FY22 HHPD NOFO FINAL 7822.pdf

FY 2022 HHPD NOFO Back to the Top

The Department of Homeland Security (DHS)

Notice of Funding Opportunity (NOFO) Fiscal Year 2022

Rehabilitation of High Hazard Potential Dams (HHPD)

Unique Entity Identifier registration information is available on GSA.gov at: Unique Entity Identifier Update | GSA.

Grants.gov registration information can be found at:

https://www.grants.gov/web/grants/register.html. Detailed information regarding UEI and SAM is also provided in Section D.6., Application and Submission Information of this NOFO.

Table of Contents A. Program Description

1. Issued By

2. Assistance Listings Number

3. Assistance Listings Title

4. Funding Opportunity Title

5. Funding Opportunity Number

6. Authorizing Authority for Program

7. Appropriation Authority for Program

8. Announcement Type

9. Program Category

10. Program Overview, Objectives, and Priorities

11. Performance Measures

B. Federal Award Information

1. Available Funding for the NOFO: $22,000,000.00

2. Projected Number of Awards: 50

3. Period of Performance: 36 Months

4. Projected Period of Performance Start Date(s): 09/15/2022

5. Projected Period of Performance End Date(s): 09/14/2025

6. Funding Instrument Type: Grant

C. Eligibility Information

1. Eligible Applicants

2. Applicant Eligibility Criteria

3. Subrecipient Eligibility Criteria

4. Other Program-Specific Eligibility Criteria

5. Cost Share or Match

D. Application and Submission Information

1. Key Dates and Times

2. Agreeing to Terms and Conditions of the Award

3. Address to Request Application Package

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

Management (SAM), and Submit an Application

5. Electronic Delivery https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-systems-information-kit/unique-entity-identifier-update https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-systems-information-kit/unique-entity-identifier-update https://www.grants.gov/web/grants/register.html

6. How to Register to Apply through Grants.gov

7. How to Submit an Initial Application to FEMA via Grants.gov

8. Submitting the Final Application in ND Grants

9. Timely Receipt Requirements and Proof of Timely Submission

10. Content and Form of Application Submission

11. Other Submission Requirements

12. Intergovernmental Review

13. Funding Restrictions and Allowable Costs

E. Application Review Information

1. Application Evaluation Criteria

2. Review and Selection Process

F. Federal Award Administration Information

1. Notice of Award

2. Pass-Through Requirements

3. Administrative and National Policy Requirements

4. Reporting

5. Monitoring and Oversight

G. DHS Awarding Agency Contact Information

1. Contact and Resource Information

2. Systems Information

H. Additional Information

1. Termination Provisions

2. 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

7. Record Retention

8. Actions to Address Noncompliance

9. Audits

10. Payment Information

11. Whole Community Preparedness

12. Mitigation Plan Requirement Resources

13. Mitigation Plan Requirement Extension Request

14. Example Mitigation Plan Extension Request Template

15. Examples Using Funding Formula

16. Determination of Unacceptable Risk to the Public

17. Eligible Activities

18. Floodplain Management Plan

19. Definitions

20. Appendices

A. Program Description

1. Issued By

U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA)/ Federal Insurance and Mitigation Administration (FIMA), Risk Management Directorate/Planning, Safety and Building Science Division / Planning and Safety Branch, National Dam Safety Program Office (NDSP)

2. Assistance Listings Number

97.041

3. Assistance Listings Title National Dam Safety Program

4. Funding Opportunity Title Fiscal Year 2022 Rehabilitation of High Hazard Potential Dams (HHPD)

5. Funding Opportunity Number

DHS-22-MT-041-00-01

6. Authorizing Authority for Program National Dam Safety Program Act (Pub. L. No. 92-367, as amended, 33 U.S.C. § 467f-2)

7. Appropriation Authority for Program

Department of Homeland Security Appropriations Act, 2022 (Pub. L. No. 117-103) Infrastructure Investment and Jobs Act (Pub. L. No. 117-58)

8. Announcement Type Initial

9. Program Category Mitigation

10. Program Overview, Objectives, and Priorities

a. Overview

FEMA’s National Dam Safety Program (NDSP) is committed to protecting lives and property from the risks associated with dams. The Rehabilitation of High Hazard Potential Dams (HHPD) Grant Program makes available federal funds to eligible states for pass through to non-Federal governmental organizations or nonprofit organizations for the rehabilitation of eligible high hazard potential dams that fail to meet minimum state dam safety standards and pose unacceptable risk to life and property.

