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ORANGE, COUNTY OF - 2016
a 4 5 6 7 8 9 10 11 12 13 14 15 16 1'7 18 19. 20 21 22 23 24 25 26 27 2g � c r L A-2016-037 AQUEMENT TO TRANSFER FUNDS .FOR 2015 EYMRGENC'Y MANAGEMENT PEPWORMANC.E GRANT FRC�GRAM THIS AGREEMENT is entered into this let day of Karrh 2016 'which date is eillunerated for purposes of reference only, by and between the COUNTY of ORANGE, a political subdivision of the ,State of California, hereitxafter ref'errod to as " OUNTY,. and CItY of Santa Arta " SUBRECIPTENT." R Municipal corporation. hereinafter referred to as WHEREAS, COUNTY, acting through its Sherif. Ceron®r Departmetlt, hereinafter referred to as SIIER.IFF, in its capacity as the lead agency for the operational Area, has applied for, received and accepted the Emergelicy Management Perfortnauce Grant (hereinafter referred to as "the grant") from the California office of Emergency Services (',CalOI;S"}, WIZEREAS, the purpose of the grant is to support colnpreh,ensive erxlergenc�y management at the state, tribal and local levels and to encourage t1le irnprovesnent of Prevention, protection, mitigation, response and recovery capabilities for alt . hazards, as sat forth in Attachment A hereto (FY2015 Eme,rgtxncy 1V 4nagemont Performane.e Grants CEMPGI Program Funding Opportunity A.tmouncement TOA]), which is attachod hereto and incorporated herein by reference, NOW, THERLPF ORE, IT IS MUTUALLY AGREED AS FOLLOWS., 1, C OUNTY shall transfer to SUBRECIPIENT gr=t funds, in arrears, as necossary to ^einaburse SUBRECIPIENT for reasonable and pernalssible expenditures for the grant purposes. In wder to obtain grant Rands, S'UBRECIPIENT shall eQMPly with the instructions and submit to SHERIFF al required information and, documentation, as set forth in Attachment .B (EMPG City Financial Aaaagenient Fortes Wofkbook), which is attached hereto and incorporated herein by reference, 2. Throughout their useful life, grant property and equipment shall be used by U'13RECIPIENT only for grant purposes in accordance with Attachment A hereto, 3. SU'BRECIPIENT shall exercise due care to preserve and safeguard grant property and luimnctit from damage or destruction and shall provide regular maintenalico and such repairs for grant TDA: 97N2 nergency N4E'n�geinent Nifnnlunce Brant sPft hent of Homeland sootaity T UZO i aN 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 -19 20 21 22 23 A 24 25 26 27 28 property and eguipinellt as arc necessary, in order to Deep said grant propoily and equilarnenb continually in good working order, 4. If grant property or equipment becoanes obsolete, SU,BRECIPIENT shall dispose of it only in aaoordance with the instructions of COUNTY or the agency from which COUNTY received the grant funds. 51 SU13MCIPIENT shall submit to the COUNTY grant program reporting documents and infon-nation in accordance with requirements set out in the Attachment C (Emergency Management -Performance Grant. Program: California Supplement to the federal Program Fuuding Opportunity .I Artmunceinent; or, The State Guidance), which is attached hereto and incorporated heroin by reikeace. 6. By executing this Agraoment, SUBRECIPIENT agrees to comply with and he fully bound by this Agreement and all applicable provisions of Attachments A, B, C, and. D (P'Y15 Emergency Management Performance Grant Agreement Articles, Assurances, Certifications, Terms, and Conditions) hereto. SUBRE0II'IINT 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. SUBRECIPIEN'T agrees to indemnify, defend and save hanniess COUNTY and the agency franx which COUNTY received grant Bands, and their elected wi,d appointed officials; officers, agents and employees from any and all claims and losses ace dug or resulting to any and all contractors, subcontractors, laborers, and any otla.er person, firm or corporation f4mishing or supplying work, Services, materials or supplies in caW10040a With SUBRECIPIEN"I s performance of'dais Agreemeat, ncluding Attachments A, B, C, and a hereto, and from any and all claims and losses accruing or -exulting to any persona, firm, or corporation who may be injured or damaged by SUBRECIPYENT in the rerformance of this Agreemcat, including AttachmoijtsiA, B, C, acid 1) hereto. 8. No alteration or variation of the terans of this Agreement shall be valid unless made in I Vriting and signed by duly authorized representatives of the parties hereto, and no oval understanding or greemunt not incorporated herein shall be binding on any of $6 parties hereto, 1 9, SUBRECIPMNT inay not assign this Agreement in whole or in, part without the express mitten consort of COUNTY, FDA,: 97.012 IIW'9%10y Mallagel"Clit pox -zone janoa Grant epaltnatt ofFlonidand seouijty Page 2 of 4 2 3 4 S 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22. 23- 24 25 26 27 28 10, SUBRECIPIENT shall provide to COUNTY all records and information requested by COUNT' 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 finds or other persons or agencies. For a paxaod of three years after the final Federal Financial deport hereunder or until all claims related to ,this Agreement are fiszally settled, whichever is later, SUBRECII'IENT shall presm7e and maintain all docUlnents, papers and records relevant to the work performed or property or equipment acquired in accordance with thli Agreement, including Attachm6ats A, F3, C, and D hereto, For tl�e same time period, SUBRECIPIENT shall make, said documents, palters and records available to COUNTY and the agency ream which COUNTY received the grant fimds or their duly authorized representative(s), for examination, copying, or mechanical reproduction oil or off the premises of SUBRECIPIENT, upon, request, during usual worl<ing hours. 12. SUBRECIPIENT and COUNTY shall be ,subject to examination said audit by the State Auditor General with respect to this A,greemont for a period of three years after the final Fodoral Financial Report hereunder, 13. COUNTY may terminate this Agreement and be relieved of the payment of any consideration to SUI3RECIPIENT if a) SUB.REC'MENT fails to perform any of the covenants contained in this Agreement, inPlUding the applicable tenma of Attachments A, B, C, and D hereto, at the dime and in the manner herein provided, or b) COUNTY loses funding under the grant, in the event of vrmination, COUNTY may proceed with the work in any manner deemed proper by COUNTY. 14. SURRECIPIENT and its agents and, employees shall act in an independent capacity in lie per:forman.ce of dais Agree mmt, ii.cluding Attachments A, l3, C, and D hereto, and shall not be �o.nsi+dered officers, agents or employees of COUNTY or SHERIFF or of the agency from wlaicla "OUNTY received grant fimd,s. 15. Ey signing this Agmerne,11t, SUBRECEIPIENT uncl.erstmds and agrees that: a, FW-LTre to follow grant guidance, including those detailed below, will result in, ixaeligibility fox any reiniburseinmt under the FYI HMPG: IDA: 0,042 6vtgon0y Managetiletit Fet ora�ance Gzant 11whimif rrFMIMOIF111ri tir.�rrril,r Tia n� Z nFei I 1 b. .A SUBRECIPIENT representative- must attend half of the Orange County Emergenc( . 2 Managers Organization meeti�ags hold from July 1, 2015 through June 30, 2016; 3 c. SU13REC.IPIENT must maintain National Incident Management System TMS) 4 comphancc; 5 d. Por any personnel whose salary is charged to the grant, that specific individual must 6 meet the training and exercisc requirements set fort in the grant guidance; and 7 e, Only those expenditures specifically detailed in the Financial Management Fonts 8 Workbook are approved for briding; any changes roust be pre approved by the 9 California Office of Emergency Services. 10 IN WITNESS WHEREOF, the parties have executed this Agreement in. t e County of orange, I 1 State of califomia„ 12 DATED.- t , 2� CQUNTY 'OF ORANGE, a political 13 stibdivision, of the State of California 14 /44z& aa, l 15 By vie r Sheriff Coraer 16 "COUNTY' 17 APPROVED AS TO FORM; COUNTY COUNSEL 1& 19 20 21 DATED; ,2p� 22 23 24 25 APPROVED AS TO FORM 26 27 Laura A. Rossini 28 Senior Assistant City Attorney CFDA! 97.042 Emergency Management:Pee-or11nlISg6Cj"1all[ DejW11n nt of Halliotand Seonrity By Nicole A. Sims, Deputy DATED:. i/ �,.20 ✓`�� SUBRECTPIENT, .ATTEST, Page 4 of 4 City C1erk DATED,20� IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR r Clerk of the Council RECOMMENDED FOR APPROVAL: Carlos Rojas Chief of Police CITY OF SANTA ANA DAVID CAVAZOS City Manager EXHIBIT A Department of Homeland Security Notice of Funding Opportunity FY 2015 Emergency Management Performance Grant Program NOTE: If you are going to apply for this funding opportunity and have not obtained a Data Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management (SAM), please take immediate action to obtain a DUNS Number, if applicable, and then to register immediately in SAM. It may take 4 weeks or more after you submit your SAM registration before your registration is active in. SAM, them an. additional 24 hours for Grants.gov to recognize your information. Information on obtaining a DUNS number and registering in SAM is available from Grants.gov at; htt ,llwvvIv. rgnfs, 1) Veb1RTant31qp,21icqntL1q. lxcccnt-r��sairrces,htr 1. A. Notice of Funding 012Rortunity (NOFO)Description Issued By U.S. Department of Homeland Security (DHS), Federal Emergency Management Agency (FEMA), Grant Programs Directorate (GPD) Catalog of Federal Domestic Assistance (CFDA) Number 97.042 CFDA Title Emergency Management Performance Grant (EMPG) Program Notice of Funding Opportunity Title Emergency Management Performance Grant Program NOFO Numbers Grant Program Title NOFO Number Emergency Management Performance Grants (EMPG) — Region I DHS-I5-C'PD�042,001.01 Emergency Management Performance Grants (EMPG) -- Region II DHS -15 -GPD -042-002-01 Emergency Management Performance Grants (EMPG) Re 'on III DHS -1 5 -GPD -042-003-01 Emergency Management Performanoe (`wants (EMPG) -- Region IV DHS -I5 -GPD -042-00401 Emergency Management Performance Grants (EMPG) — Region V DHS -I5 -GPD -042-005-01 Emergency Management Performance Grants (EMPG) -- Region VI DHS -I5 -GPD -042-006-01 Einer ency Management Performance Grants (ENIPG) — Region VII DHS -I5 -GPD -042-007-01 Emergency Management Performance Grants (EMPG) -- Region VIII Emergent Management Performance Grants (EMPG) -- Region IY DHS -I5 -GPD -042-00$-01 DHS -I5 -GPD -042-009-01 Emergency Management Performance Grants (EMPG) — Region X DHS -I5 -,GPD -042-010-01 Authorizing Authority for Program Section 662 of the Post Katrina Emergency iVanagernent Reform Act of 2006 (PKEMRA), as amended, (Pub. L. No. 109-295) (6 U.S.C, § 762); the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as =ended (Pub, L. No. 93-288) (42 U,S,C, §§ 5121 et seq.); the Earthquake Hazards Redaction Act of 1977, as amended (Pub, L. No. 95-124) (42 U.S.C, §§ 7701 et secs); and the National Flood Insurance Act of 1968, as amended (Pub, L. No. 90-448) (42 U,S.C, §§ 4001 et sect.). Appropriation Authority for Program Department of Homeland Security Appropriations Act, 2015, (Pub, L. No. 114-4) Program Type New Program Overview, Objectives, and Priorities Overview The purpose of the Emergency Management Performance Grant (ENIPG) Program is to provide Federal £finds 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 U.S.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 mare 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 EIIMPG Program, provides necessary direction, coordination, and guidance, and provides necessary assistance, as authorized in this title, to support a comprehensive all hazards emergency preparedness system. The FY 2015 EI/LPG will provide Federal Rinds to assist state, local, tribal, and territorial emergency management agencies to obtain the resources reel -,tired to support the National Preparedness Goal's (the Goal's) associated mission areas and core capabilities. The Federal government, through the ETMPG Program, provides necessary direction, coordination, and guidance, and provides necessary assistance, as authorized in this title, to support a comprehensive all hazards emergency preparedness system. Objectives The ENIPG Program supports a comprehensive, all -hazard emergency preparedness system by building and sustaining the core capabilities contained in the Goat. Examples of EMPG funded activities include; • Initiating or achieving an all-of-Nation/whole community approach to security and emergency management; Strengthening a state or community's emergency management program; • Updating emergency plans; FY 2015 EMPG Program • Completing the State Preparedness Reports (SPR), including the Threat and Hazard Identification and Risk. Assessment (THIRA) process; Designing and conducting exercises that engage an all-of;Nation!whole community of stakeholders and validate core capabilities; and i Conducting training Priorities The National Preparedness System is the instrument the Nation employs to build, sustain, and implement core capabilities to achieve the Goal of a secure and resilient Nation. Complex and far-reaching threats and hazards require a collaborative and all-of- Nation/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. The Department of Homeland Security expects EMPG recipients to prioritize grant funding to address capability targets and gaps identified through the annual THIRA and SPR process. Recipients should prioritize the use of grant funds to maintain/sustain current capabilities, to validate capability levels, and to increase capability for high- priority core capabilities with low capability levels. Additional information, including guidelines for completing the THIRA and SPR, can he found at: haps://Nvww.fema,gav/media-library/assets/docunxents/.26335 and https I/www.fe�,rna gov/media-l.ibrai-y/assets/documents/x.4748. Minimum funding amounts are not prescribed by the Department for these priorities; however, recipients are expected to support state, local, regional, tribal, territorial and national efforts to achieve the desired outcomes for these priorities. For additional details on priorities for the EMPG Program, please refer to Appendix A -- FY 2015 EMPG Program Priorities, D. Federal Award information Award Amounts, Important .Dates, Extensions Available Funding for the FY 2015 EMPG NOFO: $350,100,000 Period of Performance: Twenty-four (24) Months Extensions to the period of performance are allowed. For additional informatiotl on period of performance extensions, refer to Section .H of this NOFO, Additional Information (Extensions). Period of Performance Start Dates): 10/1/2014 FY 2015 EMPG Program Period of Performance lend Date(s): 9/30/2016 Funding Instrument: Grant C. Eligibility Information Eligible Applicants State governments (State Administrative Agency [SAA] or the State's Emergency Management Agency [EMAj) 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 2015 EMPG Program funds. Either the SAA or the EIVIA is eligible to apply directly to FEMA for F -MPG Program funds on behalf of each state or territory. However, only one application will be accepted from each state or territory. Other EIigibility Criteria: Emergency Management Assistance Compact (ENLW) Membership In support of the Goal, EMPG recipients must belong to, be located in, or act as temporary member states of EMAC, except for American Samoa, the federated States of Micronesia, the Republic of the Marshall Islands, and the Commonwealth of the Northern Mariana Islands, which ate not currently required to belong to EMAC. All assets supported in part or entirely with FSC 2015 EMPG Program funding must, where applicable, be readily deployable to support emergency or disaster operations per existing EMAC agreements, National Incident Management System (NIMS) Implementation Prior to allocation of any Federal preparedness awards in FY 2015, recipients must ensure and maintain adoption and implementation ofNIMS. Emergency management and incident response activities require carefully managed resources (personnel, teens, facilities, equipment and/or supplies) to meet incident needs. Utilization of the standardized resource management concepts such as typing, credentialing, and inventorying promote a strong national mutual aid capability needed to support delivery of core capabilities, Additional information on resource management and NIMS resource typing definitions and job titles/position qualifications is available underlatt://vtv>vv, �rrtcc.v�,/res{��rrce-t�aecrr.erne��t-tnaitzrcal-caicl. FEMA developed the NIMS Guideline for Credentialing 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 multijurisdictional coordinated responses. FY 2015 EMPG Program. fI Although state, local, tribal, and private sector partnors—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 Federal investment is the Federal Information Processing Standards (FIDS) 201 infrastructure and to facilitate interoperability for personnel deployed outside their Dome jurisdiction. Additional information is available from the NEVIS Guideline for ffie Credentialing, of Personnel. Maintenance of Effort There is no Maintenance of Effort requirement for this program. Cost Match Criteria 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 Emorgen cy Assistan ce 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 2 C.F.R. § 200,306. To meet matching requirements, the recipient contributions must be verifiable, 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, thatch requirements are waived for the insular areas: the U.S. territories of American. Samoa, Guam, the US. Virgin Islands, the Federated States of Micronesia, the Northern Mariana Islands, and the Republic of the Marshall Islands. Application and Submission Information Submission Date and Other Key Dates and. Times Date Posted to Grants.gov: Application Submission Deadline - March 25, 2015 April 24, 2015 at 11:59:59 p.m. (EDT) Ali applications must be received by the established deadline, The Non -Disaster (ND) Grants System has a date st u p that indicates when an application is submitted. Applicants will receive an electronic message confirming receipt of the full application.. In general, FEMA. will not review- applications that are not received by the deadline or consider them for funding. FEMA may, however, extend the application deadline on request For any applicant who can demonstrate that good cause exists to justify extending the deadline, Good cause for an extension may include technical problems outside of the applicant's control that prevent submission of the application by the deadline, or other FY 2015 EMPG Program exigent or emergency circumstances. Extensions based on exigent or emergency cL-cumstances will be made on case by case basis with the final determination resting with FEMA, If you experience technical issues, you must notify the respective EMPG Regional Program Analyst as soon as possible. . .Anticipated Award Date: No later than 9/30/2015 Other Ivey hates The chart below outlines suggested estimated deadlines for completing the five steps required for a successful application submission prior to the deadline. These bates are only recommendations as applicants are responsible for planning far enough in advance to complete their application. The requirements outlined in the chart below are outside of FETMA's purview. Therefore, FEMA does not guarantee the timeframes for completing those processes. Failure of an applicant to comply with any of the required steps before the deadline for submitting their application may disqualify their application from funding, Applicants are encouraged to register early for Authorized Organizational Representative (AOR) authorization. The registration process can tape four weeks or more to be completed. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines. Task Suggested timeframe for completion of task to meet submission deadline Obtain DUNS Nlunber March 31, 2015 Obtain valid Employer Identification Number EN) March 31, 2015 Update SAM registration April 10, 2015 Submit initial application in grarrts.gov Aril 17, 2015 Address to Request Application Package Application forms and instructions are available at Grants.gov, To access these materials, go to ht0p: v�vw. rranta. nv , select "Applicants" then "Apply for Grants," read the registration requirements and register ifn,ecessary (Allow up to 7-10 business days after you submit before your registration is active in SANE, then an additional 24 hours for Grants.gov to recognize your information). In order to obtain the application package, select "Download a Grant Application Package," enter the GFDA and/or the funding opportunity number located on the cover of this NOFO, select "Download. Package,,, and then. follow the prompts to download the application package. If you experience difficulties accessing information or have any questions, please call the Lynts. rov customer support hotline at {800) 518-4726. Hard copies of the NOFO can be downloaded from the common clectronic "storefront" in Grants.gov. 1'Y 2015 EMPG Program In addition, the Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this Notice is: (800) 462-7585. Applications will be processed through the Grants,gov portal and FEMA's Non -Disaster Grants (ND Grants) System. Content and Form of Application Submission 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. Please review the table above under "Submission Dates and Other Key Dates and Times" for estimated deadlines to complete each of the six steps listed below, Failure of an applicant to comply with any of the required steps before the deadline for submitting their application may disqualify their application from funding. The steps involved in applying for an award under this program are: 1. Applying for, updating or verifying their DUNS Number; 2, Applying for, updating or verifying their EN Number; 3. Updating or verifying their SAM number; 4. Establishing an Authorized Organizational Representative (AOR) in Grants.gov; 5. Submitting an initial application. in Grants.gov; and 6. Submitting the complete application in ND Grants, For additional information regarding the DUNS Number, EIN Number, SAM Number, and AOR requirements, please see the section below entitled Dun and Bradstreet Universal Numbering System DUNS Number System for Award Management SAM and Authorized Organizational Re resentative (AOR). Submitting an Initial Application in Grants.gov. All applicants must submit their initial application through Grants.gov. Applicants may deed 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 initial step ort -line, which requires completing: i Standard Form 424 (SF -424), Application for Federal Assistance, and + Grants.gov (GG) Form Certification Regarding Lobbying Form. Both forms are available in the Forms tab under SF -424 Family. The initial application cannot be started or submitted in Grants.gov until the applicant's registration in SAM is confirmed. Application forms and instructions are available at Grants.gov by selecting Apply for Grants. Enter the CFDA number or the Opportunity ID Number noted in this NOF'O, select Download Application Package, and follow the prompts to download the application package, The information submitted in Grants.gov will be retrieved by ND FY 2015 EMPG Program Grants, which will allow FENIA. to detennine if an applicant is eligible. Applicants are encouraged to submit their initial application in Grants,gov at least severs days before the April 24, 2015,11:59:59 p.m. (EDT) application deadline. If you need assistance applying through Grants.gov, please go to the Grunt A licatioa nage, contact support(c�,gnaats.gov, or call 800-518-4726, FEMA cannot assist applicants with questions related to registering with Grants.gov. Submitting the Complete Application in. Non Disaster Grants System (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. In ND Grants, applicants will be prompted to submit all of the information contained in the following forms. Applicants should review these forms before applying to ensure they include all required information; • Standard Form 424A, Budget Information (Nan -construction); • Standard Form 424B, Standard Assurances (Non -construction); and • Standard Form LLL, Disclosure of Lobbying Activities (if the recipient has engaged or intends to engage in lobbying activities). In addition applicants must submit copies of the following in ND Grants: • Standard Form 424D, Standard Assurances (Construction) if applying for funds to use for construction; • Standard Form 424C, Budget Information (Construction) if applying for grants to support construction; • Program Work Plan; and • Indirect Cost Rate Agreement, if applicable If you need assistance registering for the ND Grants system, please contact ndg,1ants cr.fcma.gYo or (800) 865-4076. Duct and Bradstreet Universal Numbering System (DUNS) Number, Systems for Award Management (SA1VI), and Authorized Organizational Representative (AOR) DHS is participating in the Grants.gov Initiative that provides the Grant Community a single site to find and apply for grant funding opportunities; therefore, applicants with electronic access are to submit their applications electronically through N://WvvW2 aI'L,90Y/w antsIg licants/ca vlv & grarttv.htrnl. Bafore you can apply for a DHS grant at grants.gov, you must have a DUNS number and must be registered in SAM. Obtain a Dun and Bradstreet Data Universa] Numbering System (DUNS) Number The DUNS number trust be included in the data entry field labelod "Organizational DUNS" on the SF -424 form. Instructions for obtaining a DUNS number can be found at 8 FY 2015 EMiPG Program the following website: ht/hvti�ti. 7ralat.,gnv/ltiveh/>rcr,�sarnTicant;s/orni�caticln- r�istrrztxon/ste-1-vbtcain�dt�ns-�tiarnher,htnai 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 the DUNS number request line at (866) 705-5711. FEIvL4 cannot assist applicants with questions related to obtaining a current DUNS number, Obtain,an Employer Identification Number (LIN) FETA requires both the EIN and a DUNS number prior to the issuance of a financial assistance award and for grant award payment; both EIN and DONS are also required to register with SAM (see below). The ETN base for an organization is the Internal Revenue S ervice (IRS) Tax ID number; for individuals it is their social security number, both the EIN and social security numbers are nine -digit numbers. Organizations submitting their applications must correctly differentiate the E1N from 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 the finding award and/or incorrect payment to a recipient organization. Organization applicants applyins foto, an ETN1 should plan on a minimum of two full weeks to obtain an EN. If you Beed assistance registering an EIN please contact the IRS helpline. FEMA cannot assist applicants with questions related to obtaining a current EIN. Register with the System for Award Management (,SAM) Applicants applying for grant funds electronically through Grants.gov must re sister with the Federal System for Award Management (SANT). Step-by-step instructions for registering with SAM can be found at: http:l/�1�7-��tiv.grants. v��hveb/ ra.ntr/a.. liecants/orrantzcal.ir�n-re�istrc�tion/.sten-.2-re�rister- with-sam.html., All applicants must register with SAM in order to apply online. Failure to register with the SAM will result in your application being rejected by Grants,gov during the submissions process. Payment under any FERIA award is contingent on the recipient's having a current SAM registration. The SAM registration process must be completed by the applicant. It is imperative that the information provided by the applicant is correct and current. Please ensiu•e that your organization's name, address, DUNS number, and EIN are up to date in SAM and that the DUNS number used in SAM is the same one used to apply for all other FE_M.A awards, SAM registration is a multi -step process that includes validating your EIN with the IRS and obtaining a Commercial and. Govetiumnt .Entity (CAGE) code, The CAGE code is only valid for one year after issuance and must be current at the time of application. FY 2015 EMPG Program SAM sends notifications to the registered user via email 60, 30, and 15 days prior to expiration of the SAIM registration for the Entity. SAM registration may lapse due to inactivity. To update or renew your Entity record(s) in SAM you will need to create a SAM User Account and link it to your migrated Entity records. If you need assistance registering, please go to SA�v or call 866-606-8220. FEM,4 cannot assist applicants with questions related to registering in S4M or obtaining a current CAGE code, Authorized Organizational Representative The next step in the registration process is creating a username and password with Grants.gov to become an Authorized Organizational Representative (AOR). AORs will need the DUNS number of the organization for which they will be submitting applications to complete this process, To read more detailed instnlctions for creating a profile on Grants.gov visit: http: //www.gLgnts.gov/ vel~l rant5lap licants/orrnniz ation- regi,stfation/stc�-3-ac5ernca�tzG�-pczssv4r�rcl.htrnl, - - AOR Authorization After creating a profile on Grants.gov, the E -Biz Point of Contact (E -Biz POC), a representative from your organization who is the contact listed for SAM, will receive an email to grant the AOR permission to submit applications on behalf of their organization, The E -Biz POC will then log in to Grants.gov and approve an applicant as the AOR, thereby giving him or her permission to submit applications. To learn more about AOR Authorization visit: h://yvivy�.7tcaa2ts..�jov/�vcl�/�xrrants°/t� liccrnts/or cani�crtion-je�i,stratiara/5 4-aor- authorization.hunl. To track an AOR status visit: http://www.grcants,Lyovlweb/rraaats/cadplicccntsf��rn7ccni�crtiara-rc.�istf°ntiorx/step-5-trccelc aor-status. haul, Applicants are encouraged to register early. The registration process can take'four weeks or more to be completed. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines. After you have been approved as an AOR, you will be able to submit your application online, Electronic Signature Applications submitted through Grants.gov constitute a submission as electronically signed applications. The registration and account creation with Grants.gov with E -Biz POC approval establishes an AOR. When you submit the application through Grants.gov, the mune of your AOR on dile will be inserted into the signature line of the application. Applicants must register the individual who is able to make legally binding commitments for the applicant organization as the AOR.; this step often is overlooked and it is crucial for valid submissions, FEMA may not make an E1b1PG award to an applicant until the applicant hay complied with all applicable DUNS and SAM requiremems and, if an applicant has not fully complied with the requirements by the time FEMA is ready to make an award, FEMA 10 FY 2015 EMPG Program may determine that the applicant is not qualified to receive an award and use that determination as a basis for making an award to another applicant. Intergovernmental Review An intergovernmental review may be regtrired. Applicants must contact their state's Sizrgle Point of Contact (SPDC) to comply with the state's process under Executive Order 12372 (see wp.,//w�v..fv�s.goUl olieyy/lihrar"Ir eo12372 Name and addresses of the SPOCs are maintained at the Office of Management and Budget's home page at lion://yvti�,vti,vvhitelaoicrc rnr�/r�rnb/ rcrrats sspo to ensure currency. Funding Restrictions 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 snatching funds for any other Federal award, lobbying, or intervention in Federal regulatory or adjudicatory proceedings, In addition, Federal funds may not be used to sue the Federal government or any other government entity. EMPG Program recipients may only fund activities and projects that were included in the FY 2015 EMPG Program Work Plan that was submitted to and approved by FEMA. Activities and projects may include the susWument of capabilities supported by previous ENLPG Program funds provided the sustainment activity is cited in the FY 2015 Work Plan. Environmental Planning and Historic Preservation (EHP) Compliance As a Federal agency, FEMA is required to consider the effects of its actions on the environment and/or historic properties to ensure that all activities and programs funded by the agency, including grants -funded projects, comply with Federal EHP regulations; laws and Executive Orders as applicable. Recipients and subrecipients proposing projects that have the potential to impact the environment, including but not limited to construction of conununication towers, modification or renovation of existing buildings, structures and facilities, or new construction iacluding replacement of facilities, must participate in the FEMA EHP review process, The EFIP 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 also is required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed and approved before funds are released to carry out the proposed project. FEMA will not fund projects that are initiated without the required EHP review. Additionally, all recipients are required to comply with FEMA EHP Policy Guidance. This EHP Policy Guidance can be found in FP 108-023-1, Environmental Planning and Historic Presen, ation Policv Guidance, and FP 108.24.4, and Historical Preservation Policy. - II FY 201.5 EMPG Program SAFECONI Recipients (including subrecipients) who receive awards under EMi PG that wholly or partially provide funding for emergency communication projects and related activities must comply with the most recent version of the &IFECOM Guidance on Ener e Coma nanicrations Grants. This guidance provides recommendations to recipients 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 interoperability. 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. Recipients (including subrecipients) investing in broadband - related investments should review IB 386, Clarification on Use of DHS/FE)VA Public Safety Grant Funds for Broadband -Related Expenditures and Investments, and consult their FENIA Regional Program Analyst on such investments before developing applications. Fre-award costs Pre -award costs are allowable only with the prior written approval of FEMA 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 brealc-out of pre -award costs from the post -award costs, and a justification for approval. Direct Costs Cost Principles Costs charged to this award must be consistent with the Cost Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. Plann.in Planning related costs are allowed under this program only as described in this NOFO, Organization Organization costs are allowed under this program only as described in this NOFO, Equipment Equipment costs are allowed ander this program only as described in this NOFO. Training Training related costs are allowed under this program only as described in this NOFO. Exercise Exercise related costs are allowed under this program only as described in this NOFO. 12 FY 2015 EMPG Program Travel Domestic travel costs are allowed Linder this program, as provided for in this NOFO. International travel is not an allowable cost under this program Unless approved in advance by FEMA. Construction and Renovation Constriction and renovation costs are allowed under this program only as described in this NOFO. Operational Overtime Operational Overtime costs are allowed under this program only as described in this NOFO. Maintenance and Sustainrnent Funding may be used for the sustainment of programs that help achieve core capabilities that, while they may not be physically deployable, support national response capabilities such as Geographic/Geospatial Information Systems (GIS), interoperable communications systems, capabilities as defined under the Response Mission Area of the Goal, and fusion centers. For additional details on the use of funds, please refer to Appendix 3 -FY 2015 EMPG funding Guidelines, Management and Administration (NYIB&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 EMPG award for M&A purposes. In addition, local EIiIA.s 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 EMA, the SAA is not eligible to retain funds for M&A. Indirect or Facilities and Administrative (F &A) Costs Indirect costs are allowable under this program as described in 2 C.F.R. § 200.414. With the exception of recipients who have never received a negotiated indirect cost rate as described in 2 C.F.R. § 200.414(f , recipients must have an approved indirect cost rate agreement with their cognizant Federal agency to charge indirect costs to this award. A copy of the approved rate (a fully executed, agreement negotiated with the applicant's cognizant Federal agency) is required at the time of application, and trust be provided to FEMA before isldirect costs are charged to the award. 33 FY 2015 EMPG Program E. Application. Review_ Information Criteria FY 2015 EMPG Program applications will be evaluated for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed Work Plan, The results from the review process may require applicants to revise submissions before the release of EMPG funding. Review and Selection Process Initial Review Once program guidance and application requirements are released publicly, eligible applicants can submit applications for funding. 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 ENIPG Program Mork Plans will require final approval by the appropriate FEMA regional office. Fends for recipients who have not submitted their EMPG Program Work flan as part of their application will not be released until such Work Plan is received, reviewed, and approved by FEMA. Recipients will be notified by their FEMA Regional Program Manager should any component o f the EIVIPG Program application require additional information. Overall Review Submitted applications will undergo a complete content review within their respective FENIA Region. Each FEMA Regional ENiPG Program Manager will be responsible for reviewing FY 2015 EMPG Program Work Plans for their respective states/territories in order to assess their emergency management sustainment and enhancement efforts for building, sustaining, and/or delivering the core capabilities. For additional details on application review information please refer to Appendix C — FY 2015 EMPG Program Work Plan. F. Federal Award Administration Information Notice of kwar€i Notification of award approval is made through the ND Grants system through an automatic email to the awardee authorized official listed in the initial application. The "award date" for EMPG awards will be the date that FEMA approves the award. The awardee should follow the directions in the notification to conf= acceptance of the award, Recipients must accept their awards no later than 90 days from the award date. The recipient shall notify FEMA of its intent to accept and proceed with work under the award, or provide a written notice of intent to decline. For instructions on how to accept 14 FY 2015 EMPG Program or decline and award in the ND Grants system, please see pages 40-43 in the ND Grants Grantee Training 1VIanual. Funds will remain on hold until the recipient accepts the award through ND Grants and all other conditions of award have been satisfied, or the award is otherwise rescinded., Failure to accept the brant award within the 90 day timeframe may result in a loss of funds. Pass through funding Each state shall obligate 100 percent (100%) of its total EMPG Program allocation amount to the designated state -level EMA. If the SAA is also the EMA, this requirement is automatically met. If the SAA is a separate agency, or has a separate budget processes, then EMPG fields must be obligated to the EMA within 15 days of the grant award date. In instances where the state EMA is making sub -awards to local jurisdictions, FEMA expects the state EMA to make these awards as expeditiously as possible, Administrative and National Policy Requirements Successful applicants for all DHS grant and cooperative agreements are required to comply with DHSS Standard Administrative Terms and Conditions, which are available online at: dttn,//tivv4tiv.clh.s,Dov/flirhliecrti0n/fy75-clh.s�sGcrncic�YclMt�rrns-and�cartr'litaarzs. Before accepting the award the authorized official should carefully read the award package. The award package contains instructions on administering the grant award, as well as terms and conditions with which the recipient must comply. Recipients must accept all the conditions in this NOFO as well as all Terms and Conditions in the Notice of Award to receive an award under this program. Reporting Recipients 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. Federal Financial Reporting Requirements Federal Financial Report (FFR) Recipients must report obligations and expenditures on a quarterly basis through the FFR (SF -425) to FEMA. Recipients must file the FFR electronically using the Payment and Reporting S ystem (PAILS). An FFR 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. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate lack of progress, or are insufficient in detail. Recipients may review the FFR Form (SF -425) at: yti��.�vhitehv�rs�.rY«��lsr.'lcs/clefctrtlt/files/oyral�/ canis/ r�prm,ecl�fc3t�rt.�/Sr 42 SF -425 OMB 9-00348-0061. 15 FY 2015 EMPG Program Financial Reporting Periods and Due Dates The following reporting periods and due dates apply for the FFR: Reporting Period Report Due Date October 1 -- December 31 Januar 30 Januar 1 — March 31 Aril 30 April 1 -- June 30 July 30 July 1— September 30 October 30 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 the fiscal year are required to submit an organization -wide financial and compliance audit report. The audit must be performed in accordance with the requirements of U.S. Government Accountability Of'fice's (GAO) Government Auditing Standards, located at rovaud1Ibk0I.htm, and the requirements of Subpart F of 2 C.F.R. Part 200, located at httn://www.ecfr.gov/c ti• binitext- icle?SID=55e12cecr,cl56'5605b4dj29d82cl27G105c&nocle=2: 1.1.2.1, 1. 6&L?I cN6 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 h-qp:1/wwm (,, 70 �o+A,ovaudl blcl� 1, ht�n, and OMB Circular A-133, Audits of States, Local Governments, and Non -Profit Organizations, located at httg:lltivwvv.whitehouse,govlongl)lci;,culaYslal33 cern Mance sup ler ent 2012. Program Performance Reporting Requirements Performance Progress Deports (SF -PPR) Recipients are responsible for providing updated performance reports to FEMA using the SF -PPR on a quarterly basis. The Quarterly Performance Progress Reports must be based on the approved EMPG Program Work Plan and are due no later than 30 days after the end of the quarter (i.e., on January 30, April 30, July 30, and October 30). Recipients must complete the cover page of the SF -PPR OMB Control Number: 0970-033 and submit it as an attachment to the ND Grants system. Recipients 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 National Preparedness System. This includes reporting on the following information: • List of completed training courses and exercises and the Training and Exercise Data Table (templates are available in Appendix C -- FY 2015 EMPG Program Work Plan). 16 FY 2013 EMPG Program • Percent completion of the Training and Exercise Plan (TEP) outlined in the FY 2015 EMPG Program Work Plan (templates are available in Appendix C — FY 2015 EIVIPG Program Work Plan), Programmatic Reporting Periods and Due Dates The following reporting periods and due dates apply for the PPR; 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 Standardized Reporting through the EINIPG Program Work Pian Template The EMPG Program Work Plan Template has been modified to standardize data collection for improved analysis and reporting. The EMPG Program Work Plan 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 of quarterly activities according to Emergency Management Function (EIV1F) projects, as well as standardized reporting of activity cornpletion states. The EMPG Program Work Plan must summarize program activities in the following areas: • Ptanning: 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 con nunity in the development of a strategic, operational, and/or community-based approach to preparedness. Organization: EMPG Program fands 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 (SHIMO) position, and staffing Community Emergency Response Team (CERT) and Citizen Corps positions at the state and local levels in order to promote whole community engagement in all phases of emergency management and across the mission areas. • Equipment: Allowable equipment categories for the EI PG Program are listed on the web -based version of the Authorized. Equipment List (A -EL) available at ht,://>���-�ti, etrtc�. ov/ r cc�tzc3.s.t-rzyn-clr�astet�zt� or http:/lrvww. nia. rov grants, Unless otherwise stated, equipment must meet all mandatory regulatory and/or FEMA -adopted standards to be eligible for purchase 17 FY 2015 EMPG Program using these fim& In 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 PIan Workshop (TEPW). Exercises: Exercises conducted with grant funds should test and evaluate performance towards meeting capability targets, established through the development of a jurisdiction's THIRA for the core capabilities needed to address their greatest risks. Exercise priorities should align to a current, Multi -Year TEP developed through an annual TEPW. For more details on the EMPG Program Work flan, please refer to Appendix C -FY 2015 EMPG Program Work Plan, Threat and Hazard Identification and Risk Assessment (THIRA) Recipients must update their THIRA by December 31 annually. Further details on the THIRA as it relates to EMPG Program requirements can be found in Appendix A — FY 2415 EMPG Program Priorities, For additional guidance on THIRA, please refer to Comprehensive. Preparedness Guide (CPG) 201, Second Edition, available at htt�vvU�v. err'�ca. nv/threcct-ancl-hctuarcl-icleYr.G-i-tenet.'ren-unci-r•r'slc-ccssesa;rrteFtP State Preparedness Report (SPR) Submittal Section 652(c) of the post Katrina Emeegency Alanagement Reform Act of 2006 (Pub. L. No, 109-295), 6 U.S.C. §752(c), requires arty state that receives Federal preparedness assistance to submit an SPR (01413 Control Number: 1664-4131) to FEMA.. States submitted their most recent SPRs in December 2014, thus Satisfying this requirement to receive funding under the FY 2015 EMPG Program, Emergency Operations Plan (EOP) Recipients must update their EOP at least once every two years to comply with Comprehensive Preparedness Guide (CPG) 101 v.2, Developing and illfaintcaining Emergency Operations Plans. Recipients will use the SPR to communicate their compliance with this reporting requirement. Bfaunttal Strategy Implementation Reports (BSIR) In addition to the Quarterly Performance Progress Reports, recipients are responsible; for completing and submitting BSIR reports. The BSIR is due within 30 days of the end of the reporting period (July 34 for the reporting period of January 1 through June 30 (the surarner BSIR); and January 30 for the reporting period of July 1 through December 31. Updated obligations and expenditure information must be provided wid-- n the BSIR to show progress made toward meeting strategic goals and objectives as well as how expenditures support Planning, Organization, Equipment, Training and Exercise it; FY 2015 EMPG Program (POSTE) activities, Accordingly, expenditires should support gaps