FY19 NDSP NOFO_FINAL (4.16.17).pdf

The Department of Homeland Security (DHS) Notice of Funding Opportunity (NOFO)

FY2019 National Dam Safety Program (NDSP)

NOTE: If you are going to apply for this funding opportunity and have not obtained a Data Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management (SAM), please take immediate action to obtain a DUNS Number, if applicable, and then to register immediately in SAM. It may take 4 weeks or more after you submit your SAM registration before your registration is active in SAM, then an additional 24 hours for Grants.gov to recognize your information. Information on obtaining a DUNS number and registering in SAM is available from Grants.gov at:

http://www.grants.gov/web/grants/register.html. Detailed information regarding DUNS and SAM is also provided in Section D of this NOFO, subsection, Content and Form of Application Submission.

A. Program Description

Issued By U.S. Department of Homeland Security (DHS) Federal Emergency Management Agency (FEMA), Federal Insurance and Mitigation Administration (FIMA), National Dam Safety Program Office

Assistance Listings Number (formerly Catalog of Federal Domestic Assistance Number) 97.041

Assistance Listings Title (formerly CFDA Title) National Dam Safety Program

Notice of Funding Opportunity Title Fiscal Year 2019 National Dam Safety Program

NOFO Number NDSP Region 1: DHS-19-MT-041-01-01 NDSP Region 2: DHS-19-MT-041-02-01 NDSP Region 3: DHS-19-MT-041-03-01 NDSP Region 4: DHS-19-MT-041-04-01 NDSP Region 5: DHS-19-MT-041-05-01 NDSP Region 6: DHS-19-MT-041-06-01 NDSP Region 7: DHS-19-MT-041-07-01 NDSP Region 8: DHS-19-MT-041-08-01 NDSP Region 9: DHS-19-MT-041-09-01 NDSP Region 10: DHS-19-MT-041-10-01 http://www.grants.gov/web/grants/register.html

Authorizing Authority for Program Section 8 of the National Dam Safety Program Act, as amended, (Pub. L. No. 104-303)

Appropriation Authority for Program The Department of Homeland Security Appropriations Act, 2019 (Pub. L. No. 116-6), Title III, FEMA, Operation and Support, paragraph 1

Program Type Formula

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

Ready the National for Catastrophic Disasters.

Objectives The objectives of the Program are to:

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

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

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

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

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

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

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

Performance Metrics

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

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

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

Please refer to Page 15 of this announcement for additional information on metrics for the National Dam Safety Program.

B. Federal Award Information

The allocation of the NDSP state assistance grant is determine by 33 U.S. Code § 467j - Authorization of appropriations. The allocation of the NDSP state assistance grant is calculated as follows:

(i) One-third of the total NDSP grant assistance made available by FEMA will be equally distributed among states eligible for assistance.

(ii) Two-thirds of the total NDSP grant assistance made available by FEMA will be distributed among states eligible for assistance, in proportion to—

a. the number of dams in the state that are listed as state-regulated dams on the

National Inventory of Dams; as compared to

b. the number of dams in all states that are listed as state-regulated dams in the

National Inventory of Dams.

Award Amounts, Important Dates, and Extensions Available Funding for the NOFO: $6,800,000.00

Projected number of Awards: 51

Period of Performance: 12 months An extension to the Period of Performance for this program is allowed. For details on the requirements for requesting an extension to the Period of Performance, please refer to Section H of this announcement.

Projected Period of Performance Start Date(s): Equal to the anticipated award date

Projected Period of Performance End Date(s): Day before award date plus 12 months

Funding Instrument Grant https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-80204913-327866847&term_occur=73&term_src=title:33:chapter:9:subchapter:VII:section:467j https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-80204913-327866847&term_occur=74&term_src=title:33:chapter:9:subchapter:VII:section:467j https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-99216-266518314&term_occur=57&term_src=title:33:chapter:9:subchapter:VII:section:467j https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-80204913-327866847&term_occur=75&term_src=title:33:chapter:9:subchapter:VII:section:467j https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-80204913-327866847&term_occur=76&term_src=title:33:chapter:9:subchapter:VII:section:467j https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-99216-266518314&term_occur=58&term_src=title:33:chapter:9:subchapter:VII:section:467j https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-80204913-327866847&term_occur=77&term_src=title:33:chapter:9:subchapter:VII:section:467j https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-80204913-327866847&term_occur=78&term_src=title:33:chapter:9:subchapter:VII:section:467j

C. Eligibility Information

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

Per 33 U.S.C. § 467(10), the term “state” means each of the several states of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, and any other territory or possession of the United States.