For the purposes of the HHPD Grant Program, rehabilitation means the repair, replacement, reconstruction, or removal of a dam that is carried out to meet applicable state dam safety and security standards.

The Fiscal Year 2022 HHPD grant is available to support two categories of funding: (1) Project Scoping, Engineering and Design and (2) Construction-ready Projects (See Section H.19., Definitions, for the definition of Construction-ready Projects).

The HHPD Program incentivizes eligible states to:

• Provide financial assistance for repair, removal, or rehabilitation of eligible high hazard potential dams.

• Incorporate risk-informed analysis and decision making into their dam safety practice and HHPD rehabilitation investments.

• Incorporate risk-analysis results and information and consider all dam risk in state, local, tribal, and territorial mitigation planning.

• Promote community preparedness by requiring recipients to develop and implement floodplain management plans that address potential measures, practices, and policies to reduce loss of life, injuries, damage to property and facilities, public expenditures, and other adverse effects of flooding.

• Reduce costs associated with dam rehabilitation through the deployment of innovative solutions and technologies.

Given the requirements of this grant (e.g. National Flood Insurance Program participation, state and local hazard mitigation plans (HMP), floodplain management plan, risk prioritization, state dam safety agency approval of the award), applicants must pursue this grant in coordination with the State Dam Safety Officer and the State Hazard Mitigation Officer, regardless of which entity will implement the grant. Contact information for the State Hazard Mitigation Officers (SHMOs) is provided on the FEMA website at http://www.fema.gov/state-hazard-mitigation-officers.

The HHPD supports DHS Strategic Goal 5: Strengthen Preparedness and Resilience, Objective 5.1: Build a National Culture of Preparedness and Presidential Policy Directive 8: Build and Sustain National Preparedness. Specifically, the HHPD supports Sub-Objective 5.1.1 of Strategic Goal 5 to incentivize investments that reduce risk and increase pre-disaster mitigation, including expanding the use of insurance to manage risk. DHS Strategic Plan, Fiscal years 2020-2024 has identified strengthening national preparedness and resilience as one of the basic Homeland Security missions. This initiative supports this mission by providing grant assistance for eligible high hazard potential dams that pose an unacceptable risk to the public. This program also supports Goal 2: Lead Whole of Community in Climate Resilience, Objective 2.3, Empower Risk-Informed Decision Making, of the 2022-2026 FEMA Strategic Plan.

b. Objectives

The objective of the program is to:

1. Reduce or eliminate risk of eligible high hazard potential dams.

c. Priorities For FY2022, the HHPD priorities are: planning, design, and construction activities related to the repair, removal, or rehabilitation of eligible high hazard dams.

11. Performance Measures http://www.fema.gov/state-hazard-mitigation-officers https://www.dhs.gov/publication/department-homeland-securitys-strategic-plan-fiscal-years-2020-2024 https://www.dhs.gov/publication/department-homeland-securitys-strategic-plan-fiscal-years-2020-2024

The following list provides Performance Measures aligned with Program Objectives and associated eligible activities. Applicants may choose one or more activities from the list below. Applicants may propose additional activities to support the program objectives;

however, applicants must discuss additional activities with the FEMA Program Officer for approval and inclusion into the workplan.

Program Objective: Reduce or eliminate risk of eligible high hazard potential dam (HHPD)

Performance Measures

1.1 Planning tasks and activities, studies and analysis for pre-construction phases, scoping activities, and permit applications.

Performance Measure 1.1: Number of eligible HHPD dams that have resulted in the completion of studies and analysis for pre-construction phases, scoping activities, and permit applications.

1.2 Preliminary and final design package and required permit approvals.

Performance Measure 1.2: Number of eligible HHPD dams that have resulted in the completion of preliminary and final engineering design package and permits.

1.3 Construction activities that support dam rehabilitation or removal projects.

Performance Measure 1.3: Number of eligible HHPD dams that result in construction projects for dam rehabilitation or removal.

Applicants are to establish Performance Measurement targets for activities submitted for funding under this award. See Appendix A: FY22 Performance Measure Targets.

