fy2011 safer-appendix ii-final.doc

Appendix II Contents

Part I. AWARD ADMINISTRATION INFORMATION

A. Notice of Award

B. Grantee Responsibilities

C. Administrative and National Policy Requirements

D. Reporting Requirements

E. FY 2011 Match Guidance

F. FY 2011 Requirements Specific to For-Profit Entities

Part II. FEMA CONTACTS

Part III. OTHER INFORMATION

Part I.

AWARD ADMINISTRATION INFORMATION

Due to continued stakeholder feedback and recommendations, the Grant Programs Directorate (GPD) has reformatted its “Preparedness Grant Programs” guidance and application kits. The kits are now structured into two separate documents, referred to as Appendix I and Appendix II. While both are important documents for grantees to study and thoroughly familiarize themselves with, Appendix I is intended to help grantees during the application phase of a particular preparedness grant program

Appendix II – Award Administration Information - is intended to help grantees in understanding the rules and regulations associated with administering federally funded grant awards. In previous years with preparedness grant guidance kits, the standard financial, administrative, and legal information now found in Appendix II had been historically embedded as part of each individual preparedness kit. GPD has pulled out this standard financial, administrative and legal information from each individual preparedness kit and has created Appendix II as a stand-alone supplement, which complements and is inherently related to each of the individual preparedness grant programs.

A. Notice of Award Upon approval of an application, the grant will be awarded to the grantee. The date this is done is the award date. Notification of award approval is made through the SAFER Online System. Once an award has been approved, a notice is sent to the authorized grant official. If you do not receive a notification, please contact your FEMA Program Office for your award number. The authorized grant official should carefully read the award package for instructions on administering the grant and to learn more about the terms and conditions associated with responsibilities under federal awards.

The period of performance is based on the award type. For example, an award within the Hiring category will have a period of performance of two-years, while awards under the Recruitment and Retention category can have a period of performance of up to four years, depending on proposed project scope. The period of performance specific to each award is listed in the award package.

Any unobligated funds will be de-obligated at the end of the closeout period. Extensions to the period of performance will be considered only through formal requests to FEMA with specific and compelling justifications why an extension is required. All extension requests must be submitted to FEMA at least 60 days prior to the end of the period of performance and must address:

· Reason for delay

· Current status of the activity/activities

· Approved period of performance termination date and new project completion date

· Remaining available funds, both federal and non-federal

· Budget outlining how remaining federal and non-federal funds will be expended

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

· 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 B. Grantee Responsibilities

SAFER Award recipients (grantees) must agree to the following:

1. Perform all tasks (scope of work) as outlined in the grantee’s application, approved by FEMA, and comply with all special conditions in accordance with the articles of agreement and within the period of performance. Grantees that do not fulfill their obligations under these grants will be considered in default and may be required to return the federal funds disbursed under the grant award.

2. Grantees under the Hiring of Firefighters Activity who layoff any firefighters during the two-year period of performance will be considered in default of their grant and the award will be terminated.

3. Grantees under the Hiring of Firefighters Activity must agree to maintain the SAFER-funded positions as well as the number of positions declared at the time of award throughout the two-year period of performance unless the grantee has been afforded a waiver of this requirement. Grantees who fail to maintain this level of staffing risk losing the federal funds awarded under this grant. Be advised, firefighters hired or rehired prior to the award date, except if awarded under the retention activity, are not eligible for SAFER-funding under the Hiring of Firefighters Activity.

4. Retain grant files and supporting documentation for three years after receipt of the official notification the grant has been closed. FEMA may require access to any pertinent books, documents, papers, or records belonging to a grant recipient. The DHS Office of Inspector General or the Comptroller General of the United States may also require access to a grantee’s books and records.

The required documentation for federally funded purchases should include specifications, solicitations, competitive quotes, or proposals, basis for selection decisions, purchase orders or contracts, invoices, and cancelled checks. Grantees who fail to document purchases may find their expenditures will be questioned and possibly disallowed.

5. Provide periodic performance reports in conjunction with the automated payment requests to FEMA. In all years of the grant’s period of performance, for both the Hiring of Firefighters and the Recruitment and Retention of Volunteer Firefighters Activities, grantees must submit performance reports with each payment request, as well as a final performance report at grant closeout. Payments are requested on-line using the automated system and payments are based on actual expenses incurred during the period covered by the payment request. Quarterly performance reporting is required when the grantee has not requested funding within the quarter.

