fema_preparedness-grants-manual.pdf

Preparedness Grants Manual | February 2020 1

FEMA

Preparedness Grants

Manual FEMA Grant Programs Directorate

February 2020

Preparedness Grants Manual | February 2020 2

Table of Contents

Table of Contents 2

About the Federal Emergency Management Agency (FEMA) 7

Overview of FEMA 7

Overview of Preparedness Grant Programs 7 Homeland Security Grant Program (HSGP) 7 Tribal Homeland Security Grant Program (THSGP) 8 Nonprofit Security Grant Program (NSGP) 8 Transit Security Grant Program (TSGP) 8 Intercity Bus Security Grant Program (IBSGP) 8 Intercity Passenger Rail (IPR) Program – Amtrak 8 Port Security Grant Program (PSGP) 8 Emergency Management Performance Grant (EMPG) 8

Foreword 9

The National Preparedness Goal 9

Pre-Award Application and Submission 10

Pre-Submission Information 10 Agreeing to Terms and Conditions of the Award 10 Address to Request Application Package 11

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

(SAM), and Submit an Application 11 Electronic Delivery 12 How to Register to Apply through Grants.gov 12 How to Submit an Initial Application to DHS/FEMA via Grants.gov 14

Submitting the Final Application in Non-Disaster Grants System (ND Grants) 15 Timely Receipt Requirements and Proof of Timely Submission 15 Content and Form of Application Submission 15 Intergovernmental Review 16 Funding Restrictions and Allowable Costs 16

Award Determination and Obligation 19

Allocations 19 Risk Methodology 19 Application Evaluation Criteria 19 Supplemental Financial Integrity Review 20 Review and Selection Process 20

Federal Award Administration Information 20

Notice of Award 20 Pass-Through Requirements 21

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Administrative and National Policy Requirements 21

Post-Award Management and Implementation 24

Reporting 24 Federal Financial Reporting Requirements 24

Federal Financial Report (FFR) 24 Financial Reporting Periods and Due Dates 24

Program Performance Reporting Requirements 24 Performance Progress Report (PPR) 24

Program Performance Reporting Periods and Due Dates 25 Additional Programmatic Reporting Requirements and Information 25

Biannual Strategy Implementation Report (BSIR) 25 Closeout Reporting Requirements 25 Administrative Closeout 26

Disclosing Information per 2 C.F.R. § 180.335 26 Reporting of Matters Related to Recipient Integrity and Performance 27

Single Audit Report 27

Additional Information 28

Monitoring and Oversight 28

Overview 28 Financial Monitoring 29 Programmatic Monitoring Overview and Approach 31

Case Studies and Use of Grant-Funded Resources During Real-World Incident Operations 32 Conflicts of Interest in the Administration of Federal Awards or Subawards 32 Period of Performance (POP) Extensions 33 Procurement Integrity 33

Competition and Conflicts of Interest 34 Supply Schedules and Purchasing Programs 35 Record Retention 36

Actions to Address Noncompliance 37 Audits 38

Disability and Limited English Proficiency Integration 39

National Campaigns and Programs 41

Whole Community Preparedness 41 Active Shooter Preparedness 41 Soft Targets and Crowded Places 42 Community Lifelines 42

Program Appendix A: Homeland Security Grant Program (HSGP) A-1

Alignment of HSGP to the National Preparedness System A-1 Reporting on the Implementation of the National Preparedness System A-2

Identifying and Assessing Risk and Estimating Capability Requirements A-2 Building and Sustaining Capabilities A-2 NIMS Implementation A-2

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Planning to Deliver Capabilities A-3 Validating Capabilities A-3

Fusion Centers A-4

Continuity of Operations A-6 Governance A-7 Supplemental SHSP and UASI Guidance A-11 Supplemental Operation Stonegarden Grant (OPSG) Program Guidance A-13 OPSG Operational Guidance A-31 HSGP Supplemental Material A-37 Fusion Center Performance Measures A-39 Supplemental Emergency Communications Guidance A-41