B. Federal Award Information

1. Available Funding for the NOFO: $22,000,000.00

Annual Appropriation: $11,640,000.00 Infrastructure Investment and Jobs Act Funding: $10,360,000.00

Applicants should apply for planning and design projects under the Annual Appropriated funds. Applicants with construction-ready projects (See Section H.19., Definitions, for the definition of Construction-ready Projects) should apply for the Infrastructure Investment and Jobs Act funding.

The allocation of available HHPD grant funds is determined by 33 U.S.C § 467f- 2(g)(2) Allocation of Funds. The allocation of the HHPD funds is calculated as follows:

(i) Equal distribution

One-third of the available funding will be distributed equally among states in which the projects for which eligible applications are submitted are located.

(ii) Need-based Two-thirds of the available funding will be distributed among states in which the projects for which eligible applications are submitted are located based on the proportion that:

a. the number of eligible high hazard potential dams in the state; bears to

b. the number of eligible high hazard potential dams in all such states.

2. Projected Number of Awards: 50

3. Period of Performance: 36 Months

Extensions to the period of performance are allowed. For additional information on period of performance extensions, please refer to Section H.3, Period of Performance Extensions.

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.”

4. Projected Period of Performance Start Date(s): 09/15/2022

5. Projected Period of Performance End Date(s): 09/14/2025

6. Funding Instrument Type: Grant

C. Eligibility Information

1. Eligible Applicants

A state with a state dam safety program authorized by state legislation is the only entity eligible to submit HHPD applications to DHS/FEMA.

For the purposes of the HHPD, 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.

2. Applicant Eligibility Criteria

Each eligible state must designate one State Administrative Agency (SAA) to serve as the applicant for HHPD funding. Each SAA may submit only one (1) HHPD grant application to FEMA and be able to comply with regulations associated with receipt of federal financial contributions from FEMA.

Each Recipient must have a FEMA-approved state mitigation plan that includes all dam risks; and complies with the Disaster Mitigation Act of 2000 (Pub. L. 106–390; 114 Stat.

1552) that amended the Robert T. Stafford Disaster Relief and Emergency Assistance Act, PL 100-707. For more information on the Mitigation Plan Requirements, see Section E.1.a,, Programmatic Criteria for Mitigation Plan Requirement. For links to mitigation plan guidance documents and for questions, see Section H.12., Mitigation Plan Requirement Resources.

3. Subrecipient Eligibility Criteria https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-A/subject-group-ECFR2a6a0087862fd2c/section-200.1 https://www.fema.gov/sites/default/files/2020-11/fema_disaster-mitigation-act-of-2000_10-30-2000.pdf https://www.law.cornell.edu/rio/citation/Pub._L._106-390 https://www.law.cornell.edu/rio/citation/114_Stat._1552

Eligible subrecipients under FY2022 HHPD are non-federal governmental organizations (other than the designated applicant) and nonprofit organizations. Under FY 2022 HHPD, eligible subrecipients apply for and receive subawards directly from the SAA. Subrecipients must meet the following criteria to be eligible:

(A) Acts in accordance with the state dam safety program. Additionally, the project dam must be regulated by the state dam safety program. All activities must be approved by the state dam safety agency. Any engineering studies, plans, or design drawings and specifications must be approved, signed, and stamped by a qualified design professional registered in the state in which the project is located.

(B) The community in which the dam is located participates in, and complies with, all applicable regulations of the National Flood insurance Program, and is in good standing, not on probation, suspended, or withdrawn from such Program;

(C) The Tribal or local government with jurisdiction over the area in which the dam is located has in place an approved hazard mitigation plan that includes all dam risks, and complies with the Disaster Mitigation Act of 2000 (Pub. L. 106–390; 114 Stat. 1552). For more information on the Mitigation Plan Requirements, see Section E.1.a., Programmatic Criteria for Mitigation Plan Requirement. If the Tribal or local mitigation plan does not include all dam risks, the subrecipient may request an extension to meet this requirement.

For more information on the Mitigation Plan Requirements, see Section H.13, Mitigation Plan Requirement Extension Requests. For links to mitigation plan guidance documents and for questions, see Section H.12., Mitigation Plan Requirement Resources.

(D) Commit to provide operation and maintenance of the project for the expected life of the dam following completion of rehabilitation;

(E) Carries out activities relating to the public in the area around the dam in accordance with the hazard mitigation plan.

(F) Complies with section 5196(j)(9) of title 42 of the U.S. Code (as in effect on December

16, 2016) with respect to projects receiving assistance under this section in the same manner as recipients are required to comply in order to receive financial contributions from the Administrator for emergency preparedness purposes. See Section D.13.a., Requirements Related to Contractor and Subcontractor Wages, for additional information.