At the end of the grant’s period of performance, all grantees are required to produce a final report on how the grant funding was used and the benefits realized from the award. Grantees must submit a final financial report and a final performance report (i.e., closeout report) within 90 days after the end of the period of performance. After these reports have been reviewed and approved by FEMA, grantees are given an official notice that the closeout has been accepted and completed. Any remaining grant funds are de-obligated. The grantee is responsible for returning any funds that have been drawn down but remain unliquidated.

6. Administer the grant in accordance with the administrative rules for federal grants and cooperative agreements, specifically 44 CFR part 13.

7. Follow the audit requirements of OMB Circular A-133, Audits of states, local governments, and nonprofit organizations, which calls for grantees who expend $500,000 or more in federal funds in a year (from all federal sources) to have a single audit performed in accordance with the Circular. (For more information about the Circulars, go to http://www.whitehouse.gov/omb/circulars.)

8. Notwithstanding any provision of other laws, firefighters hired under these grants shall not be discriminated against, or be prohibited from, engaging in volunteer firefighting activities in another jurisdiction during off-duty hours.

9. Homeland Security Presidential Directive-5 requires that, beginning October 1, 2005, all recipients of federal preparedness funds (including recipients of federal grants and contracts) adopt the National Incident Management System (NIMS) as a condition for the receipt of the federal funds.

Recipients of FY 2011 SAFER grants will be considered to be in compliance with the NIMS requirement if the grantee:

a) Has an operational knowledge of the Incident Command System (ICS)

b) Has an understanding of NIMS’ principles and policies

c) Agrees to adopt and/or comply with all directives, ordinances, rules, orders, edicts, etc., passed down by the local or state authorities with respect to incident management

Responders who have already been trained in ICS do not need retraining if their previous training is consistent with DHS standards. In order for us to document compliance, grantees will be required to certify their compliance with the NIMS/ICS requirements as part of their grant closeout process. Grantees may contact their State Emergency Preparedness Officer or State Fire Marshall for local NIMS compliance requirements.

10. To the extent possible, grantees should seek, recruit, and appoint members of racial and ethnic minority groups and women to increase their ranks within the applicant’s department (see eligibility requirements).

FEMA strongly encourages applicants, to the extent practicable, to seek, recruit, and hire post-9/11 veterans to increase their ranks within your department in order to take advantage of the provisions of the VOW To Hire Heroes Act of 2011. More information on the Act can be found at http://www.gibill.va.gov/benefits/other_programs/vow.html. In FY 2012, FEMA anticipates a requirement that all SAFER applicants have a policy in place addressing their intent to implement strategies to support this Act and have recruiting efforts aimed at post-9/11 veterans.

11. Competition: Grantees may use their own procurement procedures, which reflect applicable state and local laws and regulations, provided the procurements conform to applicable federal laws and standards. All procurement transactions shall be conducted in a manner that provides, to the maximum extent practical, open and free competition. Grantees are expected to promote competition and ensure advantageous pricing by soliciting bids from multiple vendors.

Purchases shall be made from the vendor whose bid is responsive to the solicitation and is most advantageous to the grantee when price, quality, and other factors are considered. Grantees who fail to adhere to their own procurement policy, or otherwise fail to fully compete any purchase involving federal funds, may be subject to questioning and subsequently disallowed costs.

12. Specification: Specifications shall clearly show all requirements the bidder will fulfill in order for the bid or offer to be evaluated. However, those specifications may not be so narrowly constructed or contain features that limit, restrict, or eliminate competition unnecessarily.

Grantees may, when developing solicitations, list factors that will be used in their evaluation of proposals as long as those evaluation factors are not found to limit competition. Finally, grantees cannot impose in-state or local geographical preferences in the evaluation of bids or proposals.

Applicants and grantees are encouraged to obtain product information from vendors in order to be more informed about the items they plan to purchase. However, grantees may not use specifications obtained from vendors for any solicitation with federal grant funds if the specifications would be found to be restrictive.