Program Appendix B: Tribal Homeland Security Grant Program (THSGP) B-1

Alignment of THSGP to the National Preparedness System B-1

THSGP Funding Guidelines B-4 THSGP Priorities B-4 Allowable Costs B-4 THSGP Investment Modifications – Changes in Scope or Objective B-11

Program Appendix C: Nonprofit Security Grant Program (NSGP) C-1

NSGP Funding Guidelines C-1 NSGP Priorities C-1 Allowable Costs C-1 NSGP Investment Modifications – Changes in Scope or Objective C-5 Pass-Through Requirements C-5 DUNS/SAM Requirements for Recipients and Subrecipients C-6

Program Appendix D: Transit Security Grant Program (TSGP) D-1

Applicable Regulations D-1 Pre-Award Costs D-1 TSGP Priorities D-1

Allowable Direct Costs D-1 Allowable Indirect Costs D-11 Unallowable Costs D-11 Maintenance and Sustainment Costs D-11 Encouraged Use of Certain Products Produced in the United States D-11

Program Appendix E: Intercity Bus Security Grant Program (IBSGP) E-1

IBSGP Priorities E-1 Pre-Award Costs E-1 Allowable Direct Costs E-1 Indirect Costs (Facilities and Administration [F&A]) E-7 Unallowable Costs E-7 Other Allowable Costs E-8 Encouraged Use of Certain Products Produced in the United States E-9

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Program Appendix F: Intercity Passenger Rail (IPR) Program F-1

Applicable Regulations F-1 IPR Priorities F-1

Allowable Costs F-1 Operational Activities F-2 Funding Availability for OPacks F-3 Specific Guidance on Explosive Detection Canine Teams (EDCT) F-5 EDCT Submission Requirements F-5

Requirements for Small Unmanned Aircraft Systems F-6 Cybersecurity Projects F-7 Capital (Construction) Projects Guidance F-7 Training and Awareness Campaigns F-8 Management and Administration (M&A) F-10 Indirect Costs F-11 Unallowable Costs F-11

Maintenance and Sustainment Costs F-11 Encouraged Use of Certain Products Produced in the United States F-11

Program Appendix G: Port Security Grant Program (PSGP) G-1

Applicable Regulations G-1 PSGP Priorities G-1 Limitations on Funding G-1 Allowable Direct Costs G-1 Allowable Indirect Costs G-12 Unallowable Costs G-12 Maintenance and Sustainment Costs G-13

Port-Wide Risk Management Plans G-14 Sample Memorandum of Understanding/Agreement G-14

Program Appendix H: Emergency Management Performance Grant Program H-1

Alignment of EMPG to the National Preparedness System H-1 Reporting on the Implementation of the National Preparedness System H-1 Logistics Planning H-2 Evacuation Planning H-3 Disaster Housing Planning H-4 State-Led Disaster Housing Task Force H-4 Disaster Financial Management Policies and Procedures H-6

Additional Considerations H-9 Program Performance Reporting Requirements H-10

EMPG Funding Guidelines H-12

Allowable Costs H-12 Planning H-12

Continuity Planning H-14

Organization H-14 Equipment H-15

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Training H-16 Exercises H-19 Maintenance and Sustainment H-20

Unallowable Costs H-21

EMPG Work Plan H-22

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About the Federal Emergency Management

Agency (FEMA)

Overview of FEMA

For more than 40 years, FEMA has helped people before, during, and after disasters. FEMA remains committed to building and developing a culture of preparedness across the country and unifying all levels of community and government into an integrated approach to emergency management. FEMA is part of a larger team of federal agencies, state, local, tribal, and territorial (SLTT) governments, and non-governmental partners that share responsibility for emergency management and national preparedness.

Those closest to impacted areas are the true first responders during any emergency or disaster— individuals, families, neighbors, and local communities. FEMA’s role is to coordinate Federal resources to supplement SLTT capabilities. FEMA does this by coordinating through the levels of government, meaning that states and their local political subdivisions, tribes, and territories are our primary partners.

