FY23 CAP-SSSE NOFO FINAL_.pdf

FY 2023 CAP-SSSE NOFO Back to the Top

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

Fiscal Year 2023 Community Assistance Program-State Support Services Element (CAP-SSSE)

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

Grants.gov registration information can be found at:

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

Planned UEI Updates in Grant Application Forms:

On April 4, 2022, the Data Universal Numbering System (DUNS) Number was replaced by a new, non-proprietary identifier requested in, and assigned by, the System for Award Management (SAM.gov). This new identifier is the Unique Entity Identifier (UEI).

Additional Information can be found on Grants.gov:

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

Table of Contents

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: $15,000,000.00

2. Projected Number of Awards: 52

3. Maximum Award Amount: N/A

4. Period of Performance: 12 months

5. Projected Period of Performance Start Date(s): 07/01/2023

6. Projected Period of Performance End Date(s): 06/30/2024

7. Funding Instrument Type: Cooperative Agreement

C. Eligibility Information

1. Eligible Applicants https://sam.gov/content/entity-registration https://www.grants.gov/web/grants/register.html https://www.grants.gov/web/grants/forms/planned-uei-updates.html

2. Applicant Eligibility Criteria

3. Other Eligibility Criteria/Restrictions

4. Cost Share or Match

D. Application and Submission Information

1. Key Dates and Times

a. Application Start Date: 05/01/2023

b. Application Submission Deadline: 06/15/2023 at 5:00PM ET

c. Other Key Dates

2. Agreeing to Terms and Conditions of the Award

3. Address to Request Application Package

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

Award Management (SAM)

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

Management (SAM), and Submit an Application

6. Electronic Delivery

a. General Instructions:

b. Obtain an UEI Number:

c. Obtain Employer Identification Number

d. Create a login.gov account:

e. Register with SAM:

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

7. Submitting the Final Application

8. Timely Receipt Requirements and Proof of Timely Submission

9. Content and Form of Application Submission

a. Standard Required Application Forms and Information

b. Program-Specific Required Forms and Information

10. Other Submission Requirements

11. Intergovernmental Review

12. Funding Restrictions and Allowable Costs

a. Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services

b. Pre-Award Costs

c. Management and Administration (M&A) Costs

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

e. Other Direct Costs

E. Application Review Information

1. Application Evaluation Criteria

a. Programmatic Criteria

b. Financial Integrity Criteria

c. Supplemental Financial Integrity Criteria and Review

2. Review and Selection Process F. Federal Award Administration Information

1. Notice of Award

2. Pass-Through Requirements

3. Administrative and National Policy Requirements

a. DHS Standard Terms and Conditions

b. Ensuring the Protection of Civil Rights

c. Environmental Planning and Historic Preservation (EHP) Compliance

4. Reporting

a. Financial Reporting Requirements

b. Programmatic Performance Reporting Requirements

c. Closeout Reporting Requirements

d. Additional Reporting Requirements

5. Monitoring and Oversight G. DHS Awarding Agency Contact Information

1. Contact and Resource Information

a. Program Office Contact

b. Centralized Scheduling and Information Desk (CSID)

d. FEMA Regional Offices

e. Equal Rights

f. Environmental Planning and Historic Preservation

2. Systems Information

a. FEMA GO

b. Community Information System (CIS):

3. Termination Provisions

a. Noncompliance

b. With the Consent of the Recipient

c. Notification by the Recipient

4. Program Evaluation

5. Period of Performance Extensions

6. Disability Integration

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

8. Procurement Integrity

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

b. Competition and Conflicts of Interest

c. Supply Schedules and Purchasing Programs

d. Procurement Documentation

9. Record Retention

a. Record Retention Period

b. Types of Records to Retain

10. Actions to Address Noncompliance

11. Audits

12. Payment Information

13. Whole Community Preparedness

14. Appendices

Appendix A. CAP-SSSE Eligible Activities Appendix B. CAP-SSSE Funding Methodology

A. Program Description

1. Issued By

U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA)/Federal Insurance & Mitigation Administration (FIMA), Mitigation Directorate.