It is the grantee’s responsibility to assure vendor specifications are not used in a manner that would result in restricting or limiting competition.

Additionally, if a vendor or manufacturer drafts, writes, edits, critiques, or provides any direct consultation on a grant application, that vendor or manufacturer cannot submit a bid for that purchase. Likewise, if a vendor or manufacturer drafts, writes, edits, or critiques a specification to be used for the solicitation for the purchase of a specific product, that vendor or manufacturer cannot submit a bid for that purchase. See Conflicts of Interest below.

Grantees shall, on request, make available pre-award review and procurement documents such as requests for proposals or invitations for bids, independent cost estimates if 1) the purchase specifies a brand name product or 2) the proposed grant is to be awarded to other than the apparent low bidder under a sealed bid process.

Grantees found to be using proprietary, or otherwise limiting specifications, may find their expenditures questioned and subsequently disallowed.

13. Personal and Organizational Conflicts of Interest: In order to ensure objective vendor performance and eliminate a real or apparent unfair competitive advantage, anyone who develops or drafts specifications, requirements, statements of work (including the grant application), invitations for bids, and/or requests for proposals shall be excluded from competing for such procurements.

Additionally, no employee, officer, or agent of the grantee shall participate in the selection, award, or administration of a procurement supported by federal funds if a real or an apparent conflict of interest would be involved.

A conflict of interest could arise when any of the following conditions exists:

a) An officer, employee, or agent of the grantee has a financial or other interest in the vendor selected for the procurement

b) Any member of the grantee’s officers’, employees’, or agents’ immediate family has a financial or other interest in the vendor selected for the procurement

c) An organization that employs a grantee’s officer, employee, or agent is a vendor or has a financial or other interest in the vendor selected for the procurement.

For the purposes of this program, DHS considers volunteers of an organization and grant writers to be employees, officers, and/or agents of the grantee. No volunteer or member of an organization or anyone involved in the application for funding can participate in, or benefit from, the procurement if federal funds are involved.

Grantees that purchase items with grant funds from vendors who employ any of their volunteers/members will have to document how they avoided a conflict of interest during the procurement process (i.e., specific details regarding how the members/volunteers removed themselves, or how they were prevented from participating in the process).

Grantees who fail to document fully their purchases may find that their expenditures will be questioned and subsequently disallowed.

C. Administrative and National Policy Requirements The recipient and any sub-recipient(s) must, in addition to the assurances made as part of the application, comply and require each of its subcontractors employed in the completion of the project to comply with all applicable statutes, regulations, executive orders, OMB Circulars, terms and conditions of the award, and the approved application. For additional clarification on Administrative and National Policy Requirements, applicants can view Information Bulletins from FEMA’s Grant Programs Directorate at http://www.fema.gov/government/grant/bulletins/index.shtm.

1. Standard Financial Requirements. The grantee and any subgrantee(s) shall comply with all applicable laws and regulations. A non-exclusive list of regulations commonly applicable to DHS grants are listed below:

1.1 – Administrative Requirements

· 44 CFR Part 13, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments

· 2 CFR Part 215, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations (OMB Circular A-110)

1.2 – Cost Principles

· 2 CFR Part 225, Cost Principles for State, Local, and Indian tribal Governments (OMB Circular A-87)

· 2 CFR Part 220, Cost Principles for Educational Institutions (OMB Circular A-21)

· 2 CFR Part 230, Cost Principles for Non-Profit Organizations (OMB Circular A-122)

· 48 CFR 31.2, Federal Acquisitions Regulations (FAR), Contracts with Commercial Organizations

1.3 – Audit Requirements

· OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations

1.4 – Duplication of Benefits

· There may not be a duplication of any federal assistance by governmental entities, per 2 CFR Part 225, Basic Guidelines Section C.3 (c), which states: Any cost allocable to a particular federal award or cost objective under the principles provided for in this Authority may not be charged to other federal awards to overcome fund deficiencies, to avoid restrictions imposed by law or terms of the federal awards, or for other reasons. However, this prohibition would not preclude governmental units from shifting costs that are allowable under two or more awards in accordance with existing program agreements. Non-governmental entities are also subject to this prohibition per 2 CFR Parts 220 and 230 and 48 CFR 31.2.

