FY23 NDSP-SA NOFO National Dam Safety Program State Assistance Grant.pdf

The Department of Homeland Security (DHS)

Notice of Funding Opportunity (NOFO) Fiscal Year 2023 National Dam Safety Program State Assistance Grant Program

All entities wishing to do business with the federal government must have a unique entity identifier (UEI). The UEI number is issued by the 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 Planned UEI Updates in Grant Application Forms:

A. Program Description

1. Issued By

2. Assistance Listings Number

3. Assistance Listings Title

4. Funding Opportunity Title

5. Funding Opportunity Number

6. Authorizing Authority for Program

7. Appropriation Authority for Program

8. Announcement Type

9. Program Category

10. Program Overview, Objectives, and Priorities

11. Performance Measures

B. Federal Award Information

1. Available Funding for the funding opportunity:

2. Projected Number of Awards: 50

3. Period of Performance: 12 months

4. Projected Period of Performance Start Date(s):

5. Projected Period of Performance End Date(s):

6. Funding Instrument Type:

C. Eligibility Information

1. Eligible Applicants

2. Applicant Eligibility Criteria

3. Maintenance of Effort (MOE)

FY 2023 NDSP SA NOFO Back to the Top 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 https://Grants.gov

4. 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 10 Management (SAM), and Submit an Application

5. Electronic Delivery

6. How to Register to Apply

7. Submitting the Final Application in FEMA GO

8. Timely Receipt Requirements and Proof of Timely Submission

9. Content and Form of Application Submission

10. Intergovernmental Review

11. 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. Administrative and National Policy Requirements

3. Reporting

4. 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. Appendices

FY 2023 NDSP SA NOFO Back to the Top

A. Program Description

1. Issued By

U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA)/Resilience/Risk Management/National Dam Safety Program (NDSP)

2. Assistance Listings Number 97.041

3. Assistance Listings Title National Dam Safety Program

4. Funding Opportunity Title Fiscal Year 2023 NDSP State Assistance Grant

5. Funding Opportunity Number

DHS-23-MT-041-00-99

6. Authorizing Authority for Program

Section 8 of the National Dam Safety Program Act, as amended, (Pub. L. No. 104-303) (codified as amended at 33 U.S.C. Section 467-467n)

7. Appropriation Authority for Program Consolidated Appropriations Act, 2023, P ub. L. No. 117-328, Division F – Department of Homeland Security Appropriations Act, 2023, Title III Protection, Preparedness, Response, and Recovery, Federal Emergency Management Agency, Federal Assistance

8. Announcement Type

Initial

9. Program Category Mitigation: Risk Analysis

10. Program Overview, Objectives, and Priorities

a. Overview

NDSP provides assistance to encourage the establishment and maintenance of effective state programs intended to ensure dam safety, protect human life and property, and improve state dam safety programs. Through risk analysis and risk prioritization methodologies, it informs decision-making on where best to invest limited resources to reduce risk to the public and property associated with dams. State Dam Safety agencies are encouraged to access and apply risk analysis best practices and share critical data analysis with key stakeholders within your emergency management community.

The need for dam safety programs is demonstrated through recent events. From 2005 to 2013, 173 dam failures were reported and an additional 587 incidents that would have become failures had intervention not occurred. On May 19, 2020, extremely heavy rains in Michigan caused the Edenville dam to fail. The water from that failure rushed downstream destroying the Sanford dam. Thankfully no lives were lost, but the resulting flooding caused the evacuation of 10,000 people, damaged more than 2500 properties and cost more than $175 million in damages.

With the help of State Assistance grants 81% of the high hazard dams have an Emergency Action Plan.

The DHS Strategic Plan for Fiscal Years 2020-2024 reflects the Department’s complex mission for a culture of relentless resilience. This grant funding supports DHS Goal 3: Secure cyberspace and critical infrastructure; Objective 3.2: Strengthen the security and resilience of critical infrastructure; and Goal 5: Strengthen preparedness and resilience; Objective 5.1:

Build a national culture of preparedness.