2. Assistance Listings Number

97.023

3. Assistance Listings Title Community Assistance Program – State Support Services Element (CAP-SSSE)

4. Funding Opportunity Title

Fiscal Year 2023 Community Assistance Program - State Support Services Element

5. Funding Opportunity Number

FEMA

Region Opportunity Number

1 DHS-23-MT-023-01-99

2 DHS-23-MT-023-02-99

3 DHS-23-MT-023-03-99

4 DHS-23-MT-023-04-99

5 DHS-23-MT-023-05-99

6 DHS-23-MT-023-06-99

7 DHS-23-MT-023-07-99

8 DHS-23-MT-023-08-99

9 DHS-23-MT-023-09-99

10 DHS-23-MT-023-10-99

6. Authorizing Authority for Program

The National Flood Insurance Act of 1968 (Pub. L. No. 90-448), as amended, (42 U.S.C. § 4001 et seq.), the Flood Disaster Protection Act of 1973 (Pub. L. No. 93-234), as amended, (42 U.S.C. § 4002 et seq.), and 44 CFR parts 59 and 60.

7. Appropriation Authority for Program

Department of Homeland Security Appropriations Act, 2023 (Pub. L. No. 117-328), Title III, Federal Emergency Management Agency, Federal Assistance.

8. Announcement Type

Initial

9. Program Category

Mitigation: Community Assistance

10. Program Overview, Objectives, and Priorities

a. Overview The Community Assistance Program – State Support Services Element (CAP- SSSE) program provides funding to states to provide technical assistance to communities in the National Flood Insurance Program (NFIP) and to evaluate community performance in implementing NFIP floodplain management activities. CAP-SSSE aligns with and supports the DHS Strategic Plan for Fiscal Years 2020-2024, Goal 5: Strengthen Preparedness and Resilience. CAP- SSSE strives to leverage state knowledge and expertise to provide support to communities through activities that most effectively reduce flood losses. The CAP-SSSE cooperative agreement funds eligible activities to enable state NFIP coordinating agencies to meet the provisions set forth in 44 C.F.R.§ 60.25 and the goals and performance expectations of the funding agency: FEMA and the NFIP.

b. Objectives The CAP-SSSE program goals detailed below align directly to the national Floodplain Management Program multi-year plan. These goals provide the framework for guiding the activities of the FEMA Regions and state NFIP coordinating agencies as they work to meet the vision of the NFIP and the goals of the 2022-2026 FEMA Strategic Plan, including instilling equity as a foundation of emergency management, leading the whole of community in climate resilience, and promoting and sustaining a ready FEMA and prepared nation.

Annually, and in collaboration with FEMA, states are expected to develop and meet performance commitments for funded activities and community outcomes that align to the achievement of the CAP-SSSE program goals:

• Goal 1: Grow local capacity and capability to improve resiliency through floodplain management: States shall leverage engagements and relationships with communities to build their capability and capacity to manage flood risk by adopting and enforcing at least the minimum standards of the NFIP. States should encourage participation in the NFIP and ensure that communities are maintaining or improving their compliance with the program.

• Goal 2: Build state floodplain management capability and promote strong state interagency coordination and collaboration: State NFIP Coordinating Agencies should invest in growing their own technical expertise and capacity and position the office to better serve as the central coordination point for bringing the entire state’s capabilities and resources together to advance floodplain management and mitigation.