2. Payment. DHS/FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to Recipients. To enroll in the DD/EFT, the Recipient must complete a Standard Form 1199A, Direct Deposit Form, found at http://www.fms.treas.gov/eft/1199a.pdf.

FEMA utilizes the Assistance to Firefighters e-Grants System for the full lifecycle of the grant. Please use the following link to access the system https://portal.fema.gov/famsVuWeb/home.

2.1 – Advance Payment. In accordance with Treasury regulations at 31 CFR Part 205, the Recipient shall maintain procedures to minimize the time elapsing between the transfer of funds and the disbursement of said funds (See 44 CFR Part 13.21(i)) regarding payment of interest earned on advances. In order to request an advance, the Recipient must maintain or demonstrate the willingness and ability to maintain procedures to minimize the time elapsing between the transfer of funds from DHS and expenditure and disbursement by the Recipient. When these requirements are not met, the Recipient will be required to be on a reimbursement for costs incurred method.

NOTE: Funds will not be automatically transferred upon issuance of the grant. Grantees must submit a request for advance/reimbursement (sf-270) in order for the funds to be transferred to the grantee’s account.

3. Non-supplanting Requirement. Grant funds will be used to supplement existing funds, and will not replace (supplant) funds that have been appropriated for the same purpose. Applicants or grantees may be required to supply documentation certifying that a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of federal funds.

4. Administrative Requirements.

4.1 – Freedom of Information Act (FOIA). FEMA recognizes that much of the information submitted in the course of applying for funding under this program or provided in the course of its grant management activities may be considered law enforcement sensitive or otherwise important to national security interests. While this information under federal control is subject to requests made pursuant to the Freedom of Information Act (FOIA), 5 U.S.C. §552, all determinations concerning the release of information of this nature are made on a case-by-case basis by the FEMA FOIA Office, and may likely fall within one or more of the available exemptions under the Act. The applicant is encouraged to consult its own state and local laws and regulations regarding the release of information, which should be considered when reporting sensitive matters in the grant application, needs assessment and strategic planning process. The grantee should be familiar with the regulations governing Sensitive Security Information (49 CFR Part 1520), as it may provide additional protection to certain classes of homeland security information.

4.2 – Compliance with federal civil rights laws and regulations. The grantee is required to comply with federal civil rights laws and regulations.

Specifically, the grantee is required to provide assurances as a condition for receipt of federal funds that its programs and activities comply with the following:

· Title VI of the Civil Rights Act of 1964, as amended, 42. U.S.C. §2000 et seq. – Provides that no person on the grounds of race, color, or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination in any program or activity receiving federal financial assistance. Title VI also extends protection to persons with Limited English Proficiency (LEP). (42 U.S.C. §2000d et seq.)

· Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. §1681 et seq. – Provides that no person, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subject to discrimination under any education program or activity receiving federal financial assistance.

· Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. §794 – Provides that no otherwise qualified individual with a disability in the United States, shall, solely by reason of his or her disability, be excluded from the participation in, be denied the benefits of, or subject to discrimination in any program or activity receiving federal financial assistance.

· The Age Discrimination Act of 1975, as amended, 20 U.S.C. §6101 et seq. – Provides that no person in the United States shall, on the basis of age, be excluded from participation in, be denied the benefits of, or be subject to discrimination under any program or activity receiving federal financial assistance.

Grantees must comply with all regulations, guidelines, and standards adopted under the above statutes. The grantee is also required to submit information, as required, to the DHS Office for Civil Rights and Civil Liberties concerning its compliance with these laws and their implementing regulations.

4.3 – Services to Limited English Proficient (LEP) persons. Recipients of FEMA financial assistance are required to comply with several federal civil rights laws, including Title VI of the Civil Rights Act of 1964, as amended. These laws prohibit discrimination on the basis of race, color, religion, natural origin, and sex in the delivery of services. National origin discrimination includes discrimination on the basis of limited English proficiency. To ensure compliance with Title VI, recipients are required to take reasonable steps to ensure that LEP persons have meaningful access to their programs. Meaningful access may entail providing language assistance services, including oral and written translation, where necessary. The grantee is encouraged to consider the need for language services for LEP persons served or encountered both in developing their proposals and budgets and in conducting their programs and activities. Reasonable costs associated with providing meaningful access for LEP individuals are considered allowable program costs. For additional information, see http://www.lep.gov.

