FY 2023 NOFO HSPTAP_FAPO_OMB Cleared_508_v4.pdf

The Department of Homeland Security (DHS)

Notice of Funding Opportunity (NOFO)

Fiscal Year 2023 Homeland Security Preparedness Technical Assistance

Grant Program

All entities wishing to do business with the federal government must have a unique entity identifier (UEI). The UEI number is issued by the system. Requesting a UEI using Sam.gov can be found at: https://sam.gov/content/entity-registration.

Grants.gov registration information can be found at:

https://www.grants.gov/web/grants/register.html.

Planned UEI Updates in Grant Application Forms:

On April 4, 2022, the Data Universal Numbering System (DUNS) Number was replaced by a new, non-proprietary identifier requested in, and assigned by, the System for Award

Management (SAM.gov). This new identifier is the Unique Entity Identifier (UEI).

Additional Information can be found on Grants.gov:

https://www.grants.gov/web/grants/forms/planned-uei-updates.html

Table of Contents

Planned UEI Updates in Grant Application Forms:

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 Measures

B. Federal Award Information

1. Available Funding for the NOFO: $400,000

2. Projected Number of Awards: 2-4

3. Maximum Award Amount: $200,000

4. Period of Performance: 12 months

5. Projected Period of Performance Start Date(s)

6. Projected Period of Performance End Date(s)

7. Funding Instrument Type: Grant

C. Eligibility Information https://sam.gov/content/entity-registration https://www.grants.gov/web/grants/register.html https://www.grants.gov/web/grants/forms/planned-uei-updates.html

1. Eligible Applicants

2. Applicant Eligibility Criteria

3. Other Eligibility Criteria/Restrictions

a. National Incident Management System (NIMS) Implementation

4. Maintenance of Effort (MOE)

5. Cost Share or Match

D. Application and Submission Information

1. Key Dates and Times

a. Application Start Date

b. Application Submission Deadline

c. Other Key Dates

2. Agreeing to Terms and Conditions of the Award

3. Address to Request Application Package

4. Requirements: Obtain a Unique Entity Identifier (UEI) and Register in the System for

Award Management (SAM)

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

Management (SAM), and Submit an Application

6. Electronic Delivery

7. How to Register to Apply

a. General Instructions:

b. Obtain an UEI Number:

c. Obtain Employer Identification Number

d. Create a login.gov account:

e. Register with SAM:

f. Register in FEMA GO, Add the Organization to the System, and Establish the AOR:

8. How to Submit an Initial Application to FEMA via FEMA GO

9. Timely Receipt Requirements and Proof of Timely Submission

10. Content and Form of Application Submission

a. Standard Required Application Forms and Information

b. Program-Specific Required Forms and Information

11. Intergovernmental Review

12. Funding Restrictions and Allowable Costs

a. Prohibitions on Expending FEMA Award Funds for Covered Telecommunications

Equipment or Services

b. Pre-Award Costs

c. Management and Administration (M&A) Costs

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

E. Application Review Information

1. Application Evaluation Criteria

a. Programmatic Criteria

b. Financial Integrity Criteria

c. Supplemental Financial Integrity Criteria and Review

2. Review and Selection Process

a. Eligibility Screening

b. Review Panel

c. Application Selection Process

d. Required Application Contents

F. Federal Award Administration Information

1. Notice of Award

2. Administrative and National Policy Requirements

a. DHS Standard Terms and Conditions

b. Ensuring the Protection of Civil Rights

c. Environmental Planning and Historic Preservation (EHP) Compliance

d. National Incident Management System (NIMS) Implementation

3. Reporting

a. Financial Reporting Requirements

b. Programmatic Performance Reporting Requirements

c. Closeout Reporting Requirements

d. Additional Reporting Requirements

5. Monitoring and Oversight

G. DHS Awarding Agency Contact Information

1. Contact and Resource Information

a. Program Office Contact

b. Centralized Scheduling and Information Desk (CSID)