(G) Complies with chapter 11 of the title 40; Selection of Architects and Engineers. (See

Section D.13.b., Requirements Related to Contract and Subcontract Services.)

(H) Have in place (or will be developed not later than 2 years after the date of execution of a dam rehabilitation or removal project agreement and implemented not later than 2 years after the date of completion of a project) a floodplain management plan to reduce the impacts of future flood events in the area impacted by the project. The floodplain management plan shall address:

https://www.law.cornell.edu/rio/citation/Pub._L._106-390 https://www.law.cornell.edu/rio/citation/114_Stat._1552 https://uscode.house.gov/view.xhtml?req=section%2B5196%28j%29%289%29%2Bof%2Btitle%2B42&f=treesort&fq=true&num=4&hl=true&edition=prelim&granuleId=USC-prelim-title42-section5196 http://uscode.house.gov/view.xhtml?path=/prelim@title40/subtitle1/chapter11&edition=prelim

a. potential measures, practices, and policies to reduce loss of life, injuries, damage to property and facilities, public expenditures, and other adverse impacts of flooding in the area protected by the project;

b. plans for flood fighting and evacuation; and

c. public education and awareness of flood risks.

For additional information, please see Section H.18., Floodplain Management Plan.

4. Other Program-Specific Eligibility Criteria

a. Approved Hazard Mitigation Plan

The state must have in place (by the application deadline and at the time of obligation of grant funds) an approved state hazard mitigation plan that includes all dam risks (See Section H.19., Definitions, for the definition of All Dam Risk) and complies with the Disaster Mitigation Act of 2000 (Public Law 106–390; 114 Stat. 1552). If an HHPD applicant does not have a state mitigation plan that includes all dam risks, the applicant may request an extension to meet this requirement. (See Section H.13., Mitigation Plan Requirement Extension Requests).

b. Allowable Activities See Section H.17., Eligible Activities, for more information on allowable activities. See Section D.13.b., Requirements Related to Contract and Subcontract Services, for information about funding restrictions.

c. List of Eligible High Hazard Dams The SAA must submit a list of all eligible high hazard potential dams in their state with the application. The SAA must submit an official assurance statement (signed by the State Dam Safety Officer or Governor's Authorized Representative [GAR]) that all dams included on the list of eligible high hazard potential dams are regulated by the state dam safety program and meet the following HHPD criteria for eligible high hazard potential dams.

A dam considered as eligible under grant must meet the following criteria:

“(A) In general, the term “eligible high hazard potential dam” means a non-Federal dam that—

(i) is located within a state with a state dam safety program and regulated under that state dam safety program;

(ii) is classified as high hazard potential by the relevant state dam safety agency;

(iii) has an emergency action plan that—

I. is approved by the relevant state dam safety agency; or II. is in conformance with state law and pending approval by the relevant state dam safety agency;

(iv) fails to meet minimum dam safety standards of the state in which the dam is located, as determined by the state dam safety agency;

(v) and has a condition assessment rating of POOR or UNSATISFACTORY as identified in the National Inventory of Dams (NID) no later than 05/15/2022.

(B) Exclusion The term “eligible high hazard potential dam” does not include—

(i) a licensed hydroelectric dam under a hydropower project with an authorized installed capacity of greater than 1.5 megawatts; or

(ii) a dam built under the authority of the Secretary of Agriculture.”

33 U.S.C. § 467(4)(A)

Note: Dams with FAIR, SATISFACTORY or NOT RATED condition assessments are not eligible for the HHPD program.

If the SAA chooses to be a pass-through entity, the SAA must contact potential subrecipients to identify potential eligible subrecipients with an eligible dam who express interest in obtaining a grant for a specific planning or design project and are capable of meeting the requirements of the HHPD grant. See Section H.17., Eligible Activities, for information on Eligible Activities.

The list or prospective eligible dams will be used to allocate grant funds to the state. See Section H.15., Example Using the Funding Formula, for a sample calculation on how eligible dams is used for state grant allocations.

Upon request, the SAA must provide to FEMA substantiating documentation that documents dams submitted are eligible under the HHPD grant. The requested documentation may include, but is not limited to, copies of the regulatory notices, risk assessments, engineering analyses, etc.

d. List of Eligible High Hazard Dams Template

The list of dams must be submitted in table format with NID Data and must include the below column row headers and must be signed by the State Dam Safety Agency or GAR:

• Does the state have a state dam safety program?