4.4 – Certifications and Assurances. Certifications and assurances regarding the following apply:

· Lobbying. 31 U.S.C. §1352, Limitation on use of appropriated funds to influence certain federal contracting and financial transactions. – Prohibits the use of federal funds in lobbying members and employees of Congress, as well as employees of federal agencies, with respect to the award or amendment of any federal grant, cooperative agreement, contract, or loan. FEMA and DHS have codified restrictions upon lobbying at 44 CFR Part 18 and 6 CFR Part 9. (Refer to form included in application package.)

· Drug-free Workplace Act, as amended, 41 U.S.C. §701 et seq. – Requires the recipient to publish a statement about its drug-free workplace program and give a copy of the statement to each employee (including consultants and temporary personnel) who will be involved in award-supported activities at any site where these activities will be carried out. Also, place(s) where work is being performed under the award (i.e., street address, city, state and zip code) must be maintained on file. The recipient must notify the Grants Officer of any employee convicted of a violation of a criminal drug statute that occurs in the workplace. For additional information, see 44 CFR Part 17.

· Debarment and Suspension. – Executive Orders 12549 and 12689 provide protection from fraud, waste, and abuse by debarring or suspending those persons that deal in an irresponsible manner with the federal government. The recipient must certify that they are not debarred or suspended from receiving federal assistance. For additional information, see 2 CFR Part 3000.

· Federal Debt Status. – The recipient may not be delinquent in the repayment of any federal debt. Examples of relevant debt include delinquent payroll or other taxes, audit disallowances, and benefit overpayments. (See OMB Circular A-129) (Refer to SF-424, item number 17.)

· Hotel and Motel Fire Safety Act of 1990. – In accordance with section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. §2225a, the recipient agrees to ensure that all conference, meeting, convention, or training space funded in whole or in part with federal funds, complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, 15 U.S.C. §2225.

Grantees must comply with all regulations, guidelines, and standards adopted under the above statutes.

4.5 – Integrating individuals with disabilities into emergency planning. Section 504 of the Rehabilitation Act of 1973, as amended, prohibits discrimination against people with disabilities in all aspects of emergency mitigation, planning, response, and recovery by entities receiving financial funding from FEMA.

In addition, Executive Order 13347, Individuals with Disabilities in Emergency Preparedness signed in July 2004, requires the federal government to support safety and security for individuals with disabilities in situations involving disasters, including earthquakes, tornadoes, fires, floods, hurricanes, and acts of terrorism. Executive Order 13347 requires the federal government to encourage consideration of the needs of individuals with disabilities served by state, local, and tribal governments in emergency preparedness planning.

4.6 – Environmental Planning and Historic Preservation Compliance. FEMA is required to consider the potential impacts to the human and natural environment of projects proposed for FEMA grant funding.

FEMA, through its Environmental Planning and Historic Preservation (EHP) Program, engages in a review process to ensure that FEMA-funded activities comply with various federal laws including: National Environmental Policy Act, National Historic Preservation Act, Endangered Species Act, the Clean Water Act, and Executive Orders on Floodplains (11988), Wetlands (11990), Environmental Justice (12898).

The goal of these compliance requirements is to protect our nation’s water, air, coastal, wildlife, agricultural, historical, and cultural resources, as well as to minimize potential adverse effects to low-income and minority populations.

The grantee shall provide all relevant information to FEMA to ensure compliance with applicable federal EHP requirements. Any project with the potential to impact natural or biological resources or historic properties cannot be initiated until FEMA has completed the required EHP review.

In addition to a detailed project description that describes what is to be done with the grant funds, how it will be done, and where it will be done, grantees shall provide detailed information about the project (where applicable), including, but not limited to, the following:

· Project location (i.e., exact street address or map coordinates)

· Total extent of ground disturbance and vegetation clearing

· Extent of modification of existing structures

· Construction equipment to be used, staging areas, etc.

· Year that any affected buildings or structures were built

· Natural, biological, and/or cultural resources present within the project area and vicinity, including wetlands, floodplains, geologic resources, threatened or endangered species, or National Register of Historic Places listed or eligible properties, etc.