c. Grant Programs Directorate (GPD) Award Administration Division

d. Equal Rights

e. Environmental Planning and Historic Preservation

2. Systems Information

a. FEMA GO

b. FEMA Preparedness Toolkit

H. Additional Information

1. Termination Provisions

a. Noncompliance

b. With the Consent of the Recipient

c. Notification by the Recipient

2. Program Evaluation

3. Period of Performance Extensions

4. Disability Integration

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

6. Procurement Integrity

a. Important Changes to Procurement Standards in 2 C.F.R. Part 200

b. Competition and Conflicts of Interest

c. Supply Schedules and Purchasing Programs

d. Procurement Documentation

7. Record Retention

a. Record Retention Period

b. Types of Records to Retain

8. Actions to Address Noncompliance

9. Audits

10. Payment Information

11. Whole Community Preparedness

12. Appendices

Appendix A: Detail of Allowable Direct Costs Under HSPTAP

Appendix B: Project Narrative Template

Appendix C: Evaluation and Scoring Criteria

Appendix D: Budget Detail Worksheet Template

A. Program Description

1. Issued By

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

(FEMA)/Resilience/Office of Resilience Integration and Coordination

2. Assistance Listings Number

97.007

3. Assistance Listings Title

Homeland Security Preparedness Technical Assistance Program (HSPTAP)

4. Funding Opportunity Title

Fiscal Year 2023 Homeland Security Preparedness Technical Assistance Program (HSPTAP)

5. Funding Opportunity Number

DHS-23-NPD-007-00-99

6. Authorizing Authority for Program

Homeland Security Act of 2002, as amended, Public Law 107-296, § 503(b)(2)(G) (codified as amended at 6 U.S.C. § 313(b)(2)(G))

7. Appropriation Authority for Program

Department of Homeland Security Appropriations Act, 2023, Pub. L. No. 117-328, Division F, Title III (Protection, Preparedness, Response, and Recovery).

8. Announcement Type

Initial

9. Program Category

Preparedness

10. Program Overview, Objectives, and Priorities

a. Overview

The Homeland Security Preparedness Technical Assistance Program (HSPTAP) provides financial assistance to professional non-profit organizations in activities to improve and/or build state, local, tribal and territorial (SLTT) capabilities to prevent, protect against, respond to, recover from, and mitigate major events, including threats or acts of terrorism. The overarching programmatic goal focuses on building state and local capabilities through various means and methods, each one aimed at achieving the National Preparedness Goal and furthering our collective efforts to remain a safe and secure nation.

Specific HSPTAP activities anticipated for achieving this goal include, but will not be limited to:

• production and dissemination of written products relating to emerging homeland security, emergency management and public safety issues and established or model state homeland security and emergency management efforts;

o e.g., since 2018, HSPTAP recipient, the NGA Center, has prepared and distributed 230+ weekly policy newsletters, 20+ homeland security policy memos, and 40+ research memos to support state homeland security efforts.

• providing educational seminars, training and workshops for apprising newly appointed Governor’s Homeland Security Advisors and Emergency Management

Directors of federal homeland security doctrine, best-practices and established principles;

o e.g., in 2022, HSPTAP recipient, NEMA, conducted a series of four webinars covering a range of issues: The Federal Role in Disaster, State and Local

Cybersecurity, The Role of Politics in DHS Policy, and Election Security.

• facilitating calls, meetings, or discussions amongst representatives from key stakeholder groups on a regular basis which serve to share information, knowledge, experiences, and practices relating to current and emerging homeland security, emergency management and public safety issues; and, o e.g., since 2018, the NGA Center Homeland Security Team has conducted

51+ monthly plenary calls of the Governor’s Homeland Security Advisors

Council (GHSAC)

• convening trainings, workshops, and other meeting opportunities designed to bring together in a common forum nationwide Homeland Security Advisors, state, local and tribal Emergency Management Directors, as well as other professional organizations in the public and private sectors and to inform partners on the impacts of federal homeland security, emergency management and public safety legislation, regulations and policies on the states.

o e.g., Since 2018, the NGA Center has brought together 770+ participants with annual meetings and NEMA has brought together over 530 participants.

Topics discussed at these forums have included modernizing Emergency

Communications Policies, bolstering the COVID-19 Supply Chain, protecting

Critical Infrastructure, enhancing Resiliency to Disasters, countering

Unmanned Aircraft Systems, developing Cybersecurity capabilities.

