS. Among the goals noted in the DHS Strategic Plan, the EMPG program supports the goal to Strengthen Preparedness and Resilience.

The 2018-2022 FEMA Strategic Plan creates a shared vision for the field of emergency management and sets an ambitious, yet achievable, path forward to unify and further professionalize emergency management across the country. The EMPG Program supports the goals of Building a Culture of Preparedness, Readying the Nation for Catastrophic Disasters, and Reducing the Complexity of FEMA. We invite all stakeholders and partners to also adopt these priorities and join us in building a more prepared and resilient nation.

b. Objectives

Provide funds to assist state, local, tribal, and territorial emergency management agencies to implement the National Preparedness System (NPS) and to support the National

Preparedness Goal (the Goal) of a secure and resilient nation. To that end, program objectives include: 1) closing capability gaps that are identified in the state or territory’s most recent Stakeholder Preparedness Review (SPR); and 2) building or sustaining those capabilities that are identified as high priority through the Threat and Hazard Identification and Risk Assessment (THIRA)/SPR process and other relevant information sources (see

Priorities section below). DHS/FEMA requires EMPG recipients to complete a THIRA/SPR.

Additional information on the THIRA/SPR process, including other NPS tools and resources, can be found at https://www.fema.gov/national-preparedness-system.

c. Priorities

All EMPG applicants are required to develop and submit a Work Plan as described in the

“EMPG Work Plan” section of the Preparedness Grants Manual. All EMPG Work Plans will require final approval by the applicable FEMA Regional Administrator. Prior to submission, the applicant must work with the FEMA Regional Administrator, or designated FEMA

Regional Program Manager, to ensure that appropriate regional and state/territory priorities are effectively addressed in the Work Plan.

Priorities, and associated EMPG-funded projects, must be mutually agreed to by the recipient and Regional Administrator. Identification of priorities and development of the EMPG Work

Plan should involve a collaborative negotiation process through which a common set of priorities will emerge based on a combination of state/territory priorities, regional priorities, and national priorities (as outlined in the table below). State/territory priorities should be primarily driven by the THIRA/SPR process, as explained in the Objectives section above.

Other relevant information sources, such as: 1) after-action reports (AARs) following exercises or real-world events; 2) audit and monitoring findings; 3) Hazard Mitigation Plans;

https://www.fema.gov/national-preparedness-system https://www.fema.gov/media-library/assets/documents/178291 and/or 4) other deliberate planning products may also be used to inform state/territory priorities. Regional priorities will be determined by the Regional Administrator based on his/her unique knowledge of the region’s preparedness and emergency management needs, including broader insight into common capability gaps across the region and potential opportunities for economies of scale to capitalize on those commonalities. Regional priorities should also be based on an analysis of THIRA/SPR data and other information sources provided by the states/territories in their area(s) of responsibility. Ideally, all EMPG funded projects, as outlined in the approved FY 2021 EMPG Work Plan, will support the priorities identified through this approach.

Through the priority development and negotiation process, each region and state/territory should discuss state/territory, regional, and national priorities. Converging their processes for identifying priorities and reaching consensus on a common set of shared priorities helps the region and each state/territory to realize economies of scale. As a result of these negotiations, the region and state/territory should reach a consensus on three to five priorities each recipient will focus on addressing and improving in its EMPG Work Plan.

Recent updates to 2 C.F.R. Part 200 require federal awarding agencies to measure recipient performance to show achievement of program goals and objectives, share lessons learned, improve program outcomes, and foster adoption of promising practices (see 2 C.F.R. §

200.301, Performance measurement). Based on this, in addition to placing a stronger emphasis on priorities-based investments, FEMA revised the EMPG Work Plan template to include specific performance measures and to collect the data necessary to measure grant outcomes and program performance. Additionally, new for FY 2021, recipients will set outcome-oriented performance goals for closing capability gaps related to the three to five priorities agreed upon with the region, aligning funding with high-priority strategic preparedness needs. An outcome-oriented approach will allow recipients to define success, benchmark their projects, and measure their progress in building capability. Recipients will be able to use this to generate a feedback cycle; if projects are not achieving desired outcomes, recipients will have a basis for revisiting plans and assessments and making adjustments to their projects and other investments. Finally for FY 2021, it is a requirement that at least 87.5% of all projects that include Planning, Training, and/or Exercise deliverables align with closing capability gaps identified and documented in the state/territory’s most recent THIRA/SPR submission and other relevant information sources, as explained above.