The NDSP supports Goals 3 and 5 by providing grant assistance for states to establish, maintain, and improve dam safety programs in accordance with the criteria listed in Section C.2.The 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 program objectives are:

1. Reduce risks to life and property associated with dams.

2. Increase awareness of the benefits and risks associated with dam infrastructure; and

3. Advance the state of practice of dam safety and dam risk management

(See examples of eligible activities aligned with Program Objectives and Performance Measure Targets in Appendix A: FY23 Performance Measure Targets)

c. Priorities

To encourage the establishment and maintenance of effective State Dam Safety programs intended to ensure dam safety, to protect human life and property, and to improve state dam safety programs.

11. Performance Measures

The following table provides grant Performance Measures aligned with Program Objectives and Eligible Activities. Applicants may choose one or more activities from this list. The state may propose additional activities to support the program objectives; however, applicants must discuss with FEMA Program Officer for approval and inclusion into the workplan. Applicants are to establish Performance Measurement targets for activities submitted for funding under this award. See Appendix A: Performance Measurement FY23 Targets.

Program Objectives

Eligible Activities - Examples Performance Measure

(PM)

1: Reduced risks to life and property

1.1 Perform targeted safety

inspections of High Hazard (HH) dams/dams of highest consequence.

1.1 The percentage of high

hazard potential dams/ dams of highest

FY 2023 NDSP SA NOFO Back to the Top https://www.dhs.gov/sites/default/files/publications/19_0702_plcy_dhs-strategic-plan-fy20-24.pdf https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-80204913-327866847&term_occur=999&term_src= https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-1355265636-327866845&term_occur=999&term_src= https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=33-USC-99216-266518314&term_occur=999&term_src= associated with dams consequence to life and property, with completed safety inspection.

Calculated by the number of high hazard potential dams due for inspection over the period of performance.

1.2 Perform targeted condition

assessment and evaluations of reservoirs and HH dams/dams of highest consequence.

1.2 The percentage of high

hazard potential dams (of state total dams) with condition assessments entered in the National Inventory of Dams (NID) over the period of performance.

1.3 Development of new or updated

Emergency Action Plan (EAP) of HH dams / dams of highest consequence.

1.3 The percentage of high

hazard potential dams (of state total) dams that have new or updated emergency action plans in place over the period of performance.

1.4 Perform regulatory enforcement

actions: Implement enforcement actions to compel the dam owner of an unsafe high hazard potential dam to take action to reduce the risk associated with the dam. Regulatory enforcement actions may include, but not limited to, official notice of violation, civil or criminal penalties, reservoir restrictions, or safe breaching of the dam.

1.4 The percentage of

enforcement actions taken against the dam owner with identified dam deficiencies.

Calculated by the number of dams with identified dam deficiencies that have received an enforcement action over the period of performance.

2: Increased public awareness of risks associated with dams

2.1 Execution of targeted outreach and

messaging strategies to inform the public and stakeholders of dam risks and actions that individuals/organizations/communities need to take.

2.1 Number of new

products/targeted outreach activities completed and implemented over the period of performance.

2.2 Establish and maintain assessment 2.2 State implements public tool for gauging effectiveness of awareness outreach targeted public outreach about hazards assessment tool and and risks associated with dams. collects data to inform improvements to communications and targeted outreach.

3: Improvement and advancement of state dam safety and risk management program.

3.1 Identification of and applied best

practices that advance operations of state dam safety programs (includes software programs that assess, monitor, model, and analyze potential and real risk).

3.1 Number of applied best

practices that advance state dam safety programs (includes software programs that assess, monitor, model, and analyze potential and real risk).

3.2 Risk identification analysis and 3.2 Report of eligible

risk prioritization methodologies to HHPD and description of inform decision-making in dam risk prioritization rehabilitation or removal projects of methodology.

High Hazard Potential Dams (HHPD).

3.3 Implementation of a state dam

sector cybersecurity framework consistent with the National Institute of Standards and Technology (NIST) Framework for Improving Critical Infrastructure Cybersecurity and guidance from the Cybersecurity and Infrastructure Security Agency

(CISA).