• Goal 3: Promote the benefits and drive demand for strong floodplain management development standards and insurance: States shall ensure they are employing opportunities to most effectively educate communities and the public on the value (e.g., economic, environmental, social benefits) of higher standards and insurance coverage.

c. Priorities 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 https://www.fema.gov/about/strategic-plan

• CAP-SSSE Transformation efforts (2017-2023): CAP-SSSE implemented a series of transformative program changes to better incentivize and invest in state capability growth. While the transformation is coming to a close, states are expected to adhere to the guidance and business processes set forth by the CAP-SSSE transformation, as CAP- SSSE shifts to a steady-state. This includes:

o CAP-SSSE Tiered State Framework (TSF): The TSF defines the characteristics of foundational, proficient, and advanced state floodplain management programs and sets forth a process by which states are assessed and aligned to a tier which subsequently guides the work activities and performance expectations for the grant period of performance. Beginning in FY20, States are required to complete the TSF assessment every three years and collaborate with the FEMA Regions to establish annual performance commitments that will be monitored on a quarterly basis primarily through Community Information System (CIS) reporting. Though not required, states have the option to submit an “off-cycle” assessment in between required years in order to demonstrate improvement.

o CAP-SSSE Funding Methodology and Tools: The new CAP-SSSE funding methodology establishes a transparent and performance-based set of funding factors for State NFIP Coordinating Agencies. Beginning in FY23, the amount of funding made available to each state will be based on the funding methodology detailed in Appendix B which considers such factors as exposure to flood hazards, the probability and impact of flood events, a state’s TSF tier, and an annual competitive discretionary component based on Regional priorities. States must propose work activities and other allowable costs under this NOFO to demonstrate their plan to effectively utilize their available funding. States are expected to use and submit the State Activity Planning & Pricing Tool which standardizes Statements of Work (SOWs), Budget Details, and the Regional review process.

• Substantial Damage/Substantial Improvement Compliance: States will be expected to ensure community compliance with substantial damage/improvement provisions of floodplain management regulations.

• State Development Compliance: States will continue to support efforts to document and improve compliance with the NFIP regulations for new and existing state-owned and managed property in the Special Flood Hazard Area (SFHA), including adherence to the timeline agreed to in coordination with the FEMA Regions.

• NFIP Compliance Community Audit Redesign: FEMA is currently redesigning the Community Assistance Visit (CAV) and Community Assistance Contact (CAC) processes into the new NFIP Community Audit process. States will be expected to attend webinars, trainings, and other events to increase their knowledge and understanding of the NFIP Community Audit in preparation for transitioning to the new process in the future. States may also be requested to participate in additional pilot projects for the NFIP Compliance Audit process.

o Note – As part of the redesign effort, FEMA will be sunsetting the terms “CAV” and “CAC” and replacing them with “community audit” in the near future.

• Addressing Equity: States will be expected to consider equity and assisting vulnerable populations disproportionately impacted by disasters in alignment with Goal 1 of the

2022- 2026 FEMA Strategic Plan, to Instill Equity as a Foundation of Emergency Management and, more specifically, Objective 1.3: Achieve Equitable Outcomes for Those We Serve, as well as the Justice 40 goals in Executive Order 14008.

• Climate Resilience and Future Conditions: Goal 2 of the 2022-2026 FEMA Strategic Plan is to Lead Whole of Community in Climate Resilience. States are expected to consider and incorporate future conditions into their planning, operations, and programming to prioritize community resilience.

11. Performance Measures FEMA’s Floodplain Management program monitors performance through four (4) program measures to which state NFIP Coordinating Agencies are required to adopt, in addition to any other annual performance commitments they have agreed upon with the FEMA Regional office. These include:

• Map Adoption. States must meet the national metric of at least 93% map adoptions for those participating communities that receive Letters of Final Determination (LFDs) in their state. Each Regional office may set higher targets for map adoption.

• Community Engagement. States must have contact with a designated percentage of the communities in their State by Community Audits (Community Assistance Visits [CAVs], Community Assistance Contacts [CACs]), General Technical Assistance (GTA), Regulation Assistance, or Workshops. States and the FEMA Regional CAP Coordinator will negotiate “Expected” and “Excellence” targets for the percentage of communities that will be engaged during the POP. These targets will be documented in the Statement of Work (SOW).