When developing state/territory priorities, applicants should consider the persistent preparedness challenges identified in the National Preparedness Report (NPR), which evaluates nationwide progress in building, sustaining, and delivering the core capabilities outlined in the National Preparedness Goal. This analysis provides a national perspective on critical preparedness trends for whole community partners to use to inform program priorities, allocate resources, and communicate with stakeholders about issues of shared concern. The NPR can be found at http://www.fema.gov/national-preparedness-report.

The intent of this approach is to fund projects that address areas for improvement identified through lessons learned from past disasters, including:

http://www.fema.gov/national-preparedness-report

• Logistics – Distribution Management Planning;

• Evacuation Plan/Annex;

• Disaster Financial Management;

• Catastrophic Disaster Housing; and

• Resilient Communications.

However, recognizing that every state and territory has its own unique preparedness and emergency management needs, the national priorities identified above should be viewed as equal to the state/territory and regional priorities identified through the THIRA/SPR and

Work Plan development processes. Ideally, regional and state/territory priorities will complement and support the national priorities. The only mandate stemming from these national priorities is the requirement for all EMPG recipients to develop and maintain a

Distribution Management (DM) Plan as an annex to their existing Emergency Operations

Plan (EOP). See the Logistics Planning section of the Preparedness Grants Manual for additional details on this requirement.

EMPG funding may also be used to assist emergency managers with implementing community lifelines. The lifelines concept simplifies incident information to provide decision makers with clearly identified impacts to critical community services and root causes that inform response and recovery actions. The Community Lifelines Implementation Toolkit provides whole community partners the information and resources to understand lifelines and to coordinate with entities using lifelines. The toolkit serves as basic guidance for how to implement the lifeline construct during incident response.

The table below provides a high-level breakdown of national priority areas, the associated core capabilities and lifelines, as well as examples of project types for each area. The national priorities should be given equal consideration relative to the identified state/territory priorities and regional priorities when developing the common set of mutual priorities for the region and each state/territory. A detailed description of allowable investments for each project type is included in the Preparedness Grants Manual.

National Priorities

Priority Area Core Capabilities Lifelines Example Project Types

Logistics –

Distribution

Management

Planning

• Logistics and Supply Chain

Management

• Supply Chain Integrity and

Security

• Food, Water and

Shelter

• Health and

Medical

• Transportation

• Development of a Distribution

Management Plan which addresses:

o State/local staging site plans o State/local commodity point of distribution site plans o Staging and Point of Distribution staffing strategies/plans o Transportation strategies/plans o Resource sourcing strategies/plans https://www.fema.gov/grants/preparedness/manual https://www.fema.gov/media-library/assets/documents/177222 https://www.fema.gov/grants/preparedness/manual

National Priorities

Priority Area Core Capabilities Lifelines Example Project Types

Evacuation

Plan/Annex

• Planning

• Risk Management for

Protection Programs and

Activities

• Risk and Disaster Resilience

Assessment

• Threats and Hazards

Identification

• Operational Coordination

• Long-Term Vulnerability

Reduction

• Critical Transportation

• Infrastructure Systems

• Transportation • Assessment of evacuation capabilities and needs

• Development/updating of evacuation plans

• Improvement of evacuation capabilities, such transportation systems to support contraflow lanes

• Conducting evacuation training and exercises

• Development of public awareness campaigns support evacuation plans

(See Planning Considerations: Evacuation and Shelter-in-Place for additional guidance)

Disaster

Financial

Management

• Planning

• Risk Management for

Protection Programs and

Activities

• Risk and Disaster Resilience

Assessment

• Community Resilience

• Economic Recovery

• Communications • Development of plan for the sequencing of federal, nonprofit and state disaster programs

• Development of Disaster Financial

Management Plan

Catastrophic

Disaster

Housing

• Housing

• Planning

• Situational Assessment

• Infrastructure Systems

• Food, Water and

Shelter

• Development of state-led disaster housing task force plan

• Establishment of State Disaster

Recovery Coordinator

• Completion of State Housing Strategy template

Resilient

Communications

• Operational Communications

• Planning

• Public Information and

Warning

• Operational Coordination

• Intelligence and Information

Sharing

• Cybersecurity

• Physical Protective Measures

• Long-Term Vulnerability

Reduction

• Risk and Disaster Resilience

Assessment

• Threats and Hazards

Identification

• Infrastructure Systems

• Communications • Development of Statewide

Communication Interoperability Plans, Tactical Interoperable Communications

Plans, and Standard Operating

Procedures that address continuity and recovery of emergency communication systems

• Conducting of risk and vulnerability assessments associated with emergency communications systems, to include cybersecurity risks.