The HSPTAP supports Goal 1: Counter Terrorism and Homeland Security Threat of the

2020-2024 DHS Strategic Plan, along with Goal 3: Promote and Sustain a Ready FEMA and a Prepared Nation of the 2022-2026 FEMA Strategic Plan.

https://www.dhs.gov/sites/default/files/publications/19_0702_plcy_dhs-strategic-plan-fy20-24.pdf https://www.fema.gov/about/strategic-plan

b. Objectives

Supporting key homeland security and emergency preparedness stakeholders nationwide to further build a national system of emergency management capabilities.

1. Conducting activities that bring together the collective perspectives of SLTT officials and the private and nonprofit sectors to provide a broad-based sounding board on homeland security issues for all national stakeholders. Supporting this objective should include establishing, providing, and maintaining a forum for organizations to exchange ideas, conduct targeted discussions, and to provide technical assistance to governor’s offices, associations, and organizations on all relevant SLTT homeland security policy areas.

2. Developing, transferring, and institutionalizing pertinent knowledge at the state and local level for addressing current public policy challenges facing state emergency management directors, state homeland security advisors and other SLTT officials.

3. Collaborating with public and private sectors and all disciplines and levels of government

(e.g., national, regional, state and local) to facilitate information sharing, enhance communication and coordination; address the complex challenges of developing and implementing homeland security policies and practices including: intelligence sharing;

state homeland security organization, structure and governance; communications interoperability; critical infrastructure protection; climate-driven disturbances and emergent risks; and all hazards disaster prevention, protection, mitigation, preparedness, response and recovery to include areas of emergency management, homeland security, public health, fire, law enforcement, Emergency Management Services (EMS), agriculture, National Guard, emergency communications and public works.

c. Priorities

The objectives and projects above support the purpose of the FY 2023 HSPTAP, further building of a national system of emergency management capabilities that can effectively and efficiently use the nation's resources to respond to catastrophic incidents, including natural disasters, climate-driven extremes and disturbances, acts of terrorism, domestic extremism, and other man-made emergencies or events. In addition to building state, tribal, territorial, and local capabilities, the activities conducted under the HSPTAP are structured to address the National Preparedness System and full spectrum of mission areas and core capabilities outlined in the National Preparedness Goal.

Given the evolving threat landscape, DHS/FEMA continuously evaluates the national risk profile and set priorities that help ensure appropriate allocation of scarce federal resources.

Due to the unique threats that the nation faces in 2023, DHS/FEMA has determined four priority areas for FY 2023 HSPTAP funds:

1. Enhancing climate resilience and adaptation throughout the emergency management community

2. Enhancing equity and accessibility throughout emergency management policies and programs and instilling as a foundation of emergency management.

3. Collaborate with SLTT, Private sector, and Non-Governmental Organizations to strengthen the capability of partners to advance critical issues within their pre and post disaster work. Critical issues may include climate change, future conditions data, climate adaptation and resilience.

4. Addressing emergent threats (e.g., public health and climate-driven emergencies, enhancing election security, etc.).

11. Performance Measures

FEMA requires HSPTAP recipients to collect and submit information necessary to calculate metrics derived from the following measures of effectiveness for the HSPTAP grant program:

• Number of trainings, seminars, and workshops developed and/or delivered by the recipients to build SLTT capabilities specific to the four priority areas for FY 2023; and

• Results of workshop or event surveys and evaluations.

B. Federal Award Information

1. Available Funding for the NOFO: $400,000

2. Projected Number of Awards: 2-4

3. Maximum Award Amount: $200,000

4. Period of Performance: 12 months

Extensions to the period of performance are allowed. FEMA will consider extensions to the period of performance only through formal requests to FEMA with specific and compelling justifications as to why an extension is required. For additional information on period of performance extensions, please refer to Section H of this notice.

FEMA awards under most programs, including 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.”

5. Projected Period of Performance Start Date(s): August 28, 2023

6. Projected Period of Performance End Date(s): August 27, 2024

7. Funding Instrument Type: Grant

C. Eligibility Information

1. Eligible Applicants

Nonprofit organizations and institutions of higher education as defined by 2 C.F.R. § 200.1.

2. Applicant Eligibility Criteria

The criteria that organizations must meet in order to be eligible for the HSPTAP are defined below. Applicants that do not meet eligibility and application submission requirements will not be evaluated and scored by the review panel.