• Higher Standards Adoption. States must commit to a designated number of communities that will adopt higher floodplain management standards (i.e., standards that are more stringent than those required by the NFIP) as a result of the state’s efforts.

States and the FEMA Regional CAP Coordinator will negotiate “Expected” and “Excellence” targets for the number of communities adopting a higher standard during the POP. These targets will be documented in the Statement of Work (SOW).

• Community Compliance Improvement. States must commit to a designated number of communities in which they will conduct community audits, opening new and closing existing community assistance contacts and visits (CACs and CAVs). This target will directly support the Regional and National goal to assess a certain percentage of the entire NFIP every five years. States and the FEMA Regional CAP Coordinator will negotiate “Expected” and “Excellence” targets for the number of CAVs and CACs that will be conducted and closed during the POP. These targets will be documented in the Statement of Work (SOW).

• Additionally, in order to promote active engagement by states as CAP-SSSE shifts away from its transformative state, as well as provide opportunities for states to ask questions and provide feedback, the states will support national engagements by attending at least two CAP webinars, trainings, or other related engagement activities: the annual Hazard Mitigation (HM) Workshop, State Coordinators Session at Association of State Floodplain Managers (ASFPM) Conference, or national CAP-SSSE webinars held by

FEMA.

B. Federal Award Information

1. Available Funding for the NOFO: $15,000,000.00

Allocation Amount Funding for basic floodplain management activities Maximum of $14,000,000 Discretionary funding for special projects, TSF improvements, or additional eligible activities as approved by each FEMA Region

Minimum of $ 1,000,000

The CAP-SSSE funding methodology, explained in detail in Appendix B, is a multi-step process that makes funding available to states based on relative risk and workload, TSF tier, and competition. There are three elements of the CAP-SSSE funding methodology:

a. Base Funding: An initial amount made available to each state based on the state’s share of the national floodplain management needs. This amount is calculated from national datasets consisting of the following: a funding floor, exposure, probability and impact, NFIP workload and a cost of work multiplier.

b. Incentive Funding: A potential multiplier on top of the base funding based on the state’s Tiered State Framework (TSF) tier. For Proficient states, an additional 15% of their base funding is made available. For Advanced states, an additional 30% of their base funding is made available.

c. Discretionary Funding: Competitive funding for additional CAP activities, capability building, and/or special projects. Discretionary funding is available to any state and awarded based on the alignment of the state’s proposed activities to at least one of five discretionary priorities: 1) Special projects and innovations that advance the goals of the NFIP; 2) Activities that assist the state in addressing below foundational characteristics in their latest TSF assessment; 3) Activities that assist the state in moving up to the next TSF tier; 4) Additional eligible CAP-SSSE activities that the state has the capacity and desire to perform; 5) Other annual priorities specific to the FEMA Region.

While the CAP-SSSE funding methodology establishes an equitable framework for making funding available to state programs, applications are still competitively evaluated and awards are made in accordance with the application review criteria found in Section E of this NOFO.

2. Projected Number of Awards: 52

3. Maximum Award Amount: N/A

4. Period of Performance: 12 months

Extensions to the period of performance are allowed but may impact the state’s TSF score and tier. For additional information on period of performance extensions, please refer to Section H of this NOFO or other document.

FEMA awards under most programs, including this program, only include one budget period, so it will be same as the period of performance. See 2 C.F.R. § 200.1 for definitions of “budget period” and “period of performance.”

5. Projected Period of Performance Start Date(s): 07/01/2023

6. Projected Period of Performance End Date(s): 06/30/2024

7. Funding Instrument Type: Cooperative Agreement

Each state receiving a CAP-SSSE award will sign a cooperative agreement with FEMA describing the terms of the award, including the responsibilities of the recipient. There is substantial FEMA Regional Office involvement throughout the performance period of the CAP-SSSE Cooperative Agreement. FEMA retains the authority to manage and direct recipient performance in support of CAP-SSSE objectives. The FEMA Regional Office determines the appropriate number of activities and ensures performance metrics are being met.