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

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

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

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

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

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

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

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

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

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

10. Have access to funds necessary—

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

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

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

12. Identify

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

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

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

Other Eligibility Criteria N/A

Environmental Planning and Historic Preservation (EHP) Compliance As a Federal agency, FEMA is required to consider the effects of its actions on the environment and/or historic properties to ensure that all activities and programs funded by the agency, including grants-funded projects, comply with Federal EHP regulations, laws and Executive Orders as applicable. FEMA has prepared a Record of Environmental Consideration; dated 2/14/2019, that documents EHP compliance for the range of activities eligible for funding under this NOFO pursuant to FEMA’s Instructions on Implementation of the Environmental Planning and Historic Preservation Responsibilities and Program requirements, FEMA Instruction 108-1-1; (see https://www.fema.gov/media-library/assets/documents/118323).

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

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

D. Application and Submission Information

Key Dates and Times

Date Posted to Grants.gov: 04/08/2019

Application Submission Deadline: 05/23/2019 at 11:59:00 PM [EDT]

Anticipated Funding Selection Date: 06/03/2019

Anticipated Award Date: 08/01/2019 https://www.fema.gov/media-library/assets/documents/118323 https://www.fema.gov/media-library/assets/documents/118323

Applying for an award under this program is a multi-step process and may take several weeks to complete. The steps involved in applying for an award under this program are summarized in the following table:

Other Key Dates

Address to Request Application Package Application forms and instructions are available at Grants.gov. 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.

Hardcopies of the NOFO and associated application materials are not available.

In addition, the following Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this Notice is: (800) 462-7585

Initial Applications will be processed through the Grants.gov portal and complete and final application will be processed through the Non-Disaster Grants (ND Grants) System.

Content and Form of Application Submission Applying for an award under this program is a multi-step process and requires time to complete. To ensure that an application is submitted on time applicants are advised to start the required steps well in advance of their submission. Applicants should review the table above under Other Key Dates for estimated deadlines to complete each required step.

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

Unique Entity Identifier and System for Award Management (SAM)

All applicants for this award must:

1. Be registered in SAM before submitting its application;

2. Provide a valid DUNS number in its application; and

3. 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.

Event Suggested Deadline For Completion Obtaining DUNS Number Four weeks before actual submission deadline (4/12/2019) Obtaining a valid EIN Four weeks before actual submission deadline (4/12/2019) Updating SAM registration Four weeks before actual submission deadline (4/12/2019) Starting application in Grants.gov One week before actual submission start date (3/26/2019) Final application in Grants.gov One week before actual submission deadline (5/10/2019) http://www.grants.gov/ http://www.grants.gov/

DHS may not make a federal award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements and, if an applicant has not fully complied with the requirements by the time DHS is ready to make a federal award. DHS 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.

The Standard Language for Using Grants.gov to Apply is provided to aid in fulfilling these requirements:

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 applicants to submit their applications online through Grants.gov.

How to Register to Apply through Grants.gov

1. Instructions: Read the instructions below about registering to apply for DHS funds.

Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

The registration process can take up to four weeks to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required application submission deadlines.

Organizations must have a Data Universal Numbering System (DUNS) Number, active System for Award Management (SAM) registration, and Grants.gov account to apply for grants.

If individual applicants are eligible to apply for this grant funding opportunity, 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 Data Universal Numbering System (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 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

3. Register with SAM: In addition to having a DUNS number, all organizations applying online through Grants.gov must register with the System for Award Management (SAM). Failure to register with SAM will prevent your organization from applying through Grants.gov. SAM registration must be renewed annually.

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

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

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

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

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

5. Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single applicant organization the user represents (i.e., an applicant) or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to one Grants.gov account to access all of your grant applications. To add an organizational profile to your Grants.gov account, enter the DUNS Number for the organization in the DUNS field while adding a profile.