3.3 Implementation of state

dam sector cybersecurity framework.

3.4 Professional education, workshops, and training on content such as dam operations and safety standards, industry best practices, risk assessment methodologies, and risk communication strategies for dam owners, local officials and EM, and state dam safety staff.

3.4

1. Number of stakeholders reached (dam owners, local EM, and officials).

2. Number of and content of trainings, courses, workshops offered.

3. Number of state staff trained.

All High Hazard Potential Dams pose a risk to lives and/or property, but all risks are not equal.

Risk prioritization methodology is an objective means to prioritize the dams that psoe the greatest risks.

Best practices are procedures or activities that are accepted or prescribed as being correct or most effective.

FY 2023 NDSP SA NOFO Back to the Top https://www.nist.gov/cyberframework https://www.cisa.gov/topics/critical-infrastructure-security-and-resilience/critical-infrastructure-sectors/information-technology-sector

B. Federal Award Information

1. Available Funding for the funding opportunity: $6,250,000

2. Projected Number of Awards: 50

3. Period of Performance: 12 months

Extensions to the period of performance are allowed. For additional information on period of performance extensions, please refer to Section H of this funding opportunity.

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

4. Projected Period of Performance Start Date(s): Aug. 18, 2023

5. Projected Period of Performance End Date(s): Aug. 16, 2024

6. Funding Instrument Type: Grant

C. Eligibility Information

1. Eligible Applicants

This funding opportunity is restricted to the state dam safety program for eligible entities meeting the statutory definition of a “state.”

Per Title 33 United States Code Section 467(10), the term “state” means each of the several states of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. 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 For a state to be eligible for assistance under this program, a state dam safety program must be authorized by state legislation and working toward meeting specific criteria and budgeting requirements. Eligible state dam safety programs must:

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

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

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

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

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

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

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

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

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

10. Have access to funds necessary—

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

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

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

12. Identify

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

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

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

Note, only dams that meet the definition in 33 U.S.C. Section 467 are eligible for funding under State Assistance.

3. Maintenance of Effort (MOE)

Assistance may not be provided to a state under this program for a fiscal year unless the state maintains the aggregate expenditures of the state from all other sources for programs to ensure dam safety for the protection of human life and property at or above a level equal to the average annual level of such expenditures for the two fiscal years preceding the current fiscal year. See Section D.11.b Program-Specific Required Information.

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

D. Application and Submission Information

1. Key Dates and Times

a. Application Start Date: June 5, 2023 at 9 a.m.

b. Application Submission Deadline: July 21, 2023 at 5 p.m.

All applications must be received by the established deadline.

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

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, “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 a.m – 5 p.m. 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 a.m. – 5 p.m. ET.

c. Anticipated Funding Selection Date: No later than Aug. 7, 2023

d. Anticipated Award Date: No later than Aug. 18, 2023

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

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 Organization in FEMA GO Prior to beginning application Submitting complete application in FEMA GO One week before actual submission deadline

FY 2023 NDSP SA NOFO Back to the Top 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 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 funding opportunity can be downloaded at Grants.gov or obtained via email from the Awarding Office points of contact listed in Section G, “DHS Awarding Agency Contact Information” or by TTY (800) 462-7585.

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 and Employer

Identification Number (EIN) from the Internal Revenue Service;

b. In the application, provide an UEI number;

c. Have an account with login.gov;

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

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

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

f. Submit the complete application in FEMA GO; and

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

Applicants are advised that FEMA may not make a federal award until the applicant has https://go.fema.gov/ https://www.grants.gov/ https://www.login.gov/ https://www.fema.gov/media-library/assets/documents/181607 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 applications through

FEMA GO.

6. How to Register to Apply

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.

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 m ay take several weeks. Therefore, an organizat’on's registration should be done in sufficient time to ensure it does not impact the ent’ty's ability to meet required

FY 2023 NDSP SA NOFO Back to the Top mailto:askcsid@fema.dhs.gov https://Grants.gov https://Grants.gov https://Grants.gov 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. Organizations will be issued a UEI number with the completed SAM registration.

