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HomeMy WebLinkAboutORANGE, COUNTY OF (34) - 20151 2 3 4 5 6 7 8 9 10 11 12 13 1.4 15 16 17 18 1.9 20 21 22 23 24 25 26 27 28 Attachment B - Form of Transfer Agreement � f., -.� Page 1 of 4 (�...�l:i a t.! AGREEMENT TO TRANSFER FUNDS FOR 2014 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM THIS AGREEMENT is entered into this _ ) clay of R(kYC h 20 t5, which date is I enumerated for purposes of reference only, by and between the COUNTY OF ORANGE, a political subdivision of the State of California, hereinafter referred to . as "COUNTY," and (2-0-(A Anq a municipal corporation, hereinafter referred to as "SUBRECIPIENT." WHEREAS, COUNTY, acting through its Sheriff - Coroner Department, hereinafter referred to as SHERIFF, in its capacity as the lead agency for the Operational Area, has applied for, received and accepted the Emergency Management Performance Grant (hereinafter referred to as "the grant") from I the California Office of Emergency Services ( "CaIOES ") WHEREAS, the purpose of the grant is to support comprehensive emergency management at the state, tribal and local levels and to encourage the improvement of prevention, protection, mitigation,' response and recovery capabitities for all hazards, as set forth in Attachment A hereto (FY2014 Emergency Management Performance Grants [EMPG] Program Funding Opportunity Announcement' [FOA]), which is attached hereto and incorporated herein by reference. NOW, THEREFORE, IT IS MUTLIALLY AGREED AS FOLLOWS: I. COUNTY shall transfer to SUBRF,CIPIENT grant funds, in arrears, as necessary to reimburse SUBRECIPIENT for reasonable and permissible expenditures for the grant purposes. In order to obtain grant flmds, SUBRECIPIENT shall comply with the instructions and submit to SHERIFF all required information and documentation, as set forth in Attachment B (EMPG City Financial Management Forms Workbook), which is attached hereto and incorporated herein by reference. 2. Throughout their useful life, grant property and equipment shall be used by S(IBRECIPIENT only for grant purposes in accordance with Attachment A hereto. 3. SITBRECIPIENT shall exercise due care to preserve and safeguard grant property and equipment from damage or destruction and shall provide regular maintenance and such repairs for grant CFDA: 97.042 Emergency Management Pad!onnanee Giant ➢eputtmentQE &Cpimetand 5eeuiiry Page i of 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 M1 Attachment B - Form of Transfer Agreement Page 2 of 4 property and equipment as are necessary, in order to keep said grant property and equipment continually in good working order. 4. If grant property or equipment becomes obsolete, SUBRECIPIENT shall dispose of it only in accordance with the instructions of COUNTY or the agency from which COUNTY received the grant funds. 5. SUBRECIPIENT shall submit to the COUNTY grant program reporting documents and information in accordance with requirements set out in the Attachment C (Emergency Management Performance Grant Program: California Supplement to the Federal Program Funding Opportunity Announcement; or, The State Guidance), which is attached hereto and incorporated herein by reference. 6. By executing this Agreement, SUBRECIPIENT agrees to comply with and be fully bound by this Agreement and all applicable provisions of Attachments A, B, C, and D (FY14 Emergency Management Performance Grant Agreement Articles, Assurances, Certifications, Terms, and Conditions) hereto. SUBRECIPIENT shall notify COUNTY immediately upon discovery that it has not abided or no longer will abide by any applicable provision of this Agreement or Attachments A, B, C, or D hereto. 7. SUBRECIPIENT agrees to indemnify, defend and save harmless COUNTY and the agency from which COUNTY received grant funds, and their elected and appointed officials, officers, agents and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work, services, materials or supplies in connection with SUBRECIPIENT's performance of this Agreement, including Attachments A, B, C, and D hereto, and from any and all claims and losses accruing or resulting to any person, firm, or corporation who may be injured or damaged by SUBRECIPIENT in the performance of this Agreement, including Attachments A, B, C, and D hereto. 8. No alteration or variation of the terms of this Agreement shall be valid uriless made in writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or agreement not incorporated herein shall be binding on any of the parties hereto. 9. SUBRECIPIENT may not assign this Agreement in whole or in part without the express written consent of COUNTY. CFDA: 97.042 Emergency Management Performance Grant Dopartmentorr[omeland Security Page 2of4 I 2 3 4 5 a 71 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Attachment B - Form of Transfer Agreement Page 3 of 4 10. SUBRECIPIENT shall provide to COUNTY all records and information requested by COUNTY for inclusion in quarterly reports and such other reports or records as COUNTY may be (required to provide to the agency from which COUNTY received grant fonds or other persons or agencies. 11. For a period of three years after the final Federal Financial Report hereunder or until all claims related to this Agreement are finally settled, whichever is later, SUBRECIPIENT shall preserve and maintain all documents, papers and records relevant to the work performed or property or equipment acquired in accordance with this Agreement, including Attachments A, B, C, and D hereto. For the same time period, SUBRECIPIENT shall make said documents, papers and records available to COUNTY and the agency from which COUNTY received the grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of SUBRECIPIENT, upon request, during usual working hours. 12. SUBRECIPIENT and COUNTY shall be subject to examination and audit by the State Auditor General with respect to this Agreement for a period of three years after the final Federal Financial Report hereunder. 13. COUNTY may terminate this Agreement and be relieved of the payment of any consideration to SUBRECIPIENT if a) SUBRECIPIENT fails to perform any of the covenants contained in this Agreement, including the applicable terms of Attachments A, B, C, and D hereto, at the time and in the manner herein provided, or b) COUNTY loses funding under the grant. In the event of termination, COUNTY may proceed with the work in any manner deemed proper by COUNTY. 14. SUBRECIPIENT and its agents and employees shall act in an independent capacity in the performance of this Agreement, including Attachments A, B, C, and D hereto, and shall not be considered officers, agents or employees of COUNTY or SHERIFF or of the agency from which COUNTY received grant funds. 15. By signing this Agreement, SUBRECEIPIENT understands and agrees that: a. Failure to follow grant guidance, including those detailed below, will result in ineligibility for any reimbursement under the FY14 EMPG: CFDA: 97.042 Emer,�,ency Manngcment PerPonnance Gaunt DeparhrtenC of Honroland Security Page 3 of 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Attachment B - Form of Transfer Agreement Page 4 of 4 b, A SUBRECIPIENT representative must attend half of the Orange County Emergency Managers Organization meetings held from July 1, 2014 through June 30, 2015; c, SUBRECIPIENT must maintain National Incident Management System (NIMS) compliance; d. For any personnel whose salary is charged to the grant, that specific individual must meet the training and exercise requirements set forth in the grant guidance; and e. Only those expenditures specifically detailed in the Financial Management Forms Workbook are approved for funding; any changes mast be pre - approved by the California Office of Emergency Services. IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange, State of California. r� r DATED: 20M ,20._..; COUNTY OF ORANGE, a political subdivision of the State of California By Sheriff - Coroner "COUNTY" APPROVED AS TO FORM: COUNTY COUNSEL By _A G t a. !% Nicole A. Sims, Deputy DATED: Z " 20 SUBRECIPIENT: Please See Next Page CFDA: 99.042 Emergency Mmigcment Perfannance 4mnt Department a f Homeland Secarity I, ATTEST: 1 �J City Page 4 of DATED: 20 IS' IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. CITY OF SANTA ANA DAVID AVAZOS City Manager RECOMMENDED FOR APPROVAL: 1 Car os Rojas Chief of Police EXHIBIT "A" Department of Homeland Security Funding Opportunity Announcement FY 2016 Emergency Management Performance Grant Overview Information Issued By U.S. Department of Homeland Security, Federal Emergency Management Agency, Grant Programs Directorate Catalog of Federal Domestic Assistance (CFDA) Number 97.042 CFDA Title Emergency Management Performance Grants (EMPG) Program Authorizing Authority for Program Section 662 of the Post - Katrina Emergency Management Reform Act of 2006 (PKCMRA), as amended, (Pub. L. No. 109 -295) (6 U.S.C. § 762); the Robert T Stafford Disaster Relief and Emergency Assistance Act, as amended (Pub. L. No. 93- 288) (42 U.S.C. §§ 5121 et seq.); the Earthquake Flaaards Reduction Act of 1977, as amended (Pub. L. No. 95 -124) (42 U.S.C. §§ 7701 et seq); and the Nata'onal Flood Insurance Act of 1968, as amended (Pub. L. No. 90 -448) (42 U.S.C. §§ 4001 or seq.). Appropriation Authority for Program The Department of Homeland Security Appropriations Act, 2014, (Pub. L. No. 113- 76). FOA Number Grant Program Title FOA Number Emergency Management Performance Grants (EMPG) — Region I DHS- I4 -GPD- 042 - 001 -01 Emergency Management Performance Grants (EMPG) — Region I1 DHS -I4- GPD -042- 002 -01 Emergency' Management Performance Grants (EMPG) — Region III DHS -I4 -GPD- 042- 003 -01 Emergency Management Performance Grants (EMPG) — Region IV DHS -I4 -GPD- 042 - 004 -01 Emergency Management Performance Grants (EMPG) — Region V DHS -I4 -GPD- 042- 005 -01 Emergency Management Performance Grants (EMPG) — Region VI DHS -I4- GPD - 042 - 006 -01 Emergency Management Performance Grants (EMPG) — Region VII DHS -I4- GPD -042- 007 -01 Emergency Management Performance Grants (EMPG) VIII — Region DIIS -I4 -GPD- 042 - 003 -01 Emergency Management Performance Grants (EMPG) — Region IX DHS -I4 -GPD- 042 - 009 -01 Emergency Management Performance Grants (EMPG) — Region X DHS -144- GPD -042- 010 -01 FY 201.4 EMPG Program Key Dates and Time Application Start Date: 03/10/2014 Application Submission Deadline: 04/09/2014 at 11:59:59 p.m. EDT Anticipated Program Office Review Dates: 04/11/2014 thru 05/18/2014 Anticipated funding Date: 06/13/2014 Award Date: No later than 09/30/2014 Other Key Dates Period of Performance Start Date: 10/01/2013 Period of Performance End Date: 09/30/2015 Is an intergovernmental review required? 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 h.ttp://www, fivs.Qov /poltc /liy brary /recr12372.pco. Name and addresses of the SPOCs are maintained at the Office of Management and Budget's home page at hgp:Mwww. wl7iteho7ive. �,yov/ortibl rcnzts spot to ensure currency. FY 2014 EMPO Program FOA Executive Summary The Emergency Management Performance Grant (EMPG) Program provides federal funds to assist state, local, tribal and territorial governments in preparing for all hazards, as authorized by Section 662 of the Post Katrina Emergency Management Reform Act (6 U.S.C. § 762) and the Robert T, Stafford Disaster Relief and Emergency Assistance Act, as amended (42 U.S.C, §§ 5121 et seq.). Title VI of the Stafford Act authorizes FEMA to malce grants for the purpose of providing a system of emergency preparedness for the protection of life and property in the United States from hazards and to vest responsibility for emergency preparedness jointly in the federal government and the states and their political subdivisions. The FY 2014 EMPG will provide federal funds to assist state, local, tribal, and territorial emergency management agencies to obtain the resources required to support the National Preparedness Goal's (the Goal's) associated mission areas and core capabilities. The federal government, through the EMPG Program, provides necessary direction, coordination, and guidance, and provides necessary assistance, as authorized hi this title, to support a comprehensive all hazards emergency preparedness system. a. Funding Category Continuing b. Bate of origin for Program 01/01/2001 C. Type of Funding Instrument Mandatory grant d. Application Process The Department of Homeland Security (DHS) makes all funding opportunities available through the common electronic "storefront" grants,gov, accessible ou the internet at hqp: iYvww e.ants.7ov, For details on how to apply through grants. gov please read Section IX "How to Apply." e. Eligible Applicants State governments FY 2014 EMPG Program Full FDA Announcement L Funding Opportunity Description a. Program Summary The purpose of the Emergency Management Performance Grant (EMPG) Program is to provide federal funds to States to assist State, local, territorial, and tribal governments in preparing for all hazards, as authorized by Section 662 of the Post Katrina Emergency Management Reform Act (6 US.C. § 762) and the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. § § 5121 et sea.). Title VI of the Stafford Act authorizes FEMA to make grants for the purpose of providing a system of emergency preparedness for the protection of life and property in the United States from hazards and to vest responsibility for emergency preparedness jointly in the Federal Government, States, and their political subdivisions. The Federal Government, through the EMPG Program, provides necessary direction, coordination, and guidance, and provides necessary assistance, as authorized in this title, to support a comprehensive all hazards emergency preparechiess system. 1a, Program Priorities The National Preparedness System is the instillment the Nation employs to build, sustain, and deliver core capabilities to achieve the Goal of a secure and resilient Nation. Complex and far - reaching threats and hazards require a collaborative and whole community approach to national preparedness that engages individuals, families, communities, private and nonprofit sectors, faith -based organizations, and all levels of government. The guidance, programs, processes, and systems that support each component of the National Preparedness System allow for the integration of preparedness efforts that build, sustain, and deliver core capabilities and achieve the desired outcomes identified in the Goal. In support of the Goal, the FY 2014 EMPG Program supports efforts to build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and Recovery mission areas. The Department of Homeland Security expects grantees to prioritize grant finding to address the gaps identified through their annual THIRA and SPR. These assessments identify the jurisdictions' capability targets and current ability to meet those targets, Grantees should prioritize grant funds to increase capability for high- priority core capabilities with low capability levels. Minimum finding amounts are not prescribed by the Department for these priorities; however grantees are expected to support state, local, regional, and national efforts in achieving the desired outcomes of these priorities, FY 2014 EN1PG Program c. Program Objectives The Emergency Management Performance Grant Program is to support a comprehensive, all- hazard emergency preparedness system by building and sustaining the core capabilities contained in the National Preparedness Goal, Examples include: • Completing the Threat and Hazard Identification and Risk Assessment (THIRA) process; • Strengthening a state or community's emergency management governance structures; • Updating and approving specific emergency plans; • Designing and conducting exercises that enable whole community stakeholders to examine and validate core capabilities and the plans needed to deliver them to the targets identified through the THIR.A; • Targeting training and verifying identified capabilities; • Initiating or achieving a whole community approach to security and emergency management. For additional details on priorities for the EMPG Program please refer to Appendix A — FY 2014 EMPG Program Priorities, 11, Funding Information a. Available Funding for the FOA $350,100,000 Allocations: Emergency Management Performance Grant (EMPG) awards are based on Section 662 of the Post - Katrina Emergency Management Reform Act of 2006, as amended, (6 U.S.C. § 762). All 50 States, the District of Columbia, and Puerto Rico receive a base amount of 0.75 percent of the total available funding appropriated for the EMPG program. Four territories (American Samoa, Guam, Northern Mariana Islands, and the U.S. Virgin Islands) receive a base amount of 0.25 percent of the total available funding appropriated for the E1V1PG program. The balance of the funds appropriated for the EMPG Program funds are distributed on a population - share basis. Pursuant to Article X of the Federal Programs and Services Agreement of the Compact of Free Association Act (Pub. L. No. 108 -188), a set amount of funds are also available from the Disaster Relief Fund for the Federated States of Micronesia and for the Republic of the Marshall Islands. FY 2014 EMPG Program FYr „2,014 EmBrgency ,Managerplerit,'ejfptrnaft e`Granf (EMPG)FUgding;AllacatiQns $ ;i $taterrenritory Allocation Alabama $5,795,991 Nevada $4,455,369 Alaska $3,107,257 New Hampshire $3,493,208 Arizona $6,972,161 New Jersey $8,463,094 Arkansas $4,566,391 New Mexico $3,992,978 California $27,771,691 New York $15,516,422 Colorado $6,081,125 North Carolina $9,085,469 Connecticut $4,984,080 North Dakota $3,099,556 Delaware $3,232,305 Ohio $10,215,617 District of Columbia $3,049,080 Oklahoma $5,151,028 Florida $15,451,958 Oregon $5,203,179 Georgia $9,180,005 Pennsylvania $11,004,797 Hawaii $3,546,080 Rhode Island $3,314,806 Idaho $3,682,584 South Carolina $5,757,363 Illinois $11,075,866 South Dakota $3,179,251 Indiana $6,935,606 Tennessee $6,886,455 Iowa $4,652,357 Texas $19,975,395 Kansas $4,523,477 Utah $4,528,014 Kentucky $5,508,377 Vermont $3,036,078 Louisiana $5,659,375 Virginia $8,043,945 Maine $3,496,385 Washington $7,198,343 Maryland $6,514,387 West Virginia $3,841,450 Massachusetts $7,015,589 Wisconsin $6,392,302 Michigan $9,116,670 Wyoming $3,007,232 Minnesota $6,180,847 Puerto Rico $4,996,548 Mississippi $4,587,275 U.S. Virgin Islands $943,709 Missouri $6,590,063 American Samoa _ $910,896 Montana $3,290,963 Guam $980,210 Nebraska Total 1 $3,850,773 1 Northern Mariana Islands $908,568 $360,000,0%, Pursuant to Article Y of the Federal Programs and Services Agreement of the Compact of Free Association Act (Pub. L. No. 108 -188), a set amount of funds ($100,000 total) are also available from the Disaster Relief Fund for the Federated States of Micronesia and for the Republic of the Marshall Islands. FY 2014 LMPG Program b, Period of Perforniance: Twenty -four (24) months. c. Extensions to the Period of Performance An extension to the period of performance for this program is allowed. Extensions to the period of performance may be granted when, due to circumstances beyond the control of the grantee, activities associated with the award cannot be completed within the stated performance period. For details on the requirements for requesting an extension to the period of performance, please refer to Section VI. F Extensions of the Full Announcement. III. Eligibility Information a. Eligibility Criteria All 56 States and territories, as well as the Republic of the Marshall Islands and the Federated States of Micronesia, are eligible to apply for FY 2014 EMPG Program funds. Either the State Administrative Agency (SAA) or the State's Emergency Management Agency (EMA) is eligible to apply directly to FEMA for EMPG Program funds on behalf of State and local emergency management agencies. However, only one application will be accepted from each State or territory. 1. Cost Match A cost match is required under this program. The Federal share that is used towards the EMPG Program budget shall not exceed 50 percent of the total budget. The State must equally match (cash or in- kind) the Federal contribution pursuant to Sections 6110) and 613 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Pub. L. No. 93 -288), as amended, (42 U.S.C. §§ 5121 - 5207). Unless otherwise authorized by law, Federal funds cannot be matched with other Federal funds. FEMA administers cost matching requirements in accordance with 44 C.P.R. § 13.24 which is located at Isttp / /tivwwv access Qpo ��ovhrarra/c�rlwaivi x 07/44c rut 07.ht rel or 2 C.F,R, §215.23 which is located at Fattp/www..�po Gov /fdsv� /vkz /CFR- 2012- title2- voll/ndfCFR- 2012- title2- volt- surb(itleA. )cl To meet matching requirements, the grantee contributions must be reasonable, allowable, allocable, and necessary under the grant program and must comply with all Federal requirements and regulations. In accordance with 48 U.S.C. § 1469a, match requirements are waived for the insular areas: the U.S. territories of American Samoa, Guam, the U.S. Virgin Islands, the Federated States of Micronesia, the Northern Mariana Islands, and the Republic of the Marshall Islands. 11. Maintenance of Effort This program does not have a maintonanee -of- effort requirement. FY 2014 EMPG Program Iii. Pass through funding Each State shall obligate 100 percent (100 %) of its total EMPG Program allocation amount to the designated State -level Emergency Management Agency (EMA). If the SAA is also the EMA, this requirement is automatically met. If the SAA is a separate agency, or has separate budget processes, then these funds must be obligated to the EMA within 15 days of the grant award date. In instances where the State -level EMA is making sub - awards to local jurisdictions, FEMA expects the State -level EMA to make these awards as expeditiously as possible. iv. Other Eligibility Requirements Emergency Management Assistance Compact (EMAC) Membership In support of the National Preparedness Goal (Goal), grantees must belong to, be located in, or act as a temporary member States of EMAC, except for American Samoa, the Federated States of IvIlcronesia, the Republic of the Marshall Islands, and the Commonwealth of the Northern Mariana Islands, which are not currently required to belong to EMAC. All assets supported in part or entirely with FY 2014 EMPG Program funding by States, territories, and Tribes must, where applicable, be readily deployable to support emergency or disaster operations per existing EMAC agreements. National Incident Management System (NIMS) Implementation Grantees are required to maintain their existing NIMS compliance. Emergency management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment and /or supplies) to meet incident needs. Utilization of standardized resource management concepts such as typing, inventorying, and cataloging promotes strong national mutual aid capabilities that are needed to support delivery of the core capabilities. Additional information on resource management and national Tier I NIMS Resource Types can be found at http://vv+nryv. ema.gov/r^esotirce- manrgement. FEMA developed the NIMS Guideline for Credentialiug of Personnel to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes, and identifies tools which Federal Emergency Response Officials (FEROs) and emergency managers at all levels of government may use both routinely and to facilitate multi - jurisdictional coordinated responses. Although State, local, Tribal, and private sector partners - including nongovernmental organizations - are not required to credential their personnel in accordance with these guidelines, FEMA strongly encourages them to do so in order to leverage the Federal investment in the Federal Information Processing Standards (FIPS) 201 infrastructure and to facilitate interoperability for personnel deployed outside their home jurisdiction. Additional information can be found at L tv: / /i4UW .fema. rov/ d7em.ervencv /nzm /nirras alert cred �ra�idellnendf 8 FY 2014 EMPG Program Emergency Operations Plan (E OP) Grantees must update their EOP at least once every two years to Comply with Comprehensive Preparedness Guide (CPG) 101 v.2, Developing and Maintaining Emergency Operations Plans. Grantees will use the SPR to communicate their compliance with this reporting requirement. Threat and Hazard Identification and Risk Assessment ( THIRA) Grantees must update their THIRD. by December 31, 2014. Further details on the THIRA as it relates to EMPG Program requirements can be found in Appendix A — FY 2014 EMPG Program Priorities. For additional guidance on THIRA, please refer to CPG 201, Second Edition, available at http / /vvtivw fema.9061an. IV. Funding Restrictions a. Restrictions on Use of Award Fonds Federal funds made available through this award may only be used for the purpose set forth in this award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other Federal grants /cooperative agreements, lobbying, or intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal funds may not be used to sue the federal government or any other govermment entity. EMPG Program grantees may only fiord activities and projects that were included in the FY 2014 EMPG Program Work Plan that was submitted to and approved by FEMA. Activities and projects may include the sustainment of capabilities supported by previous EMPG Program funds. For additional details on restrictions on the use of funds, please refer to Appendix 13- FY 2014 EMPG Funding Guidelines. i. Pre -award costs Pre -award costs are typically NOT allowed. Pre -award costs are allowable only with the prior written consent of DHS and if they are included in the award agreement. To request pre -award costs a written request must be included with the application, signed by the Authorized Representative of the entity. The letter must outline what the pre -award costs are for, including a detailed budget break- out of pre -award costs from the post -award costs, and a justification for approval. FY 2014 EMPG Program ii. Direct Costs Management and Administration (M &A) Management and Administration (M &A) activities are those directly related to managing and administering the award such as financial management and monitoring. It should be noted that salaries of State and local emergency managers are not typically categorized as M &A, unless the State or local EMA chooses to assign personnel to specific M &A activities. M &A costs are allowable for both State and local -level EMAs. The State EMA may use up to five percent (5 %) of the award for M &A purposes. In addition, local EMAs may retain and use up to five percent (5 %) of the amount received from the State for local M &A purposes, If the SAA is not the state level Emergency Management Agency (EMA), the SAA is not eligible to retain funds for M &A. Planning Planning related costs are allowed under this program. Organization Grantee organization costs for managing the grant and to carry -out the grant's activities are allowed under this program. Equipment Equipment costs are allowed under this program. Training Training related costs are allowed under this program. Exercises Exercise related costs are allowed under this program. Travel Domestic Domestic travel costs are allowed trader this program. 