• Dam Name

• NID ID

• Longitude

• Latitude

• Hazard Potential

• State Approved EAP? (Y/N)

• EAP Date

• Owner Type

• Built by USDA/NRCS? (Y/N)

• Licensed by FERC? (Y/N)

• NID Condition Assessment*

• Fails to Meet Minimum State Dam Safety Standards

• Dam has a documented Dam Safety Deficiency?**

• Was Dam Safety Deficiency caused by lack of Routine Operation and Maintenance?

• Was Dam Safety Deficiency caused by Deferred Maintenance?

• Brief Description of Deficiency

• Name of potential Subrecipient that has indicated interest in HHPD and is capable of meeting HHPD requirements***

* FEMA will review the Condition Assessment data reported in the NID to validate a dam’s eligibility on 5/15/2022. Dams that meet the NID criteria for POOR or UNSATISFACTORY condition assessments may be eligible to include on the list of eligible high hazard potential dams. Upon request, the SAA must provide to FEMA substantiating documentation that verify dams submitted are eligible under the HHPD grant. The requested documentation may include, but is not limited to, copies of the regulatory notices, risk assessments, engineering analyses, etc.

**Dam Safety Deficiency (Source NID): A load capacity limit or other issue that can result in a failure of the dam or appurtenant structure. It is a characteristic or condition that does not meet the applicable minimum regulatory criteria.

*** the SAA must contact potential subrecipients to identify potential eligible subrecipients with an eligible dam who express interest in obtaining a grant for a specific planning or design project and are capable of meeting the requirements of the HHPD grant. (Only fill out this field if the potential subrecipient has been contacted or is the

SAA.)

5. Cost Share or Match Assistance provided under the HHPD grant is subject to a non-Federal cost-sharing requirement of not less than 35 percent. Federal funding is available for up to 65 percent of the eligible activity costs. The remaining 35 percent of eligible activity costs must be derived from non-federal sources, which may be in-kind. Requirements for cash and third-party in-kind contributions can be found in 2 C.F.R. § 200.306. The non-Federal cost share contribution is not limited to 65 percent.

The non-federal cost share contribution is calculated based on the total cost of the proposed activity. The calculation to determine the non-Federal Cost share is:

Non-Federal Share = [0.35*(Federal Share)]/(0.65).

For example, if the total cost is $400,000 and the non-Federal cost share is 35 percent, then the non-federal contribution is $140,000: 35 percent of $400,000 is $140,000. The federal share cannot exceed $260,000 ($400,000 x 65%).

D. Application and Submission Information

1. Key Dates and Times

a. Application Start Date: 05/16/2022

b. Application Submission Deadline: 07/15/2022 at 5:00 PM ET

All applications must be received by the established deadline.

The Non-Disaster (ND) Grants System has a date stamp that indicates when an application is submitted. Applicants will receive an electronic message confirming receipt of their submission. For additional information on how an applicant will be notified of application receipt, see Section D.9., Timely Receipt Requirements and Proof of Timely Submission.

FEMA will not review applications that are received after the deadline or consider these late applications for funding. FEMA may, however, extend the application deadline on request for any applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may include technical problems outside of the applicant’s control that prevent submission of the application by the deadline, other exigent or emergency circumstances, or statutory requirements for FEMA to make an award.

Applicants experiencing technical problems outside of their control must notify FEMA as soon as possible and before the application deadline. Failure to timely notify FEMA of the issue that prevented the timely filing of the application may preclude consideration of the award. “Timely notification” of FEMA means: prior to the application deadline and within 48 hours after the applicant became aware of the issue.

A list of FEMA contacts can be found in Section G.1.a, Program Office Contact. For additional assistance using the ND Grants System, please contact the ND Grants Service Desk at (800) 865-4076 or NDGrants@fema.dhs.gov. The ND Grants Service Desk is available Monday through Friday, 9:00 AM – 6:00 PM Eastern Time (ET). For programmatic or grants management questions, please contact your Program Analyst or Grants 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, 9:00 AM – 5:00 PM ET.

FEMA will not review applications that are received after the deadline or consider these late applications for funding. FEMA may, however, extend the application deadline on request for any applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may include technical problems outside of the applicant’s control that prevent submission of the application by the deadline, other exigent or emergency circumstances, or statutory requirements for FEMA to make an award.