For more detailed instructions about creating a profile on Grants.gov, refer to:

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

6. EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an Organization Applicant Profile, the organization applicant's request for Grants.gov roles and access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the Authorized Organization Representative (AOR) role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role.

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

7. Track Role Status: To track your role request, refer to:

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

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

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

How to Submit an Application to DHS via Grants.gov Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different Webforms within an application. For each Notice of Funding Opportunity, you can create individual instances of a workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities using Workspace, refer to:

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

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 webforms you can download individual PDF forms in Workspace so that they will appear similar to other Standard or DHS forms. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

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

https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

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 24- 48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

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 https://www.grants.gov/web/grants/applicants/workspace-overview.html https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace.

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

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

Applicant Support: Grants.gov provides applicants 24/7 support via the toll-free number 1- 800-518-4726 and email at support@grants.gov. For questions related to the specific grant opportunity, contact the number listed in the application package of the grant you are applying for.

If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist DHS with tracking your issue and understanding background information on the issue.

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

After submitting the initial application in Grants.gov, eligible applicants will be notified by DHS/FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement. Early registration will allow applicants to have adequate time to start and complete their application. In ND Grants applicants will be prompted to submit all of the information contained in the following forms before being eligible to receive an award under this program.

•Standard Form 424A, Budget Information (Non-construction)

•Standard Form LLL, Disclosure of Lobbying Activities (if the grantee has engaged or intends to engage in lobbying activities), as well as assure compliance with all Standard and Special Terms and Conditions, Applicants will also be required to submit copies of the following in ND Grants:

•Program and Budget Narrative

•Program Work Plan

•Project Objectives

•Detailed budget.

If you need assistance registering for the ND Grants system, please contact ndgrants@fema.gov or (800) 865-4076.

Timely Receipt Requirements and Proof of Timely Submission https://www.grants.gov/web/grants/applicants/applicant-training.html mailto:support@grants.gov

Online Submissions. All applications must be received by 05/23/2019 at 11:59:00 PM [EDT] on the due date established for each program. Proof of timely submission is automatically recorded by Grants.gov. An electronic date/time stamp is generated within the system when the application is successfully received by Grants.gov. The applicant with the AOR role who submitted the application will receive an acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of their application. This applicant with the AOR role will also receive the official date/time stamp and Grants.gov Tracking number in an email serving as proof of their timely submission.

When DHS successfully retrieves the application from Grants.gov, and acknowledges the download of submissions, Grants.gov will provide an electronic acknowledgment of receipt of the application to the email address of the applicant with the AOR role who submitted the application. Again, proof of timely submission shall be the official date and time that Grants.gov receives your application. Applications received by Grants.gov after the established due date for the program will be considered late and will not be considered for funding by DHS.

Applicants using slow internet, such as dial-up connections, should be aware that transmission can take some time before Grants.gov receives your application. Again, Grants.gov will provide either an error or a successfully received transmission in the form of an email sent to the applicant with the AOR role. The Grants.gov Support Center reports that some applicants end the transmission because they think that nothing is occurring during the transmission process. Please be patient and give the system time to process the application.

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/2017/11/SPOC-Feb.-2018.pdf).

Funding Restrictions Federal funds made available through this award may only be used for the purpose set forth in this award and must be consistent with the statutory authority for the award. Award funds cannot be used to construct or repair any Federal or non-Federal dam. Award funds may not be used for matching funds for any other Federal grants/cooperative agreements, lobbying, or intervention in Federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal government or any other government entity.

Pre-award Cost Pre-award costs as described in 2 C.F.R. Part 200, Subpart E, §200.458, are NOT allowed.

Direct Cost

Cost Principles Costs charged to this award must be consistent with the Cost Principles for Federal Awards https://www.archives.gov/federal-register/codification/executive-order/12372.html https://www.whitehouse.gov/wp-content/uploads/2017/11/SPOC-Feb.-2018.pdf located at 2 C.F.R. Part 200, Subpart E.

Planning Planning related costs are allowed under this program.

Personnel Personnel time dedicated toward state dam safety activities are an eligible cost.

Training Training related costs are allowed under this program.