• Conducting of National Incident

Management System (NIMS) compliant training, exercise, and evaluation activities to test emergency communications capabilities, to include testing of resiliency and continuity of communications.

• Physical hardening of infrastructure systems and support emergency communications.

https://www.fema.gov/sites/default/files/2020-07/planning-considerations-evacuation-and-shelter-in-place.pdf https://www.fema.gov/sites/default/files/2020-07/planning-considerations-evacuation-and-shelter-in-place.pdf

National Priorities

Priority Area Core Capabilities Lifelines Example Project Types

Implementation of Community

Lifelines

• Planning

• Situational Assessment

• Operational Coordination

• Community Resilience

• Safety and

Security

• Food, Water and

Shelter

• Health and

Medical

• Energy

• Communications

• Transportation

• Hazardous

Materials

• Hiring or contracting of planners to update emergency operations plans to address community lifelines

• Training of emergency managers on community lifelines concept and use

• Exercises to measure effectiveness of community lifelines implementation.

11. Performance Metrics

Performance metrics for this program are as follows:

• Percent of funding allocated by the recipient to closing capability gaps, as reported in the state or territory’s SPR.

• Percent of funding allocated by the recipient to build or sustain capabilities in priority areas identified in Section 10 above.

• Percent of Planning, Training, and/or Exercise related projects that align with closing capability gaps identified and documented in the state/territory’s most recent

THIRA/SPR submission and other relevant information sources.

FEMA will analyze the above metrics through the review of state/territory SPR submissions, EMPG Work Plans, and required programmatic reports.

B. Federal Award Information

1. Available Funding for the NOFO: $355.1 million

EMPG awards are based on section 662 of the Post-Katrina Emergency Management Reform

Act of 2006, as amended, (6 U.S.C. § 762). All 50 States, the District of Columbia, and

Puerto Rico receive a base amount of 0.75 percent of the total available funding appropriated for the EMPG. Four territories (American Samoa, Guam, the Commonwealth of the Northern

Mariana Islands, and the U.S. Virgin Islands) receive a base amount of 0.25 percent of the total available funding appropriated for the EMPG. The remaining balance of the funds appropriated for the EMPG are distributed on a population-share basis. Pursuant to Article X of the Federal Programs and Services Agreement of the Compact of Free Association Act

(Pub. L. No. 108-188), a set amount of funds ($100,000 total) are also available from the

Disaster Relief Fund for the Federated States of Micronesia and for the Republic of the

Marshall Islands.

FY 2021 EMPG Allocations

State/Territory Allocation State/Territory Allocation

Alabama $5,810,048 New Hampshire $3,536,296

State/Territory Allocation State/Territory Allocation

Alaska $3,130,109 New Jersey $8,343,188

Arizona $7,408,830 New Mexico $4,009,589

Arkansas $4,600,659 New York $15,029,265

California $27,840,216 North Carolina $9,442,218

Colorado $6,376,806 North Dakota $3,151,951

Connecticut $4,937,370 Ohio $10,140,855

Delaware $3,293,610 Oklahoma $5,208,395

District of Columbia $3,118,379 Oregon $5,375,140

Florida $16,561,961 Pennsylvania $10,837,984

Georgia $9,512,053 Rhode Island $3,338,580

Hawaii $3,562,346 South Carolina $5,999,679

Idaho $3,830,896 South Dakota $3,233,434

Illinois $10,712,809 Tennessee $7,066,950

Indiana $6,982,606 Texas $21,440,067

Iowa $4,685,744 Utah $4,740,948

Kansas $4,526,013 Vermont $3,061,159

Kentucky $5,525,910 Virginia $8,156,564

Louisiana $5,633,396 Washington $7,582,922

Maine $3,525,978 West Virginia $3,803,954

Maryland $6,535,466 Wisconsin $6,392,753

Massachusetts $7,071,260 Wyoming $3,034,926

Michigan $9,036,574 Puerto Rico $4,702,915

Minnesota $6,280,633 U.S. Virgin Islands $955,477

Mississippi $4,559,897 American Samoa $917,809

Missouri $6,596,700 Guam $995,257

Montana $3,353,579 Northern Mariana Islands $920,661

Nebraska $3,901,654 Republic of the Marshall Islands $50,000

Nevada $4,669,562 Federated States of Micronesia $50,000

Total $355,100,000

2. 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 of this NOFO or the Preparedness Grants

Manual.