Overview of Preparedness Grant Programs

FEMA has the statutory authority to deliver numerous disaster and non-disaster financial assistance programs in support of FEMA’s mission, largely through grants and cooperative agreements. These programs account for a significant amount of the Federal funds for which FEMA is accountable. FEMA officials are responsible and accountable for the proper administration of these funds pursuant to Federal laws and regulations, Office of Management and Budget circulars, and Federal appropriations law principles. FEMA has developed this Manual to provide additional direction on grant policy and implementation for the following grant programs:

Homeland Security Grant Program (HSGP)

The HSGP includes a suite of risk-based grants to assist SLTT efforts in preventing, preparing for, protecting against, and responding to acts of terrorism. The grants under HSGP include:

• State Homeland Security Program (SHSP) SHSP assists state, local, tribal, and territorial efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism.

• Urban Area Security Initiative (UASI)

UASI assists high-threat, high-density Urban Areas efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against and respond to acts of terrorism.

• Operation Stonegarden (OPSG)

OPSG supports enhanced cooperation and coordination among Customs and Border Protection

(CBP), United States Border Patrol (USBP), and federal, state, local, tribal, and territorial law enforcement agencies to improve overall border security. OPSG provides funding to support joint efforts to secure the United States’ borders along routes of ingress/egress to and from international borders, to include travel corridors in states bordering Mexico and Canada, as well as states and territories with international water borders. State, local, tribal, and territorial (SLTT) law enforcement agencies utilize their own law enforcement authorities to support the border security mission and do not receive any additional authority as a result of participation in OPSG.

https://www.fema.gov/homeland-security-grant-program

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Tribal Homeland Security Grant Program (THSGP) The THSGP provides funding directly to eligible tribes to strengthen their capacities to prevent, prepare for, protect against, and respond to potential terrorist attacks.

Nonprofit Security Grant Program (NSGP)

The NSGP provides funding for physical security enhancements and other security-related activities to nonprofit organizations that are at high risk of a terrorist attack. The NSGP also seeks to integrate the preparedness activities of nonprofit organizations with broader state and local preparedness efforts.

Transit Security Grant Program (TSGP)

The TSGP provides funds to eligible public transportation systems (which include intra-city bus, ferries, and all forms of passenger rail) to protect critical transportation infrastructure and the travelling public from terrorism, and to increase transportation infrastructure resilience.

Intercity Bus Security Grant Program (IBSGP)

The IBSGP provides funds to eligible private operators of intercity over-the-road bus transportation systems to protect critical transportation infrastructure and travelling public from acts of terrorism, and to increase transportation infrastructure resilience.

Intercity Passenger Rail (IPR) Program – Amtrak

The IPR provides funds to the National Railroad Passenger Corporation (Amtrak) to protect critical transportation infrastructure and the travelling public from terrorism, and to increase transportation infrastructure resilience.

Port Security Grant Program (PSGP)

The PSGP provides funding to port authorities, facility operators, and State and local agencies for activities associated with implementing Area Maritime Security Plans (AMSPs), facility security plans, and other port-wide risk management efforts.

Emergency Management Performance Grant (EMPG)

The FY 2020 EMPG program will provide funds to assist state, local, tribal, and territorial emergency management agencies in obtaining the resources required for implementation of the National

Preparedness System and the National Preparedness Goal (the Goal) of a secure and resilient nation.

https://www.fema.gov/tribal-homeland-security-grant-program https://www.fema.gov/nonprofit-security-grant-program https://www.fema.gov/transit-security-grant-program https://www.fema.gov/intercity-bus-security-grant-program https://www.fema.gov/intercity-passenger-rail-amtrak https://www.fema.gov/port-security-grant-program https://www.fema.gov/emergency-management-performance-grant-program

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Foreword

FEMA has developed this Preparedness Grants Manual to guide applicants and grant recipients on how to manage their grants and other resources. Recipients seeking guidance on policies and procedures for managing preparedness grants should reference this manual for further information on both program-specific information as well as overall guidance on rules and regulations that guide the proper management of FEMA grants.