Applicants experiencing technical problems outside of their control must notify FEMA as soon as possible and before the application deadline. Failure to timely notify FEMA of the issue that prevented the timely filing of the application may preclude consideration of the award. “Timely notification” of FEMA means the following: prior to the application deadline and within 48 hours after the applicant became aware of the issue.

c. Anticipated Funding Selection Date: No later than 09/15/2022

d. Anticipated Award Date: No later than 09/30/2022

e. Other Key Dates

Event Suggested Deadline for Completion Obtaining Unique Entity Identifier (UEI) number

Four weeks before actual submission deadline

Obtaining a valid Employer Identification Number (EIN) Four weeks before actual submission deadline mailto:NDGrants@fema.dhs.gov mailto:askcsid@fema.dhs.gov

2. Agreeing to Terms and Conditions of the Award

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

3. Address to Request Application Package

Initial applications are processed through the Grants.gov portal. Final applications are completed and submitted through FEMA’s Non-Disaster Grants (ND Grants) System.

Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov.

4. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application

Applying for an award under this program is a multi-step process and requires time to complete. Applicants are encouraged to register early as the registration process can take four weeks or more to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines.

Please review the table above for estimated deadlines to complete each of the steps listed.

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

To apply for an award under this program, all applicants must:

a. Apply for, update, or verify their Unique Entity Identifier (UEI) number from SAM.gov 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. Create a Grants.gov account;

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

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

h. Register in ND Grants

Creating an account with login.gov Four weeks before actual submission deadline Registering in SAM or Updating SAM registration Four weeks before actual submission deadline

Registering in Grants.gov Four weeks before actual submission deadline Registering in ND Grants Four weeks before actual submission deadline Starting application in Grants.gov One week before actual submission deadline Submitting the final application in ND Grants By the submission deadline https://www.grants.gov/ http://www.grants.gov/ https://www.login.gov/

i. Submit an initial application in Grants.gov;

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

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

Specific instructions on how to apply for, update, or verify an UEI number or SAM registration or establish an AOR are included below in the steps for applying through Grants.gov.

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

Per 2 C.F.R. § 25.110(c)(2)(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.

5. Electronic Delivery DHS is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. DHS encourages or requires applicants to submit their applications online through Grants.gov, depending on the funding opportunity.

For this funding opportunity, FEMA requires applicants to submit initial applications through Grants.gov and a final application through ND Grants.

6. How to Register to Apply through Grants.gov

a. General Instructions:

mailto:askcsid@fema.dhs.gov

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.

Organizations must also have a Grants.gov account to apply for an award under this program.

Creating a Grants.gov account can be completed online in minutes, but UEI and SAM registrations may take several weeks. Therefore, an organization's registration should be done in sufficient time to ensure it does not impact the entity's ability to meet required application submission deadlines. Complete organization instructions can be found on Grants.gov here:

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

If individual applicants are eligible to apply for this grant funding opportunity, refer to:

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

b. Obtain an UEI Number:

All entities applying for funding, including renewal funding, prior to 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.

d. Create a login.gov account:

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

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

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.

https://www.grants.gov/web/grants/applicants/organization-registration.html https://www.grants.gov/web/grants/applicants/registration.html https://www.irs.gov/businesses/small-businesses-self-employed/apply-for-an-employer-identification-number-ein-online https://www.irs.gov/businesses/small-businesses-self-employed/apply-for-an-employer-identification-number-ein-online https://secure.login.gov/sign_up/enter_email?request_id=34f19fa8-14a2-438c-8323-a62b99571fd3 https://secure.login.gov/sign_up/enter_email?request_id=34f19fa8-14a2-438c-8323-a62b99571fd3 https://www.sam.gov/SAM/pages/public/loginFAQ.jsf

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, please contact the Federal Support Desk at https://www.fsd.gov/fsd-gov/home.do or call toll free (866) 606-8220.

f. Create a Grants.gov Account:

The next step in the registration process is to create an account with Grants.gov. If applicable, applicants must know their organization’s UEI 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.

See Section D.8., Submitting the Final Application in ND Grants, for instructions on how to register early in ND Grants.

i. 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, if applicable, enter the UEI number for the organization in the UEI field while adding a profile.