Eligible non-profit organizations must:

a. Be a known entity with a national scope and able to work in partnership with key stakeholders and federal agencies.

b. Demonstrate their experience and capacity to establish, provide, and maintain a collaborative forum which can reach, inform, educate, and engage key homeland security and emergency preparedness stakeholders nationwide; and

c. Demonstrate their experience and ability to work with all disciplines and levels of government to develop and provide direct technical assistance, training, and professional development in the area of current homeland security doctrine, policy, and best practices to key homeland security and emergency preparedness stakeholders nationwide.

Key homeland security and emergency preparedness stakeholders include but are not limited to: state emergency management directors, state homeland security advisors, and other SLTT officials.

Applicants must conform to the guidance and demonstrate their experience and expertise using the questions in Appendix B: Project Narrative Template, and reviewers will use these questions as one set of criteria to score applications as outlined in Appendix C: Evaluation and Scoring Criteria. Applicants that do not meet eligibility and application submission requirements will not be evaluated and scored by the review panel.

3. Other Eligibility Criteria/Restrictions

a. National Incident Management System (NIMS) Implementation

Before 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.

Emergency management and incident response activities require carefully managed resources

(personnel, teams, facilities, equipment, and/or supplies) to meet incident needs. Utilization of the standardized resource management concepts such as typing, credentialing and inventorying, promote a strong national mutual aid capability needed to support delivery of core capabilities. Additional information on resource management, NIMS resource typing definitions, job titles, and position qualifications is on FEMA’s website at https://www.fema.gov/emergency-managers/nims/components.

FEMA developed the National Incident Management System Guideline for the National

Qualification System to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes and identifies tools that Federal Emergency Response Officials and https://www.fema.gov/emergency-managers/nims/implementation-training https://www.fema.gov/emergency-managers/nims/implementation-training https://www.fema.gov/emergency-managers/nims/components https://www.fema.gov/emergency-managers/nims/components/nqs-supplemental-documents https://www.fema.gov/emergency-managers/nims/components/nqs-supplemental-documents emergency managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses.

Although state (including territorial), local, tribal, and private sector partners (including nongovernmental organizations) are not required to credential their personnel in accordance with these guidelines, FEMA strongly encourages them to do so to leverage the federal investment in the Federal Information Processing Standards 201 infrastructure and to facilitate interoperability for personnel deployed outside their home jurisdiction.

Additional information about NIMS in general is available on FEMA’s website at https://www.fema.gov/emergency-managers/nims.

4. Maintenance of Effort (MOE)

There is no MOE requirement for this program.

5. Cost Share or Match

There is no cost share or cost match requirement for this program.

D. Application and Submission Information

1. Key Dates and Times

a. Application Start Date: July 21, 2023 at 9:00AM ET

b. Application Submission Deadline: August 21, 2023 at 5:00PM ET

All applications must be received by the established deadline.

FEMA’s Grants Outcomes System (FEMA GO) automatically records proof of timely submission and the system generates an electronic date/time stamp when FEMA GO successfully receives the application. The individual with the Authorized Organization

Representative role that submitted the application will also receive the official date/time stamp and a FEMA GO tracking number in an email serving as proof of their timely 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 notice.

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.

https://www.fema.gov/emergency-managers/nims

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 the following: 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 notice, “DHS Awarding Agency

Contact Information.” For technical assistance with the FEMA GO system, please contact the

FEMA GO Helpdesk at femago@fema.dhs.gov or (877) 611-4700, Monday through Friday, 9 a.m. – 6 p.m. ET. For programmatic or grants management questions, please contact your

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

c. Anticipated Funding Selection Date: September 1, 2023

d. Anticipated Award Date: September 1, 2023

e. Other Key Dates

2. Agreeing to Terms and Conditions of the Award

By submitting an application, applicants agree to comply with the requirements of this notice and the terms and conditions of the award, should they receive an award.

3. Address to Request Application Package

Applications are processed through the FEMA GO system. To access the system, go to https://go.fema.gov/.

Hard copies of the notice can be downloaded at Grants.gov or obtained via email from the

Awarding Office points of contact listed in Section G of this notice, “DHS Awarding Agency

Contact Information” or by TTY (800) 462-7585.