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 allowed under this program. Operational Overtime Operational Overtime costs are not allowed under this program. Maintenance and Sustainment 1.0 FY 2014 EMPG Program Funding may be used for the sustainment of core capabilities that, while they may not be physically deployable, support national response capabilities such as Geographic /Geospatial Information Systems (GIS), interoperable commuunications systems, capabilities as defined under the mitigation mission area of the Goal, and fusion centers. Unallowable costs Certain cost items are prohibited under the EMPG Program. For more details on allowable and unallowable direct costs please refer to Appendix B —FY 2014 EMPG Funding Guidelines. fit. Indirect Costs Indirect costs are allowable tuider this program, but only if the applicant has an approved indirect cost rate agreement with their cognizant Federal agency. A copy of the approved rate (a firlly executed, agreement negotiated with the applicant's cognizant federal agency) is required at the time of application. iv. Other Cost Requirements SAFECOM Grantees (including sub - recipients) who receive awards under the EMPG that wholly or partially provide funding for emergency communication projects and related activities should comply with the most recent version of the SAFECOM Guidance on Emergency Communications Grants http / /www sa %comproercam Gov /grant /D:au it,asnx. This Guidance provides recommendations to grantees regarding interoperable emergency communications projects, including allowable costs, eligible activities, grants management best practices for emergency communications grants, and information on technical standards that ensure greater imeroperability. The Guidance is intended to ensure that Federally- funded investments are compatible, interoperable, and support the national goals and objectives for improving emergency communications nationwide. Grantees (including sub- recipients) investing in broadband - related investments should review IB 386: Clarification on Use of DHS/FEMA Public Safety Grant Funds for Broadband - Related Expenditures and Investments, and consult their FEMA Regional Program Manager on such Investments before developing applications. Relocating existing systems operating in the T -Band is also allowable. Environmental Planning and Hi process. The EHP review process involves the submission of a detailed project description that explains the goals and objectives of the proposed project along with supporting documentation so that FEMA may determine whether the proposed project has the potential to impact environmental resources and /or historic properties. In some cases, FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed before funds are released to carry out the proposed project. EHP Policy Guidance can be found in FP 108- 023 -1, Environmental Planning and Historic Preservation Policy Guidance, at http://rovtivw,}ema.nv/medr.'a- library /assets /locttments /85376. V� Application Review Information and Selection Process a. Application Review Information Overall Review Submitted applications will undergo a complete content review within their respective FEMA Region. Each FEMA Regional EMPG Program Manager will be responsible for reviewing the FY 2014 EMPG Program Work Plan for their respective States /territories in order to assess their emergency management sustamment and enhancement efforts as well as for linkage to the core capabilities identified in the Goal. For additional details on application review information please refer to Appendix C — FY 2014 EMPG Program Work Plan. Initial Review Once program guidance and application requirements are released publicly, eligible applicants can submit applications for funding. The FEMA relies on the Gran.ts.gov and the Non - Disaster (ND) Grants systems to receive applications. Application release and review periods are primarily determined through the appropriations process. FEMA's Regional EMPG Program Managers conduct all pre -award reviews for Emergency Management Performance Grants. All EMPG Work Plans will require final approval by the appropriate FEMA Region. Standardized Reporting throngh the EMPG Program Work Plan Template The EMPG Program Work Plan Template has been modified to standardize data collection for improved analysis and reporting. The EMPG Program Work Plaid includes five components: (1) Program and Budget Narrative, (2) Personnel Data Table, (3) Training Data Table, (4) Exercise Data Table, and (5) Grant Activities Outline, Baseline data on Personnel, Training, and Exercise as well as the Grant Activities Outline must be provided in the EMPG Program Work Plan at the time of application and will form the basis of the Quarterly Performance Progress Report (SF -PPR) submissions. The Grant Activities Outline is structured to enable reporting 12 FY 2014 EMPG Program of quarterly activities according to Emergency Management Function (EMF) projects, as well as standardized reporting of activity completion status. The EMPG Program Work Plan must surmuarize program activities in the following areas: • Planning: Planning efforts should span all five Goal mission areas. The EMPG Program Work Plan should provide a baseline for determining potential threats and hazards, required capabilities, required resources, and establish a framework for roles and responsibilities. Planning efforts should demonstrate the engagement of the whole community in the development of a strategic, operational, and/or community -based approach to preparedness. • Organization: EMPG Program funds may be used for all- hazards emergency management operations, staffing, and other day -to -day activities in support of emergency management, including hazard mitigation staffing of the State Hazard Mitigation Officer (SHMO) position. • Equipment: Allowable equipment categories for the EMPG Program are listed on the web -based version of the Authorized Equipment List (AEL) on the Lessons Learned Information Sharing site, hops: / /vvvvw.ICts.dhs.govAoiowled Unless otherwise stated, equipment must meet all mandatory regulatory and /or FEMA- adopted standards to be eligible for purchase using these fiords. hi addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. • Training: EMPG Program funds may be used for a range of emergency management - related training activities to enhance the capabilities of State and local emergency management personnel through the establishment, support, conduct, and attendance of training. Training activities should align to a current, Multi -Year Training and Exercise Plan (TEP) developed through an annual Training and Exercise Plan Workshop (TEPW). • Exercises: Exercises conducted with grant funds should evaluate performance of capability targets, established through the development of a jurisdiction's THIRA for the core capabilities needed to address their greatest risk. Exercise priorities should align to a current, Multi -Year TEP developed through an annual TEPW. For more details on the EMPG Program Work Plan please refer to Appendix C- FY 2014 EMPG Program Work Plan. b. Application Selection Process Funds for grantees who have not submitted their EMPG Program Work Plan as part of their application will not be released until such Work Plan is received, reviewed, and approved by FEMA. Grantees will be notified by their FEMA Regional Program Manager should any component of the EMPG Program application require additional information. 13 FY 2014 EMPG Progran ` L Federal Award Administration information a. PioticeofAward Notification of award approval is made through the ND Grants system through an automatic e -mail to the awardee point of contact (the "authorized official') listed in the initial application. The date the approval of award is the "award date ". The awardee should follow the directions in the notification to accept the award. Grantees must accept their awards no later than 90 days from the award date. The grantee shall notify the awarding agency of its intent to accept and proceed with work under the award, or provide a written notice of intent to decline, Funds will remain on hold until the grantee accepts the award through official correspondence (e.g., written, electronic signature, signed letter or fax to the Regional Program Office) and all other conditions of award have been satisfied, or the award is otherwise rescinded. Failure to accept the grant award within the 90 day timeframe may result in a loss of fiends. b, Administrative and Federal Financial Requirements Before accepting the award, the authorized official should carefully react the award package for instructions on administering the grant award and the terms and conditions associated with responsibilities under Federal awards. Grantees must accept all conditions in this FOA as well as any Special Terms and Conditions in the Award notice to receive an award under this program. L Standard Terms and Conditions All successful applicants for all DHS grant and cooperative agreements mast comply with DHS Standard Administrative Terms and Conditions available at: https://wwx.cll,ts, oLl pufilicatlonlfy14- dhs- stanclard- terms- and - conditions. ii, Payment FEMA utilizes the FEMA Payment and Reporting System (PARS) for financial reporting, invoicing and tracking payments. Additional information can be obtained at https :Ilisource.femct.gov /,sL269l execute /LoelnlsawContentMessgge trace. DHS/FEN/,LA uses the Direct Deposit/Electronic Funds Transfer (DD /EFT) method of payment to Recipients. To enroll in the DD/EFT, the Recipient must complete a Standard Form 1199A, Direct Deposit Form. c. Reporting Requirements Awardees are required to submit various financial and programmatic reports as a condition of their award acceptance. Future awards and fund drawdowns may be withheld if these reports are delinquent. 1. Financial and Compliance Audit Report For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000 or more from all federal funding sources during their fiscal year are required to submit an organization -wide financial and compliance audit report. 14 FY 2014 EMPG Program The audit must be performed in accordance with the requirements of GAO's Government Auditing Standards, located at http lljvi'yv.Q gL) .g2yry OV rid /vblc0l latni, and the requirements of Subpart F of 2 C.F.R. Part 200, located at http://rvww ecfr eov/cgi- bin /text- ictx? SID =55e1 Zee (id565605b4cl529ct82c1276105e &nodes =7' 1.1.2.1. 16 &rgn =div6 For audits of fiscal years beginning prior to December 26, 2014, recipients that expend $500,000 or more from all federal funding sources during their fiscal year are required to submit an organization -wide financial and compliance audit report. The audit must be performed in accordance with GAO's Government Auditing Standards, located at http://www. uao.,gov/ueivcittl/vbk01 him, and OMB Circular A433, Audits of States, Local Governments, and Non - Profit Organizations, located at Audit reports are currently due to the Federal Audit Clearinghouse no later than nine months after the end of the recipient's fiscal year. ii. Financial and Program Reporting Periods and Due Dates The following reporting periods and due dates apply: Reporting Period Report Due Date October 1 — December 31 January 30 January 1— March 31 April 30 April 1— June 30 July 30 July 1— September 30 October 30 W. Federal Financial Report (FFR) Obligations and expenditures must be reported on a quarterly basis through the FFR (SF -425) and must be filed electronically using PARS. An FFR report must be submitted quarterly throughout the period of performance, including partial calendar quarters, as well as for periods where no grant award activity occurs. The final FFR is due 90 days after the end date of the performance period, FFRs must be filed electronically through Payment and Reporting System (PARS), Future awards and fund drawdowns maybe withheld if these reports are delinquent, demonstrate lack of progress, or are insufficient in detail. iv. Program Performance Reporting Requirements Quarterly Performance Progress Reports (SF -PPR). EMPG Program Quarterly Performance Progress Reports must be submitted to the Regional Program Manager located at the FEMA regional office oil a quarterly basis through the ND Grants system. The Quarterly Performance Progress Reports must be based on the approved EMPG Program Work Plan and are clue no later than 30 days after the end of the quarter (i.e., on January 30, April 30, July 30 and October 30). The Quarterly Performance Progress Report must be completed using the cover page of the SF -PPR (OMB Control Number: 0970 - 0334), available at httr//wvv v m fs led ur/fnp /SF -PPR„ Cover°o20Sheet,pclf 15 FY 2014 EMPG Program Grantees are required to report quarterly on progress towards completing activities and projects approved in their EMPG Program Work Plans, how expenditures support maintenance and sustainment of current Goal core capabilities, and progress made towards implementing the NPS. This includes reporting on the following information: A roster of EMPG Program funded personnel at both the State and local levels, along with the training completed together with the Personnel Data Table Template (available in Appendix C — FY 2014 EMPG Program Work Plan); and Percent completion of the Training and Exercise Plan (TEP) outlined in the FY 2014 EMPG Program Work Plan together with the Training and Exercise Data Tables Template (available in Appendix C — FY 2014 EMPGProgram YYorkPlan). State Preparedness Report (SPR) Submittal. Section 652(c) of the Post - Katrina Emergency Management Reform Act of 2006 (Pub. L. No. 109 -295), 6 U.S.C. §752(c), requires any State that receives Federal preparedness assistance to submit an SPR (OMB Control Number: 1660 -0131) to FEMA. States submitted their most recent SPRs in December 2013 thus satisfying this requirement to receive funding under the FY 2014 EMPG Program. Biannual Strategy Implementation Reports (BSIR). In addition to the Quarterly Performance Progress Reports grantees are responsible for completing and submitting BSIR reports. The BSIR is due within 30 days after the end of the reporting period (July 30 for the reporting period of January 1 through June i0 (the summer BSIR); and January 30 for the reporting period of July 1 through December 31, Updated obligations and expenditure information must be provided within the BSJR to show progress made toward meeting strategic goals and objectives as well as how expenditures support Planning, Organization, Equipment, Training and Exercises (POSTE). Accordingly, expenditures should support gaps identified in the grantee's THIRA and SPRs. d. Nlonitbaing Grant award recipients will be monitored programmatically and financially on an annual and as needed basis by FEMA staff to ensure that the activities and project goals, objectives, performance requirements, timelines, milestone completion, budgets, and other related program criteria are being met. Monitoring maybe accomplished through either a desk -based review or on -site monitoring visits, or both. Monitoring will involve the review and analysis of the financial, programmatic, performance, compliance and administrative processes, policies, activities, and other attributes of each Federal assistance award and will identify areas where technical assistance, corrective actions and other support may be needed, 16 FY 2014 EMPG Program e. Closeout Pursuant to 44 C.F.R, §13.50 (b) Reports: Within 90 clays after the expiration or termination of the grant, the grantee must submit all ti nancial, performance, and other reports required as a condition of the grant. Within 90 days after the end of the period of performance grantees must submit the following: 1) Final request for payment, if applicable; 2) SF -425 —Final Federal Financial Report — The form is available at httn / /tivrotitiv.tivhitehouse eov/ sites /default /files /omb /assetsl r znts orrnAL 425.Pail> 3) SF -PPR —Final Performance Progress Report —The form is available at ht(p•/hvww.whitehottse.gov /sites /de atilt /fileslonth/�ts/ctpproved formsls r. cl 4) A qualitative narrative summary on the impact of those accomplishments throughout the entire period of performance submitted to the respective Regional Program Manager in a Word document; 5) SF -428 -b — Tangible Personal Property Report — Inventory of all tangible personal property acquired using funds from this award. The form is available at httn /Fwvvvv.whitelaottse,eov /sites /default /flex /o nG/ ra is /approved(orms /sf- 428-b. d ; 6) When applicable, SF -429 — Real Property Status Report — Inventory of all construction prgjects using funds from this award. The form is available at h //ti wvv rovhitehottse.t =vv/ Bites /def u „/t /files /omb /grtants /apnroved Forms /sf 429.ydf, 7) Other documents required by program guidance or terns and conditions of the award, In order to close an award, grantees must be current on, and have submitted, all required reports per the terms and conditions of the grant award. Once the grant has officially been closed, the grantee will receive a notification which will provide information regarding the amount of any deobligated funds, equipment disposition, and record retention requirements for closed awards. If FEMA has made reasonable attempts through multiple contacts to close out awards within the required 180 clays, FEMA may waive the requirement for a particular report and administratively close the award. If this action is taken, consideration for subsequent awards to the grantee may be impacted or restricted. The grantee is responsible for returning any funds that have been drawn down, but remain as unliquidated on grantee financial records. f. Extensions Extensions to the initial period of performance identified in the award will be limited and considered only through formal, written requests to the grantee's respective 17 FY 2014 EMPCr Program Regional Program Manager and must contain specific and compellingjustifications as to why an extension is required. States are advised to coordinate with the Regional Program Manager as needed, when preparing an extension request. All extension requests must address the following: 1) Grant Program, Fiscal Year, and award number; 2) Reason for delay — this must include details of the legal, policy, or operational challenges being experienced that prevent the final outlay of awarded funds by the applicable deadline; 3) Current status of the activity /activities; 4) Approved period of performance termination date and new project completion date; 5) Amount of funds drawn down to date; 6) Remaining available funds, both Federal and cost match; 7) Budget outlining how remaining Federal and non - Federal funds will be expended; 8) Plan for completion including milestones and timeframes for achieving each milestone and the position/person responsible for implementing the plan for completion; and 9) Certification that the activity /activities will be completed within the extended period of performance without any modification to the original Statement of Work approved by FEMA. Awardees must submit all extension requests to DHS /FEMA for review and approval no later than 120 days prior to the end of the period of performance. V11, DDS /FEMA Contact Inforimation a. For Financial, Programmatic, or Administrative Questions Pre- Award and Post Award i. Centralized Services and Information Desk (CSID) The Centralized Services Information Desk (CSID) is a non - emergency comprehensive management and information resource developed by DHS for grants stakeholders. CSID provides general information on all FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the Federal, State, and local levels. When necessary, grantees will be directed to a Federal point of contact who can answer specific programmatic questions or concerns. CSID can be, reached by phone at (800) 368 -6498 or by e -mail at ASICCsid(@fema.;ov , Monday through Friday, 8:00 a.m. —5:30 p.m. EST. ii. GPD Crane Operations Division GPDIs Grant Operations Division Business office provides financial support and technical assistance. Additional guidance and information can be obtained by 1s FY 2014 EMPG Program contacting the FEMA Call Center at (866) 927 -5646 or via e -mail to ASK - GMQ0),d1ts.gov. iii. FEMA Regions FEMA Regions manage, administer and conduct the application budget review, create the award package, approve, amend and close out awards, as well as conduct cash analysis, financial monitoring, and audit resolution for the EMPG Program, The Regions also provide technical assistance to EMPG Program primary awardees. For a list of contacts, please go to h /hvvvw,fr'r�act, nv /rm- mciin/re.-ioraal- contact -in ormation. iv. Systems Information Grants.gov. For technical assistance with Grants.gov, please call the Grants.gov customer support hotline at (800) 518 -4726. Non Disaster (ND) Grants. For technical assistance with the ND Grants system, please contact adLyants0cfema gov or (800) 865 -4076. v. GPD Environmental Planning and Historic Preservation (GPD -EHP) The FEMA GPD -EHP Team provides guidance and information about the EHP review process to grantees and sub - grantees. All inquiries and communications about GPD projects or the EHP review process, including the submittal of EHP review materials, should be sent to gpdehpinf6Qbfema.nov. EHP Technical Assistance, including the EHP Screening Form, can be found at http: Avww.fema. eov/media- 17.'brary- data /2 013 0 72 6- 1 8 0 6 -25 04 5- 2839/rpd ehp screen{ngSrm om.b 1660 0115 'rte 2011 pelf; vi. Telephone Device for the Deaf (TDD) The Telephone Device for the Deaf (TDD) and /or Federal Information Relay Service (FIRS) number available for this announcement is: (800) 462 -7585, vii. Hard copies of the FOA Hard copies of the FOA are NOT available. VIII, Other Critical Information National Preparedness DHS coordinates with local, State, territorial, and tribal, governments as well as with other Federal agencies and private and nonprofit organizations to facilitate an all-of- nation/whole community, risk driven, and capabilities -based approach to preparedness. This approach is grounded in the identification and assessment of risk through the THIRA. States must maintain and update their THIRAs and their SPRs annually to ensure that the community's shared understanding of risk evolves to account for changes in the risk landscape, including successful mitigation efforts, emerging threats, hazards, and associated consequences. Information on the NPS can be found in the National Preparedness System description (released Nov 2011), which is posted on the FEMA websi,te at httn://wvwv, %nia.cov/national- 19 FY 2014 EMPG Program preoaredness /natiortaZ pre tiredness- system. Additional details regarding the NPS and how it's supported by the EMPG Program can be found in Appendix A— FY 2014 EMPG Program Priorities. IX. dory to Apply Applying for an award under this program is a multi -step process and requires time to complete. To ensure that an application is submitted on time applicants are advised to start the required steps well in advance of their submission. Applicants should allow at least 15 business days (three weeks) to complete the five steps of applying listed below. Failure of an applicant to comply with any of the required steps before the deadline for submitting their application will automatically disqualify their application from funding, The steps involved in applying for an award under this program are; 1) Applying for, updating or verifying their Data Universal Numbering System (DUNS) Number; 2) Applying for, updating or verifying their Employer Identification Number (EIN); 3) Updating or verifying their System for Award Management (SAM) registration; 4) Submitting an initial application in grants.gov, and; 5) Submitting the complete application in ND Grants. To ensure adequate time to complete the full application process, applicants are encouraged to submit their initial application in Grants.gov (Step 4) at least ten (10) days before the April 9, 2014 application deadline, 1. Obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) Number The applicant must provide a DUNS number with their application. This number is a required field for all subsequent steps in the application submission. Applicants should verify they have a DUNS number, or take the steps necessary to obtain one. Applicants can receive a DUNS number at no cost by calling DUNS number request line at (866) 705 -5711. FEMA cannot assist applicants with questions related to obtaining a current DUNS number. 