The National Preparedness Goal The National Preparedness Goal (the Goal) is “[a] secure and resilient Nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk.” See Dep’t of Homeland Sec., National Preparedness

Goal, Second Edition, 1 (Sept. 2015). The Goal essentially defines what it means for all communities to be prepared collectively for the threats and hazards that pose the greatest risk to the nation. The Goal identifies 32 distinct activities, called core capabilities, needed to address the risks. The Goal organizes these core capabilities into five categories, called mission areas. Some core capabilities apply to more than one mission area. For example, the first three core capabilities—Planning, Public Information and

Warning, and Operational Coordination—are cross-cutting capabilities, meaning they apply to each of the five mission areas. The National Preparedness Goal describes the five mission areas as follows:

• Prevention: Prevent, avoid or stop an imminent, threatened or actual act of terrorism.

• Protection: Protect our citizens, residents, visitors, and assets against the greatest threats and hazards in a manner that allows our interests, aspirations and way of life to thrive.

• Mitigation: Reduce the loss of life and property by lessening the impact of future disasters.

• Response: Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of an incident.

• Recovery: Recover through a focus on the timely restoration, strengthening and revitalization of infrastructure, housing and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by an incident.

The mission areas and core capabilities organize the activities and tasks performed before, during, and after disasters into a framework for achieving the goal of a secure and resilient Nation. Resilience is the desired outcome, defined in the Goal as the “ability to adapt to changing conditions and withstand and rapidly recover from disruption due to emergencies.” Id. at A-2.

For more information about the National Preparedness Goal, go to https://www.fema.gov/national-preparedness-goal. Recipients will use the National Preparedness System to build, sustain, and deliver these core capabilities. The components of the National Preparedness System are: Identifying and

Assessing Risk, Estimating Capability Requirements, Building and Sustaining Capabilities, Planning to

Deliver Capabilities, Validating Capabilities, and Reviewing and Updating. Additional information on the

National Preparedness System is available at http://www.fema.gov/national-preparedness-system.

Additional details regarding the National Preparedness System and how it is supported by these grant programs can be found in the program-specific appendices.

https://www.fema.gov/national-preparedness-goal https://www.fema.gov/national-preparedness-goal https://www.fema.gov/national-preparedness-goal http://www.fema.gov/national-preparedness-system

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Pre-Award Application and Submission Pre-Submission Information

These instructions apply to the following programs:

• Homeland Security Grant Program1

• Tribal Homeland Security Grant Program

• Nonprofit Security Grant Program

• Transit Security Grant Program

• Intercity Bus Security Grant Program

• Intercity Passenger Rail Program

• Port Security Grant Program

• Emergency Management Performance Grant Program

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 section titled “Timely Receipt Requirements and Proof of Timely

Submission.”

DHS/FEMA will not review applications that are received after the deadline or consider them for funding. DHS/FEMA may, however, extend the application deadline on request for an 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 DHS/FEMA to make an award.

Applicants experiencing technical problems outside of their control must notify the respective

FEMA Program Analyst 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 the following: prior to the application deadline and within 48 hours after the applicant became aware of the issue.

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 a.m. – 6:00 p.m. ET. If applicants do not know their FEMA Program Analyst 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 a.m. – 5:00 p.m. ET.

Agreeing to Terms and Conditions of the Award By submitting an application, the applicant agrees to comply with the requirements of the applicable

NOFO, this Manual, and the applicable appendix to this Manual, as well as the terms and conditions of its award should it receive an award.

1 Under this program, these instructions also apply to SHSP, UASI, and OPSG.

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

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Address to Request Application Package 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 on Grants.gov, and hard copies of the NOFO and associated application materials are not available. To access these materials, go to http://www.grants.gov, select “Applicants” then “Apply for

Grants.” In order to obtain the application package, select “Download a Grant Application Package.”

Enter the Assistance Listings (formerly CFDA) and/or the funding opportunity number located on the cover of this NOFO, select “Download Package,” and then follow the prompts to download the application package. In addition, the following Telephone Device for the Deaf (TDD) and/or Federal

Information Relay Service (FIRS) number available for this Notice and all relevant NOFOs is (800) 462-

7585.