identified in the recipient's TH RA and SPRs. FY 2015 Unified Reporting Tool (URS`) The URT is FEIVIA's collection. mechanism For THIRA/SPR and other related preparedness information. The FY 2015 SPR includes questions related to NIMS adoption and implementation, and CPG 101 v 2,0 compliance. Information on the URT, to include when recipients will receive the tool and how to use the tool, will be sent to recipients in summer 2015. Closeout FEMA will close out the grant award when it determines that all applicable administrative actions and all required work of the EMPG award have been completed by the recipient, This section summarizes the actions that the recipient must take to complete the closeout process in accordance with 2 C.F.R. § 200.343 at the end of the grant's period of performance or the expiration of an approved extension via Grant Adjustment Notice (GAN) issued to close out the grant, Within 90 days of the end of the period of performance, or after expiration of a close out extension via GAN, recipients must submit a final FFR and final performance progress report detailing all accomplishments and a qualitative summary of the impact of those accomplishments throughout the period of performance, as well as all the following documentation.: 1) Final request for payment, if applicable; 2) SF -425 —Final Federal Financial Report; 3) SF -PPR — Final Performance Progress Report to include final Activity Outline Report from Work Plan; 4) A qualitative summary of the impact of accomplishments throughout the entire period of performance. Summary is submitted to the respective Regional Program Manager in a Word document; 5) SF -428 — Tatigible Personal Pro2eity Report --- Inventory of all tangible personal property acquired using funds from this award; and 6) Other documents required by program guidance or terms and conditions of the award. If applicable, an inventory of all construction projects that used funds from this program has to be reported using the Real Property Status Report (Standard Form SF 429) available at http:l/_wv,whitchoase,goij/sites/coaGdLflleslorrlh_/_bmylsc� 422cl Additionally, the recipient must liquidate all obligations incurred under the EMPG award no later than. 90 calendar days after the end date of the period of performance or expiration of a GAN that closes out the award, whichever comes first. Recipients who do not liquidate their obligations within this time period may have the costs of their unliquidated obligations disallowed, Recipients are also responsible for promptly 19 FY 2015 EMPG Program returning to FEUTA the balance of any ftulds that have been drawn down, but remain unliquidated, After final reports have been reviewed and approved by FEMA, a close-out notice will be completed to close out the grant, The notice will indicate the period of performance as closed, list any remaining funds the recipient has not drawn down that will be deobligated, and address requirements for record retention., and disposition and reporting requirements for any equipment or real property purchased using EMPG grant funding. In addition, any EMPG recipient that issues subgrants to any subrecipients is responsible for closing out those subgrants as described in 2 C.F.R. § 200.343. EMPG recipients must ensure that they complete the closeout of their subgrants in time to submit all necessary documentation and information to FEMA. during the closeout of their own grant award, G. DRS Awarding AgenCV Contact Information Contact and Resource Information Centralized Services and Information Desk. (C,SLD) 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, recipients 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 ASKCsid(y),fi na.gov, Monday through Friday, 8:00 a.m. — 5:30 p.m. EST. GPI'? Grant Operations Division GPD's Grant Operations Division. Business Office provides support regarding financial matters and technical assistance. Additional guidance and information can be obtained by contacting the FEMA Call Center at (866) 9275646 or via e-mail to ASK- GINID iWhs.Rov. FE NU Regions FEMA Regions manage, administer, azrd conduct the application budget review, create the award package, approve, amend, and close out awards, as well as conduct cash analysis, financial and programmatic -monitoring, and audit resolution for the El/1PG Program, The Regions also provide technical assistance to EMPG Program awardees, Systems Information Grants.gov. For technical assistance with Grants.gov, please call the Grantn's,gov customer support hotline at (800) 518-4726. Nara .Disaster (ND) Grants. For technical assistance with the ND Grants system, please contact ndgra:ntslc fe�na.aQv or (800) 8654076, 20 FY 2015 EMPG Program GPD Environmental Planning and Historic Preservation (GPD-EHP) The FEMA GPD-EHP Team provides guidance and information about the EHP review process to recipients and subrecipients. All inquiries and communications about GPD projects or the EHP review process, including the submittal of EHP review materials, should be sent topclehpinfo(cr�,fema.go . EHP Technical Assistance, including the EHP Screening Form., can be found at ham,//w�w��, ��rac�, oi�/n�eclic� lihrar-cica�c�/7013Ui26- 1806-25045-2839XWd eh,2 screening.forma orr b 1660 0115 lune 201.1.12g.' 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. Hard copies of the NOFO Hard copies of the NOF O can be downloaded from the co=on electronic "storefront" Grants.aov . H. Additional Information Extensions Extensions to this program are allowed, Extensions to the initial period of performance identified in the award will be limited and considered only through formal, written requests to the recipient's respective Regional Program Manager and must contain specific and compelling justifications 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 Pro gram, Fiscal Year, and award number; 2) Reason for delay — this must include details of the legal, policy, or operational challenges behag 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 now 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 fiends will be expended; 8) Plan for completion including milestones and timefra.n�es 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 E1\APG Work Plan approved by FEMA. 21 FY 2015 EMPG Program 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. in accordance with GPD policy, extensions are typically granted for no more than a six month time period. Extension requests will be granted only due to compelling legal, policy, or operational challenges. 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 commurzty, 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 successfiil mitigation efforts, emerging threats, hazards, and associated consequences. Information on the National Preparedness System can be foiund in the htt, ://ww%,, emcr. (released Nov 2011), which is posted on the FEMA website. Additional details regarding the National Preparedness System and how it is supported by the EMPG Program can be found in Appendix A — FY 2015 EMPG Program Priorities. Payment FEMA utilizes the FEMA Pa Ment and Reparting, System PARS for financial reporting, invoicing and tracking payments. DFZS/FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients, To enroll in the DD/EFT, the recipients must complete a Standard Form 1199A, Direct Deposit Form. Monitoring EMPG recipients will be monitored programmatically and financially biannually and as needed 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 may be 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 that may be needed. 22 FY 2015 EMPG Program Conflict of Interest To eliminate and reduce the impact of conflicts of interest in the subaward process, recipients and pass-through entities must follow their own policies and procedures regarding the elimination or reduction of conflicts of interest when malting subawards, Recipients and pass-through entities also are required to follow any applicable state, local, or tribal statutes or regulations governing conflicts of interest in the malting of subawards. The recipient or pass-through entity must disclose to FEMA, in writing, any real or potential conflict of interest as defined by the Federal, state, local, or tribal statutes or regulations or their own existing policies that may arlse during the administration of the federal award. Recipients and pass-through entities must disclose any real or potential conflicts to their Regional Program Manager within five days of learning of the conflict of interest. Similarly, subrecipien.ts must disclose any real or potential conflict of interest to the pass-through entity as required by the Recipient's conflict of interest policies, or any applicable state, local, or tribal statutes or regulations. Conflicts of interest may arise during the process of FEMA making a Federal award in situations where an employee, officer, or agent, any members of his or her immediate family, his or her partner has a close personal relationship, a business relationship, or a professional relationship, with an applicant, subapplicant, recipient, subrecipient, or FEN[A employee. 23 FY 2015 EMPG urogram FY 2015 EMPG Program Allocations Emergency Management Performance Grant (EMPG) awards are based on Section 662 of the Past -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, ZD 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 EMPG program. The balance of the funds appropriated for the EMPG Progrun fronds are distributed on a population -share basis. Pursuant to Article X of the Federal Programs and Services Agreement of the Compact of Free ,Association pct (Pub. L. No. 108-188), a set amount of funds ($100,000 total) are also available from the Disaster belief Fund for the Federated States of Micronesia and for the Republic of the Marshall Islands, Alabama $5,780,028 New Hampshire $3,488,231 Aaska $3,104,321 New Jersey $8,440,219 Arizona $7,004,535 New Mexico $3,981,883 Arkansas $4,554,934 New York $15,471,989 Cafifornia $27,870,091 North Carolina $9,094,690 Colorado $6,109,552 North Dakota $3,106,110 Connecticut $4,965,015 Ohio $10,168,217 Delaware $3,233,715 Oklahoma $5,148,078 District of Columbia $3,053,679 Oregon $5,208,056 Florida $15,567,673 Pennsylvania $10,944,419 .Georgia $9,194,379 Rhode Island $3,311,501 Hawaii $3,548,573 South Carolina $5,769,036 Idaho $3,688,390 South Dakota $3,180,080 Illinois $11,005,166 Tennessee $6,886,039 Indiana $5,916,945 Texas $20,163,325 Iowa $4,646,511 Utah $4,539,666 Kansas $4,514,370 Vermont $3,032,644 Kentucky 5,496,416 Virginia $8,042,123 Louisiana $5,650,101 Washington $7,219,265 Maine $3,490,362 West Virginia $3,828,831 Maryland $6,513,279 Wisconsin $5,370,898 Massachusetts $7,033,594 Wyoming $3,005,053 Michigan $9,072,413 Puerto Rico $4,933,604 Minnesota $5,175,463 U.S. Virgin Islands $942,773 Mississippi $4,5721962 American Samoa $910,469 Missouri $6,570,000 Guam $979,748 Montana $3,290,945 Northern Mariana Islands $908,495 Nebraska $3,849,115 Republic of the Marshall Islands $50,000 Nevada i6i $41472,131 Federated States of Micronesia $50,000 oa abt 24 FY 2015 ENIPG Program Appendix A - FY 2015 EMPG Program Priorities Alignment of the EMPG Program to the National Preparedness System The Nation utilizes the National Preparedness System to build, sustain, and deliver core capabilities in order to achieve the National Preparedness Goal (the Goal) of "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 National Preparedness System 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 National Preparedness System 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 (lett; //�v��4; errtc.go� /wl�plc ,c,nranatcni( ). The FY 2015 EMPG Program contributes to the implementation of the National Preparedness System 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, funding should support deployable assets that can be utilized anywhere in the Nation through autornatic assistance and mutual aid agreements, including but not limited to the Emergency Management ZD Assistance Compact (EIviAC). The FY 2015 EMPG Program supports investments that improve the ability of jurisdictions nationwide to; • Preventing a threatened or an actual act of terrorism; e Protecting our citizens, residents, visitors, and assets against the greatest threats and hazards; s 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 o f communities affcctcd by a catastrophic incident. The core capabilities contained in the Goal are highly interdependent and require the use of existing preparedness networks and activities, to improve training and exercise programs, promote innovation, and to ensure that the appropriate administrative, mance, and logistics systems are in. place. 25 FY 2015 EMPG Program Recipients will use the components of the National Preparedness System to support building, sustaining, and delivering these core capabilities. The components of the National Preparedness System 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 atdz./htitf�v.femcz.nv/Nltivrtctl pzeiacr3eclyress-s�ystern. Recipients are expected to use this process when using grant funds to address their capability gaps. Deporting on the Implementation of the National Preparedness System Identifying sand Assessing Risk and Estimating Capability Requirements In order to qualify for EMPG Program funding, all recipients shall develop and maintain a THIRA, which informs and supports an annual SPR. 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 (H1RAs) 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 htt.s./%rww, ema,�v/thr{ecet-and-hcrwcrrcl-icl�ztr' iccctlon-cxncl-risk-ce,�sessicef�t, 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. The SPR is an annual sel.E assessment of state preparedness submitted by the 56 states and territories to the FEMA. The Post -Katrina Emergency Management Reform Act of 2006 (PKEMRA) requires an SPR from any state or territory receiving federal preparedness assistance administered by the Department of Homeland Security. Repotting: States are required to submit an annual update to their THIRA. States will submit their THECA update along with their SPR through the URI and email a copy of the URT to their respective FEMA Regional Federal Preparedness Coordinator and copy THIRA submissions shall be in alignment with CPG 201, Second Edition. State submissions of the THIRA and SPR are due no later than December 31 annually, Building andSustaining Care Capabilities EMPG Program recipients should ensure that grant funding is utilized to sustain critical core capabilities within the National Preparedness System that were funded by past EMPG Program funding cycles. 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 funding, recipients must ensure that the capabilities are deployable outside of their 26 FY 2015 EMPG Program community, where applicable, to support regional and national efforts or otherwise shareable with regional partners and aligned with a capability target identified in the THIRA or a capability gap identified through the SPR. Reporting, Recipients will be required to; (1) describe how expenditures support maintenance and sustainment of current Goal core capabilities, and (2) describe how expenditures support a capability target identified in the TI-3Tl�A or a gap identified in the SPR and report these within the quarterly performance progress reports. AVI11 SImplementation Recipients receiving EMPG finding are required to implement the NNS, and EMPG funds may be used to meet the requirements described below. The NIN1S uses a systematic approach to integrate the best existing processes and methods into a unified national framework for incident management. Incident management refers to how incidents are managed across all homeland security activities, including prevention, protection, and response, mitigation, and recovery. FY 2015 EMPG recipients must use standardized resource management concepts for resource typing, credentialing, and an inventory to facilitate the effective identification, dispatch, deployment, tracking, and recovery of resources. Reporting • Recipients report on NFMS ixxrplenr.entation through the SPR. Planning to Deliver Capabilities All EMPG Program recipients shall maintain, or revise as necessary, jurisdiction -wide, all threats and hazards EDPs consistent with the OPG 101 v.2, which serves as the foundation for state, local, tribal, and territory emergency planning, CPO 101 v.2 can be found at httt�s://�1r cave erncr,eov/r��edicr-lilarcark/cossets/clvc?.ttra(�nts125975. Recipients must update their EOP at least once every two years. In building filture EOPs, planners should anticipate the increasing complexity and decreasing predictability of the futtire 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 Discister.Resilience 2030 Report. The Report can be found at 1i ://wtiv�v; erncc. c� °%sttatcG ic-�alctnnirt{?-car�rr.lysis- cr-c livision/slrcategic fo resighi- u�iticclzv��. Reporting; A Recipients will report EOP compliance with CPG 101 v2 in the SPR. Validating Capabilities Recipients should develop long-term training and exercisepriorities that examine, validate and/or address capability targets identified through their annual THIRA and or capability gaps identified through their annual SPR. Recipients should also review and consider areas for improvement identified from real-world events and exercises, and national areas for 27 FY 2015 ETMPG Program. improvement identified in the most recent National Preparedness Report when developing exercise priorities. The Training and Exercise Program (TEP) should consider the risks and capability requirements described in the THIRA alotag 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 increase the ability to deliver core capabilities. Information related to TEPs and TEPWs can be found on the Homeland ,Security Exercise and Evaluation Program (HSEEP) website at https://�vww.fel-na.gov/exercise. In addition to training activities aligned to and addressed in the TEP, all EMPG Program funded personnel shall complete the following training requirements and record proof of completion: NNIS Training, Independent Study (IS) 100, IS 200, IS 700, and IS 800, and 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 maybe found at All recipients will develop and maintain a progressive exercise program, consistent to the degree practical, with the Homeland Security Exercise and Evaluation Program (HSEEP) in support of the National Exercise Program (NEP). The NEP is critical to our Nation's ability to test and validate core capabilities. To this end, grantees are highly encouraged to nominate exercises into the NEP. For additional information on the NEP, please refer to http:M,vvvw.fL ia.govInationaI-exercise- ro,_rarn. Recipients shall conduct no less than four quarterly exercises (Le., one EMPG funded exercise and/or an exercise that includes EMPG funded personnel per quarter) of any type (i.e., discussion -based or operations -based) and one full-scale exercise within a 12 -month period. The five exercises shall be linked to common program priorities and reflect a series of increasingly complex exercises with each building upon the previous one while incorporating prior lessons learned. 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. Rep oriing; • Recipients are required to develop a multi-year TEP that identities a combination of exercises and associated training requirements that address priorities identified in the 28 FY 2015 EMPG Program TEPW. The TEP shall be submitted to hseepLDferna.dhs. of no later than Junc 1 annually, States are encouraged to post their training and exercise schedules to the National Exercise Scheduling System (NEXS) at ht qs://www,,felria.,govlexerd,se, List of completed training courses and exercises and the Training and Exercise Data Table to be included in the Quarterly Performance Progress Report, Percent completion of the TEP outlined in the FY 2015 EMPG Program Work Plan to be included in the Quarterly Performance Progress Report. In, order to report on the required exercises, recipients can either submit one After Action Report/improvement Plan (AAR/IP) for the culminating full-scale exercise from all 5 exercises conducted within a 12 -month period; or individual AAR/IPs for each of the 5 exercises to hseepcDfe1na.dhs.gov, and the appropriate Regional EMPG Program Manager no later than 90 days after completion of the exercise. In accordance with HSEEP guidance recipients are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. Recipients are encouraged to use the HSEEP AAR/1P template located at http.s;//titi�vtiv.fer�7c�.�ov/ere�ca,re and utilize the Corrective Action Program (CAP) System at haps://hsee ,dhs govleyp.s�/, as a means to track the implementation of corrective actions listed in the AAR/IP. If a state/territory/local jurisdiction has experienced a major disaster, and would like to request exemptions for a scheduled exercise, the recipient should send this request to its assigned FEMA Regional Program. Manager through the Quarterly Performance Progress Report. Exemptions will be reviewed on a case-by-case basis by the Regional Program Manager. Reviewing and Updating On a reciuTing basis, capability levels, resources, and plans should be reviewed to determine if they remain relevant or need to be updated. This review should be based on a current risk assessment and utilize information gathered during the capability validation process. These reviews will provide a means to determine priorities, direct preparedness actions, and calibrate goals and objectives. Additional considerations Strengthening Governance Integration DHS/FEMA 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 %r 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 systerrrs better ensure that disparate funding streams are coordinated and applied for maximum impact, DHS/FEMA requires that all governance processes that guide the allocation of preparedness grant fiends adhere to the following guiding principles: 29 FY 2015 EMPG Program • 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 funds 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/FFMA grants support must include local government representatives. At the state and regional levels, local risk assessments must be included in the overarching analysis to ensure that all threats and hazards are accounted for. • Flexibility with Accotmtabilliv — 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 levels, and within metropolitan areas. 30 FY 2015 EMPG Program Appendix B — EY 2015 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 EMAs. The state EMA may use up to Eve percent (S%) of the EMPG 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, Indirect Costs Indirect costs are allowable under this program as described in 2 CY R. § 204.414. With the exception of recipients who have never received a negotiated indirect cost rate as described in 2 C.F.R. § 200.4140, recipients must have an approved indirect cost rate agreement with their cognizant Federal agency to charge indirect costs to this award. A copy of the approved rate (a Fully executed, agreement negotiated with the applicant's cognizant Federal agency) is required at the time of application, and must be provided to FEMA before indirect costs are charged to the award. 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 fi.lnds may be used to develop or enhanco emergency management planning activities. Some examples include; • Development of THIRA and SPR Development of an all -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 h.tt�.s:!