2. Obtain an Employer identification Number (EIN) FEMA requires both the EIN and a DUNS number prior to the issuance of a financial assistance award and, for grant award payment. Both are also required to register with SAM (see below). The EIN base for an organization is the IRS Tax ID number, for individuals it is their social security number, both of which are nine -digit numbers. Organizations and individuals submitting their applications must correctly identify the EIN fi-om the DUNS since both are 9 -digit numbers. If these numbers are not correctly identified in the application, this may result in a delay in the issuance of an award and /or incorrect payment to a grantee organization. 20 FY 2014 EMPG Program Organization applicants applying for an EN should plan on a minimum of 2 fall weeks to obtain an EN, If you need assistance registering an EN, please go to http/ /wwroc irr �vB��sinerses /Sm all- b' usinesses- cPc- Sel�ploved /Anr,ly- far -can- Ernpl over - Identification- Narn;ber- (EIN)- Online. FEMA cannot assist applicants with questions related to obtaining a current EN. 3, Register with the System for Award Management (SAKI) Payments are contingent on the information provided in SAM and must be completed by the applicant at At is imperative that the information provided by the applicant is correct and current. Please ensure that your organization's name, address, DUNS number and EIN are current in SAM and that the DUNS number used in SAM is the same one used to apply for all other FEMA awards. SAM registration is a multi -step process including validating your EN with the Internal Revenue Service (IRS) to obtain a Commercial and Government Entity (CAGE) code, The CAGE code is only valid for one year after issuance and must be current at the time of application. If you need assistance registering with SAM, please go to httns:/ /www fiYd eov/ or call 866- 606 -8220. FEMA cannot assist applicants with questions related to obtaining a current CAGE code. 4. Initial Application Submission in Grants.gov. All applicants submit their initial application through Grants.gov. Applicants may need to first create a Grants.gov user profile by visiting the Get Registered section of the grants. gov website. Successful completion of this step is necessary for FEMA to determine eligibility of the applicant. Applicants should complete this step at htW //wv vv grants. �. The initial on -line application in grants.gov requires completing Standard Form 424 (SF 424), Application for Federal Assistance. The initial application cannot be started or submitted in Grants.gov unless the applicant's registration in SAM is confirmed. Application forms and instructions are available at Grants.gov. To access these materials, go to httn ✓ /www grants. nov_, select Apply for Grants, enter the CFDA number or the FOA Number noted in this FOA, select Download Application Package, and follow the prompts to download the application package. The information submitted in grants.gov will be retrieved by ND Grants, which will allow FEMA to determine if an applicant is eligible. Applicants are encouraged to submit their initial application at least ten (10) days before the April 9, 2014 application deadline. If you need assistance applying through grants.gov, please go to http- / cantr g Phd,contact /vti. a pi n support cogrants.gov, or call 800 -518 -4726. FEMA cannot assist applicants with questions related to registering with grants.gov. 21 FY 2014 EMPG Program 5. Final Application Submission in Non Disaster Grants Systern (ND Grants) Eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement. Early registration will allow applicants to have adequate time to start and complete their application. The application must be completed and final submission made through the ND Grants system located at https-/lportctl,lemcigov, In ND Grants applicants will be prompted to submit all of the information contained in the following forms: • Standard Form 424A, Budget Information (Non- construction) • Standard Form 424B, Standard Assurances (Non - constriction) • Standard Form 424D, Standard Assurances (Construction) • Standard Form LLL, Disclosure of Lobbying Activities (if the grantee has engaged or intends to engage in lobbying activities) • Grants.gov (GG) Lobbying Form, Certification Regarding Lobbying. Applicants will also be required to submit copies of the following in ND Grants: EMPG Program Work Plan The Work Plan consists of a Program and Budget Narrative, Personnel Data Table, Training Data Table, Exercise Data Table, and Grant Activities Outline. Standard Form 424C, Budget Information (Construction) Detailed budget If you need assistance registering for the ND Grants system, please contact ndgrants @fema.aov or (800) 865 -4076. 22 FY 2014 EMPG Program Appendix A - FY 2014 EMPG Program Priorities Alignment of the EMPG Program to the National Preparedness System (NPS) The Nation utilizes the NPS to build, sustain, and deliver core capabilities in order to achieve the National Preparedness Goal (Goal), The Goal is "a secure and resilient Nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk." The objective of the NPS is to facilitate an integrated, all -of- Nation, risk informed, capabilities -based approach to preparedness. The guidance, programs, processes, and systems that support each component of the NPS enable a collaborative, whole community approach to national preparedness that engages individuals, families, communities, private and nonprofit sectors, faith -based organizations, and all levels of government (htWL/ /www Lerna Sov/whole- corvununity). The FY 2014 EMPG Program contributes to the implementation of the NPS by supporting the building, sustainment, and delivery of core capabilities. Core capabilities are essential for the execution of critical tasks for each of the five mission areas outlined in the Goal. Delivering core capabilities requires the combined effort of the whole community, rather than the exclusive effort of any single organization or level of government. The EMPG Program's allowable costs support efforts to build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and Recovery mission areas. Emphasis is placed on capabilities that address the greatest risks to the security and resilience of the United States, and the greatest risks along the Nation's borders. When applicable, finding should support deployable assets that can be utilized anywhere in the Nation through automatic assistance and mutual aid agreements, including but not limited to the EMAC. Using the core capabilities, the FY 2014 EMPG Program supports the achievement of the Goal by: • Preventing a threatened or an actual act of terrorism; • Protecting our citizens, residents, visitors, and assets against the greatest threats and hazards; • Mitigating the loss of life and property by lessening the impact of future disasters; • Responding quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; and /or • Recovering through a focus on the timely restoration, strengthening, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by a catastrophic incident. The core capabilities contained in the Goal are highly interdependent and require the use of existing preparedness networks and activities, improve training and exercise programs, promote innovation, and ensure that the appropriate administrative, finance, and logistics systems are in place. 23 Appendix A- FY 2014 EMPG Program Priorities To support building, sustaining, and delivering these core capabilities, grantees will use the components of the NPS. The components of the NPS are; Identifying and Assessing Risk; Estimating Capability Requirements; Building and Sustaining Capabilities; Planning to Deliver Capabilities; Validating Capabilities; and Reviewing and Updating. For more information on each component, read the National Preparedness System description available at http: / /wrovrv,femcs,, ov /nnCional- eparedness /national �veparedness- system. Grantees are expected to use this process when using grant funds to address their capability gaps. Reporting on the Iatplementation of the National Preparedness System (NPS) Identifying and Assessing Risk and Estimating Capability Requirements In order to qualify, for EMPG Program funding, all grantees shall develop and maintain a Threat and Hazard Identification and Risk Assessment ( THIRA) which informs and supports the State Preparedness Report (SPR). Only one THIRA submission from each State will be accepted. A THIRA provides a comprehensive approach for identifying and assessing risks and associated impacts, It expands on existing local, tribal, territorial, and State Hazard Identification and Risk Assessments (HIRAs) and other risk methodologies by broadening the factors considered in the process, incorporating the whole community throughout the entire process, and by accounting for important community - specific characteristics. A guide on how to complete a THIRA is available at h2tp, / /vvrovvv.m.a.�av/ national prep redness /plan. In Step Four of the THIRA process, a jurisdiction should estimate the resources required to deliver the capability targets established in their THIRAs. Communities express resource requirements as a list of resources needed to successfully manage their threats and hazards. Through the capability estimation process, jurisdictions should identify the resources from across the whole community needed to meet capability targets, Each jurisdiction should decide which combination of resources is most appropriate to achieve its capability targets. Reporting: States are required to submit an annual update to their THIRA. States will submit their THIRA update along with their State Preparedness Report (SPR) through the Unified Reporting Tool (URT) and email a copy of the URT to their respective FEMA Regional Federal Preparedness Coordinator and copy em¢- r gr,.fema.dhs.uov, THIRA submissions shall be in alignment with Comprehensive Preparedness Guide (CPG) 201, Second Edition. State submissions of the THIRA and SPR are due no later than December 31, 2014. Building and Sustaining Capabilities EMPG Program grantees should ensure that grant funding is utilized to sustain critical core capabilities within the NPS that were funded by past EMPG Program funding cycles to include training of personnel and lifecycle replacement of equipment. New capabilities should not be built at the expense of maintaining current and critically needed core capabilities. If new core capabilities are being built utilizing EMPG Program finding, grantees must ensure that the capabilities are able to be deptoyable outside of their community to support regional and national efforts or otherwise shareable with regional partners and aligned with a gap identified 24 Appendix A- FY 2014 EMPG Program Priorities in the THIRA/SPR. All capabilities being built or sustained must have a clear linkage to one or more core capabilities in the Goal. Reporting: As pact of programmatic monitoring grantees will be required to: (1) describe how expenditures support maintenance and sustahunent of current Goal core capabilities, (2) describe how expenditures support a gap identified in the THIRA/SPR and report these within the quarterly performance progress report, Planning to Deliver Capabilities All EMPG Program grantees shall maintain, or revise as necessary, jurisdiction -wide, all threats and hazards emergency operations plans (EOPs) consistent with the CPG 101 v.2 which serves as the foundation for State, local, tribal, and territory emergency planning. CPG 101 v.2 can be found at http: / /wryvw Fe na.cov /ncationr, lrenaredness /plan. Grantees must update their EOP at least once every two years. In building future EOPs, planners should anticipate the increasing complexity and decreasing predictability of the future operating environment. These efforts should actively use strategic foresight, including the multiple driving forces of change and the associated evolving strategic needs shown in FEMA's Crisis Response and Disaster Resilience 2030 Report, The Report can be found at Ftttn / /wrovw fema. anv /strates =ic- nlannana- nnalvss- spa- ctiidsion /strcate¢tc- Foresi ht- initiative. Reporting: • Grantees will use the SPR to report EOP compliance. Validating Capabilities Grantees should develop long -term training and exercise priorities that examine, validate and/or address the gaps identified through their annual THIRA and SPR by developing a multi -year Training and Exercise Plan (TEP). Grantees should also review and consider areas for improvement identified from real -world events and exercises, and national areas for improvement identified in the 2013 National Preparedness Report. The TEP should consider the risks and capability requirements described in the THIRA along with the guidance provided by elected and appointed officials to identify and set training and exercise program priorities and develop a multi -year schedule of exercise events and supporting training activities to meet those priorities A TEP that is developed from a Training and Exercise Planning Workshop (TEPW) provides a roadmap to accomplish the multi -year priorities identified by elected and appointed officials and whole community stakeholders. These priorities help curriculum and exercise planners design and develop a progressive program of training and exercises that build, sustain, and deliver core capabilities, Information related to TEPs and TEPWs can be found on the HSEEP website at hitps : //wwov.11is_dhs,gov /hseen. In addition to training activities aligned to and addressed in the TEP, all EMPG Program funded personnel shall complete the following gaining requirements and record proof of completion.: National Incident Management System (NIMS) Training, IS 100, IS 200, IS 700, and IS 800, and 25 Appendix A- FY 2014 EMPG Program Priorities other Independent Study courses identified in FEMA Professional Development Series. Previous versions of the IS courses meet the NIMS training requirement. A complete list of Independent Study Program Courses may be found at http: / /trninin ., e n�, ov /is. All grantees will develop and maintain a progressive exercise program consistent with Homeland Security Exercise and Evaluation Program (HSEEP) (https :www.Ilis.d-hs.gov /hseep), Grantees shall conduct no less than four quarterly exercise (i.e., one exercise per quarter) of any type (i.e., discussion -based or operations - based) said one full-scale exercise within a 12 -month period. All EMPG funded personnel shall participate in no fewer than three exercises in a 12 -month period A progressive, multi -year exercise program enables organizations to participate in a series of increasingly complex exercises, with each successive exercise building upon the previous one while also taking into account prior lessons learned. Regardless of the exercise type, each exercise within the progressive series is linked to a set of common program priorities and designed to test associated capabilities, Reporting: • Following the TEPW, all grantees and subgrantees are required to develop a multi- year TEP that identifies combination of exercises, along with associated training requirements, that address the priorities identified in the TEPW. The TEP shall be submitted to hs eepCdr dhs. gov no later 90 days after the TEPW. States are encouraged to post their schedules to the National Exercise Scheduling System (NEXS) at Submission of a roster of EMPG Program funded personnel, at both the state and local level, along with the training completed to be included in the Quarterly Performance Progress Report. In order to report on the required exercises, grantees can either submit one After Action Report/Improvement Plan (AAR/IP) for the culminating full -scale exercise that captures the lessons learned and corrective actions from all 5 exercises conducted within a 12 -month period; or individual AAR/IPs for each of the 5 exercises to hseepc�fenia. dhs.gov-, no later than 90 days after completion of the exercise. In accordance with HSEEP guidance grantees are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. Grantees are encouraged to use the HSEEP AARAP template located at littps: / /www.Ilis.dhs /hseep and utilize the Corrective Action Program (CAP) System at https: / /hseep.dhs,gov /caps /, as a means to track the implementation of corrective actions listed in the AARAP, If a State/territory /local jurisdiction has experienced a major disaster, and would like to request exemptions for a scheduled exercise, the grantee should send this request to its assigned FEMA Regional Program Manager through the quarterly EMPG Program report. Exemptions will be reviewed on a case -by -case basis by the Regional Grant Manager, Reviewing and Updating On a recurring basis, capabilities, resources, and plans should be reviewed to determine if they remain relevant or need to be updated as it relates to the EMPG Program. This review should be 26 Appendix A- FY 2014 EMPG Program Priorities based on a current risk assessment and utilize information gathered during the validation process. These reviews wilt provide a means to examine preparedness analyses; determine priorities; direct preparedness actions; and calibrate goals and objectives. Additional considerations Strengthening Governance Integration DHS preparedness grant programs are intended to support the core capabilities across the five mission areas of Prevention, Protection, Mitigation, Response, and Recovery that are necessary to prepare for incidents that pose the greatest risk to the Nation's security. Each program reflects the Department's intent to build and sustain an integrated network of national capabilities across all levels of government and the whole community. Disparate governance structures must be integrated and refined to ensure resources are targeted to support the most critical needs of a community based on risk driven, capabilities -based planning. Strong and inclusive governance systems better ensure that disparate finding streams are coordinated and applied for maximum impact. DHS requires that all governance processes that guide the allocation of preparedness grant funds adhere to the following guiding principles: • Coordination of Investments — resources must be allocated to address the most critical capability needs as identified in their SPR and coordinated among affected preparedness stakeholders. • Transparency — stakeholders must be provided visibility on how preparedness grant fiords are allocated and distributed, and for what purpose. • Substantive Local Involvement— the tools and processes that are used to inform the critical priorities which DHS grants support must include local government representatives. At the State and regional level, local risk assessments must be included in the overarching analysis to ensure that all threats and hazards are accounted for. • Flexibility with Accountability — recognition of unique preparedness gaps at the local level, as well as maintaining and sustaining existing capabilities. • Support of Regional Coordination — recognition of inter /intra -State partnerships and dependencies at the State and regional level, and within metropolitan areas. 27 Appendix A- FY 2014 EMPG Program Priorities Appendix l3 - FY 2014 EMPG Funding Guidelines Allowable Costs Management and Administration (M &A) M &A activities are those defined as directly relating to the management and administration of EMPG Program funds, such as financial management and monitoring. It should be noted that salaries of State and local emergency managers are not typically categorized as M &A, unless the State or local EMA chooses to assign personnel to specific M &A activities. If the SAA is not the EMA, the SAA is not eligible to retain fiends for M &A. M &A costs are allowable for both State and local -level ENIAs, The State EMA may use up to five percent (5 %) for M &A purposes. In addition, local EMAs may retain and use up to five percent (5 %) of the amount received from the State for local M &A purposes. Indirect Costs Indirect costs are allowable only if the applicant has an approved indirect cost rate with the cognizant Federal agency. A copy of the approved rate (a fully executed, agreement negotiated with the applicant's cognizant Federal agency) is required at the thne of application. Indirect costs will be evaluated as part of the application for Federal funds to determine if allowable and reasonable. Planning Planning spans all five National Preparedness Goal (the Goal) mission areas and provides a baseline for determining potential threats and hazards, required capabilities, required resources, and establishes a framework for roles and responsibilities. Planning provides a methodical way to engage the whole community in the development of a strategic, operational, and/or community -based approach to preparedness. EMPG Program finds may be used to develop or enhance upon emergency management planning activities, some examples include: • Development of THIRA • Development of an atl- hazards mitigation plan based on identified risks and hazards Emergency Management/Operation Plans • Maintaining a current EOP that is aligned with guidelines set out in CPG 101v.2 http:// vvlvw. enm .gov /natior2crl- prepcar ^cdness /plan • Modifying existing incident management and emergency operations plans • Developing /enhancing large -scale and catastrophic event incident plans Communications Plans • Developing and updating Statewide Communication Interoperability Plans • Developing and updating Tactical Interoperability Communications Plans 28 Appendix B- FY 2014 EMPG Program Funding Guidelines Continuity /Administrative Plans • Developing /enhancing Continuity of Operation (COOP) /Continuity of Government (COG) plans • Developing/enhancing financial and administrative procedures for use before, during, and after disaster events in support of a comprehensive emergency management program Whole Community engagement/planning • Developing /enhancing emergency operations plans to integrate citizen/volunteer and other non-governmental organization resources and participation • Engaging the whole community in security and emergency management is critical to achieving the Goal • Public education and awareness on emergency management and preparedness • Planning to foster public - private sector partnerships • Development or enhancement of mutual aid agreements /compacts, including required membership in EMAC Resource management planning • Developing /enhancing logistics and resource management plans • Developing /enhancing volunteer and/or donations management plans • Acquisition of critical emergency supplies such as: shelf stable food products, water, and /or basic medical supplies. Acquisition of critical emergency supplies requires each State to have FEN1A's approval of a five -year viable inventory management plan if planned grant expenditure is over $100,000 ; an effective distribution strategy; sustainment costs for such an effort; and logistics expertise to avoid situations where fiords are wasted because supplies are rendered ineffective due to lack of planning. • Supply preparation Evacuation planning • Developing/enhancing evacuation plans, including plans for: alerts /warning, crisis communications, pre- positioning of equipment for areas potentially impacted by mass evacuations sheltering, and re- entry. Pre - disaster and post - disaster Recovery planning • Disaster housing planning, such as creating/supporting a State disaster housing task force and developing /enhancing State disaster housing plans • Pre -event response /recovery /mitigation plans in coordination with State, local, and tribal governments • Developing/enhancing other response and recovery plans Developing recovery plans and preparedness programs consistent with the principles and guidance in the NDRF that will provide the foundation for recovery programs and whole - community partnerships. Preparedness and pre - disaster planning was given special attention within the NDRF with specific guidance: Planning for a Successful Disaaster Recovery (pages 63 -70). For more information on the NDRF see h yp:/Amw. enia. ?ov lvdf/recove-ryfrcam.eworlr/rtdr : dZ. 29 Appendix B- FY 2014 EMPG Program Funding Guidelines F /ERO Credentialing and Validation • Working group meetings and conferences relating to emergency responder credentialing and validation • Compiling data to enter into an emergency responder repository • Coordinating with other State, local, territorial, and tribal partners to ensure interoperability among existing and planned credentialing and validation systems and equipment • Planning to incorporate emergency responder identity and credential validation into training and exercises. Organization Per the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended, (42 U.S.C. §§ 5121 - 5207), EMPG Program funds may be used for all- hazards emergency management operations, staffing, and other day -to -day activities in support of emergency management, including hazard mitigation staffing of the State Hazard Mitigation Officer (SHMO) position; performing close out activities on FEMA Disaster Assistance grants; and