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

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

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

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 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://Grants.gov https://Grants.gov https://login.gov https://login.gov https://login.gov https://login.gov

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 a 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, refer to the FEMA Go Startup Guide on FEMA’s website.

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 in FEMA GO 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) may be accessed in the Forms tab under the SF-424 family on Grants.gov. Applicants should review these forms before applying to ensure they have all the information required.

After submitting the final application, FEMA GO will provide either an error message or a successfully received transmission in the form of an email sent to the AOR that submitted the

FY 2023 NDSP SA NOFO Back to the Top 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 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.11.

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 p.m. Eastern Time 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 in Grants.gov. The Standard Forms (SF) are submitted through Grants.gov and is available online.

I. 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

II. The following forms or information are required to be submitted in the FEMA GO program.

The Standard Forms (SF) are also available online.

• 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

FY 2023 NDSP SA NOFO Back to the Top https://www.grants.gov/web/grants/forms/sf-424-family.html https://www.grants.gov/web/grants/forms/sf-424-family.html https://Grants.gov https://Grants.gov https://Grants.gov https://Grants.gov https://GRANTS.GOV

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.

1. Grant summary page: Program-specific information

a. Label summary document: [Insert State Name] [NDSP FY23 SOW]

b. Include the following grant information in the summary document:

• Grant name and fiscal year:

• Federal amount requested: [Insert Dollar Value $]___________

• Name of state contact for program results: (name, email, phone number)

• Name of finance contact: (name, email, phone number)

• Period of Performance: (Start-end)

c. Maintenance of Effort (MOE): Provide aggregate expenditures of the state from all other sources for programs to ensure dam safety for the protection of human life and property at or above a level equal to the average annual level of such expenditures for the two fiscal years preceding the current fiscal year.

2. Scope of Work (SOW) narrative that describes the eligible tasks and activities that will be completed within the period of performance.

3. Milestone Quarterly Work Plan that demonstrates timeline for SOW completion aligned with performance metrics (request sample template from Regional Program Officer).

4. Letter from State Official: MOE requirement documentation must be submitted on official letterhead, signed by the authorized official, that reports aggregate expenditures of the Ssate from all other sources for programs to ensure dam safety for the protection of human life and property at or above a level equal to the average annual level of such expenditures for the two fiscal years preceding the current fiscal year (See Appendix B: Letter template)

5. Detailed budget associated with SOW deliverables and performance measures.

10. 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 – Intergovernmental Review of Federal Programs.

11. Funding Restrictions and Allowable Costs All costs charged to awards covered by this funding opportunity must comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements at 2 Code of Federal Regulations Part 200, unless otherwise indicated in the funding opportunity, or the

FY 2023 NDSP SA NOFO Back to the Top https://www.archives.gov/federal-register/codification/executive-order/12372.html;%20www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf%20.

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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 Code of Federal Regulations Section 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 funding opportunity, the terms and condition of an award, or other program materials, costs charged to awards covered by this funding must be consistent with the Cost Principles for Federal Awards located at 2 Code of Federal Regulations Part 200, Subpart E. In order to be allowable, all costs charged to a FEMA award or applied to the cost share must be reasonable in nature and amount and allocable to the particular FEMA award.

Additionally, all costs charged to awards must comply with the grant program’s applicable statutes, policies and requirements 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 funding opportunity and the terms and conditions of the award, and those costs must be consistent with the statutory authority for the award.

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

a. Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services Recipients and subrecipients of FEMA federal financial assistance are subject to the prohibitions described in section 889 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (FY 2019 NDAA), Pub. L. No. 115-232 (2018) and 2 Code of Federal Regulations Sections 200.216, 200.327, 200.471, and Appendix II to 2 Code of Federal Regulations Part 200. Beginning Aug. 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.