FEMA awards under this program 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.”

3. Projected Period of Performance Start Dates: October 1, 2020

4. Projected Period of Performance End Dates: September 30, 2023

5. Funding Instrument Type: Grant

C. Eligibility Information

1. Eligible Applicants

State or territorial governments (the State Administrative Agency [SAA] or the state’s

Emergency Management Agency [EMA]).

2. Applicant Eligibility Criteria

All 56 States and territories, as well as the Republic of the Marshall Islands and the

Federated States of Micronesia (collectively “state or territory”), are eligible to apply for FY

2021 EMPG funds. Either the SAA or the EMA is eligible to apply directly to FEMA for

EMPG funds on behalf of each state or territory. However, only one application will be accepted from each state or territory.

An application submitted by an otherwise eligible non-federal entity (i.e., the applicant) may be deemed ineligible when the person that submitted the application is not: 1) a current employee, personnel, official, staff, or leadership of the non-federal entity; and 2) duly authorized to apply for an award on behalf of the non-federal entity at the time of application.

Further, the Authorized Organization Representative (AOR) must be a duly authorized current employee, personnel, official, staff or leadership of the recipient and provide an email address unique to the recipient at the time of application and upon any change in assignment during the period of performance. Consultants or contractors of the recipient are not permitted to be the AOR of the recipient.

3. Other Eligibility Criteria

a. National Incident Management System (NIMS) Implementation

Prior to allocation of any federal preparedness awards, recipients must ensure and maintain adoption and implementation of NIMS. The list of objectives used for progress and achievement reporting is on FEMA’s website at https://www.fema.gov/emergency-managers/nims/implementation-training.

Please see the Preparedness Grants Manual for more information on NIMS.

b. Emergency Management Assistance Compact (EMAC) Membership

In support of the Goal, EMPG recipients must belong to, be located in, or act as an EMAC temporary member state, except for American Samoa, the Federated States of Micronesia, the Republic of the Marshall Islands, and the Commonwealth of the Northern Mariana

Islands, which are not currently subject to these requirements. All assets supported in part or entirely with FY 2021 EMPG funding must, where applicable, be readily deployable to support emergency or disaster operations per existing EMAC agreements.

4. Cost Share or Match

The FY 2021 EMPG program has a cost-share requirement. The recipient contribution can be cash (hard match) or third-party in-kind (soft match). Eligible EMPG applicants shall agree https://www.fema.gov/emergency-managers/nims/implementation-training https://www.fema.gov/emergency-managers/nims/implementation-training to make available non-federal funds to carry out an EMPG award in amount not less than 50 percent of the total project cost. In other words, the federal share applied toward the EMPG budget shall not exceed 50 percent of the total budget as submitted in the application and approved in the award. If the total project ends up costing more, the recipient is responsible for any additional costs; if the total project ends up costing less, the recipient may owe

FEMA an amount required to ensure that the federal cost share is not in excess of 50 percent.

A state must at least equally match (cash or third party in-kind) the federal contribution pursuant to sections 611(j) and 613(a) of the Robert T. Stafford Disaster Relief and

Emergency Assistance Act (Pub. L. No. 93-288), as amended, (42 U.S.C. §§ 5121 et seq.).

Unless otherwise authorized by law, federal funds cannot be matched with other federal funds. The recipient’s contribution should be specifically identified. These non-federal contributions have the same eligibility requirements as the federal share.

DHS/FEMA administers cost-matching requirements in accordance with 2 C.F.R. § 200.306.

To meet matching requirements, the recipient contributions must be verifiable, reasonable, allowable, allocable, necessary under the grant program, and in compliance with all applicable federal requirements and regulations.

For example, if the federal award were at a 50 percent cost share and the total approved budget cost was $100,000, then:

• Federal share is 50 percent of $100,000 = $50,000

• Recipient share is 50 percent of $100,000 = $50,000

However, with this example, if the total cost ended up being $120,000, the federal share would remain at 50 percent of the total approved budget at the time of application of

$100,000, or $50,000. If the total cost ended up being $80,000, then the 50 percent federal share would decrease to $40,000, and the recipient cost share would be $40,000.

In accordance with 48 U.S.C. § 1469a, cost-match requirements are waived for the insular areas of the U.S. territories of American Samoa, Guam, the U.S. Virgin Islands, and the

Commonwealth of the Northern Mariana Islands, as well as the Federated States of

Micronesia and the Republic of the Marshall Islands.

See the Preparedness Grants Manual for additional cost share/match guidance.