Exercises Exercise related costs are allowed under this program.

Equipment Equipment costs are allowed under this program.

Travel Domestic Domestic travel costs are allowed under this program as described in this NOFO.

International International travel is not an allowable cost under this program unless approved in advance by

FEMA.

Construction and Renovation Construction and renovation costs are not allowed under this program.

Management and Administration (M&A) Costs.

M&A costs are not allowable under this program.

Indirect Facilities & Administrative (F&A) Costs.

Indirect costs are allowable under this program as described in 2 C.F.R. §200.414. With the exception of recipients who have never received a negotiated indirect cost rate as described in 2 C.F.R. § 200.414(f), recipients must have an approved indirect cost rate agreement with their cognizant Federal agency to charge indirect costs to this award. A copy of the approved rate (a fully executed, agreement negotiated with the applicant’s cognizant federal agency) is required at the time of application.

Other Submission Requirements

E. Application Review Information

Application Evaluation Criteria

Prior to making a federal award, the DHS/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.

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

FEMA will review submitted work plans for approval and/or discuss recommended modification of the planned tasks given the circumstances for that individual state (e.g.

delinquent inspections, revised EAPs, or need for inspections).

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

Review and Selection Process Applications will be reviewed and recommended for funding by FEMA Regional Offices and Headquarters. Once the application is submitted into Grants.gov, the appropriate FEMA Regional Office will review the application and work plan for eligibility. The FEMA Regional Office will make sure there are clearly defined goals and objectives in the applicants’ work plan and necessary critical data. Applicants will be evaluated and selected for funding based on the following:

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

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

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

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

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

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

Supplemental Financial Integrity Review If the anticipated federal share of a federal award will be greater than the simplified acquisition threshold, currently $250,000 (see Section 805 of the National Defense Authorization Act for Fiscal year 2008, Pub. L. No. 115-91, OMB Memorandum M-18-18 at https://www.whitehouse.gov/wp-content/uploads/2018/06/M-18-18.pdf):

i. Prior to making a federal award with a total amount of federal share greater than the simplified acquisition threshold, DHS is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS).

ii. An applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM.

iii. DHS will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant’s integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 C.F.R. § 200.205 federal awarding agency review of risk posed by applicants.

Anticipated Announcement and Federal Award Dates

F. Federal Award Administration Information

Notice of Award

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

Recipients must accept their awards no later than 90 days from the award date. The recipient shall notify FEMA of its intent to accept and proceed with work under the award https://www.whitehouse.gov/wp-content/uploads/2018/06/M-18-18.pdf or provide a notice of intent to decline through the ND Grants system. For instructions on how to accept or decline an award in the ND Grants system, please see pages 40 – 43 in the ND Grants Grantee Training Manual.

Funds will remain on hold until the recipient accepts the award through the ND Grants system and all other conditions of award have been satisfied, or the award is otherwise rescinded. Failure to accept the grant award within the 90-day timeframe may result in a loss of funds.

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

DHS Standard Terms and Conditions

The applicable DHS Standard Terms and Conditions will be those in effect at the time the award was made, unless the application is for a continuation award. In that event, the terms and conditions in effect at the time the original award was made will generally apply. What terms and conditions will apply for the award will be clearly stated in the award package at the time of award.

Before accepting the award, the AOR should carefully read the award package for instructions on administering the grant award and the terms and conditions associated with responsibilities under federal awards. Recipients must accept all conditions in this NOFO as well as any special terms and conditions in the Notice of Award to receive an award under this program.

Reporting Recipients are required to submit financial and programmatic reports as a condition of their award acceptance and drawdown requirements. Future awards and fund drawdowns may be withheld if these reports are delinquent.

Federal Financial Reporting Requirements.

The Federal Financial Reporting Form (FFR) is available online at:

SF-425 OMB #4040-0014

Program Performance Reporting Requirements.