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 the programs covered by this Manual is a multi-step process. To ensure that their applications are submitted on time, applicants are advised to start the required steps well in advance of their application submissions. 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.

In order to apply for an award, all applicants must:

1. Apply for, update, or verify their Data Universal Numbering System (DUNS) number from Dun

& Bradstreet and Employer Identification Number from the Internal Revenue Service;

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

3. Have an account with login.gov;

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

5. Create a Grants.gov account;

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

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

8. Register in ND Grants;

9. Submit an initial application in Grants.gov;

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

11. 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.

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 DHS/FEMA may not make a federal award until the applicant has complied with all applicable

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

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

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Electronic Delivery DHS/FEMA 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/FEMA requires applicants to submit their initial applications online through Grants.gov and to submit their final applications through ND Grants.

How to Register to Apply through Grants.gov

1. 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

DHS/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. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required application submission deadlines.

Organizations must have a Data Universal Numbering System (DUNS) Number 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.

In order to apply through Grants.gov, organizations must have a DUNS Number, an active SAM registration, and a Grants.gov account to apply for grants.

If individual applicants are eligible to apply for a grant funding opportunity, refer to https://www.grants.gov/web/grants/applicants/registration.html.

Organization applicants can find complete instructions here:

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

2. 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.

3. 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.

4. 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.

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

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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.

5. 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.

6. Create a Grants.gov Account: The next step in the registration process is to create an account with Grants.gov. Applicants must know their or 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.

7. Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single applicant organization the user represents or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to a single 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.

8. 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 are sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role.

For more detailed instructions about creating a profile on Grants.gov, refer to https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html.

9. Track Role Status: To track your role request, refer to https://www.grants.gov/web/grants/applicants/registration/track-role-status.html.

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

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://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

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How to Submit an Initial Application to DHS/FEMA via Grants.gov Grants.gov applicants 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 (NOFO), 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 a workspace, refer to: https://www.grants.gov/web/grants/applicants/workspace-overview.html

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

2. 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.

3. Adobe Reader: If you decide not to apply by filling out web forms, you can download individual

PDF forms in Workspace so that they will appear similar to other Standard or DHS/FEMA forms.

The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, and 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.

4. 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.

5. 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.

6. 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 seven days prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

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

Preparedness Grants Manual | February 2020 15 access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace.

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 support via the toll-free number 1-800-518-4726 and email at support@grants.gov. For questions related to a specific grant contact the number listed in the application package of the grant for which you are applying.

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 the DHS/FEMA with tracking your issue and understanding background information on the issue.

Submitting the Final Application in Non-Disaster Grants System (ND Grants) After submitting the initial application in Grants.gov, eligible applicants will be notified by DHS/FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement 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/non-disaster-grants-management-system.

In ND Grants, applicants will be prompted to submit the standard application information required as described in the “Content and Form of Application Submission” section below. The Standard Forms 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 program-specific application submission requirements, please refer to the applicable program NOFO and applicable appendix to this Manual.

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, a tracking number

(GRANTXXXXXXXX) from Grants.gov, and an Agency Tracking Number (EMX-2020-XX-XXXX) 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.

All applications must be received in ND Grants by 5:00 PM 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 Grants. Additionally, the applicant(s) listed as contacts on the application will receive a system-generated email to confirm receipt.

Content and Form of Application Submission

Required Forms

For all programs, the following forms or information are required to be submitted in either Grants.gov or

ND Grants. The Standard Forms (SFs), submitted either through Grants.gov, through forms generated in https://www.grants.gov/web/grants/applicants/applicant-training.html http://www.grants.gov/ http://www.grants.gov/ https://www.fema.gov/non-disaster-grants-management-system mailto:ndgrants@fema.dhs.gov https://www.fema.gov/non-disaster-grants-management-system https://www.fema.gov/non-disaster-grants-management-system https://www.grants.gov/forms/sf-424-family.html

Preparedness Grants Manual | February 2020 16

ND Grants, or as an attachment in ND Grants, are available at https://www.grants.gov/web/grants/forms/sf-424-family.html.