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.fsd.gov/fsd-gov/home.do https://www.grants.gov/web/grants/applicants/registration.html

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

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

j. 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.

k. Track Role Status:

To track your role request, refer to:

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

l. 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.

7. How to Submit an Initial Application to FEMA via Grants.gov Standard Form 424 (SF-424) is the initial application for this NOFO.

Grants.gov applicants can apply online using a workspace. A workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each Notice of Funding Opportunity, you can create individual instances of a workspace. Applicants are encouraged to submit their initial applications in Grants.gov at least seven days before the application deadline.

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

• SF-424, Application for Federal Assistance

• Grants.gov Lobbying Form, Certification Regarding Lobbying

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

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

a. Create a Workspace:

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

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

b. 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.

c. 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

d. 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.

e. 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 UEI 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.

f. 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.

g. Track a Workspace:

After successfully submitting a workspace package, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the confirmation page that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace.

h. Additional Training and Applicant Support:

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

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

Grants.gov provides applicants 24/7 (except federal holidays) support via the toll-free number (800) 518-4726, email at support@grants.gov and the website at https://www.grants.gov/support.html. 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 FEMA with tracking your issue and understanding background information on the issue.

8. Submitting the Final Application in ND Grants

After submitting the initial application in Grants.gov, eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement or, at the latest, seven days before the application deadline. Early registration will allow applicants to have adequate time to start and complete their applications.

Applicants needing assistance registering for the ND Grants system should contact ndgrants@fema.dhs.gov or (800) 865-4076. For step-by-step directions on using the ND Grants system and other guides, please see https://www.fema.gov/grants/guidance-tools/non-disaster-grants-management-system.

In ND Grants, applicants will be prompted to submit the standard application information and any program-specific information required as described in Section D.10., Content and Form of Application Submission. The Standard Forms (SF) are auto generated in ND Grants, but applicants may access these forms in advance through the Forms tab under the SF-424 family on Grants.gov. Applicants should review these forms before applying to ensure they have all the information required.

For additional application submission requirements, including program-specific requirements, please refer to Section D.10., Content and Form of Application Submission, or the Rehabilitation of High Hazard Potential Dams Grant Program Guidance (FEMA, June 2020).

9. Timely Receipt Requirements and Proof of Timely Submission As application submission is a two-step process, the applicant with the AOR role who submitted the application in Grants.gov will receive an acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of its initial application. This notification does not serve as proof of timely submission, as the application is not complete until it is submitted in ND Grants. Applicants can also view the ND Grants Agency Tracking Number by accessing the Details tab in the submitted workspace section in Grants.gov, under the Agency Tracking Number column. Should the Agency Tracking Number not appear, the application has not yet migrated from Grants.gov into the ND Grants System. Please allow 24 hours for your ND Grants application tracking number to migrate.

mailto:support@grants.gov https://www.grants.gov/support.html mailto:ndgrants@fema.dhs.gov https://www.fema.gov/grants/guidance-tools/non-disaster-grants-management-system https://www.fema.gov/grants/guidance-tools/non-disaster-grants-management-system https://www.grants.gov/forms/sf-424-family.html https://www.fema.gov/sites/default/files/2020-08/fema_hhpd_grant-guidance.pdf

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

Proof of timely submission is automatically recorded by ND Grants. An electronic date/time stamp is generated within the system when the application is successfully received by ND Grants. Additionally, the applicant(s) listed as contacts on the application will receive a system-generated email to confirm receipt.

Applicants who experience system-related issues will be addressed until 3:00 PM 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 in either Grants.gov or ND Grants. The Standard Forms (SF) are submitted either through Grants.gov, through forms generated in ND Grants, or as an attachment in ND Grants. Applicants may also access the SFs at https://www.grants.gov/web/grants/forms/sf-424-family.html.

iii. GRANTS.GOV

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

Grants.gov

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

Grants.gov

iv. ND GRANTS

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

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

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

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

• Indirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. If the applicant does not have or is not required to have an indirect cost rate agreement or proposal, please see Section D.13., 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.1.a., Program Office Contact for further instructions.

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

Generally, applicants have to submit either the non-construction forms (i.e., SF-424A and SF-424B) or construction forms (i.e., SF-424C and SF-424D), meaning that applicants that only have construction work and do not have any non-construction work need only submit the construction forms (i.e., SF-424C and SF-424D) and not the non-construction forms (i.e., SF-424A and SF-424B), and vice versa.