The following reporting periods and due dates apply:

Reporting Period Report Due Date

August 1 – September 30 October 30 October 1 – December 31 January 30

January 1 – March 31 April 30 April 1 – June 30 July 30

July 1 – September 30 October 30 (Final Report) https://portal.fema.gov/famsVuWeb/home http://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1 https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1

Financial and Compliance Audit Report For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000 or more from all federal funding sources during their fiscal year are required to submit an organization-wide financial and compliance audit report. The audit must be performed in accordance with the requirements of GAO’s Government Auditing Standards, located at http://www.gao.gov/govaud/ybk01.htm, and the requirements of Subpart F of 2 Part 200, located at https://www.federalregister.gov/documents/2017/08/14/2017-17054/uniform-administrative-requirements-cost-principles-and-audit-requirements.

Program Performance Reporting Requirements Grant recipients are responsible for providing performance reports on a quarterly basis.

Performance progress reports should be submitted as either a word document or a pdf file.

Performance progress reports are due within 30 days after the end of each reporting period, must be submitted via ND Grants, and must include at a minimum the following:

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

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

• Program reports on the standard program metrics listed below.

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

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

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

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

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

This metric will be calculated as follows:

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

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

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

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

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

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

http://www.gao.gov/govaud/ybk01.htm https://www.federalregister.gov/documents/2017/08/14/2017-17054/uniform-administrative-requirements-cost-principles-and-audit-requirements https://www.federalregister.gov/documents/2017/08/14/2017-17054/uniform-administrative-requirements-cost-principles-and-audit-requirements

This metric will be calculated as follows:

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

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

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

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

States will identify dam safety/dam risk management tasks to accomplish in the FY 2018 proposed work plan. (See Section E of this NOFO).

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

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

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

Monitoring Grant Award recipients will be monitored programmatically and financially on an annual and as needed basis by FEMA staff to ensure that the activities and project goals, objectives, performance requirements, timelines, milestone completion, budgets, and other related program criteria are being met.

Monitoring may be accomplished through either a desk-based review or on-site monitoring visits, or both. Monitoring will involve the review and analysis of the financial, programmatic, performance, compliance and administrative processes, policies, activities, and other attributes of each Federal assistance award and will identify areas where technical assistance, corrective actions and other support may be needed.

Close Out Reporting Requirements.

Within 90 days after the end of the period of performance, or after an amendment has been issued to close out a grant, whichever comes first, recipients must submit a final FFR and final progress report detailing all accomplishments and a qualitative summary of the impact of those accomplishments throughout the period of performance.

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

After these reports have been reviewed and approved by DHS/FEMA a closeout notice will be completed to close out the grant. The notice will indicate the period of performance as closed, list any remaining funds that will be deobligated, and address the requirement of maintaining the grant records for three years from the date of the final FFR.

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

Disclosing Information per 2 C.F.R. § 180.335 This reporting requirement pertains to disclosing information related to government-wide suspension and debarment requirements. Before a recipient enters into a grant award with a federal agency, the recipient must notify the federal agency if it knows if any of the recipient’s principals under the award fall under one or more of the four criteria listed at 2 C.F.R. § 180.335. At any time after accepting the award, if the recipient learns that any of its principals falls under one or more of the criteria listed at 2 C.F.R. § 180.335, the recipient must provide immediate written notice to the federal agency in accordance with 2 C.F.R. § 180.350.

G. DHS Awarding Agency Contact Information

Contact and Resource Information

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

Region Program Analyst Grants Management Specialist

1 John Grace, Engineer 99 High St.

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

857.205.2839 Mobile

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

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

2 Alan Springett, Senior Engineer 26 Federal Plaza, Room 1337

Clark Brewer Clark.Brewer@fema.dhs.gov mailto:Clark.Brewer@fema.dhs.gov

New York, NY 10278 Alan.Springett@fema.dhs.gov 212-680-8557 Work

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

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

Kathryn Lipiecki, Branch Chief:

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

Maura Hannigan-Pierce:

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

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

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

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

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

5 Duane Castaldi Risk Analysis Branch Chief 536 South Clark Street Chicago, IL 60605 Duane.Castaldi@fema.dhs.gov

(312) 408-5361 Work

Scott Bailey, Emergency Mgmt. Specialist Scott.Bailey@fema.dhs.gov,

(312) 408-5232 Work

6 Bart Moore, Risk Analysis Lead 800 North Loop 288 Denton, TX 76209 Bart.Moore@fema.dhs.gov

(940) 898-5363

Michael Brown MichaelR6.Brown@fema.dhs.gov

7 Dawn Livingston, Risk Analyst 11224 Holmes Road Kansas City, MO 64131 Dawn.Livingston@fema.dhs.gov 816-283-7563 Work

Anthony Strohm Anthony.Strohm@fema.dhs.gov 816-283-7519 Work Teri Mayer, Branch Chief Teri.Mayer@fema.dhs.gov 816-283-7969