/�-�wvv. e�rrci, loo/rraeclia-la�rc�r %r,ss�G.s/cic�cicrrac�2ts/2S9i5 • 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 31 Appendix B- FY 2015 EiUIPG Program Funding Guidelines • Developing and updating Tactical Interoperability Communications Plans 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 All-of-Nation/Whole Community Engagernent/Planning • Developing/enhancing emergency operations plans to integrate citizen/volunteer and other non-governmental organization resources and participation Engaging the whole community in public education and awareness activities • Planning to foster public-private sector partncrships, including innovation for disasters initiatives that support the mission areas identified in the Goal • Executing an America's PrepareAthon? activity to engage the whole community in a hazard -specific activity on the National Day of Action • Establishing a Citizen Corps Council that brings together representatives of the whole community to provide input on emergency operations plans, risk assessments, mitigation plans, alert and warning systems, and other plans; assist in outreach and education of community members in preparedness activities; and build volunteer capability to support disaster response and recovery • Delivering the CERT Basic Training Course and supplemental training for CERT members who have completed the basic training, the CERT Train -the -Trainer Course, and the CERT Program Manager course (strongly encouraged) * Developing or enhancing 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 • Acquiring 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 FEiVMA's approval of a five-year viable inventory management pian if planned grant expenditure is over $100,000; an effective distribution strategy; sustainment costs for such an effort 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. Recovery Planning • Disaster housing planning, such as creating/supporting a state disaster housing task force and developing/enhancing state disaster housing plans 32 Appendix B- FY 2015 EMPG Program Funding Guidelines 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 National Disaster Recovery Framework (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 Disaster Recovery (pages 63-70). For more information on the NDRF see htt /lwtivw. Erna. ov/xl7recovery raraev4°orlc%zclr , Federal (and Mutual Aid) Emergency Response Official (F/ERO) Crcdentialing and Validation • Working group meetings and conferences relating to emergency responder crederatialing 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), ETN/TG 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 (Sl MO) position; staffing CERT and Citizen Corps positions at the state and local levels in order to promote whole community engagement in all phases of emergency management; performing close-out activities on FEMA Disaster Assistance grants; and supporting fission 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. Rec.ipic ats 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 200, Subpart E — Cost Principles, Equipment Allowable equipment categories for the E?vIPG Program are listed on the web -based version of the Authorized Equipment Dist (AEL) at httn://wti4ti�, ��racr.�ov/ re�ct�eclncss-�zoti�cli.scasteY. °crfit5 or lztwwfc�rYtco�,°/rcr�z.ts. Unless otherwise stated, equipment must meet all mandatory regulatory and/or kEN(A-adopted standards to be eligible for purchme using these funds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. 33 Appendix B- FY 2015 EMPG Program Funding Guidelines Allowable equipment includes equipment from the following AEL categories: • Information Technology (Category 4) • Cyber security Enhancement Equipment (Category 5) • Interoperable Communications Equipment (Category G) • Detection Equipment (Category 7) • Power Equipment (Category 10) • Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Reference Materials (Category 11) • CBRINE Incident Response Vehicles (Category 12) • Physical Security Enhancement Equipment (Category 14) • 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. If 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 CYK Part 200, including 2 C.F.R. §§ 200.310, 200.313, and 200.315. 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 j t1://tivt�'vv.�ernct..�rayle�er{cise, 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. EMPG Program funds used for training should support the nationwide implementation of NIMS. The NLV1S Training Program establishes a national curriculum for NIMS and provides informatio.a on NIMS courses, recipients are encouraged to place emphasis on the core competencies as do -fined in the NIMS Training Program. The NIMS Training Program can be found athtt�:r/�vlyuv. fearta..Dov/ elf/crraea `tc>>/nraats/fairsas o'ainiriz�t� yrctmra, d ; The NIMS Guideline for Credentialing of Personnel provides guidance on the national credentialin; standards. The NIMS Guidelines for Credentialing can be found at htto://www.ferrrt grit/clj/emer�caney/nitrts/rairrts erect reticlelirE,s re ort., cl ; 34 Appendix B- FY 2015 EMPG Program Funding Gu.ideiines To ensure the professional development of the emergency management workforce, the recipients must ensure a routine capabilities assessment is accomplished and a TEP is developed and implemented. For additional information on review and approval requirements for training courses funded with preparedness grants please refer to the following policy: http.,11w-mv.fema. govlmedia-libntrv- ,,I atcellll5d44c063h7bb895]Daafbe79c1875/FINyfL GPD Trciini't gg+Thrf,e-f for+Free+Polig 09 -10+ jpdf - Additional types of training or training related activities include, but are not limited to, the following: • 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 • State -approved, locally -sponsored CERT training S Mass evacuation training at local, state, and tribal levels Allowable training -related costs include the following: 0 .Funds Used to Develop, Deliver, and Evaluate Training. This 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 functional 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 (ADDIE) model for instruction design, Overtime and Baekfall. 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 progranns 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 FEMA, 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, and 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 ContrcaetorslConsultants. Full or part-time staff or contractors/consultants may be hired to support direct training -related activities, Payment 35 Appendix B- FY 2015 RTMPG Program Funding Guidelines of salaries enc[ 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 FEMA, whichever is applicable. Cerdfleation/Recertifcation of-Tnstructors. 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: • 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. Recipients 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 q f .Full or Part -Time Stgff or Contractors/Consultants. Full 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 FEMA, whichever is applicable. The services of contractors/consultants may also be procured to support the design, development, conduct and evaluation of exercises. • Overtime and backfill. The entire amount of ovet-tiine 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 FEMA, 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.rn. 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 anal conduct of the exercise activities (e.g., gloves, non-sterile masks, and disposable protective equipment). • i' ntplernentation of HSEEP. This refers to costs related to developing and maintaining an exercise program consistent with 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. Recipients 36 Appendix B- FY 20 [ 5 EMPG Program Funding Guidelines 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 accon-nnodations and modifications that facilitate full access for children and adults with disabilities are allowable. 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 fuel/gasoline or mileage. Equipment that is purchased for permanent installation and/or use, beyond the scope of exercise conduct (e,g,, electronic messaging signs) 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 ENLPG Program. Written approval must be provided by FFMA prior to the use of any EMPG Program funds for construction or renovation. Requests for ENiPG program Rinds for construction of an EOC must be accompanied by an EOC Investment Justification (FEMA Form 089-0,0-3; OMB Control Number; 1660-0124 (goc inv. cl to their Regional Program Manager for review. Additionally, recipients axe required to submit a SF - 424C Budget and Budget detail citing the project costs. When applying for Kinds to construct communication towers, recipients and subrecipients must submit evidence that the Federal Commuriication Commission's ('FCC) Section 106 review process has been completed and submit all documentation resulting from that review to GPD prior to submitting materials for EHP review. Recipients and subrecipients 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 EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in 44 C.F.R. § 10.8, must also be identified to the FEMA Regional Program Manager within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period ofperformance. EHP review packets should be sent to gpdehpinfo c Tema. ov. EMPG Program recipients using funds for construction projects must comply with the Davis - Bacon Act (40 U.S.C. §§ 3141 et seq.), Grant recipients must ens me that their contractors or subcontractors for construction projects pay workers .no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis -Bacon Act, including Department of Labor (DOL) wage 37 Appendix B- FY 2015 EMPG Program Funding Guidelines determinations, is available from the following website, dtttp: //WwW.dol.gol1fcornPlicclxcc/Iczlvs/car�ir�-clbrct.htrn. 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 grant awards, unless otherwise noted. EMPG Program grant funds are intended to support the Goal and fund 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 recipients the ability to meet this objective, the policy set forth in GPD's IE 379 (Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHSIFENIA Grant Funding) allows for the expansion of eligible maintenance and sustaiarnent 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 Goal, and (4) shareable through the ETMAC. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either Federal grant funding or any other source of f mcling other than DHS/FEMA preparedness grant program dollars. Additional guidance is provided in FEMA Policy FP 205-402-125-1, Maintenance Contracts and YYarranty Coverage Funded by Preparedness Grants, located at: htt://tivtivv� c mcx. ov/rrac>clicr- lihrEi /assEts/clocaaments/32474. Unallowable Costs Expenditures for weapons systems and ammunition Costs to support the hiring of sworn public safety officers for the purposes of firlfilling 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, recipients should consult with their FEMA Regional Program Manager prior to making any investment that does not clearly meet the allowable expense criteria established in this Guidance. 38 Appendix 13- .FY 2015 EMPG Program Funding Guidelines Appendix C — FY 2015 ]EMPG Program Work Plan EMPG Program 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 recipients 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 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 Programa. funds. In addition, the narrative should address the following: • Overview of the state's risk profile resulting from the current THIRA • 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) • Detailed Budget Narrative justifying the requested funding for the identified Work Plan activities • Description of how projects and programmatic activities support the building or sustainment of the core capabilities as outlined 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 E.�/1PG Program fields. This will assist in documenting the extent to which EMPG Program funding supports personnel at the state -level. Submit this template with the EMPG Program Work Plan and a roster of EMPG-funded personnal. The roster of EMPG-funded personnel should be updated only if numbers change more than 10 percent during the award period of performance. 39 Appendix C- FY 2015 EMPG Program. 'Work Plan Personnel Data Table Template �BP5oniietri£S M. _ .... •. _ ...,.. ., `, " Data •,`: EMPG Program funds (Federal and match) allocated towards state emergency Management personnel EMPG Program funds (Federal and match) allocated towards non -state emergency managgeznent personnel {local, Tribal, territories Total Number of state emergency management full-time equivalent (FTE) personnel including those supported and not supported by the EMPG Program) Number of state emergency management full-time equivalent (FTE) personnel supported (fully or partially) by the EMPG Program Total Number of state, local, Tribal and territory (SLTT) emergency management ersonnel su orted(full or artially) by the EMPG Program Personnel Data Table Definitions Line 1— All EMPG Program funds (Fed & match) allocated for state emergency management personnel Line 2 — All EiMPG Program funds (Fed & match) allocated towards non -state emergency management personnel (Local, Tribal, Territories) Line 3 Total Nutaaber 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 Nivnber of state and local emergency management personnel funded (hilly 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 courses that meet the EMPG reporting requirements. This template should reflect training activities outlined in the Multi -Year TEP and completion of EMPG Program training requirements, EMPG Program funded personnel should complete the listed training requirements and record proof of completion. 40 Appendix C- FY 2015 EMPG Program Work Plan Training Data Table Template Training Data Table Definitions: Col 1 --- Name of Training Cot 2 - Is the course required of EMPG funded personnel? Cot 3 -- # of Personnel Trained Col 4 - Total # of SLIT EMPG Funded Personnel (Universe) Col 5 '- Total # of SLIT EMPG Funded Personnel that completed the Course Cot 6 Is the training identified in the multi-year TEP? Exercise Data Table To facilitate consistent data reporting and performance measure collection, an Exercise Data Table should be completed for any exercises that meet EMPG requirements and/or exercises conducted in whole or part with EMPG fiends, Recipients shall conduct no less than four quarterly exercises and one fiat -scale exercise within a 12 -month period. The five exercises shall be linked to common program priorities and reflect a progressive exercise series of increasingly complex exercises with each building upon the previous one while incorporating prior lessons learned, The exercises should be part of the recipient's progressive exercise program and outlined in the multi-year TEP, EMPG Program funded personnel shall, participate in no less than three exercises. 4.1 Appendix C- FY 2015 EMPG Program Work Plan "TQtal # of EMPG Number of Total # of SETT '> SliJTT EIVIPG T'�ttnrng ..: r <' Na�aze og raiFF ng lCdegt�ired :, .. , Persanhel ` E' VG rFY[iCICd f Iflent�faed .K TraFr�FF�g? Trained-. Funded -Personnel xn .TEP (Y/N) : Personnel that;(y1N) completed..:- -- the Course Training Data Table Definitions: Col 1 --- Name of Training Cot 2 - Is the course required of EMPG funded personnel? Cot 3 -- # of Personnel Trained Col 4 - Total # of SLIT EMPG Funded Personnel (Universe) Col 5 '- Total # of SLIT EMPG Funded Personnel that completed the Course Cot 6 Is the training identified in the multi-year TEP? Exercise Data Table To facilitate consistent data reporting and performance measure collection, an Exercise Data Table should be completed for any exercises that meet EMPG requirements and/or exercises conducted in whole or part with EMPG fiends, Recipients shall conduct no less than four quarterly exercises and one fiat -scale exercise within a 12 -month period. The five exercises shall be linked to common program priorities and reflect a progressive exercise series of increasingly complex exercises with each building upon the previous one while incorporating prior lessons learned, The exercises should be part of the recipient's progressive exercise program and outlined in the multi-year TEP, EMPG Program funded personnel shall, participate in no less than three exercises. 4.1 Appendix C- FY 2015 EMPG Program Work Plan W a Exercise Data Table Definitions: Col 1— Name/Description of Exercise Col 2 — Date of exercise Col 3 — Type of exercise (e.g., seminar, workshop, tabletop, games, drills, functional, and/or full-scale) Col, 4 — Program priority associated with the exercise Col 5 — Is the exercise part of a progressive exercise series? Col — Total # of SLIT EMPG Funded Personnel (Universe) Cot Total # of SLTT EMPG Funded Personnel Participating in Exercise Col 8 -- Does the exercise fulfill the EMPG requirement that EMPG Program funded personnel participate in no less than three exercises? Col 9 — Is exercise identified in the multi-year TEP? 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 2015 EMPG Program funds (including construction and renovation projects). The data outlined in this template will be used to evaluate the timely completion of planned emergency management activities. Recipients are encouraged to complete a separate Grant Activities Outline for each Emergency Management Function (EN/1F). Quarterly training activities should be reported against EMF #13, "Training," and quarterly exercise activities should be reported against EMF #14, "Exercises, Evaluations and Corrective Actions." Recipients should complete a template as shown on the next page and address the following areas: a EMF 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.) e Name of Planned Project. Provide a descriptive nx-ne of eachplanned project. Examples include "Development of Emergency Function Annexes", "Development of Earthquake Scenario Loss Estimations", "Implementation of Statewide Interoperability a Plan", "NINI,S Training for Emergency Management Personnel", "Development of Emergancy 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. 43 Appendix C- FY 2015 EMPG Program. Work Plan • Core Capability Addressed, Briefly describe which of the 31 core capabilities (multiple can be selected) the project addresses. • 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 Performance Progress Report. • Step. Provide the status of planned quarterly activities. • 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: ProjPet Objective: Core capabUities Addressed: Performance Measure and Basis of Evaluation: Challenges/Risks: I" Quarter Activity (10/1/14-12/31/14) Planned Activities: step: Comments: 2" Quarter Activity (111/15-3/31/15 planned Activities: Step: Comments: 3' Quazter Activity 411115-6/30/15} Planned Activities: Step: Comments: 4' Quarter Activity 7/1/15-9/30115) Planned Activities: step; Comments: 5' Quarter Activity (10/1/15-12!31!15) Planned Activities: Ste ?� Comments; 6` Quarter Activity 111/16-3/31/16) planned Activities; Step; Comments; ` QUarter Activity (4!111 6-613 011 6} ( Planned Activities: Step: Comments; S` Quarter Activity (7/1/16-9/30/16 planned Activities: step: Comments: 44 Appendix C- FY 2015 EMPG Program Work Plan Project Management Lifecycle Steps Description Process Initiate The authorization to begin work or involves preparing for, assembllrg resume work on any particular resources and getting work started. May activity apply to any level, e.g, program, project, Kase, activity, task. Plan The purposes of establishing, at an early Involves working out and extending the 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 movtng a project concept to a viable and/or any specific phases of the project. project, The period within the project lifecycle involves directing, accomplishing, Execute during which the actual work of maraging, and completing all phases and creating the project's deliverables is aspects of work for a 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 accomplishment of 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 45 Appendix C- FY 2015 EMPG Program Worm .Plan EXHIBIT B N ru 0 orn 00 C) o Ln 0 0 Is tO ID 11RIHXH Fiscal Year 2015 EMERGENCY MANAGEMENT PERFORMANCE GRANT (EMPG) PROGRAM California Supplement to the Federal Program Notice of Funding Opportunity; or, The .Mate Guidance Director's Message The California Governor's Office of Emergency Services (Cal OES), serves as the State's leader for emergency management and homeland security agencies in California, As such, Cal OES realizes that our vision of building a safer and more resilient California will be achieved through collaboration and coordination with emergency management partners from communities large and small throughout our diverse state. We recognize that our mission to protect lives and property, build capabilities, and support our communities for a more prepared California can only be achieved because of the dedication of like-minded professionals, who are willing to work alongside Cal OES to support the National Preparedness Goal's associated mission areas and care capabilities. It is with profound gratitude for the hard work and commitment of our partners that we are pleased to announce the release of the Cal OES Fiscal Year 2015 Emergency Management Performance Grant Program (EMPG) — California Supplement to the Federal Program Notice of Funding Opportunity. As in previous years, Cal OES EMPG program specialists and emergency services coordinators remain available to assist you in successfully completing thin and other emergency management programs in addition to supporting your emergency operations. As we continue to jointly advance California's comprehensive emergency preparedness system, we understand there is still much work to do. Yet, we can say with certainty that our communities are safer, better trained, and better prepared as a result of the Ewi G Program and others like it. We have been entrusted with a duty and responsibility to the people of this state to provide leadership through service during some of the most difficult times our communities will face. We maintain that trust by fulfilling our mission with honesty, accountability, and transparency. It is a great honor for us to be working alongside partners that exemplify a commitment to maintaining that trust. We both welcome you and thank you for joining us in our forward leaning efforts to ensure California's optimum readiness to prevent, prepare for, protect against, respond to, recover from, and mitigate the effects of all threats and hazards to life, property, and environment. MARK S. GHILARDUCCI Director Table of Contents FEDERALPROGRAM GUIDANCE---, .... ....................................................... ...........................................1 INFORMATION1 ULLETINS .............................................................................................................................1 GRANT MANAGEMENT MENfORANDUMS........................................................................................................1 PURPOSE OF THIS SUBAWARD & GUIDANCE...................................................................................................1 ELIGIBLE SUBAWARD SUBRECIPIENTS....................................„,..................,,,.,,.,,..,.,.,,.,,,.,.....,.....................1 SUBRECIPIENTS / PASS-THROUGH ENTITIES........................................................................................... ......1 PERFORMANCEPERIOD.................................................................................................................................. Z MATCHREQUIREMENTS .................................................................................................................................2 ALLOCATIONS AND IMETHODOLOGY ............................ .................................................................................2 ExCEssFU,[Ds....................................................................... ......................................................................2 INDIRECTCOSTS....................................................................................................................... ....................2 CONFLICTOF INTEREST ..................................................................................................................................2 SUBAWARD TIMELINES / KEY DATES.. ....... ............................................................... 3 WHAT'S NEW? ......................................................................................................................................... .....4 EMPGPROGRAM EVIPHASIS.......... ............................................................. 4 ................,...................,,.........,,, APPLICANT RESPONSIBILITIES..........—...........................................................................................................5 APPLICATIONDOCUMENTS.............................................................................................................................5 OPTIONAL APPLICATION COMPONENTS..........................................................................................................6 GOvER,NNo BOIDY RESOLUTION(GBR).................. ........................... ................. —......... ....,,,........................ 6 ADDENDUM TQ GOVERNING BODY RESOLUTION...........................................................................................6 OFFICIAL WRITTEN CORRESPONDENCE ............................... ........ ................ ................ ..... . . ..... . . ... . ............ .. 6 SOLESOURCE PROCUREMENT ........................................................................................................................6 SUBAWARD ASSURANCES AND CERTIFICATIONS............................................................................................7 NIMSADOPTION.:..........................................................................................................................................7 APPLICATIONDUE DATE................................................................................................................................7 APPLICATIONSUBMITTA.I................................................................................................................................8 ENIPGPROGRAM SPECIALISTS....................................................................................................................... 8 MAILINGADDRESS .........................................................................................................................................8 APPROVALOF APPLICATIOiN..................................................... ...............................................................8 ADDITIONALFUNDS.....................................................................................................................................8 APPLICAPII..I; LAWS & REGULATIONS.............................................................. ...............................................9 ENV[RONiME.NTAL PLANNh\[G AND HISTORIC PRESERVATION[ (EHP) COMPLIANCE........................................ 9 FEDERALLY MANDATED OBJECTIVE INFORMATION.,,.,..—. ........ _............................................:..................1O EXTENSIONRtaQUESTS ..................................................................................................................................10 VALIDATING CAPABILITIFS OBJECTIVE: DEVELOP AND MAINTAIN MULTI-YEAR TSPS..............................11 VALIDATING CAPABILITIES OBJECTIVE,: EXERCISE ,,,,,,,,,,,,,,11 VALIDATING CAPABILITIES OBJECTIVE: TRAINING ......................................................................................12 TRAr,NTNCr FEEDBACK NUMBER ...................................................... .......... .—................ ...............,..............13 SUBCONTRACTS............................................................................................................................................13 SYSTE4I FOR AWARD MANAGEMENT (SAM)..............................................................................................13 MAINTENANCE AND SUSTA.INMENT.......................................................... ................................................13 UNALLOWABLECOSTS .................................................................................................................................14 SUPPLANTING...............................................................................................................................................14 ACCESSIBILITYor RECORDS .......................................................................................................................14 REIMBURSEMENT OF ELIGIBLE COSTS .........................................................................................................14 SUBAWARDMODIFICATIONS ........................................................................................................................14 PERFORMANCEREPORTS ..............................................................................................................................15 CLOSEOUT ,.......... ....................... RECORDSRETEN, ION .................................................................................................................................. 15 FINALSUBAWARD REPORT ...........................................................................................................................15 AUDITREQUIREMENTS .................................................................................................................................15 MOMTORING SUBAWARD PERFOTZMANCE.................................................................................................... 15 ,SUBANVARD— t LATER DOCUMENTS -1 • FINANCIAL MANAGEMENT FOR'VIS WORI{BOOK (FMFW) -- ('REQUIRED) • GOVERNING BODY RESOLUTION (GBR) & ADDENDUM TO GBR — (REQUIRED) • SUBAWARD ASSURANCES AND CERTIFICATIONS — (REQUIRED) • FY2015 ENIPG APPLICATION CHECKLIST (REQUIRED) • INDIRECT COST PATE NEGOTIATION AGREEMENT — (REQUIRED IF APPLICABLE) • EXCESS FUNDS STATEMENT FORM — (OPTIONAL) ADDITIONAL PROTECT USING .EXCESS FUNDS FORM — (OPTIONAL) • ADDITIONAL PROJECT USING EXCESS FUNDS DETAILED BUDGET FORM --- (OPTIONAL) • HOW TO SUBMIT AN ENiPG MODIFICATION REQUEST — (INSTRUCTIONAL) • HOW TO SUBMIT AN EMPG REIMBURSEMENT REQUEST -- (INSTRUCTIONAL) Al( documents can be located on the Cal OES website at; htta./Jw�vv.calc7e,ra._ov/Gemts:Niai�aMemeE�CSite/17�=r s/L�zt_rgenCY U1anagetllent-PerPor�nak�ce {iraat,as x Federal Program The U.S, Department of Homeland Security (DHS) published the Fiscal fear (FY) 2015 GuidanceEittergetacyiVfatiagetttentPerjbrtjaaiace Grant (EHPG) Prograin, Notice ofFuilding Opportunity (NOFO) on March 25, 2015,' Information DHS issues Information Bulletins that provide updates, clarification, and requirements Bulletins throughout the life of the grant.3 Grant Cal OES periodically issues Grant Management Memorandums (GIVINIs)e GIAMs that Management provide additional information regarding EIMIPG funds can be located on the Web Page.` Memorandums Purpose of this The purpose of the Emergency Management Performance Grant (EMPG) Program is to Subaward & 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 C'callfarnia Supplement to the Federal Program Notice of Funding Opportunity will provide the Operational Areas (OAS) with guidance and forms to apply for, perform, and closeout the FYI EMPG subaward. This supplemental guide specifies the performance period, objectives, eligible activities, and other subaward-related information, and requirements. This document is to supplement the US. Department of Homeland Security FIS 2015 EMPG Program Notice of Funding Opportunity. ]eligible The eligible subaward subrecipients are the 58 county Operational Areas (OAS), The Tribal Subaward Guidance will be issued ruder separate cover, Subeciplents (subrecipients may contract with any other public or private organizations to perform eligible activities on approved projects.) Note: Cal OES is the `recipient'; the county is the `subrecipient'; and the county's pass- through entities are `subrecipients.' For a definition of the term subrecipient, refer to 2 Code of Federal regulations (C.F.R.) § 200.93. Subrecipient / Any time grant funds are given to a subrecipien , such as a political subdivision (city, town, Pass -Through or special district) or federally -recognized tribe, the county/pass-through entity must ensure Entities that the assurances and certifications of this subaward are included as part of the subaward agreement with the subrecipient. Performance The performance period for FYI :EMPG is July 1, 2015, through June 30, 2016, All Period subaward activities must be completed and all grant funds expended within this period. Pending receipt of all valid application materials, subrecipients may request retroactive reimbursement of Financial Management Forms Workbook (FM1 W) 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 award, and any applicable federal requirements have been met, 2 U.S. Departtnent of Homeland Seexity Fiscal Year (FY) 2015 EMPG Program, Notice of Funding Opportunity may be viewed and downloaded at:feinagov,/media-_i_tb aiy-clatal142728176F,9l b6?b93d48b126i7f'-G230e8tbFde562b/'FY20t51~MN, NOFO.pdf. ' Information Bulletins may be obtained at btt�)I/wrvw'fernajgypy/grat7tsl rant ptc� as ns d.iractnraCe•in[ormation-bulletins. Giv1Ms can be located at Ittp://www,caloz,y,c v/Grant,Maagan7-(Ill( 9't1�iar�en� wPefr�cinanee ;Gta�tt.as, Ill Match The FYI E7v1PG requires a dollar -for -dollar match. This can be cash or third party in-kind Requirements contributions. Refer to 2 C.F.R. § 200,29 and § 200.30E for specific details, Allocations and California will subaward 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/Colenty Papulation Estimates with Annual Percent Changes Excess Funds While developing an application, if it is determined that all allocated Rinds cannot be expended by the end of the performance period and the need to return funds to Cal OES exists, then it will be necessary to complete the Excess Funds Statement ForM.6 These funds may then be reallocated to other OAs who have identified one-time projects they would like to undertake; if funding is available and the project is selected for f-mding by Cal OES, Indirect Costs Indirect costs are allowable under the FYI EMPG subaward. Subrecipients wishing to claim indirect costs may do so using either of the following two methods: L Subrecipients with an indirect cost rate approved by their cognizant federal agency may claim indirect costs based on the established rate, indirect costs claimed must be calculated using the base approved in the indirect cost Negotiation Agreement. A copy of the approved Negotiation Agreement is required at the time of application, 2. Subrecipients who have never received a negotiated indirect cost rate and receive less than $35 million in direct federal funding per year may claim the 10% de minimis indirect cost rate based on Modified Total Direct Costs (MTDC) as described in 2 CTR. §200,68 and Subpart E, Indirect costs are in addition to the M&A allowance, and must be included in the subaward application as a "Project" and reflected in the Financial Management Forms Workbook on the Indirect Cost Category Ledger if being claimed under the subaward. Conflict of Subrecipients insist disclose to their Cal OES EMPG Program Specialist, in writing, Interest any real or potential conflict of interest as defined by the federal, state, local, or tribal statutes or regulations or their own existing policies, which may arise during the administration of the EMPG award within five days of learning of the conflict of interest. s This report can be accessed at the following website: htt ://www,dof,ca. ovlresearch/deinodra hic/re ortslestitnates!e-1/view,, 4 This form can ba located at: hap:l/w4vw.caloes,ca.��v/Grants.\.[an tPeEnentSite/Pales/En�er?t encu Mat7a�etl�ent-P�rtor�nancc Grant as , under EMPG Forms, [2] Subaward Timelines I Key .Dates March 25, 2015 DHS releases announcement of FY 1. S EMPG A ffl 24, 2015 Cal OES' A plication due to DHS July 1, 2015 Subreci lent Performance Period Begins August 14, 2015 _ FY15EMPG California Supplement to the Federal Program Notice of Funding opportunity released August, 19, 20, 24, 25, 26, and 28 EMPG Application Workshops 2015 September 14,201-5 Electronic copy of completed FIV1FW and other application documents due to your Cal OES EMPG Program Specialist for review and venin —September 30, 2015 DHS awards grant funds to Cal OBS September 30 2015 NIY-TEPs due to be submitted October 14, 2015` The OA's completed/vetted applications rn.ust be received by Cal OES Grants Managemeut *Submit as soon as possible, but Unit Program Specialist by this date no later than October 14, 2015 October 14, 2015 Submission of the FY15 EMPG Performance .Report for the Period of 7/1./2015 — 3/30/2015 has been waived and is not required to be completed November 16, 2015 Anticipated date that OAs will be notified of application approval and award January 14, 2016 Perfor nance Report due to Program Specialist for 7/1/2015- 12/31/2015 April 14, 2016 Performance Report due to Program Specialist for 7/1/2015 — 3/31/2016 June 30, 2016 Subrecipient performance period ends. All subaw and activities must be completed and all rant funds expended July 14, 2016 Final Performance Report due to Program Specialist for 7/1/2015 — 6/30/2016 July 14, 2416 Final Reimbursement Request clue to Program Specialist September 30, 2016 Cal OES' Federal Performance Period Ends [3] What's New? • The 2 CY2, Pant 200 — Uniform Administrative Requirvnents, Cost Principles, andAudit Requirements,for Federal Awards ("Super Circular" or "Otani Circular") supersedes all inconsistent provisions found in other administrative requirements, program manuals, handbooks, and other non -regulatory materials (see 2 C.F.R. § 200.105). • Subrecipients are responsible for costs incurred to comply with FEMA's Environmental Planning and Historic Preservation (EHP) requirements. This includes, but is not limited to, California Historical Resources Information System (CHRIS) reports; when required. See Information Bulletin (IB) 404. Indirect costs are allowed under the FYI EMPG subaward, as described on page 2 of this State Guidance, • The FYI EMPG-specific Financial Management Forms Workbook (FMFW) has been updated. Updates include, but are not limited to, a revised Grant Subaward Face Sheet which includes additional fields; and new Indirect Cost -related tabs. EMPG The FYI 5 EMPG Program will focus on the builcling, sustainmant, 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 FY 15 EMPG Program plays an important role in the implementation of the rational Preparedness System (rPS)7 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 developtnent 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 FYI EMPG Program sulaporis all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs. 7 The National Preparedness System can be located at: htttpr /Nyww fur�la,Lyov/�iatioi7nl-p reparerl.ness�-system [4] 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 as soon as possible, but no later than October 14, 2015; along with all other required application components, Mote: An electronic copy of the proposed FMFW and other required application documents shall be submitted for Prograrn Specialist review and vetting prior to submission of signed hard copy original. The electronic copy of the FMFW and other required application documents should be submitted for Cal DES review by no later than September 14 2015, 2. Comply with all assurances and certifications contained in the Subaward Assurances and Certifications submitted with the FYI EMPG application, In addition, if the OA subawards funds to other entities, their subaward agreements/contracts must also include these same assurances and certifications; along with any local requirements, 3. Prepare and subunit timely Performance Reports for the duration of the performance period, 4. Maintain financial management systems that support subaward activities in accordance with 2 C.F.R. § 200.302, 5. Submit revision requests to Cal OES and obtain approval prior to incurring any associated expenditures; if changes are required after the initial subaward. Further details are included in this guidance under "subaward Modifications," 6. Deobligate unexpended subaward funds -to Cal DES after all work has been completed and reimbursements have been disbursed, 7. Maintain property, prod arnmatic, and financial records in accordance with the 2 C.F.R. Part 204 record retention requirements, 8. Comply with the audit requirements in 2 C.F.R. Part 200 Subpart F—Audit Requirements, 9. Complete all EMPG requirements associated with federal and state objectives; including but not limited to, staff training and exercises. 10. Submit all subaward-related paperwork including: Performance Reports, Reimbursement Requests, Modification Requests, and Amendments, by the identified due dates. 11. Comply with 2 C,F.R. Part 200 and FEMA Grant Programs Directorate (GPD) Policies. 12, Comply with DHS FY 2015 EMPG Program NOFO and the Cal DES FY 2015 EMPG Program - California Supplement to the Federal Program NOFO, as applicablc. Application The application must include the following components:8 Documents 1, Financial Management Forms Workbook (FMFW) 2. Governing Body Resolution (GBR) 3. Addendtuzn to Governing Body Resolution 4, Subaward Assurances and Certifications 5• FYI Emergency Management Performance Grant Application Checklist 6, Indirect Cost Rate Negotiation Agreement; if applicable* *If claiming indirect costs at a ,federally -approved rate, then you must provide a copy of your approved indirect cost rate Negotiation Agreement – see Indirect Costs on page 2 of this Guide. & Application documents can be found on he Cal OES website oa the Etnergency Management Performance Grants Documents page at: http�/Iwww.caloes.ca•4ov/Gi,a_ritsN.lanagetnentSite/Pages/F-��.er�e�lcy-l�Iana cement Perfa�n�a7ce Gran.t.as x. [51 Optional Excess Funds. Statement Form � While developing an application, any excess fends should Application be identified and returned to Cal OES so that the funds may be reallocated to other OAs, Components In this case, it will be necessary to complete and submit the Excess Funds ,Statement Form to your Program Specialist by the application clue date. Additional Project Usiru Excess Funds Form and Additional Proiect Using Excess Funds Detailed Budget - these two forms are to be used for requesting additional funding; should it become available. Governing The GBR appoints agents authorized to execute any actions necessary under this subaward, Body Universal GBRs can be used for up to three years as long as the majority of the original Resolution approving Board members (three out of five) are still currently on the Board. If past GBRs are (GBR) going to be utilized for present applications, then the OA will still need to submit a copy with their applieation. Universal GBRs are strongly encouraged; this refers to a GBR that does not identify a specific subaward amount, specific subaward 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 a Name s Title Resolution • Jurisdiction s E -Mail Address • Street Address, City, & Zip Code o Phorie 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 GSR. Cal OES will not accept signatures of an Authorized Agent's designee. Off tial Written For the ENIPG Program, all official written correspondence from Cal GES will be mailed to t1ae Correspondence payment mailing address, identified on the Grant Subaward Face Sheet, and addressed to the Authorized Agent who signed the Grant Subawaxd Face Sheet, Sale Source To be eligible for reimbursement, sole source (or noncompetitive) procurements exceeding the Procurement simplified acquisition threshold (which is established by the Federal Acquisition Regulation at 48 CY,R, Subpart 2,1 and is currently set at $150,000) require Cal OES prior written approval, Note: This method of procurement must be approved by your local Purchasing Agent prior to submitting a request for Cal OES approval. A copy of the Purchasing Agent's approval must be included with the Cal OES submission; additional documentation supporting the procurement effort may also be requested for review by Cal OES, [6] S ub award The Subaward Assurances and Certifications form lists the requirements to which the OA will Assurances and be held accountable, OAs are required to file a new Subaward Assurances and Certifications Certifications form with the FYI EMPG application. Failure to comply with any of the Subaward Assurances and Certifications may result in suspension, termination, or reduction of grant funds. The State may suspend or ternlinate subaward Rinding, 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 subaward 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 subaward application • Failing to follow subaward 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 a 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 subaward funding activities of their subrecipients 0 Failing to submit a Reimbursement Request Before taking action, the State will provide the subrecipient reasonable notice of intent to impose corrective measures and will make every effort to resolve the problern informally. NINiS Adoption In accordance with the Homeland Security Presidential Directive (148PD)-5, Management of Domestic Incidents, the adoption and implementation of the National Incident Management System (NIMS) is a requirement to receive federal preparedness assistance, through grants, contracts, and other activities, The Subaward Assurances and Certifications form includes NIMS adoption for certifying compliance. This certifies that the OA will complete the NITNIS Implementation Tool, is working on their rnetries, and has adopted and implemented MINIS. For further details and/or assistance regarding NIMS-related matters contact Cindy Shipley at c mthia,shi le cr7caloes.ca.g_av, (916) 845-8753. Application Due The application must be received by Cal OES no later than 5:00prn on October 14, 2415*, Date *The completed application packet should be submitted as soon as possible after vetted by your Cal OES ENlPG Program Specialist; however, by no later than October 14, 2015, [73 Application The completed original hard copy of the F-XIFW and all other application components must be Submittal with original signatures, with enough time to be ;received by Cal OES' Grants Management Section by the application due date, Signatures should be in ink. OAs will also submit an electronic copy of the completed FIVIFW to their Program Specialist, All application materials should be submitted as soon as possible; however, they must be received by Cal OES Grants Management Section by no later than October 14 2015 at 5:00 m. 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 or adjustments that may need to be addressed. The electronic copy of the FMFW should be submitted for Cal OES review by no later than September 14, 2015. Work closely with your Program Specialist 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 Notification of Application Approval letter by November 2015, Subrecipients must receive the Notification. of Application Approval letter prior to drawing down any grant funds. EMPG Grant Nlanagernent Staff: Program Inland Region — Patti Delaney,agii.delane rr7caloes.ca. ov, (916) 845-8469 Specialists Coastal Region— Michelle Cruz: n-iiehelie,cruz @.caloes.ca,t;ov, (916) 845-8383 Southern Region — Jason Stalder: jason.staldertkaloes.ca.gov, (916) 845-8289 Tribal Nations — Cheryl McCorkle: cheryl,mcoor.Lz e��caloes ;cagov, (916) 845-8415 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, subaward amount, and Application performance period. Subrecipient reimbursements will not be made until all required application components have been approved by the State. 