Event Suggested Deadline for Completion

Initial registration in SAM.gov includes UEI issuance

Four weeks before actual submission deadline

Obtaining a valid Employer

Identification Number (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 FEMA GO Four weeks before actual submission deadline

Submitting the final application in

FEMA GO

By the submission deadline mailto:femago@fema.dhs.gov mailto:askcsid@fema.dhs.gov https://go.fema.gov/ https://www.grants.gov/

4. Requirements: Obtain a Unique Entity Identifier (UEI) and Register in the System for

Award Management (SAM)

Each applicant, unless they have a valid exception under 2 CFR 25.110, must:

1) Be registered in Sam.Gov before application submission;

2) Provide a valid Unique Entity Identifier (UEI) in its application; and

3) Continue to always maintain an active System for Award Management (SAM) registration with current information during the Federal Award process.

5. 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 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 Unique Entity Identifier (UEI) number and

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

b. In the application, provide an UEI number;

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. Register in FEMA GO, add the organization to the system, and establish the

Authorized Organizational Representative (AOR). The organization’s electronic business point of contact (EBiz POC) from the SAM registration may need to be involved in this step. For step-by-step instructions, see https://www.fema.gov/media-library/assets/documents/181607;

f. Submit the complete application in FEMA GO; and

g. Continue to maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency. As part of this, applicants must also provide information on an applicant’s immediate and highest-level owner and subsidiaries, as well as on all predecessors that have been awarded federal contracts or federal financial assistance within the last three years, if applicable.

Applicants are advised that FEMA may not make a federal award until the applicant has complied with all applicable 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 https://www.login.gov/ https://www.fema.gov/media-library/assets/documents/181607 that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

Per 2 C.F.R. § 25.110(c)(2)(iii), if an applicant is experiencing exigent circumstances that prevents it from obtaining an UEI 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 an UEI number, if applicable, and complete SAM registration within 30 days of the federal award date.

6. 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 applications through

FEMA GO.

7. How to Register to Apply

a. General Instructions:

Registering and applying for an award under this program is a multi-step process. Read carefully the instructions below about registering to apply , and prepare the information requested before beginning the registration process. Doing so will alleviate last-minute searches for required information.

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

Organizations must have an UEI number, an EIN, an active System for Award Management

(SAM) registration and Grants.gov account to apply for grants.

b. Obtain an UEI Number:

All entities applying for funding, including renewal funding, before April 4, 2022, must have a UEI number. Applicants must enter the UEI number in the applicable data entry field on the SF-424 form.

For more detailed instructions for obtaining a UEI number, refer to: SAM.gov.

c. Obtain Employer Identification 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.

mailto:askcsid@fema.dhs.gov file:///C:/Users/rsalsbur/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/3T14KI4A/sam.gov 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

d. Create a login.gov account:

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

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

Applicants only have to create a login.gov account once. For applicants that are existing

SAM users, use the same email address for the login.gov account as with SAM.gov so that the two accounts can be linked.

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

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

e. Register with SAM:

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. Organizations will be issued a UEI number with the completed SAM registration.

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

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

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

I. ADDITIONAL SAM REMINDERS

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

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

24 hours before FEMA’s system recognizes the information.

It is imperative that the information applicants provide is correct and current. Please ensure that your organization’s name, address, and EIN are up to date in SAM and that the UEI number used in SAM is the same one used to apply for all other FEMA awards. Payment under any FEMA award is contingent on the recipient’s having a current SAM registration.

II. HELP WITH SAM

The SAM quick start guide for new recipient registration and SAM video tutorial for new applicants are tools created by the General Services Administration (GSA) to assist those registering with SAM. If applicants have questions or concerns about a SAM registration, https://secure.login.gov/sign_up/enter_email?request_id=34f19fa8-14a2-438c-8323-a62b99571fd3 https://secure.login.gov/sign_up/enter_email?request_id=34f19fa8-14a2-438c-8323-a62b99571fd3 https://www.sam.gov/SAM/pages/public/loginFAQ.jsf https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html please contact the Federal Support Desk at https://www.fsd.gov/fsd-gov/home.do or call toll free (866) 606-8220.

f. Register in FEMA GO, Add the Organization to the System, and Establish the AOR:

Applicants must register in FEMA GO and add their organization to the system. The organization’s electronic business point of contact (EBiz POC) from the SAM registration may need to be involved in this step. For step-by-step instructions, see https://www.fema.gov/media-library/assets/documents/181607.

Note: FEMA GO will support only the most recent major release of the following browsers:

• Google Chrome

• Internet Explorer

• Mozilla Firefox

• Apple Safari; and

• Microsoft Edge.