· Visual documentation such as good quality, color and labeled site and facility photographs, project plans, aerial photos, maps, etc.

· Alternative ways considered to implement the project (not applicable to procurement of mobile and portable equipment) For projects that have the potential to impact sensitive resources, FEMA must consult with other federal, state, and tribal agencies such as the U.S. Fish and Wildlife Service, State Historic Preservation Offices, and the U.S. Army Corps of Engineers, as well as other agencies and organizations responsible for the protection and/or management of natural and cultural resources, including federally recognized Indian tribes, Tribal Historic Preservation Offices, and the Department of the Interior, Bureau of Indian Affairs.

For projects with the potential to have adverse effects on the environment and/or historic properties, FEMA’s EHP review process and consultation may result in a substantive agreement between the involved parties outlining how the grantee will avoid the effects, minimize the effects, or, if necessary, compensate for the effects.

Grantees who are proposing communication tower projects are encouraged to complete their Federal Communications Commission (FCC) EHP process prior to preparing their EHP review materials for FEMA, and to include their FCC EHP materials with their submission to FEMA. Completing the FCC process first and submitting all relevant EHP documentation to FEMA will help expedite FEMA’s review.

Since there is a potential for adverse effects to EHP resources or public controversy, some projects may require an additional assessment or report, such as an Environmental Assessment, Biological Assessment, archaeological survey, cultural resources report, wetlands delineation, or other document, as well as a public comment period. Grantees are responsible for the preparation of such documents, as well as for the implementation of any treatment or mitigation measures identified during the EHP review that are necessary to address potential adverse impacts. Grantees may use grant funds toward the costs of preparing such documents.

The use of grant funds for mitigation or treatment measures that are not typically allowable expenses will be considered on a case-by-case basis. Failure of the grantee to meet federal, state, local and territorial EHP requirements, obtain required permits, and comply with any conditions that may be placed on the project as the result of FEMA’s EHP review may jeopardize federal funding.

Recipients shall not undertake any project without the prior approval of FEMA, and must comply with all conditions placed on the project as the result of the EHP review. Any change to the approved project description will require re-evaluation for compliance with these EHP requirements.

If ground-disturbing activities occur during project implementation, the recipient must ensure monitoring of ground disturbance, and if any potential archeological resources are discovered, the recipient will immediately cease construction in that area and notify their FEMA Program Office, and the appropriate State Historic Preservation Office. Any projects that have been initiated prior to approval will result in a non-compliance finding and will not be eligible for funding.

For more information on FEMA’s EHP requirements, Grantees should refer to FEMA’s Information Bulletin #329, Environmental Planning and Historic Preservation Requirements for Grants, available at http://www.fema.gov/pdf/government/grant/bulletins/info329.pdf. Additional information and resources can also be found at http://www.fema.gov/plan/ehp/ehp-applicant-help.shtm.

D. Reporting Requirements Reporting requirements must be met throughout the life of the grant (refer to the program guidance and the special conditions found in the award package for a full explanation of these requirements).

Any reports or documents prepared as a result of this grant shall be in compliance with federal “plain English” policies, directives, etc.

1. Federal Financial Report XE "Financial Status Report (FSR)" (FFR) – required semi-annually. Recipients of any SAFER grants awarded on or after October 1, 2009, are required to submit a semi-annual Federal Financial Report (FFR, SF-425). The FFR, to be submitted using the online e-Grant system, will be due semi-annually based on the calendar year beginning with the period after the award is made. Grant recipients will be required to submit a FFR throughout the entire period of performance of the grant.

Reporting periods and due dates:

· January 1 – June 30; Due July 30

· July 1 – December 31; Due January 30

2. Financial and Compliance Audit Report. Recipients that expend $500,000 or more of federal funds during their fiscal year are required to submit an organization-wide financial and compliance audit report. The audit must be performed in accordance with GAO’s Government Auditing Standards, located at http://www.gao.gov/govaud/ybk01.htm, and OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations, located at http://www.whitehouse.gov/sites/default/files/omb/assets/a133/a133_revised_2007.pdf. Audit reports are currently due to the Federal Audit Clearinghouse no later than nine months after the end of the recipient’s fiscal year.