supporting fusion center analysts who are directly involved in all hazards preparedness activities as defined by the Stafford Act. Proposed staffing activities should be linked to accomplishing the activities outlined in the EMPG Program Work Plan. To ensure adequate resources are dedicated to the critical components of preparedness, grantees are encouraged to fund at least one dedicated Planner, Training Officer, and Exercise Officer. Personnel costs, including salary, overtime, compensatory time off, and associated fringe benefits, are allowable costs with EMPG Program funds. These costs must comply with 2 C.F.R. Part §225, Cost Principles for State, Local, and Indian Tribal Governments (Office of Management and Budget [OMB] Circular A -87). Equipment Allowable equipment categories for the EMPG Program are listed on the web -based version of the Authorized Equipment List (AEL) on the Responder Knowledge Base (RKB), which is sponsored by FEMA at ljtWs •llrovww llis cihe sygv lnow'ledzebase. Unless otherwise stated, equipment must meet all mandatory regulatory and/or FEMA - adopted standards to be eligible for purchase using these funds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. The select allowable equipment includes equipment from the following AEL categories: • Infotmation Technology (Category 4) • Cyber security Enhancement Equipment (Category 5) • Interoperable Communications Equipment (Category 6) • Detection Equipment (Category 7) • Power Equipment (Category 10) • Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Reference Materials (Category 11) • CBRNE Incident Response Vehicles (Category 12) • Physical Security Enhancement Equipment (Category 14) 30 Appendix B- FY 2014 EMPG Program Funding Guidelines • CBRNE Logistical Support Equipment (Category 19) • Other Authorized Equipment (Category 21) In addition to the above, general purpose vehicles are allowed to be procured in order to carry out the responsibilities of the EMPG Program. I£ State agencies and/or local governments have questions concerning the eligibility of equipment not specifically addressed in the AEL, they should contact their FEMA Regional Program Manager for clarification, Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those subject to rapid technical advances. Large equipment purchases must be identified and explained, For more information regarding property management standards for equipment, please reference 2 CFR Part 215, located at httn:// www. tivhitehotise.00v/omh/ctrciilars x087 20041 (OMB Circular A-87). Training EMPG Program funds may be used for a range of emergency management - related training activities to enhance the capabilities of State and local emergency management personnel through the establishment, support, conduct, and attendance of training. Training activities should align to a current, Multi -Year TEP developed through an annual TEPW. Further guidance concerning the TEP and the TEPW can be found at httn,s: / /hseep.dhs.g_ov. Training should foster the development of a community oriented approach to emergency management that emphasizes engagement at the community level, strengthens best practices, and provides a path toward building sustainable resilience. All EMPG Program funded personnel shall participate in no less than three exercises in a 12 month period. EMPG Program funds used for training should support the nationwide implementation of NIMS. The NIMS Training Program establishes a national curriculum for NIMS and provides information on NINIS courses; grantees are encouraged to place emphasis on the core competencies as defined in the NIIVIS Training Program. The NIMS Training Program can be found at htt9: //m feria eoU1 d.f /emergency /nimr /nuns trainine nro�Lrcam ndf.' The NIMS Guideline for Credentialing of Personnel provides guidance on the national credentialing standards. The NIMS Guidelines for Credentialing can be found at httD,11 wwrv. fema.zov 1p'emerL�enev/nins/ninas erect Wdellnes, re oP -t,ndf To ensure the professional development of the emergency management workforce, the grantee must ensure a routine capabilities assessment is accomplished and a multi -year training plan is developed and implemented. For additional information on review and approval requirements for training courses fimded with preparedness grants please refer to the following policy: http / /wwvv.fema gov/m.e(ti'ci-liht•arv- cicata/ 1115d44e06367hb895 .10caafbe79c.1875 /FINAL GPD- FTrairiitijZ+.Tht•ee +for+Free- FPoliev 09 +10+13.pdf. Additional types of training include, but are not limited to, the following 31. Appendix B- FY 2014 . EMPG Program Funding Guidelines • Developing /enhancing systems to monitor training programs • Conducting all hazards emergency management training • Attending Emergency Management Institute (EMI) training or delivering EMI train -the- trainer courses • Attending other FEMA - approved emergency management training • Mass evacuation training at local, State, and tribal levels Allowable training - related costs include the following: Funds Used to Develop, Deliver, and Evaluate Training Includes costs related to administering the training: planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and fiinctional needs, should be identified in the AAR/IP and addressed in the training cycle. States are encouraged to use existing training rather than developing new courses. When developing new courses States are encouraged to apply the Analysis Design Development and Implementation Evaluation (ADDIS) model for instruction design. Overtime and Backfill The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of attendance at FEMA and /or approved training courses and programs are allowable. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the State or unit(s) of local government and has the approval of the State or the awarding agency, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. Travel Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by employees who are on travel status for official business related to approved training. Hiring of Full or Part -Time Staff or Contractors /Consultants Full or part -time staff may be hired to support direct training - related activities. Payment of salaries and fringe benefits must be in accordance with the policies of the State or unit(s) of local government and have the approval of the State or awarding agency, whichever is applicable. Certification/Recertification of Instruclors Costs associated with the certification and re- certification of instructors are allowed. States are encouraged to follow the FEMA Instructor Quality Assurance Program to ensure a minimum level of competency and corresponding levels of evaluation of student learning. This is particularly important for those courses which involve training of trainers. Exercises Allowable exercise - related costs include: 32 Appendix B- FY 2014 EN/[PG Program Funding Guidelines • Funds Used to Design, Develop, Conduct and Evaluate an Exercise This includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Grantees are encouraged to use free public space /locations /facilities, whenever available, prior to the rental of space /locations /facilities. Exercises should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any exercise or exercise gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the exercise cycle. • Hiring of Full or Part -Time Staff or Contractors /Consultants Pull or part—time staff may be hired to support direct exercise activities. Payment of salaries and fringe benefits must be in accordance with the policies of the State or unit(s) of local government and have the approval of the State or the awarding agency, whichever is applicable. The services of contractors /consultants may also be procured to support the design, development, conduct and evaluation of exercises. • Overtime and Backfall The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of time spent on the design, development and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the State or unit(s) of local government and has the approval of the State or the awarding agency, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. • Travel Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of the exercise activities • .Supplies Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise activities (e.g., gloves, non - sterile masks, and disposable protective equipment) • Implementation of'HSEEP This refers to costs related to developing and maintaining a self - sustaining State HSEEP which is modeled after the national HSEEP • Other Items These costs are limited to items consumed in direct support of exercise activities such as the rental of space/locations for planning and conducting an exercise, rental of equipment, and the procurement of other essential nondurable goods. Grantees are encouraged to use free public space/locations, whenever available, prior to the rental of space /locations. Costs associated with inclusive practices and the provision of reasonable accommodations and modifications that facilitate full access for children and adults with disabilities. Unauthorized exercise - related costs include: • Reimbursement for the maintenance and /or wear and tear costs of general use vehicles (e.g., construction vehicles) and emergency response apparatus (e.g., fire trucks, ambulances). The only vehicle costs that are reimbursable are fiiel /gasoline or mileage. • Equipment that is purchased for permanent installation and/or use, beyond the scope of exercise conduct (e.g., electronic messaging signs) 33 Appendix B- FY 2014 EMPG Program Funding Guidelines + Durable and non - durable goods purchased for installation and /or use beyond the scope of exercise conduct Construction and Renovation Construction and renovation projects for a State, local, territorial, or tribal government's principal Emergency Operations Center (EOC) as defined by the SAA are allowable under the EMPG Program. Written approval must be provided by FEMA prior to the use of any EMPG Program funds for construction or renovation. Requests for EMPG Program funds for construction of an EOC must be accompanied by an EOC Investment Justification (FEMA Form 089- 0 -0 -3; OMB Control Number; 1660 -0124 (ht�g:/hvwvv. ema.govlodflzovernment/jzrcmt /2011 /fyll eoc bmpdt) to their Regional Program Manager for review. Additionally, grantees are required to submit a SF -424C Budget and Budget detail citing the project costs. When applying for funds to construct communication towers, grantees and sub - grantees must submit evidence that the FCC's Section 106 review process has been completed and submit all documentation resulting from that review to GPD prior to submitting materials for EHP review. Grantees and sub - grantees are also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all State and EIIP laws and requirements). Projects for which the grantee believes an Environmental Assessment (EA) may be needed, as defined in 44 C.F.R. §§ 10.8 and 10.9, must also be identified to the FEMA Regional Program Manager within six months of the award and completed FEW review materials must be submitted no later than 12 months before the end of the period of performance. EHP review packets should be sent to gpdehpinfo@fema.gov. ENIPG Program grantees using finds for construction projects must comply with the Davis - Bacort Act (40 U, S.C. § § 3141 et seq.). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers employed directly at the work -site no less than the prevailing wages and fringe benefits paid on projects of a similar character. Additional information, including Department of Labor (DOL) wage determinations, is available from the following),vebsite: hetv:ll wrowv. clol. c> ovl eompliance llcawslcomp- clhra,htm. Maintenance and Sustainment The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement: costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. EMPG Program grant funds are intended to support the Goal and fiend activities and projects that build and sustain the capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide grantees the ability to meet this objective, the policy set forth in GPD's IB 379 (Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS /FEMA Grant Funding) allows for the expansion of eligible maintenance and sustaimnent 34 Appendix B- FY 2014 EMPG Program Funding Guidelines costs which must be in 1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program; (3) be tied to one of the core capabilities in the five mission areas contained within the National preparedness Goal, and (4) shareable through the Emergency Management Assistance Compact. Additionally, eligible costs must also be in support of equipment, training, and critical resources that have previously been purchased with either Federal grant or any other source of funding other than DHS /FEMA preparedness grant program dollars. Additional guidance is provided in FEMA Policy FP 205- 402- 125 -1, Maintenance Contracts and Warranty Coverage Funded by Preparedness Grants, located at; htt�: / /wvvtiv. ema.�ov /naeclia- llhrcar /assets /ttoeaarrents /31474. Unallowable Costs Expenditures for weapons systems and ammunition Costs to support the hiring of sworn public safety officers for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities Activities and projects unrelated to the completion and implementation of the EMPG Program In general, grantees should consult with their FEMA Regional Program Manager prior to malting any Investment that does not clearly meet the allowable expense criteria established in this Guidance. 35 Appendix 13- FY 2014 EMPG Program Funding Guidelines Appendix C - FY 7014 EMPG Program Work £Tall EMPG Prograin Work Plan Instructions All EMPG Program applicants are encouraged to use the templates to submit a required Work Plan that outlines the State's emergency management sustainment and enhancement efforts, including new and ongoing activities and projects, proposed for the EMPG Program period of performance. The Work Plan consists of a Program and Budget Narrative, Personnel Data Table, Training Data Table, Exercise Data Table, and Grant Activities Outline. FEMA regional program managers will work closely with States to monitor Work Plans during the performance period and may request further documentation from the grantee to clarify the projected work plan. In addition, FEMA Regional Program Managers must approve final Work Plans before States may draw down EMPG Program funds. Grant funds will be released on a rolling basis upon approval of the State's final Work Plan. Program and Budget Narrative Provide a brief description of the State emergency management priorities and initiatives that will be addressed with EMPG Program fiords. In addition, the narrative should address, if applicable, the following: • Overview of the State's risk profile such as resulting from a THIR.A • Areas of need identified through assessment processes such as the State Preparedness Report, Emergency Management Accreditation Program Assessment Process, National Emergency Communications Plan Goal Assessments, or other Emergency Management assessment processes • Baseline inventory of where States are now relative to goals and objectives identified in relevant strategic plans per CPG 101 v.2 * State emergency management priorities and planning focus for current budget year (including linkage to the core capabilities identified in the Goal) Personnel Data Table To facilitate consistent data reporting and performance measures collection, a Personnel Data Table should be completed for State, Local, Tribal and Territory (SLTT) personnel supported with EMPG Program fiends. The data requested will assist in documenting the extent to which EMPG Program funding contributes to enhancing or sustaining emergency management capacity in terms of personnel support at the State level. This template will be submitted with the EMPG Program Work Plan and updated only if numbers change more than 10% during the award period of performance. Personnel Data Table Template Personnel Metrics Data All EMPG Program funds (Federal and match) allocated towards State emergency management personnel All EMPG Program fiends (Federal and match) allocated towards Non -State emergency management personnel Local, Tribal, Territories) Total Number of State emergency management full -time equivalent (PTE) personnel (including those supported and not supported by the EMPG Program 36 Appendix C- FY 2014 EMPG Program Work Plan Number of State emergency management full-time equivalent (FTE) personnel supported (frilly or partially) by the EMPG Program Total Number of State, Local, Tribal or Territory (SLTT) emergency management Number of personnel supported (filly or partially) by the EMPG Program. Personnel Data Table Definitions This template is completed and submitted with the EMPG Program Work Plan and only re- submitted if the data changes more than 10% in any category. Line 1 - All EMPG Program finds (Fed & match) allocated for State emergency management personnel Line 2 -All EMPG Program. funds (Fed & match) allocated towards Non -State emergency management personnel (Local, Tribal, Territories) Line 3 - Total Number of State Emergency Management full -time equivalent (FTE) personnel (including those supported and not supported by the EMPG Program) Line 4 - Number of State emergency management full -time equivalent (FTE) personnel supported by the EMPG Program Line 5 - Total Number of State and local emergency management personnel funded (fully or partially) by the EMPG Program. This number provides the "'Universe" number for the Training & Exercise templates. Training Data Table To facilitate consistent data reporting and performance measures collection, a Training Data Table should be completed for training sessions that meet the EMPG requirements and any EMPG funded training courses. This template should be updated quarterly with cumulative information. EMPG Program funded personnel shall participate in no less than three exercises, have completed the listed training requirements, and record proof of completion. Training Data Table Template 37 Appendix C- FY 2014 . EMPG Program Work Plan. Total # of Number of Total # of SLTT SLTT EMPG Name of EMPG Number of SLTT EMPG Funded Training Required? Personnel EMPG Funded personnel that /N) Trained Funded p ersonnel in have not taken personnel the Course this course 37 Appendix C- FY 2014 . EMPG Program Work Plan. Training Data Table Definitions: Col 1 - Name of Training Col - Is the course required of EMPG guided personnel? Col 3 - # of Personnel Trained Col - Total # of SLTT EMPG Funded Personnel (Universe) Col 5 - Total # of SLTT EMPG Funded Personnel in the Course Col 6 - Number of SLTT EMPG Funded Personnel that have not taken the Course Exercise Data Table To facilitate consistent data reporting and performance measures collection, an Exercise Data Table should be completed for any exercises cited to meet EMPG requirements and/or that are conducted in whole or part with EMPG funds, Exercise Data Table Template 38 Appendix C- FY 2014 EMPG Program Work Plan Total # of Number of SLTT SLTT EMPG Program Exercise #of Name or Description of Exercise EMPG Funded Personnel Data Table Exercises ]Funded Participating in ersonuel Exercise Discussion - Based Seminar Workshop Tabletop Exercise TTX) Game Operations - Based Drill Discussion - Based Functional Exercise Full-Scale Exercise 38 Appendix C- FY 2014 EMPG Program Work Plan Exercise Data Table Definitions: Col 2 - Number of Instances of the Type of Exercise Col 3 - Name/Description of Exercise Col 4 - Total # of SLTT EMPG Funded Personnel (Universe) Col 5 - Total # of SLTT EMPG Funded Personnel Participating in Exercise Grant Activities Outline To facilitate performance measures and focus on outcomes, an EMPG Program Grant Activities Outline should be completed for activities supported with FY 2011 EMPG Program hinds (including construction and renovation projects). The data outlined in this template will be used to evaluate the timely completion of planned emergency management activities. Grantees are encouraged to complete a separate Grant Activities Outline for each EMF. Quarterly training activities should be reported against ENiF #13, "Training," and quarterly exercise activities should be reported against ENIF #14, "Exercises, Evaluations and Corrective Actions," Grantees should complete a template as shown on the next page and address the following areas: ENIF Number. Identify how the grant activities relate to the EMFs outlined in the September 2007 version of the Emergency Management Accreditation Program (EMAP) Standard (e.g. Resource Management, Communications and Warning, etc.) Name of Planned Project. Provide a descriptive name of each planned project. Examples include "Development of Emergency Function Annexes ", "Development of Earthquake Scenario Loss Estimations ", "Implementation of Statewide Interoperability Plan ", "NIMS Training for Emergency Management Personnel ", " Development of Emergency Preparedness Plan for Individuals with Disabilities ", etc. Project Objective. Briefly explain the major objective of the project, including how the project will address gaps identified through various assessments conducted. Performance Measure and Basis of Evaluation. Indicate the performance measure that will be used to evaluate this project Challenges/Risks. Identify any challenges to implementing this project or any of its activities. Quarterly Activity. Break each project down into quarterly activities. For each quarter, briefly identify the activities that will accomplish the planned project. This information will provide the foundation for the second component of the Quarterly Progress Report. Step. Provide the status of planned quarterly activities. The mater steps and processes of the Project Management Lifecycle are summarized in the below table 39 Appendix C- FY 2014 EMPG Program Work Plan Comments. Briefly describe the reason for the project status and provide other comments as needed. Include the number of training sessions funded and the number of personnel trained in this section. Grant Activities Outline - Template Name of Planned Project: Project Objective: Performance Measure and Basis of Evaluation: Challenges /Risks: 15 Quarter Activity Planned Activities: Step: Comments: 10(1113.12/31 /13 2" Quarter Activity Planned Activities: Step: Comments: 1/114-3/3 1 1 114 3` Quarter Activity Planned Activities: Step: Comments: 4/1114-6/30/14) 4" Quarter Activity Planned Activities: Step: Comments: 7/1 /14- 9/30/14 5 Quarter Activity Planned Activities: Step: Comments: (10/l/14-12/311/14) 6 QuerterActivity Planned Activities: Step: Comments: 1/1/15- 3/31/15 7 Quarter Activity Planned Activities: Step: Comments: 4/1/15 - 6130/15 8 Quarter Activity Planned Activities: Step: Comments: (7/l/15-9/30/15) 40 Appendix C- FY 2014 ENfPG Program Work Plan Project Management Lifecycle Ste s Descri tion Process The authorization to begin work or Involves preparing for, assembling Initiate resume work on any particular resources and getting work started. May activity apply to any level, e.g. program, project, hase, activit task. The purposes of establishing, at an early Involves working out and extending the Plan date, the parameters of the project that theoretical, practical, and /or useful is going to be worked on as well as to try application of an idea, concept, or to delineate any specifics and /or any preliminary design. This also involves a plan peculiarities to the project as a whole for moving a project concept to a viable and /or any specific phases of the project. project. The period within the project lifecycle Involves directing, accomplishing, managing, and completing all phases and Execute during which the actual work of creating the project's deliverables is aspects of work fora given project. carried out. A mechanism which reacts to the Involves exercising corrective action as Control current project status in order to ensure necessary to yield a required outcome aocomplishmentof project objectives. consequent upon monitoring performance. This involves planning, measuring, Or, the process of comparing actual monitoring, and taking corrective action performance with planned performance, based on the results of the monitoring analyzing variances, evaluating possible alternatives, and taking appropriate correct action as needed, The completion of all work on a project. Involves formally terminating and concluding Close Can also refer to completion of a phase all tasks, activities, and component parts of Out of the project a particular project, or phase of a project 41 Appendix C- FY 2014 EMPCT Prograin Work Plan EXHIBIT "B" (CaIOES We tp"ly1 Cal QES 4 159 ptOrf F lilb A V5 ClDAP 07.042 Client a 2U140f)79 CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES GRANT AWARD FACE SHEET (Cal OES 2101) The C,dIworn[a Co,etivr s or6-0 Di EalPtl)0110y Serylees, herpapar designated (,at O S, heresy makes a Gant Award of funds 10 Me following I Grant Recipient q0kaqyqfjqo'gu. Ia. OUNS# ad ga5.-76a2 in the amount and for If purpose and cluradon set forth in this Grant A%etitd, 2 ImPlannonfiriv Agency: . . ...... 2a DUNSM 08-316-32.1; 3. Implementing Agency Address: 00 Civic Center plaza_ Salta Ane 41701-1981 d, Lccath:m of Project: cdy A San!, An, 92701. feat C,n, -- Z,,,-4 - 5, DisasladProgram Thle: Grant 0, PerforroariceParpad: to W5 ULOUIa T........... . .... ... Oro ht 1 Cash Yoar Fund Source A. State i B. Federal C Total 1) F. In-Kind F, T G. Total Projeov Match Motion blatch cost -------- -- -- 2014 EYPG $32,434 1 i;2 3 e I ere . . . . . . . . . . . . . . . . . select Is SelecZ .... . . ....... 