Users who attempt to use tablet type devices or other browsers may encounter issues with using FEMA GO.

8. How to Submit an Initial Application to FEMA via FEMA GO

Applicants will be prompted to submit the standard application information and any program-specific information required as described in Section D.10 of this notice, “Content and Form of Application Submission.” The Standard Forms (SF) may be accessed in 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.

After submitting the final application, FEMA GO will provide either an error message or a successfully received transmission in the form of an email sent to the AOR that submitted the application. Applicants using slow internet connections, such as dial-up connections, should be aware that transmission can take some time before FEMA GO receives your application.

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 notice

9. Timely Receipt Requirements and Proof of Timely Submission

All applications must be completed in FEMA GO by the application deadline. FEMA GO automatically records proof of timely submission and the system generates an electronic date/time stamp when FEMA GO successfully receives the application. The individual with the Authorized Organization Representative (AOR) role that submitted the application will also receive the official date/time stamp and a FEMA GO tracking number in an email serving as proof of their timely submission on the date and time that FEMA GO received the application.

https://www.fsd.gov/fsd-gov/home.do https://www.grants.gov/forms/sf-424-family.html

Applicants who experience system-related issues will be addressed until 3:00 p.m. ET on the date applications are due. No new system-related issues will be addressed after this deadline. Applications not received by the application submission deadline will not be accepted.

10. Content and Form of Application Submission

a. Standard Required Application Forms and Information

The following forms or information are required to be submitted via FEMA GO. The

Standard Forms (SF) are also available at https://www.grants.gov/web/grants/forms/sf-424-family.html.

• SF-424, Application for Federal Assistance

• Grants.gov Lobbying Form, Certification Regarding Lobbying

• SF-424A, Budget Information (Non-Construction)

• SF-424B, Standard Assurances (Non-Construction)

• SF-LLL, Disclosure of Lobbying Activities

• Indirect Cost Agreement or Proposal if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. 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 notice, “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 notice, “DHS Awarding Agency Contact Information” for further instructions.

b. Program-Specific Required Forms and Information

The following HSPTAP program-specific forms or information are required to be submitted in FEMA GO:

• Project Narrative that describes the applicant’s proposed project and how it aligns with the FY 2023 HSPTAP Program objective. (Refer to Appendix B: Project Narrative

Template for additional details.)

• Budget Detail Worksheet that identifies all project costs and provides justification for the costs identified (including management and administration [M&A]). (Refer to Appendix

D: Budget Detail Worksheet Template for additional details.)

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;

www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf .

12. Funding Restrictions and Allowable Costs

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

Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated in the notice, or the terms and conditions of the award. This includes, among other requirements, that costs must be incurred, and products and services https://www.grants.gov/web/grants/forms/sf-424-family.html https://www.grants.gov/web/grants/forms/sf-424-family.html https://www.archives.gov/federal-register/codification/executive-order/12372.html http://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf%20.

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 is the same as the period of performance).

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 this notice, the terms and condition of an award, or other program materials, costs charged to awards covered by this notice must be consistent with the Cost

Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. In 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, requirements in this notice 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 notice and the terms and conditions of the award, and those costs must be consistent with the statutory authority for the award.

Grant 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.

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, 200.327, 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 telecommunications and video surveillance products and contracting with certain entities for national security reasons.

Guidance is available at FEMA Policy #405-143-1 - Prohibitions on Expending FEMA

Award Funds for Covered Telecommunications Equipment or Services

Additional guidance is available at Contract Provisions Guide: Navigating Appendix II to

Part 200 - Contract Provisions for Non-Federal Entity Contracts Under Federal Awards

(fema.gov).

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 https://www.fema.gov/sites/default/files/documents/fema_policy-405-143-1-prohibition-covered-services-equipment-gpd.pdf https://www.fema.gov/sites/default/files/documents/fema_policy-405-143-1-prohibition-covered-services-equipment-gpd.pdf https://www.fema.gov/sites/default/files/documents/fema_contract-provisions-guide_6-14-2021.pdf https://www.fema.gov/sites/default/files/documents/fema_contract-provisions-guide_6-14-2021.pdf https://www.fema.gov/sites/default/files/documents/fema_contract-provisions-guide_6-14-2021.pdf

Effective Aug. 13, 2020, FEMA recipients and subrecipients may not use any FEMA funds under open or new awards 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;

• 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

• 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. 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.