D. Application and Submission Information

1. Key Dates and Times

a. Application Start Date: 02/25/2021

b. Application Submission Deadline: 05/14/2021 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 a.m. – 6 p.m. Eastern Time (ET). For programmatic or grants management questions, please contact your Preparedness Officer. 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 a.m. – 5 p.m.

ET.

c. Anticipated Funding Selection Date: No later than July 16, 2021

d. Anticipated Award Date: No later than Sept. 30, 2021

e. 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

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 mailto:NDGrants@fema.dhs.gov mailto:askcsid@fema.dhs.gov

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

See the Preparedness Grants Manual for requesting and submitting an application.

Initial applications are processed through the Grants.gov portal. Final applications are completed and submitted through FEMA’s 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.

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 and 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;

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 https://www.fema.gov/media-library/assets/documents/178291 https://www.grants.gov/ http://www.grants.gov/ https://www.login.gov/ 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)(ii), 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.

6. How to Register to Apply through Grants.gov

For information on how to register to apply through Grants.gov, please see the Preparedness

Grants Manual.

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.

mailto:askcsid@fema.dhs.gov

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

• SF-424, Application for Federal Assistance; and

• Grants.gov Lobbying Form, Certification Regarding Lobbying.

For further information on how to submit an initial application via Grants.gov, please see the

Preparedness Grants Manual.

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.

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.

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. Please allow 24 hours for your ND Grants application tracking number to migrate.

All applications must be received in ND Grants by 5:00 p.m. ET on the application deadline.

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 https://www.fema.gov/media-library/assets/documents/178291 mailto:ndgrants@fema.dhs.gov https://www.fema.gov/grants/guidance-tools/non-disaster-grants-management-system https://www.fema.gov/grants/guidance-tools/non-disaster-grants-management-system https://www.grants.gov/forms/sf-424-family.html

Grants. Additionally, the applicant(s) listed as contacts on the application will receive a system-generated email to confirm receipt.

10. Content and Form of Application Submission

a. Standard Required Application Forms and Information

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.

I. GRANTS.GOV

• SF-424, Application for Federal Assistance, initial application submitted through

Grants.gov

• Grants.gov Lobbying Form, Certification Regarding Lobbying, submitted through

Grants.gov

II. ND GRANTS

• SF-424A, Budget Information (Non-Construction), submitted via the forms generated by ND Grants o For construction under an award, submit SF-424C, Budget Information

(Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424A

• SF-424B, Standard Assurances (Non-Construction), submitted via the forms generated by ND Grants o For construction under an award, submit SF-424D, Standard Assurances

(Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424B

• SF-LLL, Disclosure of Lobbying Activities, submitted via the forms generated by ND

Grants

• Indirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. If the applicant does not have or is not required to have an indirect cost rate agreement or proposal, please see Section D.13 of this NOFO, “Funding

Restrictions and Allowable Costs,” for further information regarding allowability of indirect costs and whether alternatives to an indirect cost rate agreement or proposal might be available, or contact the relevant FEMA staff identified in Section G of this

NOFO, “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.

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

b. Program-Specific Required Forms and Information

I. EMPG WORK PLAN INSTRUCTIONS

All EMPG applicants must develop and submit a Work Plan as described in the “EMPG

Work Plan” section of the Preparedness Grants Manual. All EMPG Work Plans will require final approval by the FEMA Regional Administrator. Prior to submission of the EMPG Work

Plan, the applicant must work with the FEMA Regional Administrator or designated FEMA

Regional Program Manager to ensure that the common set of agreed-upon priorities, as explained in the Priorities section above, are properly addressed in the EMPG Work Plan. All

EMPG applicants are strongly encouraged to use the templates provided in the Preparedness

Grants Manual to submit a required Work Plan that outlines the state’s emergency management sustainment and enhancement efforts, including new and ongoing activities and projects, proposed for the EMPG period of performance. This document is also located in the

Related Documents tab of the Grants.gov EMPG posting.

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/2020/01/spoc_1_16_2020.pdf).

12. Funding Restrictions and Allowable Costs

All costs charged to awards covered by this NOFO must comply with the Uniform

Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated in the NOFO, the terms and conditions of the award, or the

Preparedness Grants Manual. This includes, among other requirements, that costs must be incurred, and products and services must be delivered, within the period of performance of the award. See 2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA awards under this program is the same as the period of performance).