FEMA maintains the following approval authorities on activities conducted by recipients:

• FEMA retains the authority to decide whether to admit communities to the NFIP, including determinations related to state-reviewed, community-submitted regulations supporting a community’s application.

• FEMA retains the authority to decide whether to admit communities to the Community Rating System (CRS), including determinations related to state-reviewed, community-submitted regulations and activities supporting a community’s CRS application.

• FEMA requires states receiving CAP-SSSE awards to incorporate a mandatory Flood Insurance Rate Map (FIRM) adoption rate of 93% or higher into their CAP- SSSE cooperative agreements. This requirement helps to ensure that communities applying to join the NFIP have an adopted flood regulation referencing the most current updated flood map.

• FEMA collaborates with states but retains final approval as to which communities receive state-provided training and technical assistance funded under the CAP-

SSSE.

• FEMA requires all states to conduct Community Assistance Visits and approves the annual number states will conduct. FEMA retains final approval for the community locations for these visits, based on application of FEMA’s priority list and after consultation with the states.

• FEMA approves compliance follow-up actions conducted by states and requires advance approval before any follow-up actions that lead towards FEMA placing a community on probation or suspension from the NFIP.

• FEMA retains final approval for states affected by declared disasters to provide CAP technical assistance to communities and negotiates these levels with states.

• FEMA provides continuous technical assistance and feedback to states on the performance of CAP activities.

• FEMA requires detailed activity descriptions (submitted via the State Activity Planning & Pricing Tool) and approvals of state recipient’s selections for sub-contracts to achieve program goals.

• FEMA requires state recipient’s close collaboration with FEMA mitigation staff for the purpose of monitoring all aspects of the recipient’s performance of program activities.

• FEMA must approve state requests to vary or substitute activities performed including staffing, overtime, and other management processes of the state recipient.

• FEMA may exercise its authority to require a remedial plan, assign corrective actions, and/or stop a state’s funded activity immediately if the state fails to meet one or more of the above conditions.

C. Eligibility Information

1. Eligible Applicants

All 50 states, the District of Columbia, and the territory of Puerto Rico are eligible to apply for CAP-SSSE funding.

2. Applicant Eligibility Criteria State agencies designated by statute or Governor’s declaration as a National Flood Insurance Program State Coordinating Agency as described in 44 C.F.R. § 60.25.

3. Other Eligibility Criteria/Restrictions Applicants must complete a Tiered State Framework (TSF) assessment prior to applying for the first time. Please refer to the TSF Playbook at https://www.fema.gov/floodplain-management/financial-help/community-assistance-program/tiered-state-framework for more information about the TSF assessment process.

4. Cost Share or Match There is a minimum 25 percent non-federal cost match required for all recipients of CAP- SSSE funds with no restrictions on the types of costs allowed (e.g., in-kind contribution). For a cost match the recipient contribution is calculated based on the federal contribution as:

Percent recipient contribution multiplied by the value of the federal contribution in U.S.

dollars. For example, the CAP-SSSE requires a 25% cost match. If the federal contribution is $100,000 the recipient contribution is calculated as (0.25) X $100,000 = $25,000. The grant is then made up of $100,000 (federal funding), $25,000 (state cost match) for a total =$125,000.

D. Application and Submission Information

1. Key Dates and Times

a. Application Start Date: 05/01/2023

b. Application Submission Deadline: 06/15/2023 at 5:00PM ET

All applications must be received by the established deadline.

https://www.fema.gov/floodplain-management/financial-help/community-assistance-program/tiered-state-framework https://www.fema.gov/floodplain-management/financial-help/community-assistance-program/tiered-state-framework

FEMA’s Grants Outcomes (FEMA GO) system automatically records proof of timely submission and the system generates an electronic date/time stamp when FEMA GO successfully receives the application. The individual with the Authorized Organization Representative role that submitted the application will also receive the official date/time stamp and a FEMA GO tracking number in an email serving as proof of their timely submission. For additional information on how an applicant will be notified of application receipt, see the subsection titled “Timely Receipt Requirements and Proof of Timely Submission” in Section D of this NOFO.