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 not allowable.

c. Management and Administration (M&A) Costs

Management and Administration costs are activities directly related to managing and administering the HSPTAP award. M&A costs are not operational costs. They are the necessary costs 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. FEMA has determined that the recipient may retain and expend a maximum of 5% of HSPTAP funds for M&A purposes associated with the award.

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 Program Analyst or Grants 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 Program Analyst or Grants Management Specialist for further instructions.

E. Application Review Information

1. Application Evaluation Criteria

a. Programmatic Criteria

Applications must conform with the guidance provided in Appendix B: Project Narrative

Template. FY 2023 HSPTAP applications will also be evaluated for completeness, adherence to programmatic guidelines and anticipated effectiveness of the proposed project.

Below is a short summary of the evaluation criteria. The full criteria can be found in

Appendix C: Evaluation and Scoring Criteria, which details the specific criteria aligned to each of the Project Narrative requirements and the maximum number of points an application can receive for each criterion. The four base criteria are worth up to 100 total possible points.

FEMA will not review applications that do not address all questions and subparts.

Additionally, FEMA will not consider any letters of endorsement or support submitted separately from an application. If statements of endorsement or support testimony are provided, they must be included in the Project Narrative.

• Demonstration of Eligibility: The applicant clearly and comprehensively describes its ability to build state, local, tribal and territorial emergency management capabilities.

(Possible Points: 0 – 20 max)

• Project Plan: The applicant demonstrates an effective and sustainable project approach for building SLTT emergency management capabilities within the 12-month performance period, including the specific implementation and project management approaches.

(Possible Points: 0 – 30 max)

• Anticipated Results: The applicant demonstrates the proposed project’s anticipated results, including how the project will build the SLTT emergency management capabilities and performance goals the project is expected to achieve, and how the project can be scaled or replicated to benefit national preparedness. (Possible Points: 0 – 30 max)

• Budget: The applicant demonstrates a reasonable and cost-effective budget (using

Appendix D: Budget Detail Worksheet Template) including explanation of reasonable project costs across the requested categories, the project’s relative cost effectiveness and sustainability and the applicant’s ability to manage federal grants. (Possible Points: 0 –

20 max)

b. Financial Integrity Criteria

Prior to making a federal award, FEMA is required by 31 U.S.C. § 3354, as enacted by the

Payment Integrity Information Act of 2019, Pub. L. No. 116-117 (2020); 41 U.S.C. § 2313;

and 2 C.F.R. § 200.206 to review information available through any Office of Management and Budget (OMB)-designated repositories of governmentwide eligibility qualification or financial integrity information, including whether the applicant is suspended or debarred.

FEMA may also pose additional questions to the applicant to aid in conducting the pre-award risk review. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant:

i. Financial stability;

ii. Quality of management systems and ability to meet management standards;

iii. History of performance in managing federal award;

iv. Reports and findings from audits;

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

c. Supplemental Financial Integrity Criteria and Review

Prior to making a federal award where the anticipated total federal share will be greater than the simplified acquisition threshold, currently $250,000:

i. FEMA is required to review and consider any information about the applicant, including information on the applicant’s immediate and highest-level owner, subsidiaries, and predecessors, if applicable, that is 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).

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

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

200.206.

2. Review and Selection Process

a. Eligibility Screening

FEMA will conduct an initial review of all applications to verify applicant eligibility and ensure each application is complete. All eligible and complete applications will progress to the applicable FEMA program office for further review. FEMA staff will review the following during the eligibility screening:

i. Applicant is an eligible organization as defined under the Eligible Applicants header of Section C: Eligibility Information of this notice.

https://www.fapiis.gov/fapiis/#/home https://www.fapiis.gov/fapiis/#/home

ii. Applicant has submitted all required assurances and standard forms.

iii. Application complies with the Application Submission information presented in Section D: Application and Submission Information and Appendix B:

Project Narrative Template, including:

• Application includes a Project Narrative that aligns with the format requirements specified in Appendix B: Project Narrative Template.

• Application includes a Budget Detail Worksheet (Appendix D: Budget

Detail Worksheet Template).

b. Review Panel

Applications will be reviewed and scored by a review panel comprised of FEMA staff.

Applicants that do not meet eligibility and application…