• SF-424, Application for Federal Assistance, submitted through Grants.gov

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

Grants.gov

• 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, via the forms generated by ND Grants

• Indirect Cost Agreement, 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. If the applicant is not required to have an indirect cost rate agreement but will charge indirect costs and is required to have an indirect cost rate proposal, the applicant must provide a copy of their indirect cost rate proposal with the application. See the section below on indirect costs for more information or contact the relevant Program Analyst or Grants Management Specialist 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.

Intergovernmental Review An intergovernmental review may be required. Applicants must contact their State’s Single Point of

Contact (SPOC) to comply with the State’s process under Executive Order 12372.

See https://www.archives.gov/Federal-register/codification/executive-order/12372.html;

https://www.whitehouse.gov/wp-content/uploads/2019/02/SPOC-February-2019.pdf.

Funding Restrictions and Allowable Costs All costs charged to awards covered by this Manual must comply with the Uniform Administrative

Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated in this Manual, the applicable program NOFO, or the terms and conditions of the award. For more information on FEMA’s implementation of 2 C.F.R. Part 200, see Information Bulletin (IB) No. 400.

In general, the Cost Principles establish standards for the allowability of costs, provide detailed guidance on the cost accounting treatment of costs as direct or administrative costs, and set forth allowability principles for selected items of cost. More specifically, except as otherwise stated in the applicable program appendix to this Manual or the program NOFO, costs charged to awards covered by this Manual must be consistent with the Cost Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. In https://www.grants.gov/web/grants/forms/sf-424-family.html https://www.archives.gov/Federal-register/codification/executive-order/12372.html https://www.whitehouse.gov/wp-content/uploads/2019/02/SPOC-February-2019.pdf https://www.fema.gov/media-library-data/1419366341862-296dd0cc30bbf64a6b45581afe9d8b17/InformationBulletin400_2CFRPart200_FINAL.pdf

Preparedness Grants Manual | February 2020 17 order to be allowable, all costs charged to a FEMA award or applied to the cost share must be reasonable in nature and amount and allocable to the particular FEMA award.

Additionally, all costs charged to awards must comply with the grant program’s applicable statutes, policies, NOFOs, and requirements in this Manual as well as with the terms and conditions of the award.

If FEMA staff identify costs that are inconsistent with any of these requirements, these costs may be disallowed, and FEMA may recover funds as appropriate, consistent with applicable laws, regulations, and policies.

As part of those requirements, grant recipients and subrecipients may only use federal funds or funds applied to a cost share for the purposes set forth in this Manual, applicable NOFOs, 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 other federal grants/cooperative agreements, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity. Recipients are also expected to conform, as applicable, with accepted engineering practices, established codes, standards, modeling techniques, and best practices, and participate in the development of case studies demonstrating the effective use of grant funds, as requested.

Specific investments made in support of the funding priorities discussed in the appendices to this Manual generally fall into one of the following eight allowable expense categories:

1. Construction

2. Equipment

3. Exercises

4. Management & Administration (M&A)

5. Organization

6. Operational Activities

7. Planning

8. Training

Please refer to the relevant program-specific appendix for more information on funding restrictions, funding priorities, and these categories.

Authorized Equipment List The Authorized Equipment List (AEL) is a list of approved equipment types allowed under FEMA’s preparedness grant programs. The intended audience of this tool is emergency managers, first responders, and other homeland security professionals. The list consists of equipment categories divided into categories, sub-categories and then individual equipment items.

Prohibitions on Expending Grant or Cooperative Agreement Funds for Certain

Telecommunications and Video Surveillance Services or Equipment Effective August 13, 2020, DHS/FEMA recipients and subrecipients may not use grant funds under the programs covered by this Manual and provided in FY 2020 or previous years to:

1. Procure or obtain, extend or renew a contract to procure or obtain, or enter into 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

Preparedness Grants Manual | February 2020 18

2. Enter into contracts or 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.

This prohibition regarding certain telecommunications and video surveillance services or equipment is mandated by section 889 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019

(FY 2019 NDAA), Pub. L. No. 115-232 (2018). Recipients and subrecipients may use DHS/FEMA grant funding to procure replacement equipment and services impacted by this prohibition, provided the costs are otherwise consistent with the requirements of this Manual, applicable appendix to this Manual, and applicable NOFO. DHS/FEMA will publish additional guidance in a subsequent Information Bulletin or similar notice.