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.

A list of FEMA contacts can be found in Section G of this NOFO, “DHS Awarding Agency Contact Information.” For technical assistance with the FEMA GO system, please contact the FEMA GO Helpdesk at femago@fema.dhs.gov or (877) 611-4700, Monday through Friday, 8:00 AM – 6:00 PM Eastern Time (ET). For programmatic or grants management questions, please contact your Program Analyst or Grants Management Specialist. If applicants do not know who to contact or if there are programmatic questions or concerns, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by e-mail at askcsid@fema.dhs.gov, Monday through Friday, 9:00 AM – 5:00 PM ET.

c. Other Key Dates

Event Suggested Deadline for Completion Begin SOW planning by submitting an initial draft proposal in the Activity Planning & Pricing Tool to the Regional Office

Eight (8) weeks before actual submission deadline

Obtain a valid Employer Identification Number (EIN) Four (4) weeks before actual submission deadline

Create an account with login.gov Four weeks before actual submission deadline Register in SAM or updating SAM registration Four weeks before actual submission deadline

Register in FEMA GO Three (3) weeks before actual submission deadline Submit final draft proposal in the Activity Planning & Pricing Tool to the Regional Office

Three (3) weeks before actual submission deadline mailto:femago@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 Applications are processed through the FEMA GO system. To access the system, go to https://go.fema.gov/.

Hard copies of the NOFO can be downloaded at Grants.gov or obtained via email from the Awarding Office points of contact listed in Section G of this NOFO, “DHS Awarding Agency Contact Information” or by TTY (800) 462-7585.

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

Award Management (SAM) Each applicant, unless they have a valid exception under 2 CFR 25.110, must:

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

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

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

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

Management (SAM), and Submit an Application Applying for an award under this program is a multi-step process and 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 and Employer

Identification Number (EIN) from the Internal Revenue Service;

b. In the application, provide an UEI number;

c. Have an account with login.gov;

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

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

Organizational Representative (AOR). The organization’s electronic business point of contact (EBiz POC) from the SAM registration may need to be involved in this step. For

Event Suggested Deadline for Completion Submit the final application in FEMA GO By the submission deadline https://go.fema.gov/ https://www.grants.gov/ https://www.login.gov/ step-by-step instructions, see https://www.fema.gov/media-library/assets/documents/181607;

f. Submit the complete application in FEMA GO; and

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

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

Per 2 C.F.R. § 25.110(c)(2)(iii), if an applicant is experiencing exigent circumstances that prevents it from obtaining an UEI number and completing SAM registration prior to receiving a federal award, the applicant must notify FEMA as soon as possible by contacting askcsid@fema.dhs.gov and providing the details of the circumstances that prevent completion of these requirements. If FEMA determines that there are exigent circumstances and FEMA has decided to make an award, the applicant will be required to obtain an UEI number, if applicable, and complete SAM registration within 30 days of the federal award date.

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

For this funding opportunity, FEMA requires applicants to submit applications through

FEMA GO.

a. General Instructions:

Registering and applying for an award under this program is a multi-step process and requires time to complete. Read the instructions below about registering to apply for FEMA funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

https://www.fema.gov/media-library/assets/documents/181607 https://www.fema.gov/media-library/assets/documents/181607

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

Organizations must have an UEI number, an EIN, an active System for Award Management (SAM) registration and Grants.gov account to apply for grants.

b. Obtain an UEI Number:

All entities applying for funding, including renewal funding, 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. Organizations will be issued a UEI number with the completed SAM registration.