FY 2023 NDSP SA NOFO Back to the Top 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 Aug. 13, 2020, FEMA recipients and subrecipients may not use any FEMA funds under open or new awards to:

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

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

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

I. 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.

II. DEFINITIONS

Per section 889(f)(2)-(3) of the National Defense Authorization Act 2019 and 2 Code of Federal RegulationsSection 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 Code of Federal Regulations Section 200.471.

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b. Pre-Award Costs Pre-award costs are NOT allowed.

c. Management and Administration (M&A) Costs

M&A costs are NOT allowed under this program

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

Indirect costs are allowable under this program as described in 2 Part 200, including 2 Code of Federal Regulations Section 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement. Applicants that are not required by 2 Code of Federal Regulations Part 200 to have a negotiated indirect cost rate agreement but are required by 2 Code of Federal Regulations Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the FEMA Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the FEMA Grants Management Specialist for further instructions.

e. Other Direct Costs

Allowable Costs:

Cost Principles Costs charged to this award must be consistent with the Cost Principles for Federal Awards located at 2 Code of Federal Regulations Part 200, Subpart E.

Direct Costs

Planning Planning related costs are allowed under this program.

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

Training Training related costs are allowed under this program.

Exercises Exercise related costs are allowed under this program.

Equipment Equipment costs are allowed under this program.

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

International

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

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

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

E. Application Review Information

1. Application Evaluation Criteria

a. Programmatic Criteria

Applications will be reviewed to ensure conformance with the Eligibility Criteria in Section C, consistency with the Program Objectives of the National Dam Safety Program (NDSP) in Section A, consistency with the Application and Submission criteria in Section D, and costs are necessary and reasonable for the performance of the Federal award. Applicants that do not meet eligibility or application submission requirements will be removed from consideration. FEMA will review submitted scopes of work and milestone workplans for approval or discuss recommended modifications of the planned activities given the circumstances for that individual state (e.g., delinquent inspections, revised EAPs, or need for inspections). FEMA will review the state’s MOE letter submitted with the application.

States unable to document state-appropriated funds will be deemed ineligible to participate.

b. Financial Integrity Criteria

Prior to making a federal award, FEMA is required by Title 31 United States Code Section 3354, as enacted by the Payment Integrity Information Act 2019, Pub. L. No. 116-117 (2020); Title 41 United States Code Section 2313; and 2 Code of Federal Regulations Section

200.206 to review information available through any Office of Management and Budget (OMB)-designated repositories of governmentwide eligibility qualification or financial integrity information, including whether the applicant is suspended or debarred. FEMA may also pose additional questions to the applicant to aid in conducting the pre-award risk review.

Therefore, application evaluation criteria may include the following risk-based considerations of the applicant:

i. Financial stability.

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

iii. History of performance in managing federal award.

iv. Reports and findings from audits.

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

c. Supplemental Financial Integrity Criteria and Review Prior to making a federal award where the anticipated total federal share will be greater than the simplified acquisition threshold, currently $250,000:

i. FEMA is required to review and consider any information about the applicant, including information on the applicant’s immediate and highest-level owner, https://www.congress.gov/bill/116th-congress/senate-bill/375 subsidiaries, and predecessors, if applicable, that is in the designated integrity and performance system accessible through the System for Award Management (SAM), which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS).

ii. An applicant, at its option, may review information in Federal Awardee Performance and Integrity Information System and comment on any information about itself that a federal awarding agency previously entered.

iii. FEMA will consider any comments by the applicant, in addition to the other information in Federal Awardee Performance and Integrity Information System, in making a judgment about the applicant’s integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 Code of Federal Regulations Section 200.206.

2. Review and Selection Process

Applications will be reviewed and recommended for funding by FEMA Regional Offices. Once the complete application package is submitted in FEMA GO, the appropriate FEMA Regional Office will review the application and scope of work for eligibility. The FEMA Regional Office validates proposed activities aligned with program priorities and performance measures, and the costs are reasonable.

Applicants will be evaluated and selected for funding based on the following:

a. The applicant has the authority and demonstrates the ability to fulfill the

National Dam Safety Program…