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 two -five month period, as well as, within the subaward performance period. The Additional Proi cet Using Excess Funds Forex and Additional Project Using Excess Funds Detailed Budge should be submitted if an OA is interested in additional f mds. " If selected for funding, the applicant will be required to submit an FMF'W Modification Request and an Amendment Form that will comprehensively integrate the approved excess funds project(s), bath financially and progranunatically, into their existing, approved FMFW application. These documents 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. 9 Emergency Nlanagemont Grants Unit contact information: littp://www.caloes,ca.goy/GrantsmanLydt�ent5i.te/Pa�es/Em.er �ency Iyfa.saaf�en7ent-Perfornaaace-Grant,�ts� under• the heading of Regional Assignments VIa�, t0 These forms can lie located at. lata:/l,.__,IwwYv,Colney,ca.�ov/C'rr���.CstViaitaverttSit13?es/1.tner?ilcy-lviaxlaaemen.t-Pe�Formaiace r, [it. udder EMPG Forms. 181 Applicable OAs must ensure that local and internal departments are aware of the following laws, Laws & regulations, and guidance documents that apply to this subaward: Regulations o Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended • Title 2 CY.R. Part 200 California Emergency Services Act, Chapter 7 of Division I of Title 2 of the Government Code — which provides the Iegal basis for Emergency Management activities in California 0 Government Code Section 8607 describes the Standardized Emergency Management System California Supplement to the Federal Program Notice of Funding Opportunity, provided by Cal OES o FY 2015 Emergency Management Performance Grants (EMPG) Program Notice of Funding Opportunity (NOFO), issued by the U.S. Department of Homeland Security (DHS). Federal Emergency Management Agency (FEMA) d FEMA Grant Programs Directorate (GPD) Policies 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 FEMA's Environmental Planning and Historic Preservation (EHP) review, Any project with the potential to impact .natural or biological Preservation resources, or historic properties, or involving installation, or that involves Emergency Operation (]EUP) Center construction and renovation cannot be initiated until FEIUTA has completed the required Compliance EHP compliance review. Subrecipients that implement projects prior to receiving BHP approval from FEMA risk de - obligation of funds, Subrecipients who are proposing communication tower projects are encouraged to complete their Federal Communications Commission (FCC) EHP process prior to preparing their EMP review materials for the Grants Program Directorate (GPD), and to include their FCC EHP 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 tnrlst undergo a FEMA EHP review. Note: EHP review requests may require that a confidential California Historical Resources Information System (CHRIS) report be provided to FEMA." Furthermore, for those proposed constmctian or renovation projects that are part of larger projects funded from a non-FENIA source (such as au Emergency operation Center that is part of a larger proposed public safety complex), a FEMA EHP review must be completed before the larger project is initiated. For these types of projects, subrecipients must complete the FEMA EHP Screening Form (OMB Number 1660-0115/FEMA Form 024-0-1)r� and submit it, with all supporting documentation, to Cal OES. Note: Subrecipients should submit the FEMA EHP Screening Form for each applicable project as soon as possible. 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 subaward-funded project, all subrecipient EHP-related documents must be received by Cal OES no later than Iirformation regarding CHRIS ea» be obtabied at: httpWo[ip,packs.ca.=rov1'����-r ici 1068. 1' The FEMA FIR Screen Form can be located at; llt-tp,,://www.Fcrna.,L,,ov/ /a sets/docuttients/90I9S. 191 Environmental December 31, 2015, Exceptions to this due date will be at the discretion of Cal OES, based on Planning and exceptional circumstances and/or compelling justification. Historic Refer to FEMA GPD EEIP Policy Guidance PP -108-023-1 (located at: Preservation 11ttps;//�vyvw.Fema, 7ovlmedi�t-librar /assets/clocut erlts/8537G} and IB 404 (located at: (EHP) htt'p.1/wrvw.Eema. ov/arants/ tranC- ra crams-directorate-inFormation-bulletins) for further details Compliance, on. EHP requirements. The EHP Screening Form can be downloaded at: Continited 1itt195. Forward completed EHP documents electronicalli 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 and administrative or personnel actions; classroom -based training; tabletop and functional exercises; and acquisition of mobile and portable equipment (not involving installation). Projects initiated without proper EHP review will not be funded. 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, subrecipients are encouraged to pay close attention to the reporting requirements for an EHP review. Federally Validating Capabilities, Priority Objective, and Performance Measures13 Mandated To address the EUIPG priorities, an objective has been identified and given a set of performance Objective measures and associated reporting requirements to determine how effective subrecipients are in utilizing EMPG Program funding to prepare for all hazards, and advance a whole community Information approach. With these measures, subrecipients must evaluate their progress toward achieving the stated objectives in the quarterly E.MPG Performance Report and in compliance with all reporting requirements. EXtension Extensions to the initial period of performance identified in the Buba v d will only be Requests considered through formal, written requests to your EMPG Program Specialist. Upon receipt of extension requests, Cal OES will: (1) verify compliance with performance reporting requirements by confirming that the subrecipient has submitted all necessary performance .reports; (2) confirm that the subrecipient has provided sufficient justification for the request; and (3) if applicable, confirm that the subrecipient has demonstrated sufficient progress in past situations where an extension was authorized by Cal OES. To be considered, extension requests must be receivedno later than 60 days prior to the end of the sUbrecipient's period of performance, and must contain specific and compelling justifications as to why an extension is required. Additionally, period of performance extension requests should be limited to one month in duration. Only under extenuating and extremely compelling circumstances will two-month extensions be considered. Extension Requests beyond two months will not be considered. 13 T he Fedemtly Mandated Objectives can be located in the FY 2015 ENIPG Program l`lotice of Funding Opportunity, Appendix A -FY 2015 EMPG Program Priorities, pages 25-30 at: htt ://www. roma.�av/incdi�i_ lihrar-data/14272847688 L7- L?G2193d48b]„2617 2323cOc8t-bfcica6?bfr) 201.51MMPG N'oF. O.pdf. — ___. [ 10] Validating subreeipieut Requirements: Capa Ca abilitities i I. All subrecipients are required to develop a Multi -Year Training and Exercise Plan (TEP) that incorporates linkages to the NPO core capabilities and update it annually. The Multi -Year Develop and TEP shall encompass the period of January 1, 2016 — December 31, 2017, Maintain Multi- 2, The TEP must be submitted to the Cal OES Exerciso Division POCs and EMPG Program Year T EPs Specialist by September 30, 2015, Nome: TEPs shall be e-mailed to Cal OES Exercise Division Points of Contact (POCs), with a copy to their EMPG Program. Specialist (Grant Management Staff) no later than Se t� ember 30th each year. Exercise POCs listed below are available for assistance, if needed, in any exercise -related matters, Southern Region.— Steve Nunez: steve.nunez&aloes.ca.gov Inland Region— Kevin Leisher: kev_in,leisher(c caloes.ca. ov Coastal Region. — Kevin Leisher: keyin.leishet(cr)calo .ca, )ov Measurement Method; • Submission to Cal OES of an updated Multi -Year TEP, Reporting: Subrecipients must report in. the ENIPG Perfbimance 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 a Ca]2abilities 12 -month period. This 12 -month period shall be the subaward performance period of Objective: July 1, 2015 -- June 30, 2016, regardless of time extensions, EMPG'Progratn-funded personnel are any personnel paid at any percentage with EMPG funding, including M&A Exercise staff. There is nos eciftc Uirement for level of " p � "participation" inthe exercises; so, observation and attendance satisfies the objective. The exercises can be of any type (e,g., discussion -based or operations -based) within the performance period (see http, s:l/www.fe�rxa, rav/media-Iibrar /assets/dacurncnts/32326). 2. An A ter Action Raportllixprovement Plan (AAR/lP) must be completed by the host of each EMPG-funded exercise and submitted to hsee cr�fcina.dhs. 7ov, 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 SMPG quarterly reporting. Additional information and guidance related to AAR/lPs and the National Exercise Program (NEP) Base Plan can be found on the HSEEP website at htt as://www.fen-ta.l7oy/media- librar /assets/doouiincn.ts/32326. Questions regarding HSEEP guidance may be directed to hsee c4fepia,dhs.gov. For HSEEP Toolkit technical support, contact the HSEEP helpdesk at suppo2t(c hseca�not, 577-612-4357. 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 AA..R/TPs to your EMPG Pro -Run Specialist. Valid 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 Objective: S ecuri ty E xercis e 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. 0 Submission of an AAR/IP completed by the host of the EMPG-f coded exercises. Reporting: 6 Subrecipients must repoil quarterly in the EMPG performance report, the percent completed of the exercise requirements for the EMPG-funded personnel. * Subrecipients must submit AAR/IPs for each EMPG-funded exercise, if the exercise is hosted by the subrecipients. AAR/IPs 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 funds should strategically align to the NPG Capabilities core capability identified in the Multi -Year TEP, To ensure the development of a professional Ob.jectiVe• emergency management workforce all EMPG Program -funded personnel shall complete 11 training requirements and record proof of completion, EMPG Program -Funded personnel are any `Training 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 2416. National lncident Management System (NEMS) Training: IS 100.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 800.b National Response Framework, An Introduction FEMA Professional Development Series: IS 120.a Introduction to Exercises IS 230A Fundamentals of Emergency Management IS 235.b Emergency Planning IS 240.b Leadership and Influence IS 241,6 Decision Malting and Problem Solving IS 242.b Effective Communication IS 244,b Developing and Managing Volunteers The aforementioned listed coarses are available on-line and at no cosi: from the Emergency Management institute (EMI) at the following litiks: tigp:l/training,ferm,gov/IS/NIN,[S,a & IMP "I/trainin .foina.C7ovfis/searchis,as Y?search=PDS Note: The "G" coLirse 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, such as certificates of completion, must exist and be kept on file by the subrecipient and be made available for review upon request. [12] Validatin Measurement iYlethod: Capabilities Percent of EMPG Programa.-funded personnel completing the previously identified 11 Ob lective_ required training courses, Training, Continued Reporting: System for The System for Award Management (SAM) 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 (SANT) subcontracts, and certain federal assistance and benefits, Contractor disbarment verification can be obtained from the following website: https:l/www.sam.gov• Maintenance The use of EMPG funds for maintenance contracts, warranties, repair or replacement costs, and upgrades, licenses, and user fees are allowable under all active and future grant awards, unless Sustainment otherwise noted. With the exception of maintenance plans purchased incidental to (i.e., at the same time and under the same subaward 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 funds used to purchase the pian or warranty, and address the requirements identified. in FEMA Information Bulletin (I13) 379. Subrecipients 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 CIES' Exercise Division POC. • Submission of a list of EMPG Program-fianded personnel along with the training and dates completed is to be included in the EMPG Program. quarterly Performance Reports. Training In order for EMPG Program funds to be utilized for training -related purposes, subrecipients Feedback must first obtain a Training Feedback Number, Training Feedback Numbers must be obtained Number no later than thirty (30) days prior to the training event. To be considered for a Training Feedback Number, subrecipients must complete a Training Request Form and submit it electronically to Cal OES, Training Request Forms can be obtained at the following link: https://w3.calema.c,l,gov/WebPa 7e/train.rc.nsf/TrainRenest?OpnFor For Training Request Form or Training Feedback Number assistance contact ,Iohnie. Garrett at Bolin. arrett �caloes.ca. ov. Subcontracts In accordance with 2 C.F.R. § 200.325 Contract Provisions, any time funds are given to a contractor the subrecipient's contracts must contain the applicable provisions described in Appendix II to 2 C.F,R, Part 200 ---Contract Provisions for Non -Federal Entity Contracts Under Federal Awards, 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 (subaward 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, Subrecipients must obtain documentation of eligibility prior to any subaward of E_IVIPG funds and be prepared to present supporting documentation to monitors. System for The System for Award Management (SAM) 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 (SANT) subcontracts, and certain federal assistance and benefits, Contractor disbarment verification can be obtained from the following website: https:l/www.sam.gov• Maintenance The use of EMPG funds for maintenance contracts, warranties, repair or replacement costs, and upgrades, licenses, and user fees are allowable under all active and future grant awards, unless Sustainment otherwise noted. With the exception of maintenance plans purchased incidental to (i.e., at the same time and under the same subaward 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 funds used to purchase the pian or warranty, and address the requirements identified. in FEMA Information Bulletin (I13) 379. Unallowable + Expenditures for weapons systems and amm-w-Ation Costs • Costs to support the hiring of sworn officers far 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 Supplanting Grant funds must be used to suppletrient existing funds, not replace (supplant) funds that have been appropriated or budgeted for the same purpose through nonfederal sources. In the event that supplanting is suspected, the subrecipient will be required to supply documentation demonstrating or certifying that a reduction in nonfederal resources occurred for reasons other than the receipt, or expected receipt, of federal funds. Accessibility of The federal Department of Homeland Security(DHS), the DHS Office of Inspector General, Records the Comptroller General of the United States, Cal DES, 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 subaward, 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 2 CT. R. § 200.336 for more information about accessibility of records. Reimbursement The ENIPG is a reimbursement grant and therefore no cash advances arc permitted under the of Eligible EMPG. The EMPG funds will be disbursed on a reimbursement basis, using the FMPW. Costs Follow the Workbook instructions for Reimbursement Requests'4 and submit the signed forms to your EMPG Program Specialist. Payment will be trade within 30 days 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. Subaward Post award budget, scope, and other modifications .must be requested using the Cal OES FTWW Modifications and be signed by the subrecipient's Authorized Agent. A hard copy must be submitted to Cai 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 during the performance period. Exceptions to allow more modifications dtving a quarter will be made at Cal OES discretion and will be based on exceptional circumstances mid/or compelling justification.. Failure to submit modifications and receive approval prior to expenditure could result in a reduction or disallowance of that part of the subaward. Instructions on how to subntlt a Modification Request are available at the link identified in the footnote.' 14 The Reimburse;vent Request instructions can be located at; hgV://www,caloes.ca, Yov/Grants faj�a ecn.entSite/Pa�eslEr2�e. ranc Lbtan' inent-Perforn3artee-Cr�ac�t.as x. is The Mociificatio�� Request insteuctions can be located at: lttt ://www.caloesxa. �ovlGrantsMana tatnet7tSite/Pa Tes/t nieFs*ei� Zcv_ Managemeot-Per{brnaancefirrant,as 7x. [ 14] Performance Su recipients must prepare and submit Performance Reports to the State for the duration of the Reports subaward performance period, or until all -rant activities are completed and the subawau-d is formally closed by Cal OES, The reports must include the progress made on identified activities, in as well as other required information and data. Failure to submit a Performance Report could result in subaward reduction, termination, or suspension. Subrecipients must also complete a Biannual Strategy Implementation Report (BSIR) using the DIMS/FEMA Grants Reporting Tool (GRT). To obtain access to the online CRT, log on to their website at �vww.re ortin .odla.dls,�oy., To create a new account, follow the instructions that react, "If you need to register for an account, please click here." For additional assistance with the GRT, contact: Gina Avelar at _i.na.avelara)caloes,ca, rov, (916) 845-8647. Closeout The State will close a subrecipient subaward after: + Receiving a subrecipient Performance Report indicating that all approved work has been completed, and all fiords 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 subrecipient: • Is owed additional funds, the State will send the final payment automatically to the subrecipient • Did not use all funds received, the State will issue a deobligation arnendrnent, invoice, or letter to recover unused funds • Did not expend all obligated grant funds, the State will require that a Grant Award Amendment be completed to deobligate the unspent fiends and revert them back to the State Records Specific requirements for record retention can be found in 2 C.F. R. § 200.333. In the Grant Retention Closeout Letter, the State will notify the subrecipient of the start of the record retention period for all programmatic and financial subaward-related records. Final Subaivard Cal GES will review the OA's final Performance Report for compliance with all subaward Report conditions. The final Performance Report is due to Cal OES by July 14, 2016, (unless the subaward performance period is extended) and will serve as the final subaward report. Audit The OAs, and their subrecipients, must comply with the audit requirements contained in Requirements 2 C.F,R. Part 200 Subpart F—Audit Requirements. Monitoring The State may perform periodic reviews of the QA's subaward performance. The Monitoring Srxba� ar Division is actively conducting monitoring visits, both desk review and on-site, among Performance subrecipients. These reviews may include, but are not limited to: • Comparing actual subaward activities to those approved on the Financial Management Forms Workbook • Confirming compliance with: – Subaward Assurances and Certifications – Information provided on the Performance Reports • Reviewing and monitoring; financial and administrative records To provide support and guidance, Grants Management Staff will be internuttently conducting on-site prograintnatic and financial reviews of QA's EMPG Program -related activities. [15] E HIB IT D FY15 EmergencyManagement Performance Grant Agreement .Articles, Assurances, Certifications, Teras, and Conditions FEDERAL, AGREENIELiT ARTICLES Article I-- Assurances, Administrative Reguirements, and Cost Principles Recipients of DHS Federal financial assistance must complete ONIB Standard Form 4244 —your -- Non - Construction Prognmas. Certain assurances in this document may not be applicable to your program, and the awarding agency may require applicants to certify additional assurances. Please contact the program awarding office if you have any questions. The administrative and audit requirements and cost principles that apply to DHS award recipients originate from. 2 C.F.R. Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal ,4wards, as adopted by DHS at 2 C.F.R. Part 3002, ., , owge.ments and Assurances Article II -DHS Sueci�c Acicno�led_,--- .,.� All recipients must acknowledge and agree— and require any subrccipients, contractors, successors, transferees, and assignees ackmowledge and agree—to comply with applicable provisions governing DHS access to records, accounts, documents, information, facilities, and staff. Recipients must cooperate with any compliance review or complaint investigation conducted by DHS. 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 tire grant and pQrmit access to facilities, personnel, and other individuals and information as may be nc=ssary, as required by DHS regulations Band other applicable laws or program. guidance. 3. Recipients must submit timely, complete, and accurate reports to the appropriate DHS officials and maintain appropriate backup documentation to support the reports. 