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

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

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

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

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

• Google Chrome

• Internet Explorer

• Mozilla Firefox

• Apple Safari

• Microsoft Edge

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

7. Submitting the Final Application

Applicants will be prompted to submit the standard application information and any program-specific information required as described in Section D.10 of this NOFO, “Content and Form of Application Submission.” The Standard Forms (SF) may be accessed in the Forms tab under the SF-424 family on Grants.gov. Applicants should review these forms before applying to ensure they have all the information required.

https://www.fsd.gov/fsd-gov/home.do https://www.fema.gov/media-library/assets/documents/181607 https://www.grants.gov/forms/sf-424-family.html

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

For additional application submission requirements, including program-specific requirements, please refer to the subsection titled “Content and Form of Application Submission” under Section D of this NOFO.

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

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.

9. Content and Form of Application Submission

a. Standard Required Application Forms and Information

The following forms or information are required to be submitted via FEMA GO. The Standard Forms (SF) are also available at https://www.grants.gov/web/grants/forms/sf-424-family.html.

• SF-424, Application for Federal Assistance

• Grants.gov Lobbying Form, Certification Regarding Lobbying

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

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

• SF-LLL, Disclosure of Lobbying Activities

• Indirect Cost Agreement or Proposal if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. If the applicant does not have or is not required to have an indirect cost rate agreement or proposal, please see Section D.13 of this NOFO, “Funding Restrictions and Allowable Costs,” for further information regarding allowability of indirect costs and whether alternatives to an indirect cost rate agreement or proposal might be available or contact the relevant FEMA staff identified in Section G of this NOFO, “DHS Awarding Agency Contact Information” for further instructions.

b. Program-Specific Required Forms and Information

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

GO:

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

• Statement of Work (SOW): The applicant’s proposal for cooperative agreement funding that identifies the eligible activities (see Appendix A) and performance metrics that the state proposes to achieve during the period of performance. The SOW shall be produced using the State Activity Planning & Pricing Tool. The SOW should also include the applicant’s most recent validated Tiered State Assessment which will be provided by the Regional Office.

• Detailed Budget: The budget must be complete, reasonable, and cost-effective in relation to the proposed activities. The budget should provide the basis of computation of all activity-related costs, and any appropriate narrative. The Budget shall be produced using the State Activity Planning & Pricing Tool.

If revision of the statement of work or budget is required as a result of the negotiation process (discussions between FEMA and Applicant following the submission of the application), these documents may be re-submitted directly by email to the appropriate FEMA Regional CAP-SSSE Program Manager and Grants Specialist. This review and negotiation process may continue until the applicant’s proposed Statement of Work and supporting budget is approved by the FEMA Regional CAP-SSSE Program Manager and Grants Specialist.

10. Other Submission Requirements Not applicable.

11. Intergovernmental Review

An intergovernmental review may be required. Applicants must contact their state’s Single Point of Contact (SPOC) to comply with the state’s process under Executive Order 12372 (See https://www.archives.gov/federal-register/codification/executive-order/12372.html;

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

12. Funding Restrictions and Allowable Costs All costs charged to awards covered by this NOFO must comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated in the NOFO, or the terms and conditions of the award. This includes, among other requirements, that costs must be incurred, and products and services must be delivered, within the period of performance of the award. See 2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA awards is the same as the period of performance).

In general, the Cost Principles establish standards for the allowability of costs, provide detailed guidance on the cost accounting treatment of costs as direct or administrative costs, and set forth allowability principles for selected items of cost. More specifically, except as otherwise stated in this NOFO, the terms and condition of an award, or other program materials, costs charged to awards covered by this NOFO must be consistent with the Cost Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. In order to be allowable, all costs charged to a FEMA award or applied to the cost share must be reasonable in nature and amount and allocable to the particular FEMA award.

https://www.archives.gov/federal-register/codification/executive-order/12372.html http://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf%20.