In addition, the Secretary of Homeland Security and the Comptroller General of the United States shall have access to any books, documents, and records of recipients of FY 2011 assistance for audit and examination purposes, provided that, in the opinion of the Secretary or the Comptroller, these documents are related to the receipt or use of such assistance. The grantee will also give the sponsoring agency or the Comptroller, through any authorized representative, access to, and the right to examine all records, books, papers or documents related to the grant.

The state shall require that sub-grantees comply with the audit requirements set forth in OMB Circular A-133. Recipients are responsible for ensuring that sub-recipient audit reports are received and for resolving any audit findings.

3. Monitoring. Grant recipients will be monitored periodically by FEMA staff, both programmatically and financially, to ensure the project goals, objectives, performance requirements, timelines, milestone completion, budgets, and other related program criteria are being met.

Monitoring will be accomplished through a combination of desk-based reviews and on-site monitoring visits. Monitoring will involve the review and analysis of the financial, programmatic, performance and administrative issues relative to each program and will identify areas where technical assistance and other support may be needed.

The recipient is responsible for monitoring award activities, to include sub-awards, to provide reasonable assurance that the federal award is administered in compliance with requirements. Responsibilities include the accounting of receipts and expenditures, cash management, maintaining of adequate financial records, and refunding expenditures disallowed by audits.

4. Grant Close-Out Process. Within 90 days after the end of the period of performance, grantees must submit a final FFR and final progress report detailing all accomplishments throughout the period of performance. After these reports have been reviewed and approved by 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 grantee is responsible for returning any funds that have been drawndown but remain as unliquidated on grantee financial records.

Required submissions:

(1) Final SF-425, due 90 days from end of grant period

(2) Final progress report, due 90 days from the end of the grant period

E. FY2011 Requirements Specific to For-Profit Entities For-profit entities are NOT eligible to apply for the Staffing for Adequate Fire and Emergency Response Program.

Part II.

FEMA CONTACTS

This section describes several resources that may help applicants in completing a FEMA grant application.

Centralized Scheduling and Information Desk (CSID) CSID is a non-emergency comprehensive management and information resource developed by DHS for grants stakeholders. CSID provides general information on all FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the federal, state, and local levels. CSID can be reached by phone at (800) 368-6498 or by e-mail at ASKCSID@dhs.gov, Monday through Friday, 8:00 AM – 6:00 p.m. (ET).

Grant Programs Directorate (GPD)

FEMA GPD’s Grants Management Division will provide fiscal support, including pre- and post-award administration and technical assistance, to the grant programs included in this solicitation. Additional guidance and information can be obtained by contacting the FEMA Call Center at (866) 927-5646 or via e-mail to ASK-GMD@dhs.gov.

SAFER Help Desk The SAFER program staffs a help desk throughout the application period. The help desk can provide assistance with navigation through the automated application as well as provide programmatic assistance with respect to questions of eligibility. The help desk can be contacted at 1-866-274-0960 or via e-mail at firegrants@dhs.gov. The help desk hours of operation during the application period are from 8:00 a.m. to 4:30 p.m., Monday through Friday. All times listed are eastern daylight times.

FEMA Regional Fire Program Specialists Each of the FEMA Regions has specialists that can assist applicants with the application process. Interested parties may contact the SAFER helpdesk for information on the nearest regional specialists.

Part III.

OTHER INFORMATION

A. Excess Funds

Due to a successful competitive bid processes some grantees have funds remaining after the completion of their obligations outlined above.

SAFER Grantees with excess funds:

Hiring of Firefighters Activity Grantees Grantees that complete the approved scope of work and still have grant funds available must return all excess funds to FEMA.

Recruitment and Retention of Volunteer Firefighters Activity Grantees Grantees that have completed the approved scope of work in this activity and still have grant funds available may use the excess funds to continue with recruitment or retention activities provided they are consistent with the original scope of work and conducted within the originally approved period of performance. This shall be done through the amendment request process.

B.

Turndown Procedure The safer grants are competitive. Not all applications will be successful, but all applicants will receive a decision letter from FEMA that briefly describes the shortcomings and weaknesses of the application. These aspects are articulated by the technical evaluation process (tep). Due to the historical number of turndowns for these grants, detailed debriefs for all applicants will not be possible.

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