022 TOTALS so $52434 $52,434 . ..... 11 this GrantAarcl sons,so of this t1th) P-d0, (Ila OPPIlcatlon for the grant, which is attached and made a part hereof, and the I horooy,,orttry 14M vested with the authootyto enrar into this Grant Award Agr000armtL ruld have the approval of the city/Countyrinanchn; Officer, Cay Manager, County Admirtl5triff0r.Goveriflig BracridCloar,or other Approving t3ody. The Grant Reclplaotccrdjies that a4 hinds resolved pursuant to this agraoinoutwili cf)% %Pont Exclusively on the purposes specified In the OentAwird, The Grand Recipient ncrojes this Grant Award and agrees to tuUmmister the grant project in accordance with the Grant Award rls well n all aPpIN06fe state and federal laws, audit reyulrelnonts, forferal program quidolines, and Cal OESPONCY and program guidance, The Grant Racipteritfurther 6gon" that the allocation of funds Maybe contingent on me enactmentotthe State lluogot. 14. Official Authorized to Sign for Appiloaril/Grant Recipient: 15. Federal Employer It) Number;�` ,lame. Cilxkcl Rolee.1-- T I lilt: Chief 01 Porco Telephone 77a 24R &99 I FAX Email <jtj Paymer I .10hintil AdIr"So7— t C tv, Plecr City: Santa Arm 4, ry C" I hero, by C. ernly noun rfly personal knowledgo, Ina I ra,dije ie d funds are avabapao for file. Pound avid Purposes or I this a merdi m to Stated above. Cal OES Face OffTor Date Cal OFS 0"nill, 19, owraq.") Data GtentAward fereo St e,E! , CdIOES 2 10t lR9vir;ed Ij13) O L9 Li a C 5 6 r V � I m P t,9 c I �7 W p � ^ i I 1 I uL G QN 1 1 I v1 CY 4 1 •.I f 1 �� O C. 9 N 'e• '- 1 1 ' , 1 I I I , 1 I 1 u LU n� L1.1 0 LL 0 z C� Ul 0 6 0 > 0 "'6 (\ \ / \« ; :4,K 7a 76 E 5 -6 . j { � 7a 76 E . j { � � � \� \ � �ryN �� ry f•. Gh _ u _ ,� � 2 � i ik Q v vi w O �� ui w ca a w 41 U- Z w_ w.�i �j l w ©! w �. � O, w:r', u.�. � U. � a. �' . �� ' y w' �; 5 la K � U w h �� ; 0 d ��'� �w�o ?, — o, ��% 'Jyp 2 z LU c LL t cc t si It it IV UO 7E � o� - -- - - -- i l l (I l i p fi� I I �'I -fj- U JW j � ($ � !« / ).. ) \\} \ \� } )p r \\ \j ) � . ) } O 0. as ro O 66 "P I .2 2i 0 6 t o2 O EXHIBIT "C" Fiscal Year 2014 EMERGENCY MANAGEMENT PERFORMANCE GRANTS (EMPG) PROGRAM California Supplement to the Federal Program Funding Opportunity Announcement, or, The State Guidance STATE OF CALIFORNIA Edmund G. Brown Jr, Governor CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES Mark S. Ghilarducci, Director Nancy Ward, Chief Deputy Director FINANCE & ADMINISTRATION DIRECTORATE Brendan A. Murphy, Deputy Director GRANTS MANAGEMENT SECTION Gina Buccieri- Harrington, Assistant Director CRIMINAL JUSTICE /EMERGENCY MANAGEMENT & VICTIM SERVICES BRANCH Given Durling, Branch Manager CRIMINAL JUSTICE / EMERGENCY MANAGEMENT DIVISION John Isaacson, Division Chief EMERGENCY MANAGEMENT GRANTS UNIT John Thomas, Supervisor Cheryl McCorlde, Program Specialist Patti Delaney, Program Specialist Michelle Cruz, Program Specialist Director's Message The California Governor's Office of Emergency Services (Cal OES), as the leader in emergency management, continuously strives to protect lives and property, build capabilities, and support our communities for a resilient California. As a result of our (state government, its political subdivisions, and tribal nations) dedicated efforts and collaborative partnerships, under the Emergency Management Performance Grant (EMPG), we have undoubtedly made our communities safer and better prepared. It is through our jointly vested responsibility in emergency management that a robust system of emergency preparedness, for the protection of life and property from all hazards and threats, has been established in the State of California. This year, through the EMPG Program, we will continue to promote the advancement of both our collective, as well as individual security and emergency management efforts. In addition, our efforts will support the National Preparedness Goal's associated mission areas and core capabilities. Throughout the duration of the grant, Cal OES EMPG program specialists and emergency services coordinators will continue to be available to assist you in enhancing your emergency management programs, both grant related and operations - related, and I encourage you to contact them for their respective guidance and advice. We have much work ahead of us as we continue to plan for both the expected and the unexpected. California continues to be recognized as a national leader in emergency management and the dedicated staff at Cal OES will continue to work, collaboratively and in unison, with you to advance our combined efforts to promote safe and prepared communities with the strength to withstand, or rebound, from any event or emergency. To further our progress, I am pleased to present the Cal OES Fiscal Year 2014 Emergency Management Performance Grant Program -- California Supplement to the Federal Program Funding Opportunity Announcement, 1 Mark S. Chl][Aydneci. Director Table of Contents FEDERAL PROGRAM GUIDANCE ........................................................................................ ..............................1 INFORMATIONBULLETINS ................................................................................................ ..............................1 GRANT MANAGEMENT MEMORANDUIVIS .......................................................................... ..............................1 PURPOSE OF THIS SUBGRANT & GUIDANCE ..................................................................... ............................... l ELIGIBLESUBGRANT RECIPIENTS ..................................................................................... ..............................1 SUBRECIPIENTS / PASS - THROUGH ENTITIES ..................................................................... ..............................1 PERFORMANCEPERIOD ..................................................................................................... ..............................1 MATCHREQUIREMENTS ................................................................................................... ..............................2 ALLOCATIONS AND METHODOLOGY ................................................................................. ..............................2 EXCESSFUNDS ................................................................................................................. ..............................2 SUBGRANT TIMELINES / KEY DATES,, ...................................... .................................................... ................ 2 WHAT'SNEw? ............................................................. ............................... 3 EMPGPRommyi EMPHASIS ............................................................................................ ..............................3 APPLICANT RESPONSIBILITIES .......................................................................................... ..............................4 APPLICATIONDOCUMENTS ............................................................................................... ..............................4 OPTIONAL APPLICATION COMPONENTS ............................................................................ ..............................4 GOVERNINGBODY RESOLUTION ( GBR) ........................................................................... ..............................5 ADDENDUM TO GOVERNING BODY RESOLUTION ............................................................. ..............................5 OFFICIAL WRITTEN CORRESPONDENCE ............................................................................ ..............................5 GRANT CERTIFICATIONS AND ASSURANCES ..................................................................... ..............................5 NIMSADOPTION .............................................................................................................. ..............................6 APPLICATIONDUE DATE .................................................................................................. ..............................6 APPLICATIONSUBMITTAL ................................................................................................. ..............................6 EMPGPROGRAM SPECIALISTS ......................................................................................... ..............................6 MAILINGADDRESS.,, ........ _ ..................................................... ............... ............ ................... 6 APPROVALOF APPLICATION ............................................................................................. ..............................6 ADDITIONALFUNDS ......................................................................................................... ..............................7 APPLICABLE LAWS & REGULATI ONS ................................................................................ ..............................7 ENVIRONMENTAL PLANNING AND HISTORIC PRESERVATION (EHP) COMPLIANCE .......... ..............................7 FEDERALLY MANDATED OBJECTIVE INFORMATION ........................................................ ............................... 8 VALIDATING CAPABILITIES OBJECTIVE: DEVELOP AND MAINTAIN MULTI -YEAR TEPS . ............................... 9 VALIDATING CAPABILITIES OBJECTIVE: EXERCISE .......................................................... ..............................9 VALIDATING CAPABILITIES OBJECTIVE: TRAINING ......................................................... .............................10 TRAINING FEEDBACK NUMBER ........................................................................................ .............................11 SUBCONTRACT'S ............................................................................................................. ............................... I I SYSTEM FOR AWARD MANAGEMENT (SAM) ................................................... .... —..................................... 11 MAINTENANCE AND SUSTAINNCENT ................................................................................. .............................I1 UNALLOWABLECOSTS .................................................................................................... .............................12 SUPPLANTING................................................................................................................ ............................... 12 ACCESSIBILITY OF RECORDS ........................................................................................... .............................I2 REIMBURSEMENT OF ELIGIBLE COSTS ............................................................................. .............................12 GRANTMODIFICATIONS .................................................................................................. .............................12 PERFORMANCE REPORTS ................................................................................................. .............................13 CLOSEOUT....................................................................................................................... .............................13 RECORDSRETENTION ...................................................................................................... .............................13 FINALSUBGRANT REPORT ............................................................................................... .............................13 AUDITREQUIREMENTS .................................................................................................... .............................13 MONITORING SUBGRANT PERFORMANCE ........................................................................ .............................13 GRANT - RELATED DOCUMENTS: • FINANCIAL MANAGEMENT FORMS WORKBOOK (FMFW) - (REQUIRED) • GOVERNING BODY RESOLUTION (GBR) & ADDENDUM TO GBR — (REQUIRED) • GRANT CERTIFICATIONS AND ASSURANCES — (REQUIRED) • FY2014 EMPG APPLICATION CHECKLIST — (REQUIRED) • EXCESS FUNDS STATEMENT FORM — (OPTIONAL) • ADDITIONAL PROJECT USING EXCESS FUNDS FORM — (OPTIONAL) • ADDITIONAL PROJECT USING EXCESS FUNDS DETAILED BUDGET FORM— (OPTIONAL) • HOW TO SUBMIT ANI EMPG MODIFICATION REQUEST — (INSTRUCTIONAL) • HOW TO SUBMIT AN EMPG REIMBURSEMENT REQUEST — (INSTRUCTIONAL) 'All documents can be located on Cal OES' website at: littp : / /www.cilDcs.ca,_ov/FSvIS- ITS- HazNlat /P �es/EmerPeucy- Manaeement- Perfo nuance- Grant - Documents. asi�x.. Federal Program The U.S. Department of Homeland Security (DHS) published the Fiscal Year 2014 Guidance Emergency Management Performance Grants (EMPG) Program, Funding Opportunity Announcement (FOA) on March 10, 20142, Information DHS issues Information Bulletins that provide updates, clarification, and requirements Bulletins throughout the life of the grant 3, Grant Cal OES issues Grant Management Memorandums (GMMs) that provide additional Management infm-tnation regarding EMPG funds 4. Memorandums Purpose of this The purpose of the Emergency Management Performance Grant (EMPG) Program is to Subgrant & provide federal funds to states to assist state, local, and tribal governments in preparing for all Guidance hazards. Funds provided under the EMPG must be used to support activities that contribute to the Operational Area's capability to prevent, prepare for, mitigate against, respond to, and recover from emergencies and disasters, whether natural or man -made. This California Supplement to the Federal Program Funding Opportunity Announcement will provide the Operational Areas (OAs) with guidance and forms to apply for, perform, and closeout the FY14 EMPG subgrant. This supplemental guide specifies the performance period, objectives, eligible activities, and other subgrant - related information and requirements. This document is to supplement the U.S. Department of Homeland Security FY14 EMPG Program Funding Opportunity Announcement. Eligible Subgrant The eligible subgrant recipients are the 58 county Operational Areas (OAs). The Tribal Recipients Guidance will be issued under separate cover. (Subgrantees may contract with any other public or private organizations to perform eligible activities on approved projects.) Note: Cal OES is the `grantee'; the county is the `subgrantec'; and the county's pass - through entities are the `subrecipients'. Subrecipients / Anytime grant funds are given to a subrecipient/p ass- through entity, such as a political Pass- Through subdivision (city, town, or special district) or federally - recognized tribe, the county must Entities ensure that the Assurances and Certifications of this subgrant are included as part of the subgrant agreement with the subrecipient/pass- through entity. Performance The performance period for FYt4 EMPG is July 1, 2014 through June 30, 2015. Period Pending receipt of all valid application materials, subgrantees may request retroactive reimbursement of Financial Management Forms Workbook (FMF4) approved activities and budgeted items to the start of the performance period listed above; with the exception of Equipment. Procurement of equipment shall occur only after the OA is in grant award, and any applicable federal requirements have been met. z U.S; Departmant of Homeland Security FY14TOWPGProgrone Funding Opportu?WyAnnouncement maybe viewed and downloaded at: Information aulletins may be obtained at: tutu , / wvi / fema..r;,ov /grants -Tz - programs- directorate - information �t GN1bLs call be located at: Irttir / /www.caloes ca gov/ EMS• FIS- T, -I�. MaUPages /Grant- Mau�gemeot- Meinos.asnx. [1] Match The FYI EMPG requires a dollar- for - dollar match. This can be cash or in -kind. Refer to 44 Requirements Code of Federal Regulations (CFR), Part 13,24 for specific details, Allocations and California will subgrant a total of $15,481,623 to Operational Areas. The local allocations Methodology were determined using a $125,000 base award, with remaining funds distributed using per capita figures in the Department of Finance's yearly report called: E -I: City /County Population Estimates with Annual Percent Change' Excess Funds While developing an application, if it is determined that all allocated funds cannot be expended by the end of the performance period and the need to return a portion of funds to Cal OES exists, than it will be necessary to complete the Excess Funds Statement Form 6. These funds can then be reallocated to other OAs who have identified one -time projects they would like to undertake; if funding is available. Subgrant Timelines / Ivey Dates March 10, 2014 DHS releases announcement of FY 14 EMPG April 9, 201 .4 Cal OES' Application due to DHS July 1, 2014 Sub grantee Performance Period Begins July 1, 2014 FY14 EA1PG California Supplement to the Federal Program Funding Opportunity Announcement released Jul 8, 9, 11, 15, 22, 25, 29, 2014 EN G Aon Worhs August 21, 2014 The OA's completed /vetted applications must be received by Cal OES Grants Management Section Program Specialist by this date September 30, 2014 DHS awards grant funds to Cal OES September 30, 2014 MY -TEPs due to be submitted October 14, 2014 Performance Report due to Program Specialist lbr 7/1/14 - 9/30/14 October 14, 2014 Anticipated date that OAs will be notified of a lication approvat and award January 14, 2015 Performance Report due to Program Specialist for 7/l/2014-- 1213l/2014 April 14, 2015 Performance Report due to Program Specialist for 7/1;2014— 3/31/2015 June 30, 2015 Subgrantee performance period ends, All subgraut activities must be completed) and all rant funds expended July 14, 2015 Final Performance Report due to Program Specialist for 7/1/2014 — 6/90/2015 July 14, 20'15 Final Reimbursement Request due to Program Specialist _ September 30, 2015 Cal OES' Federal Performance Period Ends s This roport can be accessed at the following website: fittp. / /wwev,doEca.ov /eesoarc t/ detnoarhiche estiinaEcs /e,l/v_tew. hp. This Perm can be located at: Mp;//ww N, cakies.oa.aoy /EMS- HS- HazMa¢;1'ageslEmer ene - nnneornenc- Per•foi.nanee- vra�;,; Z7oc:uments.ast3x, under F 14 LMPG Optional Application Forms. [2] What's New? • The Cal OES Strategic Plan Goals have been updated. • The EMPG specific FMFW has been revised, to include dropdown menu options on the Project Descriptions Tab. + SAFECOM requirements — Subgrantees (including their subrecipients) who receive awards under the EMPG that wholly or partially provide funding for emergency communication projects and related activities shall comply with the most recent version of the SAFECOAt Guidance on Emergency Communications Grants.? • Where, and to whom, all official Cal OES written notification will be mailed within a subgrantee's organization has been revised. • The EMPG Performance Report form has been revised to capture additionally required information for federal reporting purposes. • EMPG - funded personnel can no longer utilize participation in one real -world event in lieu of participating in one of their three required exercises within a 12 -month period. EMPG The FY14 EMPG Program will focus on the building, sustainment, and delivery of all- hazards Program emergency management capabilities in the following areas: Emphasis • Planning • Organization • Equipment Acquisitions • Training • Exercises • EOC Construction and Renovation • Maintenance and Sustainment The FY14 EMPG Program plays an important role in the implementation of the National Preparedness System (NPS)8 by supporting the development and sustainment of core capabilities. Core capabilities are essential for the execution of each of the five mission areas outlined in the National Preparedness Goal (NPG). The development and sustainment of these core capabilities are not exclusive to any single level of government or organization, but rather require the combined effort of the whole community. The FY14 EMPG Program supports all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs. 'The SXFECOM Guidance on Emergency Commarnlcalions Grants can be located at: http: /wwwsafecommog *ramgov /c /2013 sarecom guidance feb 72 fmaL�df n The Natioual Preparedness System can be located at; //u www,frma.l*ov /n<ltional -p �arednoss- system [31 Applicant The applicants' responsibilities are to: Responsibilities 1. Submit a finalized FMFW application, both electronic copy and hard copy, to their Cal OES EMPG Program Specialist by August 21, 2014 along with all other required application components. Note: An electronic copy of the proposed FMFW shall be submitted for Program Specialist review and vetting prior to submission of signed hard copy original. The electronic copy of the FMFW should be submitted for Cal OES review by no later than August 4, 2014. 2. Comply with all certifications and assurances contained in the Grant Assurances submitted with the FY14 EMPG application. In addition, if the OA subgrams funds to other entities, their subgrant agreements /contracts must also include these same assurances and certifications; along with any local requirements. 3. Prepare and submit timely Performance Reports for the duration of the performance period. 4. Maintain financial management systems that support subgrant activities in accordance with Title 44 CPR, Part 13.20, ._ . 5. Submit revision requests to Cal OES R!jU to incurring any associated expenditures; if changes are required after the initial subgrant award. Further details are included in this guidance under "Grant Modifications." 6. Deobligate unexpended subgrant funds to Cal OES after all work has been completed and reimbursements have been disbursed. 7. Maintain property, programmatic, and financial records in accordance with the grant record retention requirements. 8. Comply with the audit requirements in (OMB) Circular A -133, and Title 44 CFR Part 13,26, 9. Complete all EMPG requirements associated with federal and state objectives; including but not limited to, staff training and exercises. 10, Submit all grant - related paperwork including: Performance Reports, Reimbursement Requests, Modification Requests, and Amendments, by the identified due dates. 11. Comply with Title 44 CFR Part 13, Title 2 CFR Part 225, and FEIVLS Grant Programs Directorate (GPD) Polices. Application The application must include the following five components: Documents 1. Financial Management Forms Workbook (FMFW) 2, Governing Body Resolution (GBR) 3. Addendum to Governing Body Resolution 4. Grant Certifications and Assurances 5. FYI Emergency Management Performance Grants Application Checklist Optional Excess Funds Statement Form - While developing an application, any excess funds should Application be identified and returned to Cal OES so that the funds can be reallocated to other Components Operational Areas. In this case, it will be necessary to complete and submit the Excess Funds Statement Form to your Program Specialist by the application due date. Additional Project Us ng Excess Funds Form and Additional Project Using Excess Funds Detailed Budget - These two forms are to be used for requesting additional finding; should it become available. 'Application components can be found on the Cal OES website on the Emergency Management Performance Grants Documents page at: ham: / /www caloes.ca,goy/PMS FCS- ItazMat/ Pages /emergency- Management -1 ' erPormanca- Grant - Document ,ash. [4] Governing The Governing Body Resolution (GBR) appoints agents authorized to execute any actions Body necessary under this subgrant. GBRs can be used for up to three years as long as the majority of Resolution the original approving Board members (three out of five) are still ciuTently on the Board. If past (GBR) GBRs are going to be utilized for present applications, then the OA will still need to submit a copy with their application. Universal GBRs are strongly encouraged; this refers to a GBR that does not identify a specific grant award amount, specific giant years, and does not identify a specific grant program by name. Addendum to For each person or position appointed by the governing body, submit the following information Governing to Cal OES, along with the Resolution, on the applicant's letterhead: Body • Name e Title Resolution e Jurisdiction e E -Mail Address • Street Address, City, & Zip Code r Phone and Fax Number(s) Note: Changes identifying the Authorized Agent can be made if and when necessary. If the Governing Body Resolution identifies the Authorized Agent by name, a new Resolution and corresponding Addendum to the GBR are needed when any changes are made. If the Governing Body Resolution identified the Authorized Agents by position and /or title, changes can be made by only submitting a new Addendum to the GBR. Cal OES will not accept signatures of an Authorized Agent's designee. Official Written For the EMPG Program, all official written correspondence from Cal OES will be mailed to the Correspondence payment mailing address, identified on the Grant Award Face Sheet, and addressed to the Authorized Agent who signed the Grant Award Face Sheet. Grant The Grant Certifications and Assurances Forma lists the requirements to which the OA will be Certifications held accountable. OAs are required to file a new Grant Certifications and Assurances form with and Assurances the FYI EMPG application. Failure to comply with any of the Certifications and Assurances may result in suspension, termination, or reduction of grant fonds. The State may suspend or terminate subgrant funding, in whole or in part, or other measures may be imposed for any of the following reasons: • Failing to expend funds in a timely manner consistent with the grant milestones, guidance, and assurances • Failing to comply with the requirements or statutory objectives of federal or state law • Failing to make satisfactory progress toward the goals or objectives set forth in the subgrant application • Failing to follow grant agreement requirements or special conditions • Proposing or implementing substantial plan changes to the extent that, if originally submitted, the application would not have been selected for funding • Failing to submit required reports on time • Providing false certification in the application or other report or document • Failing to adequately manage, monitor, or direct the grant funding activities of their subrecipients • Failing to submit a Reimbursement Request Before taking action, the State will provide the subgrantee reasonable notice of intent to impose corrective measures and will make every effort to resolve the problem informally. [51 NIMS Adoption In accordance with the Homeland Security Presidential Directive (HSPD) -5, Management of Domestic Incidents, the adoption of the National Incident Management System (NIMS) is a requirement to receive federal preparedness assistance, through grants, contracts, and other activities. The Certification and Assurances Form includes NIMS adoption for certifying compliance. This certifies that the OA will complete the NIMS Implementation Tool, is working on their ractrics, and has adopted NIMS. For further details and /or assistance regarding NIMS - related matters contact Nate Ortiz at nate,ortizri�caloes.ca,gov, (91.6) 845 -8799; or Cindy Shipley at c, ntluashi lev r2caloes.ca,gov, (916) 845. 