Federal funds made available through this award may be used for the purpose set forth in this

NOFO, the Preparedness Grants Manual, and the terms and conditions of the award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other federal awards, 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. See the Preparedness Grants Manual for more information on funding restrictions and allowable costs.

a. Prohibitions on Expending FEMA Award Funds for Covered Telecommunications

Equipment or Services

Recipients and subrecipients of FEMA federal financial assistance are subject to the prohibitions described in section 889 of the John S. McCain National Defense Authorization

Act for Fiscal Year 2019 (FY 2019 NDAA), Pub. L. No. 115-232 (2018) and 2 C.F.R. §§

200.216, 200.326, 200.471, and Appendix II to 2 C.F.R. Part 200. Beginning August 13, 2020, the statute – as it applies to FEMA recipients, subrecipients, and their contractors and subcontractors – prohibits obligating or expending federal award funds on certain https://www.fema.gov/media-library/assets/documents/178291 https://www.fema.gov/media-library/assets/documents/178291 https://www.fema.gov/media-library/assets/documents/178291 http://www.grants.gov/ https://www.archives.gov/federal-register/codification/executive-order/12372.html https://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf https://www.fema.gov/media-library/assets/documents/178291 https://www.fema.gov/media-library/assets/documents/178291 https://www.congress.gov/bill/115th-congress/house-bill/5515/text?format=txt https://www.congress.gov/bill/115th-congress/house-bill/5515/text?format=txt telecommunications and video surveillance products and contracting with certain entities for national security reasons.

For additional guidance please refer to Prohibitions on Expending FEMA Award Funds for

Covered Telecommunications Equipment or Services (Interim).

Effective August 13, 2020, FEMA recipients and subrecipients may not use any FEMA funds under open or new awards to:

(1) Procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system;

(2) Enter into, extend, or renew a contract to procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system; or

(3) Enter into, extend, or renew contracts with entities that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system.

I. REPLACEMENT EQUIPMENT AND SERVICES

FEMA grant funding may be permitted to procure replacement equipment and services impacted by this prohibition, provided the costs are otherwise consistent with the requirements of the NOFO and the Preparedness Grants Manual.

II. DEFINITIONS

Per section 889(f)(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered telecommunications equipment or services means:

i. Telecommunications equipment produced by Huawei Technologies Company or

ZTE Corporation, (or any subsidiary or affiliate of such entities);

ii. For the purpose of public safety, security of Government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by

Hytera Communications Corporation, Hangzhou Hikvision Digital Technology

Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities);

iii. Telecommunications or video surveillance services provided by such entities or using such equipment; or

iv. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the

Director of National Intelligence or the Director of the Federal Bureau of

Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the People’s Republic of China.

https://www.fema.gov/sites/default/files/documents/fema_prohibitions-expending-fema-award-funds-covered-telecommunications-equipment-services.pdf https://www.fema.gov/sites/default/files/documents/fema_prohibitions-expending-fema-award-funds-covered-telecommunications-equipment-services.pdf

Examples of the types of products covered by this prohibition include phones, internet, video surveillance, and cloud servers when produced, provided, or used by the entities listed in the definition of “covered telecommunications equipment or services.” See 2 C.F.R. § 200.471.

b. Pre-Award Costs

Pre-award costs are allowable only with the prior written approval of DHS/FEMA and if they are included in the award agreement. To request pre-award costs, a written request must be included with the application and be signed by the AOR. The request letter must outline what the pre-award costs are for, including a detailed budget break-out of pre-award costs from the post-award costs and a justification for approval.

c. Management and Administration (M&A) Costs

M&A costs are allowed for both state or territory and local-level EMAs. A state EMA may use up to 5% of the EMPG award for M&A purposes. In addition, local EMAs may retain and use up to 5% of the amount they receive from the state for local M&A purposes. If the

SAA is not the state or territory-level EMA, the SAA is not eligible to retain funds for M&A.

M&A costs and activities are not operational costs; they are those costs and activities incurred in direct support of the grant or as a consequence of the grant and should be allocated across the entire lifecycle of the grant. They are directly related to managing and administering the award, such as financial management and monitoring. It should be noted that salaries of state and local emergency managers are not typically categorized as M&A costs unless the state or local EMA chooses to assign personnel to specific M&A activities.

d. 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 current 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. Not all applicants are required to have a current negotiated indirect cost rate agreement. 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. Applicants who do not have a current negotiated indirect cost rate agreement

(including a provisional rate) and wish to charge the de minimis rate must reach out to the

FEMA Grant Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the FEMA Grant

Management Specialist for further instructions. 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 or based upon on the de minimis rate or cost allocation plan, as applicable.

e.