8 Brooke Conner, Senior Engineer Denver Federal Center, Building710A Denver, CO 80225-0267 Brooke.Conner@fema.dhs.gov 303-235-4872 Work 303-519-9193 Cell

Crystal Lenhardt Crystal.Lenhardt@fema.dhs.gov 303-235-4845 Work

9 Edward Curtis, Senior Civil Eng.

1111 Broadway, Ste 1200 Oakland, CA 94607

Michelle Weaver Michelle.Weaver@fema.dhs.gov 510-627-7021 Work mailto:Alan.Springett@fema.dhs.gov mailto:Shudipto.Rahman@fema.dhs.gov mailto:Darlene.Messina@fema.dhs.gov mailto:Kathryn.Lipiecki@fema.dhs.gov mailto:Maura.Hannigan-pierce@fema.dhs.gov mailto:Maura.Hannigan-pierce@fema.dhs.gov mailto:Katy.Goolsby-Brown@fema.dhs.gov mailto:Kristen.Martinenza@fema.dhs.gov mailto:John.Plisich@fema.dhs.gov mailto:John.Plisich@fema.dhs.gov mailto:Duane.Castaldi@fema.dhs.gov mailto:Scott.Bailey@fema.dhs.gov mailto:Bart.Moore@fema.dhs.gov mailto:MichaelR6.Brown@fema.dhs.gov mailto:Dawn.Livingston@fema.dhs.gov mailto:Anthony.Strohm@fema.dhs.gov mailto:Teri.Mayer@fema.dhs.gov mailto:Brooke.Conner@fema.dhs.gov mailto:Crystal.Lenhardt@fema.dhs.gov mailto:Michelle.Weaver@fema.dhs.gov

Edward.Curtis@fema.dhs.gov 510-627-7207 Work

Alison Kearns, Branch Chief (Same Address as Ed Curtis) Alison.Kearns@fema.dhs.gov 510-697-6479 Mobile

10 Dwight Perkins, Regional Engineer 130—228th St SW Bothell, WA 98021 Dwight.Perkins@fema.dhs.gov 425-487-4684 Work

Kim Penfold:

Kim.Penfold@fema.dhs.gov

H. Additional Information

Extensions Extensions to this program are allowed.

Extensions to the initial period of performance (PoP) identified in the award will be considered only through formal, written requests to the recipient’s respective FEMA Regional Program Office and must contain specific and compelling justifications as to why an extension is required. States are advised to coordinate with their Regional Dam Safety Grant Specialist as needed, when preparing an extension. All extension requests must address the following:

1. Grant Program, Grant Year, and award number;

2. Reason for delay – this must include details of the legal, policy, or operational challenges being experienced that prevent the final outlay of awarded funds by the applicable deadline. The reason must also be of significant extenuating circumstances (e.g. local flooding disaster);

3. Current status of the activity/activities;

4. Approved period of performance termination date and new project completion date (New recommended PoP);

5. Amount of funds drawn down to date;

6. Remaining available funds;

7. Revised delineated budget outlining how remaining Federal grant funds will be expended by approved task;

8. Plan for completion including milestones and timeframes for achieving each milestone and the position/person responsible for implementing the plan for completion; and

9. Certification that the activity/activities will be completed within the extended period of performance without any modification to the original Statement of Work approved by FEMA.

Applicants must submit extension request within ten (10) calendar days prior to the period mailto:Edward.Curtis@fema.dhs.gov mailto:Alison.Kearns@fema.dhs.gov mailto:Dwight.Perkins@fema.dhs.gov mailto:Kim.Penfold@fema.dhs.gov of performance end date, through ND Grants system for review by their respective Regional Dam Safety Grants Specialist. The request is then submitted within ND Grants system to the Regional Grants Division for final review and Amendment approval consideration.