8753. Application Due The application must be received by Cal OES no later than 5:00pm on Aupnst 21.201.4. Date Application The completed original hard copy of the FMFW and all other application components must be Submittal mailed with original signatures, with enough time to be received by Cal OHS' Grants Management Section by the Application Due Date. Signatures should be in ink. OAs will also submit an electronic copy of the completed FMFW to their Program Specialist. All application materials must be received by Cal OES Grants Management Section by August 21, 2014 at 5:00pill. Note: To streamline the process, electronically submit the completed FMFW to your EMPG Program Specialist prior to submitting a signed hard copy, in order to identify any corrections that may need to be addressed. The electronic copy of the FMFW should be submitted for Cal OES review by no later than August: 4, 2014, Work closely with your Program Specialist10 to ensure that all application documents are complete and accurate. Further, EMPG Program Specialists (Grant Management Staff) are available to assist in any EMPG- related matters. If the application is received with errors or is incomplete, this will cause a delay in receiving your award letter by October 2014. Subgrantees must receive the grant award letter prior to drawing clown any grant funds. EMPG Grant iYlanagement Staff: Program Southern Region— Cheryl McCorkle: oheryLmecorlcle (6,caiocss,ca.gov, (916) 845 -8415 Specialists Inland Region —Patti Delaney; patti.ddgggy ,caloes.ea.gov, (9'1.6) 845 -8469 Coastal Region— Michelle Cruz: ntichel e.crc z n'<ealo s- ca,gov, (916) 845 -8383 Mailing Cal OES Address Emergency Management Grants Unit (EMGU) 3650 Schriever Avenue Mather, CA 95655 Approval of Cal OES will notify the OA, in writing, of the approved application, award amount, and Application perfonnance period. Subgrantee reimbursements will not be made until all required application components have been approved by the State. to Emerptiq Management Grants Unit contact information: huw//www.calema.ca gov /ENIS- HS- Hna.,k a( Pft�e „v nereeuoy- Mana�ement- Peiformance- Uea <it- Doauruents.as under the Treading of EMPG Reference Urks, titled Cal OES Grant SEaCf Regicual Assie meat Map, [6] Additional In order to reallocate any identified excess, declined, or deobligated funds, we are asking the Funds OAs to submit one -time EMPG eligible projects that they can fully execute in a 2 -5 month period, as well as, within the subgrant performance period. The Additional Project Using Excess Funds Form and Additional Proiect Using Excess Funds Detailed Budget should be submitted if you are interested in additional funds . If selected for fandin the applicant will be required to submit an FMFW Modification Request and an Amendment Form that will comprehensively integrate the approved excess funds project(s), both financially and progranunatically, into their existing, approved FMFW application. These docuunents need to be submitted within 15 days of being notified; or funds may be re- directed to some other project(s). Additional funding requests may be submitted at any time but preferably during the application phase. Applicable OAs must ensure that local and internal departments are aware of the following laws, Laws & regulations, and guidance documents that apply to this subgrant: Regulations • Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended • Office of Management and Budget (OMB) Circulars A -87, A -102, A -133 at: hLtl w/ GV.whitehouse.eov /omb /circulars /index html • Title 44 Code of Federal Regulations Part 13 • California Emergency Services Act, Chapter 7 of Division 1 of Title 2 of the Government Code — provides the legal basis for Emergency Management activities in California • Government Code Section 8607 describes the Standardized Emergency Management System • California Supplement to the Federal Program Funding Opportunity Announcement provided by Cal OES • FY 2014 Emergency Management Performance Grants (EMPG) Funding Opportunity Announcement (FOA), issued by the U.S. Department of Homeland Security (DHS): Federal. Emergency Management Agency (FEMA) • FEMA Grant Programs Directorate (GPD) Polices Environmental FEMA is legally required to consider the potential impacts of all grant - funded projects on Planning and environmental resources and historic properties. For the EMPG Program and other preparedness Historic grant programs, this is accomplished through FEN/IA's Environmental Planning and Historic Preservation Preservation (EHP) review. Any project with the potential to impact natural or biological resources, or historic properties, or involves installation, or that involves Emergency Operation (EHP) Center construction and renovation cannot be initiated until FEMA has completed the required Compliance EHP compliance review. Subgrantees that implement projects prior to receiving EHP approval from FEMA risk de- obligation of funds. Subgtantees who are proposing communication tower projects are encouraged to complete their Federal Communications Commission (FCC) EHP process prior to preparing their EHP review materials for the Grants Program. Directorate (GPD), and to include their FCC EFIP materials with their submission to GPD. EMPG Program projects that involve the installation of equipment; ground- disturbing activities; new construction, including communication towers; or modification/renovation of existing buildings or structures must undergo a FEMA EHP review. n These forms can be located at: Mt //wV V v.caloes.ca.epv /EMS- 1�S- ,I- ,TazMat /Pa es mgr encv-Mauaeemeut- Performance- Grant- Doeumants.astLK, under FY 14 EMPG Optional Application Forms. [7j Environmental Furdiennore, for those proposed constriction or renovation projects that are part of larger Planning and projects funded from a non -FENIA source (such as an Emergency Operation Center that is part Historic of a larger proposed public safety complex), a FEMA EHP review must be completed before the Preservation larger project is initiated. (EHP) For these types of projects, subgrantees must complete the FEMA EHP Screening Form (OMB Compliance, Number 1660- 0115 /FEMA Form 024 -0 -01) and submit it, with all supporting documentation, to Continued Cal OES. Note: Subgrantees should submit the FEMA EHP Screening Form for each applicable project as soon as possible upon receiving their grant award. However, to ensure that ample time exists to allow for the FEMA EHP review and approval process, as well as the subsequent execution of the grant- funded project, all subgrantee EHP- related documents must be received by Cal OES no later than January 30, 2015. Exceptions to this due date will be at the discretion of Cal OES, based on exceptional circumstances and/or compelling justification. Refer to IBs 329, 345, 356, and 371 (located at: http: / /www.fema.goy /grants/ ru ant_proarams- directorate- information - bulletins) for further details on EHP requirements. The EHP Screening Form can be downloaded at: http / /www.fema,gov /doc /government /grant /bulletins /info329 final screening memo.docx. Forward completed EHP documents electronically to the appropriate Cal OES EMPG Program Specialist. The following activities would not require the submission of the FEMA EHP Screening Form: planning and development of policies or processes; management, administrative or personnel actions; classroom -based training; tabletop exercises; and acquisition of mobile and portable equipment (not involving installation). Projects initiated without proper EHP review will not be Ended. Projects that were initiated or completed before an EHP review was concluded, using EMPG Program funds, will be deobligated. To avoid unnecessary delays in starting a project, subgrantees are encouraged to pay close attention to the reporting requirements for an EHP review. Federally Validating Capabilities, Priority Objective, and Performance Measures,2 Mandated To address the EMPG priorities, an objective has been identified and given a set ofperformance Objective measures and associated reporting requirements to determine how effective subgrantees are in Information utilizing EMPG Program funding to prepare for all hazards, and advance a whole community approach. With these measures, subgrantees must evaluate their progress toward achieving the stated objectives in the quarterly EMPG Performance Report and in compliance with all reporting requirements. "The Federally Mandated Objaotives can be located in the FY 2014 EMPG Funding Opportunity Announcement, Appendix A -FY 2014 EMPG Program Priorities, pages 23 -27 at: http: / /vvww.Cema.eov/ media -libr &try- data/1398433298042- 181 Validating SubgranteeRequirements: Capabilities Obiective: 1. All subgrantees are required to develop a Multi -Year Training and Exercise Plan (TEP) Develop and that incorporates linkages to the NPG core capabilities and update it annually. The Multi - Year TEP shall encompass the period of January 1, 2015 — December 31, 2016. Maintain Multi- 2. The TEP must be submitted to the Cal OES Exercise Division POCs and EMPG Program Year TEPs Specialist by September 30, 2014. Note: TEPs shall be e- mailed to Cal OES Exercise Division Point of Contacts (POCs), with a copy to their EMPG Program Specialist (Grant Management Staff) no later than September 30th each year. Exercise POCs listed below are available for assistance, if needed, in any exercise - related matters. • Southern Region— Nick Lowe: nicholasJowe@caloes.ca.gov • Inland Region —Duane Valenzuela: duane.yalenzuelaLi)catoes.ca.<>ov • Coastal Region— Kevin Leisher: kevin.leislter(Dccaloes.ca.rrov Measurement Method: • Submission to Cal OES of an updated Multi -Year TEP, Reporting: Additional information and guidance related to AAR/IPs and the National Exercise Program (NEP) Base Plan can be found on the HSEEP website at https: / /hseep.dhs,gov. Questions regarding HSEEP guidance may be directed to hseep @femaAhs.aov. For HSEEP Toolkit technical support, contact the HSEEP helpdesk at sipport@hscep.net, 877 -612 -4357. Note: It is acceptable to submit an Exercise Summary Report for Seminars and Workshops in lieu of a full AAR/IP. E -mail the copies of the AAR/1Ps to your EMPG Program Specialist. 191 • Subgrantees must report in the EMPG Performance Report their compliance with submitting an updated Multi -Year TEP to Cal OES. Validating 1. All EMPG Program- funded personnel shall participate in no less than three exercises in Capabilities a 12 -month period. This 12 -month period shall be the subgrant performance period of Objective: July 1, 2014 — June 30, 2015, regardless of time extensions. EMPG grant- funded Exercise personnel are any personnel paid at any percentage with EMPG funding, including M &A staff. There is no specific requirement for level of "participation' in the exercises; so, observation and attendance satisfies the objective. The exercises can be of any type (e,g., Drills, Tabletop Exercises, or Functional Exercises) within the performance period (see hops: //hseeti, dhs -gov). 2. An After Action Report/Improvement Plan (AAR/IP) must be completed by the host of each EMPG- funded exercise and submitted to hseep(ct�,fema.dhs.arov_, and a copy sent to your EMPG Program Specialist within 90 days after the completion of an exercise. 3. A summary of all collected corrective action items and the tracking of their implementation shall be reported as part of the EMPG quarterly reporting. Additional information and guidance related to AAR/IPs and the National Exercise Program (NEP) Base Plan can be found on the HSEEP website at https: / /hseep.dhs,gov. Questions regarding HSEEP guidance may be directed to hseep @femaAhs.aov. For HSEEP Toolkit technical support, contact the HSEEP helpdesk at sipport@hscep.net, 877 -612 -4357. Note: It is acceptable to submit an Exercise Summary Report for Seminars and Workshops in lieu of a full AAR/IP. E -mail the copies of the AAR/1Ps to your EMPG Program Specialist. 191 Validating A summary of all collected corrective action items and a tracking of their implementation shall Capabilities be reported as part of the EMPG quarterly reporting. FEMA encourages the use of the Homeland. Obieetive' Security Exercise and Evaluation Program (HSEEP), Exercise, Exercise Division staff are available for assistance with any exercise - related questions or Continued matters. Measurement Method: • Percent of exercises participated by the OA's EMPG-funded personnel. • Submission of an AARAP completed by the host of the EMPG - funded exercises. Reporting: • Subgrantees must report quarterly in the EMPG performance report, the percent completed of the exercise requirements for the EMPG - funded personnel. • Subgrantees must submit kAR/lPs for each EMPG - funded exercise, if the exercise is hosted by the subgrantee, AARIIPs will be completed by the host of the exercise. Participants do not have to individually complete an AAR/IP. Validating Training activities supported with EMPG Program fronds should strategically align to the NPG Capabilities core capability identified in the Multi -Year TEP. To ensure the development of a professional Objective: emergency management workforce all EMPG grant - funded personnel shall complete 11 training Trajtijng requirements and record proof of completion. EMPG grant- funded personnel are any personnel paid at any percentage with EMPG funding. This includes M &A staff funded by EMPG Program funds. All EMPG Program funded personnel shall complete the following training requirements by June 30, 2015. National Incident Management System NNIIMS Training: IS I OO.b Introduction to Incident Command System (ICS) IS 200.b ICS for Single Resources and Initial Action Incident IS 700.a National Incident Management System, An Introduction IS 800h National Response Framework, An Introduction FEMA Professional Development Series IS 120.a Introduction to Exercises IS 230.d Fundamentals of Emergency Management IS 235,b Emergency Planning IS 240.a Leadership and Influence IS 241.b Decision Malting and Problem Solving IS 242.b Effective Communication IS 244.b Developing and Managing Volunteers The aforementioned listed courses are available on -line and at no cost from the Emergency Management Institute (EMI) at the following links: hito' /!train n;. fema.gov/IS/IVIMS.aslnx & litto:/ /training.foina.gov /cmiweb /PDS/ Note: The "G" course series and classroom -based equivalents can be used as an alternate to satisfy these training requirements. Past completion of the above courses (or qualifying equivalent) is considered acceptable in meeting this requirement. Recorded proof of completion, [10] Validatlns such as certificates of completion, must exist and be kept on file by the subgrantee and be made Capabilities available for review upon request. Obiective: MeasurementAlethod: Training Continued Percent of EMPG grant- funded personnel completing the previously identified 11 required training courses. Reporting: Subgrantees are required to share with Cal OES a TEP that includes an exercise plan and schedule, and a plan for training personnel. Information related to TEPs can be obtained by consulting Cal OES' Exercise Division POC. Submission of a list of EMPG grant- funded personnel along with the training and dates completed is to be included in the EMPG Program quarterly Performance Report. Training In order for EMPG Program hinds to be utilized for training- related purposes, subgrantees must Feedback first obtain a Training Feedback Number. Training Feedback Numbers must be obtained no later Number than thirty (30) days prior to the training event. To be considered for a Training Feedback Number, subgramees must complete a Training Request Form and submit it electronically to Cal OES. Training Request Forms can be obtained at the following link: htto:// www. calema .ca,gov /TraicringandExercises /Paces /Trainine- .Request- Lorinas 2� For Training Request Form or Training Feedback Number assistance contact Johnie Garrett at 'olnr. arrett caloes,ca,gov. Subcontracts Any time funds are given to a contractor, the local jurisdiction must ensure that all contract provisions of this subgrant are included as part of the contractual agreement with the contractor The OA must monitor and ensure that the contractors are adhering to all applicable federal and state laws. The OA must not make or permit any award (subgrant or contract) at any tier to any party that is debarred, suspended, or otherwise excluded from, or ineligible for participation in federal assistance programs, such as the EMPG. Subgrantees must obtain documentation of eligibility prior to any subaward of EMPG fiords and be prepared to present supporting documentation to monitors. System for The System for Award Management (SAKI) includes information regarding entities debarred, Award suspended, proposed for debarment, excluded or disqualified under the non - procurement Management common rule, or otherwise declared ineligible from receiving federal contracts, certain subcontracts, and certain federal assistance and benefits. Contractor disbarment verification can (SAM) be obtained from the following website: https://www.sam,gov, Maintenance The use of ENIPG Rinds for maintenance contracts, warranties, repair or replacement costs, and upgrades, licenses, and user fees are allowable under all active and future grant awards, unless Su5taitlment otherwise noted. With the exception of maintenance plans purchased incidental to (i.e., at the same time and under the same grant award as) the original purchase of the system or equipment, the period covered by a maintenance agreement or warranty plan must not exceed the period of performance of the specific grant fiords used to purchase the plan or warranty, and address the requirements identified in FENIA Information Bulletin (TB) 379. [11] Unallowable O Expenditures for weapons systems and ammunition Costs • Costs to support the hiring of sworn officers for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities • Activities unrelated to the completion and implementation of the EMPG Program Supplanting Grant fiords must be used to supplement existing funds, not replace (supplant) funds that have been appropriated or budgeted for the same purpose through non - federal sources, h-1 the event that supplanting is suspected, the subgr<antee will be required to supply docuunentation demonstrating or certifying that a reduction in non - federal resources occurred for reasons other than the receipt, or expected receipt, of federal funds. Accessibility of The federal Department of Homeland Security, the DHS Office of Inspector General, the Records Comptroller General of the United States, Cal OES, and any of their authorized representatives, shall have the right of access to any books, documents, papers, or other records which are pertinent to the subgrant, in order to make audits, monitoring reviews, examinations, excerpts, and transcripts. The right of access is not limited to the required retention period but shall last as long as the records are retained. Refer to Title 44 CFR Parl 13,42 for more information about accessibility of records. Reimbursement The EMPG is a reimbursement grant and therefore no cash advances are permitted under the of Eligible Costs EMPG, The EMPG funds will be disbursed on a reimbursement basis, using the FMFW. Follow the Workbook instructions for Reimbursement Requests 13 and submit the signed forms to your EMPG Program Specialist. It can take between six to eight weeks to receive payment after the Grants Management Section receives a valid and complete Reimbursement Request. It is strongly recommended that copies of all documents adding up to the total of each Reimbursement Request be retained to make verification by monitors and /or auditors easier, Cal OES may require submittal of these documents at any time. Grant Post award budget, scope, and other modifications must be requested using the Cal OES FMFW Modifications and be signed by the subgrantee's Authorized Agent. A hard copy must be submitted to Cal OES and approved by Cal OES' Grants Management Section, prior to initiating any revised scope of work or incurring the associated expenditures. The OAs may submit modifications to Cal OES once per quarter (hiring the performance period. Failure to submit modifications and receive approval prior to expenditure could result in a reduction or disallowance of that part of the subgram, Instructions on how to submit a Modification Request are available at the link identified in the footnote, t4 The Reimbursement Request instructions can be located at: htttr /ww;caloes.ca.eov/ EMS- HS- HazMatlPages /Emereencv ;Maw ement- Perfamaouc- Grant- Documents.nsn.e. "The Modification Request instructions can be located at: littp-.i/www.caloes.ca.eov/ EMS- IIS- 1•Iaz't\dat /Pages /Lmeraency- Management- Petrforrvane e�-Grant- Documents.aspx. [1.21 Performance Subgrantees must prepare and submit Performance Reports to the State for the duration of the Reports grant performance period, or until all grant activities are completed and the grant is formally closed by Cal OES, The report must include the progress made on identified activities, as well as other required information and data. Failure to submit a Performance Report could result in subgrant reduction, termination, or suspension. Subgrantees roust also complete a Biannual Strategy Implementation Report (BSIR) using the DHSIFEMA Grants Reporting Tool (GRT). To obtain access to the online GRT, log on to their website at www.reporting.odp.dhs.gov. To create a new account, follow the instructions that read, "If you need to register for an account, please click here." For additional assistance with the GRT, contact: Gina Joaquin at oinajoaquin0),caloes.ca.aov, (916) 845 -8647. Closeout The State will close a subgramee award after: • Receiving a subgrantee Performance Report indicating that all approved work has been completed, and all funds have been disbursed • Completing a review to confirm the accuracy of reported information • Reconciling actual costs to awards, Modifications, and payments If the closeout review and reconciliation indicates that the subgrantee: • Is owed additional funds, the State will send the final payment automatically to the subgrantee • Did not use all funds received, the State will issue a deobligation amendment, invoice or letter to recover unused funds • Did not expend all obligated grant funds, the State will require that a Grant Award Amendment be done to deobligate the unspent funds and revert them back to the State Records Specific requirements for record retention can be found in Title 44 CFR Part 13.42. In the Retention Grant Closeout Letter, the State will notify the subgrantee of the start of the record retention period for all programmatic and financial grant- related records. Final Subgrant Cal OES will review the OA's final Performance Report for compliance with all subgrant Report conditions. The final Performance Report is due to Cal OES by July 14, 2015 (unless the subgrant performance period is extended) and will serve -,is the final subgrant report. Audit The OAs, and their subrecipients, must comply with the audit requirements contained in OMB Requirements Circular A -133 and Title 44 CFR Part 13.26. Monitoring The State may perform periodic reviews of the OA's subgrant performance. The Monitoring Subgrant Division is actively conducting monitoring visits, both desk review and on -site, among Performance subgrantees. These reviews may include, but are not limited to: • Comparing actual subgrant activities to those approved on the Financial Management Forms Workbook • Confirming compliance with: — Grant Assurances — Information provided on the Performance Reports • Reviewing and monitoring financial and administrative records [13] EXHIBIT "D" 1FY14 Emergency Management Performance Grant Agreement Articles, Assurances, Certifications, Terms, and Conditions FEDERAL AGREEMENT ARTICLES Article I - Administrative Requirements The administrative requirements that apply to most DHS award recipients through a grant or cooperative agreement arise from two sources: 1) Office of Management and Budget (OMB) Circular A -102, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments (also known as the "A -102 Common Rule "), found under DHS regulations at Title 44, Code of Federal Regulations (CFR) Part 13, "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments. 