Additionally, all costs charged to awards must comply with the grant program’s applicable statutes, policies, requirements in this NOFO as well as with the terms and conditions of the award. If FEMA staff identify costs that are inconsistent with any of these requirements, these costs may be disallowed, and FEMA may recover funds as appropriate, consistent with applicable laws, regulations, and policies.

As part of those requirements, grant recipients and subrecipients may only use federal funds or funds applied to a cost share for the purposes set forth in this NOFO and the terms and conditions of the award, and those costs must be consistent with the statutory authority for the award.

Grant funds may not be used for matching funds for other federal grants/cooperative agreements, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the federal government or any other government entity.

CAP-SSSE funds cannot be used for: conducting floodplain studies, developing floodplain maps, supporting/maintaining web-based digital mapping platforms, Association of State Floodplain Managers (ASFPM) or other professional association dues/memberships. CAP- SSSE funds cannot be used to duplicate/reimburse states for state-required and state-funded (through appropriation or permit fee income) review activities, such as state permitting.

Recipients must request prior approval for budget and program plan revisions in accordance with 2 C.F.R. § 200.308.

CAP-SSSE funds can only be used to reimburse state staff for negotiated, eligible activities that they complete within the period of performance.

If a recipient does not maintain the necessary expertise and capability to conduct CAP- SSSE activities, the Region and recipient will develop a remedial plan. If the recipient does not agree to implementing the remedial plan and/or fails to develop the necessary expertise and capability required by the Region, the state's CAP-SSSE funding may be reduced or withheld.

a. Prohibitions on Expending FEMA Award Funds for Covered Telecommunications

Equipment or Services Recipients and subrecipients of FEMA federal financial assistance are subject to the prohibitions described in section 889 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (FY 2019 NDAA), Pub. L. No. 115-232 (2018) and 2 C.F.R. §§ 200.216, 200.327, 200.471, and Appendix II to 2 C.F.R. Part 200. Beginning August 13, 2020, the statute – as it applies to FEMA recipients, subrecipients, and their contractors and subcontractors – prohibits obligating or expending federal award funds on certain telecommunications and video surveillance products and contracting with certain entities for national security reasons.

Guidance is available at FEMA Policy #405-143-1 - Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services https://www.congress.gov/bill/115th-congress/house-bill/5515/text?format=txt https://www.congress.gov/bill/115th-congress/house-bill/5515/text?format=txt https://www.fema.gov/sites/default/files/documents/fema_policy-405-143-1-prohibition-covered-services-equipment-gpd.pdf https://www.fema.gov/sites/default/files/documents/fema_policy-405-143-1-prohibition-covered-services-equipment-gpd.pdf

Additional guidance is available at Contract Provisions Guide: Navigating Appendix II to Part 200 - Contract Provisions for Non-Federal Entity Contracts Under Federal Awards (fema.gov).

Effective August 13, 2020, FEMA recipients and subrecipients may not use any FEMA funds under open or new awards to:

• Procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system;

• Enter into, extend, or renew a contract to procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system; or

• Enter into, extend, or renew contracts with entities that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system.

i. REPLACEMENT EQUIPMENT AND SERVICES FEMA grant funding may be permitted to procure replacement equipment and services impacted by this prohibition, provided the costs are otherwise consistent with the requirements of the NOFO.

ii. DEFINITIONS Per section 889(f)(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered telecommunications equipment or services means:

i. Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation, (or any subsidiary or affiliate of such entities);

ii. For the purpose of public safety, security of Government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities);

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

iv. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the People’s Republic of China.

Examples of the types of products covered by this prohibition include phones, internet, video surveillance, and cloud servers when produced, provided, or used by the entities listed in the definition of “covered telecommunications equipment or services.” See 2 C.F.R. § 200.471.

b. Pre-Award Costs https://www.fema.gov/sites/default/files/documents/fema_contract-provisions-guide_6-14-2021.pdf

Pre-award costs are not allowed under the CAP-SSSE cooperative agreement.

c. Management and…