Per section 889(f)(2)-(3) of the FY 2019 NDAA, covered telecommunications equipment or services means:

1. Telecommunications equipment produced by Huawei Technologies Company or ZTE

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

2. 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);

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

4. 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.congress.gov/bill/115th-congress/house-bill/5515/text?format=txt

Preparedness Grants Manual | February 2020 19

Award Determination and Obligation Allocations

Risk Methodology DHS/FEMA defines risk as: “potential for an unwanted outcome resulting from an incident, event, or occurrence, as determined by its likelihood and the associated consequences.” See Risk Steering

Committee, DHS Risk Lexicon: 2010 Edition, (Sept. 2010), at 27, available at http://www.dhs.gov/xlibrary/assets/dhs-risk-lexicon-2010.pdf. The DHS/FEMA risk methodology is focused on three elements:

• Threat: the likelihood of an attack being attempted by an adversary

• Vulnerability: the likelihood that an attack is successful, given that it is attempted

• Consequence: the effect of an event, incident, or occurrence

Please see the applicable appendix of the Preparedness Grants Manual for each award program for specific information on the risk methodology applied for each program.

Application Evaluation Criteria

Programmatic Criteria

See the Manual appendices and relevant program NOFOs for specific information on the application criteria specific to each program.

Financial Integrity Criteria Prior to making a federal award, FEMA is required by 31 U.S.C. § 3321 note, 41 U.S.C. § 2313, and 2

C.F.R. § 200.205 to review information available through any OMB-designated repositories of government-wide eligibility qualification or financial integrity information. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant:

1. Financial stability.

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

3. History of performance in managing federal award.

4. Reports and findings from audits.

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

All investments selected for recommendation will also undergo an additional risk review conducted by the DHS/FEMA Grants Management Specialist to evaluate the risk for noncompliance in carrying out the federal award. Using their subject-matter expertise, the questions the DHS/FEMA Grants Management

Specialist may assess include, but are not limited to:

• Is the applicant on any exclusion lists as identified in the System for Award Management

(SAM.gov)?

• If the applicant has received federal funding in the past, has the applicant performed all audits required by the Single Audit requirements under 2 C.F.R. Part 200, Subpart F?

• Has the applicant provided sufficient budget information and justification as required by the

NOFO?

• Are the costs proposed by the applicant in the budget information and justification allowable and reasonable based on the criteria set forth in this Manual and the applicable appendix, NOFO, and regulations?

http://www.dhs.gov/xlibrary/assets/dhs-risk-lexicon-2010.pdf

Preparedness Grants Manual | February 2020 20

• Is the budget representative of the total cost of performance of the projects?

• If indirect costs are included, has the applicant provided an approved Indirect Cost Rate agreement?

• Is the applicant delinquent on any federal debt?

• Has the applicant had substandard performance in a prior award?

• Is the applicant on the Do Not Pay List?

Based on the outcome of this review, DHS/FEMA may determine that it will not make an award to an applicant that poses a risk of noncompliance. DHS/FEMA may also determine that it will make an award to an at-risk applicant, subject to additional terms and conditions as described in 2 C.F.R. § 200.207.

Supplemental Financial Integrity Review Prior to making a federal award where the anticipated federal share will be greater than the simplified acquisition threshold, currently $250,000 (see FEMA Information Bulletin No. 434, Increases and

Changes to the Micro-Purchase and Simplified Acquisition Thresholds):

• DHS/FEMA is required to review and consider any information about the applicant in the designated integrity and performance system accessible through the System for Award

Management (SAM), which is currently the Federal Awardee Performance and Integrity

Information System (FAPIIS) and is accessible through the SAM website.

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

•…