2) OMB Circular A -110, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non - Profit Organizations, relocated to 2 CFR Part 215. The requirements for allowable costs /cost principles are contained in the A -102 Common Rule, OMB Circular A- I10 (2 CFR § 215.27), DHS program legislation, Federal awarding agency regulations, and the terms and conditions of the award. The four costs principles that apply to DHS award recipients through a grant or cooperative agreement originate from the following sources: - OMB Circular A -21, Cost Principles for Educational Institutions, relocated to 2 CFR Part 220. - OMB Circular A -87, Cost Principles for State, Local, and Indian Tribal Governments, relocated to 2 CPR Part 225. - OMB Circular A -122, Cost Principles for Non -Profit Organizations, relocated to 2 CPR Part 230. - OMB Circular A -133, Audits of States, Local Governments and Non - Profit Organizations; origination of audit requirements for State, Local and Tribal recipients of DHS awards. Article H - DHS Specific Acknowledgements and Assurances All recipients of financial assistance must acknowledge and agree -and require any subrecipients, contractors, successors, transferees, and assignees acknowledge and agree -to comply with applicable provisions governing DHS access to records, accounts, documents, information, facilities, and staff. 1. Recipients must cooperate with any compliance review or complaint investigation conducted by DFIS. 2, Recipients must give DHS access to and the right to examine and copy records, accounts, and other documents and sources of information related to the grant and permit access to facilities, personnel, and other individuals and information as may be necessary, as required by DHS regulations and other applicable laws or program guidance. 3. Recipients must submit timely, complete, and accurate reports to the appropriate DHS officials and maintain appropriate baclaip documentation to support the reports. 4. Recipients must comply with all other special reporting, data collection, and evaluation requirements, as prescribed by law or detailed in program guidance. 5. If, during the past three years, the recipient has been accused of discrimination on the grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status, the recipient must provide a list of all such proceedings, pending or completed, including outcome and copies of settlement agreements to the DHS awarding office and the DHS Office of Civil Rights and Civil Liberties. 6. In the event any court or administrative agency makes a finding of discrimination on grounds of race, color, national origin. (including limited English proficiency), sex, age, disability, religion, or familial status against the recipient, or the recipient settles a case or matter alleging such discrimination, recipients must forward a copy of the complaint and findings to the DHS Component and /or awarding office. The United States has the right to seek judicial enforcement of these obligations. Initials Article HI - Lobbving Prohibltious None of the funds provided under an award may be expended by the recipient to pay any person to influence, or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any Federal action concerning the award or renewal of any Federal contract, grant, loan, or cooperative agreement. 'These lobbying prohibitions can be found at 31 U.S.C. §1352. Article IV - Acknowledgement of Federal Fmrding from D11S All recipients of financial assistance must comply with requirements to acknowledge Federal fiinding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with Federal funds. Article V - Copvrizht All recipients of financial assistance will comply with requirements that publications or other exercise of copyright for any work first produced under Federal financial assistance awards hereto related unless the work: includes any information that is otherwise controlled by the Government (e.g., classified information or other information subject to national security or export control laws or regulations). For any scientific, technical, or other copyright work based on or containing data first produced under this award, including those works published in academic, technical or professional journals, symposia proceedings, or similar works, the recipient grants the Govermuent a royalty -free, nonexclusive and irrevocable license to reproduce, display, distribute copies, perform, disseminate, or prepare derivative Nvorks, and to authorize others to do so, for Government purposes in all such copyrighted works. The recipient must affix the applicable copyright notices of 17 U.S.C. § 401 or 402 and an acknowledgement of Government sponsorship (including award ntunber) to any work first produced under an award. Article Vl - Use of DHS Seal, Logo and Flags All recipients of financial assistance must obtain DFIS's approval prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, includuig use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials. Article V11 - Activities Conducted Abroad All recipients of financial assistance will comply with the requirements, and must ensure, that project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, or approvals are obtained. Article 111:1 - Fly America Act of 1994 All recipients of financial assistance must comply with the requirements of the Preference for U,S. Flag Air Carriers: Travel supported by U.S. Government funds requirement, which states preference for the use of U.S, flag air carriers (air carriers holding certificates under 49 U. S.C. § 41102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision 8138942. Article 1X - GPD -Drug -Free WorkulaceRegulations All recipients of financial assistance must comply with the requirements of the Drug -Free Workplace Act of 1988 (412 U.S.C. § 901 et seq.), which requires that all organizations receiving grants from any Federal agency agree to maintain a drug -free workplace. The recipient must notify the awarding of ice if an employee of the recipient is convicted of violating a criminal drug statute, Failure to comply with these requirements may be cause for deb arinent. These regulations are codified at 2 CFR 3001, Initials Article X - GPD - Trafficking Victims Protection Act of 2000 All recipients of financial assistance must comply with the requirements of the govoin neat -wide award term which implements Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104), located at 2 CFR Part 175. This is implemented in accordance with OMB Interim Final Guidance, Federal Register, Volume 72, No, 218, November 13, 2007. In accordance with the statutory requirement, each agency award tinder which funding is provided to a private entity, Section 106(8) of the TVP A, as amended, requires the agency to include a condition that authorizes the agency to terminate the award, without penalty, if the recipient or a subrecipient - (a) Engages in severe forms of trafficking in persons during the period of time that the award is in effect; (b) Procures a. commercial sex act during the period of time that the award is in effect; or (c) Uses forced labor in the performance of the award or sub- awards under the award, Full text of the award term is provided at 2 CFR § 175.15. Article XI — Title VI of the Civil Rights Act of 1964 All recipients of financial assistance must comply with the requirements of Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq.), codified at 6 CFR Part 21 and 44 CFR Part 7, which provides that no person in the United States will, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. Article XH - Civil Right Act of 1968 All recipients of financial assistance must comply with Title VIII of the Civil Rights Act of 1968, which prohibits recipients from discriminating in the sale, rental, financing, and advertising of dwellings, or in the provision of services in connection therewith, on the basis of race, color, national origin, religion, disability, familial status, and sex (42 U.S.C. §3601 et seq.), as implemented by the Department of Housing and Urban Development at 24 CFR Part 100. The prohibition on disability discrimination includes the requirement that new multifamily housing with four or more dwelling units -i.e., the public and common use areas and individual apartment units (all emits in buildings with elevators and ground -floor units in buildings without elevators) -be designed and constructed with certain accessible features (see 24 CFR §100,201). Article XIII - Americans with Disabilities Act of 1990 All recipients of financial assistance must comply with the requirements of Titles 1, If, and III of the Americans with Disabilities Act, which prohibits recipients from discriminating on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities (42 U.S.C. § §12101 - 12213). ,Article XIV - Age Discrimination Act of 1975 All recipients of financial assistance must comply with the requirements of the Age Discrimination Act of 1975 (42 U.S.C. §61.01 et seq.), which prohibits discrimination on the basis of age in any program or activity receiving Federal financial assistance. Article XV - Title IX of the Education Amendments of 1972 (Equal Opportunity in Education Act) All recipients of financial assistance must comply with the requirements of Title LX of the Education Amendments of 1972 (20 U.S.C. §1681 et seq.), which provides that no person in the United States will, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination render any educational program or activity receiving Federal fmaneial assistance. These regulations are codified at 6 CFR Part 17 and 44 CFR Part 19. Article XVI - Rehabilitation Act of 1973 Initials All recipients of financial assistance must comply with the requirements of Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. §794, as amended, which provides that no otherwise qualified handicapped individual in the United States will, solely by reason of the handicap, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. These requirements pertain to the provision of benefits or services as well as to employment. All recipients must comply with the Civil Right Act of 1964 (Title VI), prohibition against discrimination on the basis of national origin, which requires that recipients of Federal financial assistance must take reasonable steps to provide meaningful access to persons with limited English proficiency (LEP) to thew programs and services. Providing meaningful access for persons with LEP may entail providing language assistance services, including oral interpretation and written translation. In order to facilitate compliance with Title VI, recipients are encouraged to consider the need for language services for LEP persons served or encountered both in developing budgets and in conducting programs and activities. Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency (August 11, 2000), requires federal agencies to issue guidance to recipients, assisting such organizations and entities in understanding their language access obligations. DHS published the required recipient guidance in April 2011, DHS Guidance to Federal Financial Assistance Recipients Regarding Title 'V1 Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons, 76 Fed, Reg. 21755- 21768, (April 18, 2011). The Guidance provides helpful information such as how a recipient can determine the extent of its obligation to provide language services; selecting language services; and elements of an effective plan on language assistance for LEP persons. For additional assistance and information regarding language access obligations, please refer to the DHS Recipient Guidance https: / /www,dhs, ov/<<Yuidance- published -help- rirnntttnenl_vunnnrted- nrt=ani ations- nrovide- meaningful- access- neoole- limited and additional resources on http://www.lel),f,yay. Article XVM - Animal Welfare Act of 1966 All recipients of financial assistance will comply with the requirements of the Animal Wolfiuc Act, as amended (7 U.S.C. §2131 et seq.), which requires that minimum standards of care and treatment be provided for vertebrate animals bred for commercial sale, used in research, transported commercially, or exhibited to the public. Recipients must establish appropriate policies and procedures for the humane care and use of animals based on the Guide for the Care and Use of Laboratory Animals and comply with the Public Health Service Policy and Government Principles Regarding the Care and Use of Animals. Article XIX - Clean Air Act of 1970 and Clean Water Act of 1977 All recipients of financial assistance will comply with the requirements of 42 U,S.C. §7401 et seq. and Executive Order 11738, which provides for the protection and entrancement of the quality of the nation's air resources to promote public health and welfare and for restoring and maintaining the chemical, physical, and biological integrity of the nation's waters. Article XX - Protection of Human Subjects All recipients of financial assistance will comply with the requirements of the Federal regulations at 45 CFR Part 46, which requires that recipients comply with applicable provisions /law for the protection of human subjects for purposes of research. Recipients must also comply with the requirements in DHS Management Directive 026 -04, Protection of Human Subjects, prior to implementing any work with human subjects. For purposes of 45 CFR Part 46, research means a systematic investigation, including research, development, testing, and evaluation, designed to develop or contribute to general knowledge. Activities that meet this definition constitute research for purposes of this policy, whether or not they are conducted or supported under a program that is considered research for other purposes. The regulations specify additional protections for research involving human fetuses, pregnant women, and neonates (Subpart B); prisoners (Subpart C); and children (Subpart D). The use of autopsy materials is governed by applicable State and local law and is not directly regulated by 45 CFR Part 46. Initials All recipients of financial assistance will comply with the requirements of the National Environmental Policy Act (NEPA), as amended, 42 U.S.C. §4331 et seq., which establishes national policy goals mud procedures to protect and enhance the environment, including protection against natural disasters. To comply with NEPA for its grant - supported activities, DHS requires the environmental aspects of construction grants (and certain non - construction projects as specified by the component and awarding office) to be reviewed and evaluated before final action on the application. Article XXII - National Flood Insurance Act of 1968 All recipients of financial assistance will comply with the requirements of Section 1306(c) of the National Flood Insurance Act, as amended, which provides for benefit payments under the Standard Flood Insurance Policy for demolition or relocation of a structure insured under the Act that is located along the shore of a lake or other body of water and that is certified by an appropriate State or local land use authority to be subject to imminent collapse or subsidence as a result of erosion or undermining caused by waves or currents of water exceeding anticipated cyclical levels. These regulations are codified at 44 CFR Part 63. Article XXIII - Flood Disaster Protection Act of 1973 All recipients of financial assistance will comply with the requirements of the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. § 4001 et seq.), which provides that no Federal financial assistance to acquire, modernize, or construct property may be provided in identified flood -prone communities in the United States, unless the community participates in the National Flood Insurance Program and flood insurance is purchased within one year of the identification. The flood insurance purchase requirement applies to both public and private applicants for DHS support. Lists of flood -prone areas that are eligible for flood insurance are published in the Federal Register by FEMA. All recipients of financial assistance will comply with the requirements of Executive Order 11990, which provides that federally funded construction and improvements minimize the destruction, loss, or degradation of wetlands. The Executive Order provides that, in furtherance of Section 101(b)(3) of NEPA (42 U.S.C. §4331(b)(3)), Federal agencies, to the extent permitted by law, must avoid undertaldrig or assisting with new construction located in wetlands unless the head of the agency finds that there is no practicable alternative to such construction, and that the proposed action includes all practicable measures to minimize harm to wetlands that may result from such use. In malting this finding, the head of the agency may talce into account economic, environmental, and other pertinent factors. The public disclosure requirement described above also pertains to early public review of any plans or proposals for new construction in wetlands. This is codified at 44 CFR Part 9. Article XXV - USA Patriot Act of 2001 All recipients of financial assistance must comply with the requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175 -175c. Among other things, it prescribes criminal penalties for possession of any biological agent, toxin, or delivery system of a type or in a quantity that is not reasonably justified by a prophylactic, protective, bona fide research, or other peaceful purpose. The act also establishes restrictions on access to specified materials. "Restricted persons," as defined by the act, may not possess, ship, transport, or receive any biological agent or toxin that is listed as a select agent. «.—I '-L I a – uc�i r i dULA�ea AU[ k- oneCrlon an(] US Or rerSonany Identifiable Information (PQ) All recipients of financial assistance who collect PII are required to have a publically- available privacy policy that describes what PII they collect, how they use the PII, whether they share PH with third parties, and how individuals may have their PII corrected where appropriate. Useful resources are the DHS Privacy Impact Initials Assessments: littp: / /www.clhs.gov /xli.brary /assets /privacy/ rivacy pia Kuidance iune2010.pdf, and http: //www.dhs.vov /xtibrary /assets /privacy / iivaey_gia template.l df, Article XXVII — Duplication of Benefits State, Local, and Tribal Recipients must comply with 2 CFR Part §225, Appendix A, paragraph (C)(3)(c), which provides that any cost allocable to a particular Federal award or cost objective under the principles provided for in this authority may not be charged to other Federal awards to overcome fund deficiencies. Article XYVIII — False Claims Act and Program Fraud Civil Remedies All recipients of financial assistance must comply with the requirements of 31 U.S.0 §3729 which set forth that no recipient of Federal payments shall submits. false claim for payment. See also 38 U.S.0 §3801 -3812 which details the administrative remedies for false claims and statements made. Article XXIX — Federal Debt Status All recipients of financial assistance are required to be non - delinquent in their repayment of any Federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit disallowance, and benefit overpayments. See OMB Circular A -129 and form SF -42413, item number 17 for additional information and guidance. Article XXX — Hotel and Motel Fire Safety Act of 1990 In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. §2225(a), all recipients must ensure that all conference, meeting, convention, or training space fimded in whole or in part with Federal fiords complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, 15 U.S.C, §2225. Article XXXI — Non - supplanting Reuuirement All recipients who receive awards made under programs that prohibit supplanting by law must ensure that Federal funds do not replace (supplant) funds that have been budgeted for the same purpose through non - Federal sources. Where Federal statues for a particular program prohibits supplanting, applicants or award recipients may be required to demonstrate and document that a reduction in non - Federal resources occurred for reasons other than the receipt of expected receipt of Federal funds. Article XXXII — Debarment and Suspension All recipients must comply with Executive Orders 12549 and 12689, which provide protection against waste, fraud and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the Federal government. o-v ucic ��uu -- r U V U vuuecuLai unuiuug xuu ni.awne rrencr vuLImi rr.n.r) r,uuiuuanu All recipients of financial assistance proposing projects that have the potential to impact the environment, including but not limited to construction of communication towers, modification or renovation of existing buildings, structures and facilities, or new construction including replacement of facilities must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description that explains the goals and objectives of the proposed project along with supporting documentation so that FEMA may determine whether the proposed project has the potential to impact enviromnental resources and /or historic properties. The EHP review process must be completed before Rinds are released to carry out the proposed project. EHP Policy Guidance can be found in FP 108- 023 -01, Environmental Planning and Historic Preservation Policy Guidance, att: / /www.fema.gov /media- library /assets /document /85376. Article XXXIV — SAFE,COM Initials All recipients who receive awards made Larder programs that provide emergency communication equipment and its related activities must comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications. All recipients investing in broadband - related investments should review Information Bulletin (IB) 386: Clarification on Use of DHS /FEMA Public Safety Grant Funds for Broadband - Related Expenditures and Investments before developing applications. The SAFECOM Guidance on Emergency Communication Grants can be found at: FY 2014 SAFECOM Guidance on Emergency Communications Grants. ASSURANCES The applicant hereby assures and certifies compliance with all applicable Federal statutes, regulations, policies, guidelines, and requirements. See Article I above, The applicant also specifically assures and certifies that it: 1. Has the legal authority to apply for Federal assistance, and the institutional, managerial, and financial capability (including funds sufficient to pay the non - Federal share of project costs) to ensure proper planning, management, and completion of the project described in this application. 2. Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the assistance or award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. See Article II above. 3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. § §4728 -4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of Office of Personnel Management's (OPM) Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F). 6. Will comply with all Federal stahnes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (RL. 88 -352) which prohibits discrimination on the basis of race, color or national origin: (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. § §1681- 1683, and 1685- 1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. § §6101 - 6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92 -255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91.616), as amended, relating to nondiscrimination on the basis of alcohol abuse or aleoholism.;(g) § §523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. § §290 dd -3 and 290 co-3), as amended, relating to confidentiality of alcohol and chug abuse patient records; (h) Title VIII of the Civil Right Act of 1968 (42 U.S.C. §§3601 or seq.), as amended, relating to nondiscrimination in the sale, rental, or financing of housing; (i) any other nondiscrimination provisions in the specific statutc(s) under which application for Federal assistance is being made; and, (j) the Initials requirements of any other nondiscrimination statute(s) which may apply to the application. See Articles XI, X1I, XIII, XIV, XV, XVI, and XVII. Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L, 91 -646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal and/or federally - assisted programs. These requirements apply to all interests in real property acquired for project pin-poses regardless of Federal participation in purchases. 8. Will comply, as applicable, with the provisions of the Hatch Act (5 U.S.C, §§ 1501.1508 and 7324 -7328) which lnnit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. 9. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C, §§ 276a to 276a -7), the Copeland Act (40 U.S.C. § 276c and 18 U.S.C. §874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. § §327 -333), regarding labor standards for federally- assisted construction subagreements. 10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93 -234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more; and the National Flood Insurance Act of 1968. See Articles XXII and XXIII. 11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmcmal quality control measures under National Environmental Protection Act (NEPA) of 1969 (P.L. 91 -190) and Executive Order (ED) 1.1514; (b) notification of violating facilities pursuant to ED '11738; (c) protection of wetlands pursuant to ED 11990; (d) evaluation flood hazards in floodplains in accordance with ED 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et seq.); (f) conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C, § §7401 or seq.); (g) protection of underground sources of drinking water tinder the Safe Drinking Water Act of 1974, as amended, (P.L. 93 -523); and (h) protection of endangered species under the Endangered Species Act of 1973, as amended, (P.L. 93 -205). See Articles XIX, XXI, and XXIV. 12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. 13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. §470), ED 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. § §469a -1 et seq.). All proposed constriction and renovation activities must undergo an Environmental Planning and Historic Preservation (EHP) review, including approval of the review from FEMA, prior to undertaking any action related to the project. Any applicant that is proposing a construction project should pay special attention to the EHP requirements. See Article XXXIII 14. Will comply with P.L. 93 -348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. See Article XX. Initials 15. Will comply with the Laboratory Animal welfare Act of 1966 (P.L. 89 -544, as amended, 7 U.S,C. § §2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance. See Article XVIII, 16. Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U,S.C, § §4801 et seq.) which prohibits the use of lead -based paint in construction or rehabilitation of residence structures. 17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act of 1996 or OMB Circular No, A -133, "Audits of States, Local Governments, and Non - Profit Organizations." 18. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing this program. This includes all requirements, restrictions and regulations identified in the California Governor's Office of Emergency Services (Cal OES) Fiscal Year 2014 Emergency Management Performance Grants (EMPG) Program - California Supplement to the Federal Program Funding Opportunity Annoincement; or, The State Guidance. 19. Will comply with the requirements of Section 106(8) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U,S.C, 7104) which prohibits grant award recipients or a sub - recipient from (1) Engaging in severe forms of trafficking in persons during the period of time that the award is in effect (2) Procuring a commercial sex act during the period of time that the award is in effect or (3) Using forced labor in the performance of the award or subawards under the award. See Article X. 20, Will comply with Homeland Security Presidential Directive (HSPD) -5, Management of Domestic Incidents. The adoption of the NIMS is a requirement to receive Federal preparedness assistance, through grants, contracts, and other activities, The NIMS provides a consistent nationwide template to enable all levels of government, tribal nations, nongovernmental organizations, and private sector partners to work together to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity, 21. Will not dispose of, modify the use of, or change the terms of the real property title, or other interest in the site and facilities without permission and instructions from the awarding agency. Will record the Federal interest in the title of real property in accordance with awarding agency directives and will include a covenant in the title of real property acquired in whole or in part with Federal assistance finds to assure non- discrimination during the useful life of the project. 22, Will comply with the requirements of the assistance awarding agency with regard to the drafting, review and approvat of constriction plans and specifications. 23, Will provide and maintain competent and adequate engineering supervision at the construction site to ensure that the complete work conforms with the approved plans and specifications and will furnish progress reports and such other information as may be required by the assistance awarding agency or State, 24. Will comply with Public Law (PL) 109 -282 (Federal Finding Accountability and Transparency Act of 2006), as amended by Section 6202(a) of the Government Finding Transparency Act of 2008 (PL 110 -252), which is outlined in FEMA GPD Information Bulletin NO. 350. If the subgrantee in the preceding year did not get 80% or more of its annual gross revenues from Federal Awards, and $25M or more in annual gross revenues from Federal Awards, and the public does have access to information about the compensation of the senior executives of the entity, then the subgrantee is not subject to the FFATA Financial Disclosure requirements. Initials 25. Will comply with the following: (a) All recipients of financial assistance must acknowledge and agree —and require any subrecipients, contractors, successors, transferees, and assignees acknowledge and agree —to comply with applicable provisions governing Cal OES access to records, accounts, documents, information, facilities, and staff; (b) Recipients must cooperate with any site visit, compliance /monitoring review or complaint investigation conducted by Cal OHS; (c) Recipients must give Cal OES access to and the right to examine and copy records, accounts, and other docu rnents and sources of information related to the grant and permit access to facilities, personnel, and other individuals and information as may be necessary, as required by Cal OES regulations and other applicable laws or program guidance; (d) Recipients must submit timely, complete, and accurate reports to the appropriate Cal OHS officials and maintain appropriate backup documentation to support the reports; and (e) Recipients must comply with all other special reporting, data collection, and evaluation requirements, as prescribed by law or detailed in the program guidance. 26. Will comply with the EMPG- Funded Personnel Training and Exercise Requirement. All recipients of financial assistance must acknowledge and agree —and require any subrecipients, to aclmowledge and agree —to comply with the EMPG - funded personnel training and exercise requirement, as detailed in both the Federal and State program guidance. Failure to comply with this requirement; by individuals whose salary is funded in part or whole with EMPG, may result in the incurred salary costs associated with the non- compliant EMPG- funded personnel from being eligible for reimbursement and/or result in the recipient's repayment of already disbursed grant funding associated with the non - compliant EMPG - funded personnel's salary - related costs. CERTIFICATIONS 1. CERTIFICATION FOR CONTRACTS GRANTS LOANS AND COOPERATIVE AGREEMENTS: The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. See Article ITT. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrams, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Statement for Loan Guarantees and Loan Insurance The tmdersigned states, to the best of his or her lmowledge and belief, that: Initials If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form -LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who falls to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 2. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS (DIRECT RECIPIENT): As required by Executive Orders 12549 and 12589, Debarment and Suspension, and implemented at 44 CFR, Part 17 (See Article XXXII): A. The applicant certifies that it and its principals: (1) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency; (2) Have not within a three -year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or Local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, malting false statements, or receiving stolen property; (3) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or Local) with commission of any of the offenses enumerated in paragraph (A)(2) of this certification; and (4) Have not within a three -year period preceding this application had one or more public transactions (Federal, State, or Local) terminated for cause or default; and B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 3. CERTIFICATIONS REGARDING DRUG -FREE WORKPLACE REQUIREMENTS: This certification commits the applicant to compliance with the certification requirements under 44 CFR, Part 17 Government - wide Requirements far Drug -Free Workplace (Grants). See Article IX. A. The grantee certifies that it will or will continue to provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing an ongoing drug -free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The grantee's policy of maintaining a drug -free workplace; Initials (3) Any available drug counseling, rehabilitation, and employee assistance programs; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Malang it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will — (1) Abide by the terms of the statement; and (2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurrnig in the workplace no later than five calendar days after such conviction; (e) Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every grant officer or other designee on whose grant activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant; (f) Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted— (1) Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Malting a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e), and (f). 4. SWEATFREE CODE OF CONDUCT: a. All applicants contracting for the procurement or laundering of apparel, garments or corresponding accessories, or the procurement of equipment, materials, or supplies, other than procurement related to a public works contract, declare tinder penalty of perjury that no apparel, garments or corresponding accessories, equipment, materials, or supplies finished to the state pursuant to the subgrant have been laundered or produced in whole or in part by sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor, or with the benefit of sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor. The applicant further declares under penalty of perjury that they adhere to the Sweatfree Code of Conduct as set forth on the California Department of Industrial Relations website located at www.dir.ca.gov, and Public Contract Code Section 6108. b. The applicant agrees to cooperate fully in providing reasonable access to the applicant's records, documents, agents or employees, or premises if reasonably required by authorized officials of the contracting agency, the Department of industrial Relations, or the Department of Justice to determine the contractor's compliance with the requirements under paragraph (a). Initials 5. DOMESTIC PARTNERS: For subgrants executed or amended after July 1, 2004, the applicant may elect to offer domestic partner benefits to the applicant's employees in accordance with Public Contract Code section 10295.3, However, the applicant cannot require an employee to cover the costs of providing any benefits which have otherwise been provided to all employees regardless of marital or domestic partner status. TERMS AND CONDITIONS The following laws apply to persons or entities doing business with the State of California. 1. CONFLICT OF INTEREST: Applicant needs to be aware of the following provisions regarding current or former state employees. If subgrantee has any questions on the status of any person rendering services or involved with the Agreement, the awarding agency must be contacted immediately for clarification. Current State Employees (Public Contract Code §10410): 1) No officer or employee shall engage in any employment, activity or enterprise from which the officer or employee receives compensation or has a financial interest and which is sponsored or funded by any state agency, unless the employment, activity or enterprise is required as a condition of regular state employment. 2) No officer or employee shall contract on his or her own behalf as an independent contractor with any state agency to provide goods or services. Former State Employees (Public Contract Code ,¢10411): 1) For the two -year period from the date he or she left state employment, no former state officer or employee may enter into a contract in which he or she engaged in any of the negotiations, transactions, planning, arrangements or any part of the decision - making process relevant to the contract while employed in any capacity by any state agency. 2) For the twelve -month period from the date he or she left state employment, no former state officer or employee may enter into a contract with any state agency if he or she was employed by that state agency- in a policy - making position in the same general subject area as the proposed contract within the 12 -month period prior to his or her leaving state service. If applicant violates any provisions of above paragraphs, such action by applicant shall render this Agreement void. (Pub. Contract Code § 10420) Members of boards and commissions are exempt from this section if they do not receive payment other than payment of each meeting of the board or commission, payment for preparatory time and payment for per diem. (Pub. Contract Code §10430 (e)) 2. LABOR CODE' WORKERS' COMP Ei SATION: Applicant needs to be aware of the provisions which require every employer to be insured against liability for Workers' Compensation or to undertake self- insurance in accordance with the provisions, and applicant affirms to comply with such provisions before commencing the performance of the work of this Agreement. (Labor Code Section 3700) 3, AMERICANS WITI -I DISABILITIES ACT: Applicant assures the State that it complies with the Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability, as well as all applicabte regulations and guidelines issued pursuant to the ADA. (42 U,S.C. 12101 et seq.) Initials 4. APPLICANT NAME CHANGE: An amendment is required to change the applicant's name as listed on this Agreement. Upon receipt of legal documentation of the name change the State will process the amendment, Payment of invoices presented with a new name cannot be paid prior to approval of said amendment. 5. RESOLUTION: A county, city, district, or other local public body must provide the State with a copy of a resolution, order, motion, or ordinance of the local governing body which by law has authority to enter into an agreement, authorizing execution of the agreement. 6. AIR OR WATER POLLUTION VIOLATION: Under the State laws, the applicant shall not be: (1) in violation of any order or resolution not subject to review promulgated by the State Air Resources Board or an air pollution control district; (2) subject to cease and desist order not subject to review issued pursuant to Section 13301 of the Water Code for violation of waste discharge requirements or discharge prohibitions; or (3) finally determined to be in violation of provisions of federal law relating to air or water pollution. SYSTEM FOR AWARD MANAGEMENT (SAM) AND UNIVERSAL IDENTIFIER REQUIREMENTS: A. Requirement for System for Award Management (SAM) Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the currency of your information in the SAM until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that applicants and recipients review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term. B. Requirement for Data Universal Numbering System (DUNS) Numbers If recipients are authorized to make subavvards under this award, they: 1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award term) may receive a subaward from you unless the entity has provided its DUNS number to you. 2. May not make a subaward to an entity unless the entity has provided its DUNS number to you. C. Definitions For purposes of this award term: I. System for Award Management (SAM) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the SAM Internet site (currently at ll ttp : / /www, sLml.Lyo_y) l 2. Data Universal Numbering System (DUNS) number means the nine digit number established and assigned by Dun and Bradstreet, Inc. (D &B) to uniquely identify business entities. A DUNS number may be obtained from D &B by telephone (currently 866- 705 -5711) or the Internet (currently atl?tt� //fedgov.dnb.com/webform). 3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR §25320, subpart C: a. A Governmental organization, which is a State, Local government, or Indian Tribe; b. A foreign public entity; c. A domestic or foreign nonprofit organization; d. A domestic or foreign for -profit organization; and P. A Federal agency, but only as a subrecipient under an award or subaward to a non - Federal entity. 4. Subaward, as defined in 2 CFR § 170.325: a. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. Initials b. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec, 210 of the attachment to OMB Circular A -133, " Audits of States, Local Government, and Non - Profit Organizations "). c. A subaward may be provided through any legal agreement, including an agreement that you consider a contract. Subrecipient, as defined in 2 CFR §25.360, means an entity that: a. Receives a subaward from you under this award; and b. Is accountable to you for the use of the Federal finds provided by the subaward. 8. FINANCIAL GUIDELINES: The recipient and any suibrecipient shall comply with the most recent version of the Administrative Requirements, Cost Principles, and Audit Requirements. A non - exclusive list of regulations commonly applicable to FEMA grants are listed below: A. Administrative Requirements 1. 44 CFR 13, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments 2. 2 CFR Part 215, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non- Profit Organizations (OMB Circular A -I 10) 3. 44 CFR part 10, Environmental Considerations B. Cost Principles 1. 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal Governments (OMB Circular A- 87) 2, 2 CFR Part 220, Cost Principles for Educational Institutions (OMB Circular A -21) 3. 2 CFR Part 230, Cost Principles for Non -Profit Organizations (OMB Circular A -122) 4. 48 CFR 31.2, Federal Acquisition Regulations (FAR), Contracts with Commercial Organizations C. Audit Requirements I. OMB Circular A -133, Audits of States, Local Governments, and Non -Profit Organizations 9. PROHIBITION ON USING FEDERAL FUNDS: The recipient understands and agrees that it cannot use any Federal funds, either directly or indirectly, in support of the enactment, repeal, modification or adoption of any law, regulation or policy, at any level of government, without the express prior written approval of FEMA. 10. COMPLIANCE WITH PROGRAM GUIDANCE: The recipient agrees that all allocations and use of funds under this grant will be in accordance with the Program guidance and application kit. 11, CLASSIFIED SECURITY CONDITION: A. Classified national security information, as defined in Executive Order (EO) 12958, as amended, means information that has been determined pursuant to EO 12958 or any predecessor order to require protection against unauthorized disclosure and is marked to indicate its classified status when in documentary form. B. No funding under this award shall be used to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information if the award recipient has not been approved for and has access to such information. C. Where an award recipient has been approved for and has access to classified national security information, no funding under this award shall be used to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information by the contractor, subawardee, or other entity without prior written approval from the DHS Office of Security, Industrial Security Program Branch (ISPB), or an appropriate official within the Federal department or agency with whom the classified effort will be performed. D. Such contracts, subawards, or other agreements shall be processed and administered in accordance with the DHS "Standard Operating Procedures, Classified Contracting by States and Local Entities," dated July 7, Initials 2008; EOs 12829, 12958, 12968, as amended; the National Industrial Security Program Operating Manual (NISPOM); and /or other applicable implementing directives or instructions. All security requirement documents are located at: http: / /www.dli =ov /xoonbiz! rants /index.shtnm E. Immediately upon determination by the award recipient that fimding under this award will be used to support such a contract, subaward, or other agreement, and prior to execution of any actions to facilitate the acquisition of such a contract, subaward, or other agreement, the award recipient shall contact ISPB, or the applicable Federal department or agency, for approval and processing instructions. DHS Office of Security ISPB contact information: Telephone: 202 - 447 -5346 Email: DD254Admin'st tratiyeSecuriCysa2dhs.aov Mail: Department of Homeland Security Office of the Chief Security Officer ATTN: ASD /Industrial Security Program Branch Washington, D.C. 20528 12, REPORTING SU13AWARD AND EXECUTIVE COMPENSATION: A. Reporting of first -tier subawards. 1. Applicability. Unless you are exempt as provided in paragraph D. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111 -5) for a subaward to an entity (see definitions in paragraph E. of this award term). 2. Where and when to report. a. You must report each obligating action described in paragraph A.I. of this award term to littp://www.fsrs.( . b.For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2012, the obligation must be reported by no later than December 31, 2012.) 3. What to report. You mist report the information about each obligating action that the submission instructions posted at http:/Avww,fsrs.gov specify. B. Reporting Total Compensation of Recipient Executives. 1. Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if- a.The total Federal fimding authorized to date under this award is $25,000 or more; b.in the preceding fiscal year, you received - i. 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and ii. $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and e.The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at llttp:i/www. sec.€ ov /answers /execonzp_hi7u.) Initials 2. Where and when to report. You must report executive total compensation described in paragraph B.1. of this award terni: a. As part of your registration profile at http: / /w4vwsam.f . b.By the end of the month following the month in which this award is made, and annually thereafter. C. Reporting of Total Compensation of Subrecipient Executives, 1. Applicability and what to report. Unless you are exempt as provided in paragraph D. of this award term, for eacb first -tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year if- a. in the subrecipient's preceding fiscal year, the subrecipient received - i. 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CPR 170.320 (and subawards); and ii. $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) mid Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and b.The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15 (d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, seethe U.S. Security and Exchange Comnussiontotal compensation filings at httl2://www,sec.gov/atiswer5/gxecpnlp. itm.) 2. Where and when to report. You must report subrecipient executive total compensation described in paragraph C.1. of the award term: a.To the recipient, b.By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year. D. Exemptions. 1. If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report: a.Subaward, and b.The total compensation of the five most highly compensated executives of any subrecipient. E. Definitions. For purposes of the award terms: Entity means all of the following, as defined in CFR §25.320: a.A Governmental organization, which is a State, Local government, or Indian Ttribe; b.A foreign public entity; c.A domestic or foreign nonprofit organization; d.A domestic or foreign for - profit organization; e.A Federal agency, but only as a subrecipient under an award or subaward to a non - Federal entity Executive means officers, managing partners, or any other employees in management positions, as defined in2 CFR § 170.315. subaward, as defined in 2 CRF § 170325: Initials a. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. b.The term does not include your procurement of property and services needed to carry out the project or program (for further explanation , see Sec._ 210 of the attachment to OMB Circular A -133, "Audits of States, Local Governments, and Non - Profit Organizations "). c. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract. 4. Subrecipient, as defined in 2 CFR §25.360 means an entity that: a. Receives a subaward from you (the recipient) under this award; b.Is accountable to you for the use of the Federal funds provided by the subaward. 5. Total compensation, as defined in 2 CFR §170.330 means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)): a. Salary or bonus. b.Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments. c. Earnings for services under non - equity incentive plans. This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees. d. Change in pension value. This is the change in present value of defined benefit and actuarial pension plans. e. Above - market earnings on deferred compensation which is not tax - qualified. f. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000. Failure to comply with these requirements may result in suspension of payments under the Agreement or termination of the Agreement or both and applicant may be ineligible for award of any future State agreements if the department determines that any of the following has occurred: the applicant has made false certification, or violated the certification by failing to carry out the requirements as noted above. (Gov. Code §8350 et seq.) I, the official named below, CERTIFY UNDER PENALTY OF PERJURY that I am duly authorized to legally bind the prospective jurisdiction to the assurances and certifications listed above. 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