4. Recipients must comply with all other special reporting, data collection, and evaluation requirements, as prescribed by lav 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 ativarding office and the DHS Office of Civil Rights and Civil Liberties, 6. In the event any court or administrativc agency makes a finding of discrimination on grounds of race, color, national origin (including limited En6lis11 proficiency), sex, age, disability, religion, or familial status against the recipient, or [lie recipient settles a case or matter alleging such discriminatio.ri, recipients must forward a copy of the complaint and Findings to the DAIS Component and/or awarding office., The United States has the right to neck judicial enforcement of these obligations. Initials Article III - Lobbying Prohibitions All recipients must comply with 31 U.S.C, , 1352, which provides that none of the fZuads provided under an award may be expended by the recipietlt 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 concezning the award or renewal. Article IV - Acknowledgement of Federal Funding from DHS All recipients must acknowledge their use of Federal funding 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 - Copyright All recipients must affix the applicable copyright notices of 17 U,S.C. J§ 401 or 402 and an acknowledgement of Government sponsorship (including award number) to any work first produced under Federal financial assistance awards, 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), Article VI - Use of DHS Seal, Logo and Flags All recipients must obtain DHS's approval prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials. Article VII - Activities Conducted ibroad All recipients must ensure that project activities carriod on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, or approvals are obtained. Article VIII - Flv America Act of 1974 All recipients must comply with Preference for U.S, Flag Air Carriers: (air carriers holding certificates under 49 U.S.C. §4 t 102) for international air transportation of people and property to the extent that such .service is available, in accordance with the International Air Transpartation Fair Competitive Practices Act of 1974 (4.9 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 B-138941 Article IX - Drug -lice Workplace Regulations All recipients must comply with the Drigg -Free Morkplace Act of 1988 (411 U.S.C. & 70L et sect.), which requires that all organizations receiving b ants from any Federal agency agree to maintain a drug-free workplace. DHS has adopted the Act's implementing regulations at 2 C.FR Part 3001. Article X - Trafficldng Victims Protection Act of 2000 All recipients must comply with the requirements of the governmcnt-wide award term which implemeats Section 106(g) of the Trgffackng Victims Protection Act (TVRA) of 2000, as amended (22 U.S.C. � 7104). This is implemented in accordance with OVU3 interim Final Guidance, Federal Register, Volume 72, No, 218, November 13, 200T Full text of the award term is located at 2 C. F.R. § 175.15. Article XI-- Title VI of the Civil Rights Act of 1964 All recipients must comply with the requirements of Title VI of the Civil Rights Act of 1964 (42 US.C. §20004 et , ec .), which provides that no person in the United States will, on the grounds of racy, color, or national origin, be excluded froth participation in, be denied the benefits of, or be subjected to discrimination under any program or 91 Initials activity,° receiving Fedcral tinanci�ll assistance. Implementing regulations for the Act are found at 6 C,f R, Part 2 I. and 44 C.F.R.. Part T Article XII - Civil Pdglit Act of 1968 All recipients must comply with Title VIII of the Civil Riqhts 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. § 3601601 Qt seq.), as implemented by the Department of Housing and Urban Development at 24 C, F.R. Part 100. The prohibition on disability discrimination, includes the requirement that new multifamily housing W1th four or more dwelling units—Le., the public and common use areas and individual apartment units (all units in buildings with elevators and ground -floor units in buildings without elevators)—be designed and constricted with certain accessible features (see 24 C.F. R. § 100,20 1). Article XIII - Americans with Disabilities Act of 1990 All recipients must comply with the requirements of Titles I, II, and 1H of the Americans with Disabilities Act, which prohibits recipients from discriminating on the basis of disability in the operation ofpublic entities, public and private transportation systems; places of public accommodation, and certain t-Isting entities (�12 U.S,C. 1210.1-12213), Article XIV - Age Discrimination Act of 1973 All recipients must comply with the requirements of the Age Di3crirnincation Act of 1975 (42_U. SG _$ 6101 et sec, , which prohibits discrimination on the basis of age in any program or activity receiving Federal financial assistance, Article XV - Title LX of the Education Amendments of 1972E tial Opportunit'v in Edtueation Act) All recipients must comply with the requirements of Title IX of the Education Amendments of 1972 (20 U.&C, § 1681 et ser.), 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 under any educational program or activity receiving Federal financial assistance. Implementing regulations are codified at 6 C.F,R. Part 17 and 44 C.F,R. Part 19. Article XVI - Rehabilitation Act of 1973 All recipients must comply with the requirements of Section 504 of the Rehcabilitcation 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 aC, 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. Article XV11- Limited EnJish Proficlenev (Citiil Rights Act of_196=1�Title VI) All recipients must comply with 'T'itle VT of the Civil .Right Act of 1964 prohibition against discrimination on the basis of national origin, which requires that recipients of Federal financial assistance take reasonable steps to provide meaningful access to persons with limited English proficiency (LEP) to their 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. MIS published the required recipient guidance in April 2011, DHS Gaid ance to Federal Financial Assistance Recipients Regarding Title P7 Initials Prohibition z1gainst Nath ncdDrigan Discrirr�incrt;on rlfj`ectirFg Lirraited English Proficient Persons, 76 Fed. Reg, 21755-21765, (April 18, 2011). The Guidance provides hclpfuil information sucla as how a recipient can determn e the extent of its obligation to provide languag: services; selecting land age services; and elornents of an effective plan on language assistance for LEP persons, For additional assistance acid information regarding language access obligations, please refer to the DHS Recipient Guidance htt s:l,'ww�v.dhs. 7ov,,guidance- uEblished-help- de art:mont-stir ortecl-organizations- rovide rnaan.in ful-access eo le limited and additional resources on l�ttq'.�i�lL4'VV• lets. aoV. Article XVIII - Animal Welfare Act of 1966 All recipients of financial assistance will comply with the requirements of the Animal Welfare Act, as amended (7 U.S.C, X21„31 et secs), 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 1.1738, which provides for the protection and enhancement 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 Suli'ccts All recipients of financial assistance Fvill comply with the requirements of the Federal regulations at 45 C.F.R. fart 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 D1-15 Management Directive 026-04, Protection of Eluunan Subjects, prior to implementing any work with human subjects. For purposes of 45 C.F.R. 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 C.F'.R, Part 46. Article VXI - National EI'vironmental Policy Act (NEPA) of 1969 All recipients of financial assistance will comply with the requirements of the National Environmental Policy Act (N -EPA), as amended, 42 U.S.C_L433 t e� seq., which establishes national policy goals and 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 XX3d - National Mod Insurance Act of 1968 All recipients of financial assistance will comply with the requirements of Section 1.306(c) of the Ni ational Flood Insurance Act, as amended, which provides for benefit payments under the Standard Flood Insurance Policy for do molition 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 C.F.R. Part 63. •_k Initials Article XX1.11- Flood Disaster Protection Act of 1973 All recipients of financial assistance will comply with the requirements of the Flood Disaster Protection Act of 1913, as amended 42 U.S.C, 5 400 et secs ), 4vhich provides that no Federal financial assist,-mce 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, Article XXIV - Coastal Wetlands Planning, Protection, and Restoration Act of 1990 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. § 433 Lb I(3), Federal agencies, to the extent permitted by law, must avoid undertaking 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 take 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 CER, Part 9. Article XXV - €7SA Patriot Act of 2001 All recipients 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, the USA PATRIOT Act 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, protectivc, 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. Article <XXVI—Best Practices for Collection and Use of Personallv__Identif able Information (PI1) All recipients who collect PI1 are required to have a publically-available privacy policy that describes what PIT they collect, how they use the PII, whether they share P11 with third parties, and how individuals may have their PII corrected where appropriate. Award recipients may also find as a useful resource the DFTS Privacy Impact Assessments: Privacy Guidance and Privacy tcm2Lata respectively. -- Article XXw'11-- Duplication of Benefits Any cost allocable to a particular Federal award provided for in 2 C1.R, Pari: 200 Subpart E may not be charged to other Federal awards to overcome fund deficiencies, to avoid restrictions imposed by Federal statutes, regulations, or terms and conditions of the Federal awards, or for other reasons. However, this prohibition would not preclude the non -Federal entity from shifting costs that are allowable under two or more Federal awards in accordance with existing Federal statutes, regulations, or the terms and conditions of the Federal awards. Article XXV11f — False Claims Act g_ad Program Fraud Civil Remedies All recipients must comply with the requirements. of 31 U.S.0 . 3729 which set forth that no recipient of Federal payments shall submit a false claim for payment. See also 38 U.S.0 §§ 3801-3812 which details the administrative remedies for false claims and statements made. Initials V Article XXIX —Fed ,ral Debt Status All recipients are required to be non -delinquent in their repayment of any Federal debt. Examples of relevant ddbt include delinquent payroll and other taxes, audit disallowance, and benefit overpayments. Sec OMB Circular A- 129 and form SF -424B, item number 17 for additional information and guidance. Article XXX -- Motel and LIotel Fire Safety- Act of 1990 In accordance with Section 6 of the Hotel rand Motel Fire Safety flet of 199o,.15 U,S.C. § 2225(a), all recipients must ensure that all conference, meeting, convention, or training space funded in whole or in part with Federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, as amended, 15 U.S.C. § 2225. Article XXXI— Non-sn2plantlntr Rectttirement All recipients who receive awards made under programs that prohibit supplanting by law must ensure that Federal Rinds 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 recipients may be required to demonstrate and document that a reduction in non -Federal resources occurred for reasons other than the receipt or expected receipt of Federal funds. Article XXXII — Debarment and S us ension All recipients must comply with Executive Orders 12549 and 12689, which provide protection against waste, fraud and abuse by debarring or suspending thas:, persans deemed irresponsible in their dealings with the Federal government, Article XXXIII -W Environ -mental Planning and Historic Preservation FT Com fiance Ali 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 ENT review process. The ERP 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 FDJA may determine whether the proposed project has the potential to impact environmental resources and.'or historic properties. 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 108.023-0I, Environmental Planning rand Historic Presenation Policy Guidance, at httP://www.fema.cov/media-library/assets/c[ocurnent,'$5376. Article XXXIV -- SAFECONI All recipients who receive awards made tinder programs that provide emergency communication equipm(mt and its related activities must comply with the S.,kFECONT Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable cornmunications. Article XXXV— Energv Policy and Conservation Act All recipients must comply with the requirements of 42 U,S.C. � 6201 which contain policies relating to energy efficiency that are defined in the state energy conservation plan issues in compliance with this Act. Article XXXVI— Reporting Subaward.s_andEleeittive Compensation a. Reporting of first-tier subawards, 1, ifpplicability. Unless you are exempt as provided in paragraph d, of this award term, yotr must report each action that obligates $25,000 or more in Federal Rinds that does not include Recovery funds (as defined in section r Initials _( 1512(a)(2) of the American Recovery and RLinvestment Act of 2009, Pub, L. 111-5) kir a subaward to an cn.ity. (see dcfiniiions in paragraph e, of this award term), 2. Mhere and when to report, i. You must repoLrt each obligating action described in paragraph a. 1. of this award term to ht ;//vGww.f�ri.gov' H. For sub award 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 i, 2010, the obligation must be reported by no later than December 31, 2010.) 3. Mi at to deport, You must report the information about each obligating action that the submission instructions posted at h rtpArS.govSpecafi,, 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— i. fi. the total Federal funding authorized to date under this award is $25,000 or more; ii, in the preceding fiscal year, you received— A) 80 percent or more of your annual gross revenUeS from Federal procurement contracts (and subcontracts) and Federal financiat assistance subject to the Transparency Act, as defined at 2 C.F.R. § 170,320 (and subawards); and B) $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 C.F.R. § 170,320 (and subawards); and iii. 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 US, Security and Exchange Commission total compensation filings at http://ti��v,.Yec.goi,,Ian3�verslcxecomp.htrra.) 2. Where and when to report. You must report executive total compensation described in paragraph b. 1, of this award term., i. As part of your registration profile at l7tt. ii. By the end of the month following the month in which this award is trade, and annually thereafter. e. Reporting of Total Compensation of 5ubreciplent Executives, 1, Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each first-tier subrccipient 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 i, in the subrecipient's preceding fiscal year, the subrecipient received— Initials VZ A) 80 percent or more of its annual gross revenues from Federal pr'ocurerrrent contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CTR, 170,320 (and subawar'ds); and B) 525,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal firi ncial assistance subject to the Transparency Act (and subawards); and ii. The public does not have access to information about the compensation of the executives through periodic reports fried under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (l 5 U.S.C. 78m(a), 78o(d)) or section 6104, of the Internal Revenue Code of L986, (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http;/,hvryvmsee.gov/answers,/execomp.htm) 2. Where and when to report. You must report subrecipient executive total compensation described in paragraph c. 1. of this award term: i. To the recipient. ii. By the end of the month following the month during which you male the subaward. For example, if a subaward is obligated on any date during the month of October of a a ven 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 If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report: i. Subawards, and ii. The total compensation, of the five most highly compensated executives of any subrecipient. e. Definitions. For purposes of this award terra: 1. Entity means all of the following, as defined in 2 C.F'.R. Part 25: i. A Govenimmtal organization, which is a State, local government, or Indian Tribe; U. A foreign public entity; id. A domestic or foreign nonprofit organization; iv. A domestic or foreign for-profit organization; v, A Federal agency, but only as a subrecipient under an award or subaward to a non -Federal entity. 2. Executive means officers, managing partners, or any other employees in management positions. 3. Stibaivard: i, 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. ii. The terra does not include your procurement of property and services needed to carry out the projector program (for ftrrthcr explanation, see 2 C,F.R. § 200.330— Subrecipient and Contractor Determinations), Initials 1l iii. A subaward may be provided through any legal agreement, including an agreement that yo€€ or a subrecipient considers a contract. 4. Subrecipient means an entity that; L Receives a subaward from you (the recipient) under this award; and ii. Is accountable to you for the use of the Federal funds provided by the subaward. 5, Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or subrecipien.t's preceding fiscal year and includes the following (for more inforrszation see 17 C,F,R,§ 229,402(c)(2)): i, Salary and bonus. ii. 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. iii, .Warnings for 36rvices gander non -equity incentive plcaras, 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. iv, Change in pension value. This is the change in present value of defined benefit and actuarial pension plans. v. Above -market earning on deferred compensation which is not tai-qualifaecl, vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance, tez-mination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000, _Article WXVII-w Patents and Intellectual Property Fights Unless othenvise provided by law, recipients are subject to the Bayh-Dole Act. Pub. L. No. 96-517, as amended, and codified in 35 U.S.C, § 200 et seq. All recipients are subject to the specific requirements governing the development, reporting, and disposition of rights to inventions and patents resulting from financial assistance awards in 37 C.F.R. Part 401 and the standard patent rights clause in 37 C.F.R. § 401.14, Article XX v Hl -- Procurement of Recovered Materials All recipients must comply with section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, The requirerrm;nts of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 C.F.R. Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired by the preceding f.scal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an aff=ative procurement program [or procurement. of recovered, materials identified in the EPA guidelines. Article XXX -1X Contract Provisions for Non -Federal Entity Contracts Under Federal Awarcls; A en II to C.F.R. Part 200 ^T In addition to other provisions required by the Federal agency or non -Federal entity, all contracts mach by the non - Federal entity under the Federal award must contain provisions covering the following, as applicable. (A) Contracts for more than the simplified acquisition threshold currently set at $150,040, which is the inflation adjusted amount determined by the Civilian Agency Acquisition Council and the Defense Acquisition Regulation, Council (Councils) as authorized by 41 U.S.C. 1908, must address administrative, contractual, or legal remedies in Initials` instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as appropriate. (B) All contracts in excess of 510,000 roust address termination for cause and for convenience by the non -Federal entity including the manner by which it will be effected and the basis for settlement. (C) Equal Employment Opportunity. Except as otherwise provided under 41 C.F.R. Part 60, all contracts that meet the definition of "Federally assisted construction contract" in 41 C.F.R. Part 60-1.3 must include the equal opportunity clause provided under 41 CY.R. Part 60-1.4(b), in accordance with Executive Order 11246, "Equal Employment Opportunity" (30 FR 12319, 12935, 3 C,F,R. Pari, 1964-1965 Comp., p, 339), as amended by Executive Order 11375, "Amending Executive Order 11246 Relating to Equal Employment Opportunity," and implementing regulations at 41 C.F.R. Part 60, `'Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor." (D) Davis -Bacon Act, as amended (40 U.S.C. 3141-3148). When required by Federal program legislation, all Prime construction contracts in excess of $2,000 awarded by non -Federal entities must include a provision for compliance with the Davis -Bacon Act (40 U.S.C. 3141-3144, and 3146-3148) as supplemented by Department of Labor regulations (29 C.F.R. Part 5, "Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction"). In accordance with the statute, contractors must be required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. In addition, contractors roust be required to pay wages not less than once a week. The non - Federal entity roust place a copy of the current prevailing wage determination issued by the Department of Labor in each solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of the wage determination. The non -Federal entity roust report all suspected or reported violations to the Federal awarding agency. The contracts must also include a provision for compliance with the Copeland "Anti -Kickback" Act (40 U,S.C. 3145), as supplemented by Department of Labor regulations (29 C.F.R. Part 3, "'Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States"). The Act provides that each contractor or subrecipient must be prohibited from inducing, by any, means, any person employed in the construction, completion, or repair of public work,, to give up any part of the compensation to which he or she is otherwise entitled, The non. -Federal entity roust report all suspected or reported violations to the Federal awarding agency. (E) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701-3705). Where applicable, all contracts awarded by the non -Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 C.F.R. Part 5), Under 40 U,S.C. 3702 of the Act, each contractor must be requited to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work weep. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence. (F) Rights to Inventions Made Under a Contract or Agreement. If the Federal award meets the definition of "funding agreement" under 37 C.F.R. X401,2 (a) and the recipient or subrecipient wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that `funding agreem'11t," the recipient or subrecipient must: comply with the requirements of 37 C.F.R. Part 401, "Rights to Inventions Made by Nonprofit Initials DL Organizations and Small BUSinc;&s Firms Under Government Grants, Contracts and Cooperative Agreements," and any implementing regulations issued by the awarding agency. (G) Clean Air Act (42 U,S.0 7401-7671q,) and the Federal Water Pollution Control Act (33 U.S.C, 1251-1387), as amended—Contracts and subawards of amounts in excess of $150.000 must contain a provision that requires the non -Federal award to agree to comply with all applicable standards, orders or regulations issued pursuant to the Ciea.n Air Act (42 U.S.C, 7401-7671 q) and the Federal Water Pollution. Control Act as amended (33 U.S.C, 1251- 1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA), (H) Debarment and Suspension (Executive Orders 12549 and 12689}—A contract award (see 2 C.F.R. § 180,220) must not be made to parties listed on the government wide exclusions in the System for Award 'Management (SANS, in accordance with the ONTB guidelines at 2 C.F.R Part 180 that implement Executive Orders 12549 (3 C.F.R, Part 1986 Comp,, p. 189) and 12689 (3 C.F.R, Part 1989 Comp., p. 235), "Debarment and Suspension." SANT Exclusions contain the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549. (1) Byrd Anti -Lobbying Amendment (31 U.S.C. 1352)—Contractors that apply or bid for an award exceeding $100,000 must file the required certification.. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier must also disclose any lobbying with non -Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are fonvarded from tier to tier up to the non -Federal award. (T) A non -Federal entity that is a state agency or agency of a political subdivision of a state and its contractors must comply with Section 6002 of the Solid '�N'aste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 C.F.R. fart 247 that contain. the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $19,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuring solid waste management services in a man ier that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified is the EPA guidelines, Article XL —Terrorist Financing E.O. 132.2.4 All recipients must comply with US, Executive Order 13224 and U.S. law that prohibit transactions with, and tape provisions of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of recipients to ensure compliance with the E.O. and laws. Article XLI -- Svstem for Award Management and Universal Identifier Re uirements A, Requirement for System for Award Management (SAM) Unless you are exempted from this requirement tinder 2 C.F.R § 25.110, you as the recipient must maintain the currency of your information in the SANt until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that you 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 torm, Initials �i� B. Requirement for unique entity identifier If you are authorized to make suba%rards under this award, you: 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 unique entity identifier to you. 2, May not make a subaward to an entity unless the entity has provided its unique entity identifier to you. C. Definitions For purposes of this award term: I. System for Award ilf tncagernent (SCV) 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 htt ;//�tiry��s.,snrrr.. o -). 2, Unique enti!y identifier means the identifier required for SAM registration to uniquely identify business entities, 3. Entity, as it is used in the award term, means all of the following as defined at 2 C.F.R. Part 25, 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 e. A Federat agency, but only as a subrecipient Linder an award or subaward to a non -Federal entity. 4, Suh aiv ard.- a. This terra means a legal instrument to provide support for the performance of arty 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 (far further explanation, see 2 C.F.R. § 200.330), c. A subaward may be provided through any legal agreement, including an agreement that you consider a contract. 5. Subreeipient means an entity that: a. Receives a subaward from you under this award; and. b. Is accountable to you for the Federal funds provided by the subaward, Article KLII — Whistleblower Protection Act All recipients must comply with the statutory requirements for whistleblower protections (if appLicable) at 10 U.S.0 2409, 41__ U.S.C• § 4712, and 10 U.S.C. $ 2321, 41 U.S.C. "' and 43 10. Article _XL111-- Disposition of E911i2meat Acquiree! Under the, Federal Award When original or replacement equipment acquired under this award by the recipient or its subrecipients is no longer needed for the original project or program or for other activities currently or previously supported by DHS/FEVU, you must request instructions from DHS/FETY[A to make proper disposition of the equipment pursuant to 2 C.F.R. § 200.313. Article XL,TV -- Prior Approval for ModifEcatinn of Avvroved.Buds et BcCore making any change to the DHS/FENfA approved budget for this award, you rust request prior written approval from DIISIFENIA where required by 2 C,F.R. § 200,308. For awards with an approved budget greater than $150,000, you may not transfer funds among direct cost categories, programs, functions, or activit.ics without Initials prior written approval frog DHS%FEtiLk ,�vlAcre the cumulative amount of such tramfers exceeds or is expected to exceed ten, percent (10%) of the total budget DHS/ FEMA last approve(l. YOU Must report any deviations frorn YourDHS/FEIVIA, approved budget in the first Federal Financial Report (SF -=125) you submit following any budget deviation, regardless of whether the budget deviation requires prior written approval. ASSURANCES The applicant hereby assures and certifies compliance with all applicable FedLral statutes, regulations, policies, guidelines, and requirements. See Article I above. The, applicant also specifically assures and certifies that it: Has the legal authority to apply for Federal assistance, and the institutional, managerial, and financial capability (including fiends 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 frarne after receipt of approval of the awarding agency. 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 PersonnO management's (OPM) Standards for a Merit System of Personnel Administration, (5 C.F.R., § 900, Subpart F). 6. Will comply with all Federal statutes relating to nondiscriinination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1954 (P.L. 88-3 52) 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 1685-1586), which prohibits discrimination on the basis of scx; (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. 92-2S5), 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 alcoholism;(g) §§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd-3 and 290 cc -3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rio -lit Act of 1968 (42 U,S.C. §§ 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental, or financing of housing; (i) any other norndiscrimination provisions in the specific statute(s) ender which application for Federal assistance is being made; and, (j) the requirements of any other nondiscrimination statute(s) which may apply to tho application. See Articles X1, XII, XIII, XIV, XV, XVI, and XV -H, Initials Y Will comply, or has already complied, with the requiretneznts of Tithes 11 anti [II of the Uniform Relocation Assistance and Real Property Acquisition Policies Act oE' 1970 (P.L. 91-646) which provide for fair and equitable treatinent of persons displaced or whose property is acquired as a result of federal and/or federally - assisted programs. These requiremerkts apply to all interests in real property acquired for project purposes regardless of federal participation in purchases. Will con"ply, as applicable, with the provisions of the Hatch Act (5 U,S.C. §§ 1501-1508 and 7324-7328) which limit 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 suzbagreements. 10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(x) 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 XXU and XXIII. It. Will comply with environmental standards which may be prescribed pursuant to the following; (a) institution of environmental quality control measures under National Environmental Protectiou Act (NE -PA) of 1969 (P,L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (e) protection of wetlands pursuant to EO t 1990; (d) evaluation flood hazards in floodplains in accordance with EO 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.); (0 conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§ 7401 ct seq.); (g) protection of underground sources of drinking water under the Safe Drinking `Vater 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 X1XIV. 12. Will comply with the Wild and Scenic Rivers Act of 1963 (16 U.S.C. §§ 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. 13, Witl assist the awarding agency in assuring compliance with Section 106 of the National I -historic Preservation Act of 1966, as amended (16 U,S.C. § 470), EO 11593 (identification anal protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§ 469a-1 et seq.). All proposed construction 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 constructionproject should pay special attention to the EHP requirements. See Article XXXTUI 14, Witt 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. 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 -,'11L Initials �'.'L" 16. Will Comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et sec;.) 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 U.S. Government Accountability Office's (GAO) Government Auditing Standards, and the requirements of 2 C.F.R. Part 200, Subpart F. 18. Will comply with all applicable requirements of all other Federal lays, 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 2015 Emergency Management Performance Grant WMPG) Program. - California Supplement to the Federal Program Notice of Funding Opportunity; or, The State Guidance. 19. Will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104) which prohibits ;rant award recipients or a subrecipient from (1) Engaging in savere 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 rN 1S is a requirement to receive Federal preparedness assistance, through grants, contracts, and other activities. The NMiS 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 tile effects of incidents, regardless of cause, size, loeation, or complexity. 21, Will not dispose of, modify the use of, or change the terms of the real proporty title, or other interest in the site and faci.lides 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 funds 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 approval Of construction pians 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 Funding Accountability and Transparency Act of 2006), as amended by Section 6202(a) of the Government Funding Transparency Act of 2008 (PL 110-252), which is outlined in FEMA GPD Information Bulletin No. 3.50. If the subrecipicnt in the preceding year did not get 801/10 or more of its annual gross revenues from Federal Awards, and $25T%,1 or more in annual gross revenues from Federal Awards, and the public does have access to information about tlae compensation of the senior executives of the entity, then the subrecipient is not subject to the FFATA Financial Disclosure .requirements, See Article XXXVI. 25. Will comply with the following; (a) All recipients of financial assistance must acImmvIcdge and agree—and require any subrecipiernts, contractors, successors, transferees, and assignees acknowl-,daand agree ---to Initials N comply with applicable provisions goveMin; Cal OES access to records, accounts, documents, infottnation, facilities, and staff; (b) Recipients must cooperate with any site visit, compliance/monitoring review or complaint investi,ation conducted by Cal OES; (c) Recipizmts must give Cal OES access to and the right to exan-line and copy records, accounts, and other documents and sources of information related to the grant and perinit access to facilities, personnel, and other individuals and Laformation 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 officials appropriate Cal OES ocials and maintain appropriate backup documentation to support the reports; and (e) Recipients must comply with aU 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-Amded 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 EYIPG, may result in the incurred salary costs associated with the non- compliant EYIPG-funded personnel from being eligible for reimbursement and; or result in the subrecipient's repayment of already disbursed grant funding associated with the non-compliant EtiIPG-funded personnel's salary -related costs. CERTIFICATIONS L CERTjFICATION FOR CO�ITRACTS, GRANTS LOMNS AIND COOPERATNE AGREEMENTS: The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated fiends 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 einployee 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 eMerincr into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. See Article :III. (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 16dember of Congress, an officer or employee of Congress, or all en'lployee 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 ofLobbying Activities," in accordance with its instructions. (3) The undersigned shall require that the language of this certification. be include([ in the award documents for all subawards at all tiers (including subcontracts, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly, This certification is a material representation of tack upon which reliance was placed when this transaction was made or entered into. Submission of this certification is aprerequisite for.maldng 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 5100,000 for each such .failure. Initials 0&, Stateent for Loan Guarantees and I oar Insurancc The undersigned states, to the best of his or her knowledge and belief, that: 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 1lamber of Congress in connection with this commitment providing for the United Statos to tnsufc 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 enterin; into this transaction imposed by section. 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than 5100,000 for each such failure. 2. DEBARMENT, SUSPEINSI0-1 AND OTHER RES.PONSIBILTTY NIATTERS MECT RECIPIENT : As required by Executive Orders 12549 and 12589, Debarment and Suspension, and implemented at 44 C,F.R., Part 17 (See .Article XXXlj): A. The applicant certifies that it and its principals: (1) Are not presently debarred, suspended, proposed for clebarmeut, 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 withal 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 &struction of records, rnaktug 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 focal) with commission of any of the offensesenu certification; and merated in paragraph (A)(2) of this (4) Have not within a three-year period preceding this application had one or more pub tic 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 REGARDNG DRUG-FREE WORKPLACE RE U1RENMENTS: This certification commits the appLicant to cornptiancc with the certification requirements under 44 CY R., Part 17 Governrnent- vvide RegWrempnts for Drug -Tree IForkplctce (Grants), See Article IX, A. The grantce certifies that it will or will continue to provide a drag -free workplace by: (a) Pcib[islung a statement notifying employees that the unlawfulixianuf'acture, distribution, dispensing, passession, 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; Initials rx-- (b) Establishing all 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 chug -free workplace; (3) Any available di1Gg 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) Malcing 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 teams of the statement; and (2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring 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 6.e receipt of such notices. Notice shall include the identification nlunber(s) of each affected grant; (f) Taking one of the following actions, within 30 calendar days of receiving notice tinder subparagraph (d)(2), with respect to any employee who is so convicted— (1) Taking appropriate personnel action against such ale enployee, Lip to and including tatmination, 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 othor appropriate agency; (g) Making 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. X111 applicants contracting for the procurement or laundering of apparel, garments or corresponding accessories, or the procurement of equipment, matorials, or supplies, other than procurement related to a Public works contract, declare under penalty of perjury that no apparel, garments or corresponding accessories, equipment, materials, or supplies furnishod to the state pursuant to the subaward 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 eNploitation of children in sweatshop labor, or with the bencfit of sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor. Theapplicant further declares cinder penalty of perjury that they adhere to the Sweatfree Cod( -,of Conduct as set forth on the California Department of Industrial Relations website located at wwwJ[r,ca.Srov, and Public Contract Code Section 6108. Irv.tials (V. b, The applicant agrees to cooperate fully in providing reasonable access to the applicant's records, documUrIts, agents or employees, or Premises if reasonably required by authorized officials of the contracting agency, the Department of IndLLstrial Relations, or the Dcpartment of Justice to determine the contractor's compliance with the requirements under paragraph (a). 5. DOMESTIC PARTNERS; For subawards 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 ofproviding any benefits which have othetwisc been provided to all employees regardless of marital or domestic partner status TERMS AND CONDITION, 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 subrecipient 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) ho officer or employee shall engage in any eruploytnGnt, 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,110 former state officer or employee may enter into a contract un which he or she engaged in any of the negotiations, transactions, plannixxg, 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 -malting position in the same goneral 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 oath meeting of the board or commission, payment for preparatory time and payment for per diam. (Pub. Contract Code § 10430 (e)) 2. LABOR CODE/WORKERS' CQIN PENSATION; Applicant needs to be aware of the provisions which require every employer to be insured against liability for Workers' Compensation or to Lindertake self-insurance in Initials t ' L' accordance with the provisions, and appl#cant affirms to comply with such provision; before commencing the, perfomlance of the work of this Agreement. (Labor Code Section 3700) 3. AMERICANS WITH 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 applicable regulations and guidelines issued pursuant to the ADA. (42 U.S.C. § 12101 et seq.) 4, APPLICANT NAIv[E 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 provido the State with a copy of a resolution, order, motion, or ordinance of the Iocal governing body which by law has authority to enter into an agreement, authorizing execution of the, agreement. 6. AIR OR tiVATER POLLUTION' VIOLA ION: 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 rolating to air or water pollution. 7. SYSTEM FOR AWARD 1VLANAGEMENT SAM AND U �JV1�,RSAL IDENTIFIER RE TRENIENTS: A. Requirement for ,System for Award .Mariagament (SAKI) Unless you are exempted from this requirement under 2 C.F.R. § 25.110, you as the recipient must maintain the currency of your information in the SANT 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) Nuunbers Vrecipients are authorized to make subawards 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: 1. System for Award Management (SANS means the Federal repository into which an entity must pro -,„id® 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 ht ,//www.sa�n,Mov}. 2. Data Universal Numbering System (DLIN S) 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 at http_//fed;ov,(Inb.coi.o/webforni), 3. Entity, as it is used in this award term, means all of the following, as defined at 2 C.P.R. § 25.320, 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.; Initials N d. A domestic or foreign for-profit organization; and C. A Federal agency, but oriiv as a subrecipient under an award or subaward to a non -Federal entity, 4. Subaward, as defined in 2 C.F,R. § 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. b. The term does not include your procurement o f property and services needed to carry out the project or program, c. A subaward may be provided through any legal agreemerit, including an agreement that you consider a contract, 5, Subrecipient, as defuaed in 2 C.F.R, § 25.360, means an entity that.- a. hat:a. Receives a subaward from you under this award; and b. Is accountable to you for the use of the Federal funds provided by the subaward, 8, FLVA1vCLU GUIDELLNES: The recipient and any subrecipient 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 FI;ILVIA grants are listed below: A. Administrative Requirements 1. 2 C.F,R. Part 204—Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federai Awards, Subparts B through D 2. 44 C,F.R, Part 10, Environmental Considerations B. Cost Principles 1, 2 C.F.R. Part 200 --Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, Subpart E—Cost principles 2. 48 C.F,R.§ 31.2, Federal AcquisitionReaulations (FAR), Contracts with Commercial Organizations C. Audit Requirements 1, 2 C.F.R. Part 200—Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, Subpart F—Audit RegLiLements 9. PROHIBITION QN USING FEDERAL FUNDS: The recipient understands and agrees that it cannot use anv Federal funds, either directly or indirectly, in support of the enactment, repeal, modification or adoption of any la v, regulation or policy, at any level of gavernmmt, without the express prior written approval of FE_�IvLk 10, COMPLIANCE WITH PROGIdAM GUIDANCE: The recipient agrees that all allocations and use of funds under this -rant will be in accordance with the DHS FY 2015 EVLPG Program Notice of Funding Opportunity (NOFO), 11. CLASSIFIED SECURITY CONDITJ0,N: 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 classilzed 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 rational security information if the award recipient has not been approved for and has access to such uaforrnation. Initials i lL' 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 axa, s to classified national security information by the contractor, subawardee, or other entity without prior written approval from the DHS Office of Security, Industrial Security Progran3 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, 2008; EOs 12829, 12958, 12963, as amended; the National Industrial Security Program Operating Manual (NISPO:M); and/or other applicable implementing directives or instructions, All security requirement documents are located at: ,dhs-g,ov/x oprib irJ:,rants/index.sbtni E. Immediately upon determination by the award recipient that funding ander 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: DD254Aclini.nistrativeSeciirity tccths,[,,ov Mail: Department of Homeland Security Office of the Chief Security Officer A71 Vii: ASD/Industrial Security Program Branch Washington, D.C. 20528 Failure to comply with these tcquirPments 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 ct secl.) I, the official named below, CERTIFY UNDER PE-NALTY OF PERJURY that I am duly authorized to legally bind the prospective jurisdiction to the assurances and certi.ficatiom listed above, Initials O-�, SUPPLEMENTAL DOCUMENTION FOR EMERGENCY MANAGEMENT PERFORMANCE. GRANT A-2016-037 (Cal OEs Use Only) Cal OES # 059-000OD FPS ## 059-00000 1 y5## Subaward # 2015-0049 CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES GRANT SUBAWARD FACE SHEET ca G Fund Source A. State B. Federal C. Total D. Cash Match E. In -Kind F. Total Match 0. Total Match Project Cost The California Governor's Office of Emergency Services (Cal OES) hereby makes a Grant Subaward of funds to the following: 1. Subrec€pient: County ofOran e 1a. DUNS# 00-965-7602 2. Implementing Agency: City of Santa Ana 2a. DUNS# Select 11. Select 3. Implementing Agency Address: 60 Civic Center Drive Santa Ana 92701-1981 t2G. Tntal Protect Cast: $49 665 $O $49 665 $49,665 street Cityi_.�— 4. Location of Project: Santa Ana Orange 92.701-1981 City County Zip+4 5. Disaster/Program Title: Emergency Management Performance Grant 6. Performance Period: 07!01!15 to 06130!16 7. Indirect Cost Rate: NIA; 10% do M€nimis; Federally Approved ICR; Grant Year Fund Source A. State B. Federal C. Total D. Cash Match E. In -Kind F. Total Match 0. Total Match Project Cost 2015 8. EMPG $0 $49,665 $49,665 $49,665 Select 9. Select $0 $0 Select 10. Select $0 $0 Select 11. Select $0 $0 12. TOTALS $0 $0 $0 t2G. Tntal Protect Cast: $49 665 $O $49 665 $49,665 13. This Grant Subaward consists of this title page, the application for the grant, which is attached and made a part hereof, and the AssuranceslCertificat€ons. I hereby certify I am vested with the authority to enter into this Grant Subaward, and have the approval of the City/County Financial Officer, City Manager, County Administrator, Governing Board Chair, or other Approving Body. The Subrecipient certifies that all funds received pursuant to this agreement will be spent exclusively on the purposes specified in the Grant Subaward. The Subrecipient accepts this Grant Subaward and agrees to administer the grant project in accordance with the Grant Subaward as well as all applicable state and federal laws, audit requirements, federal program guidelines, and Cal OES policy and program guidance. The Subrec€pient further agrees that the allocation of funds may be contingent on the enactment of the State Budget. 14. Official Authorized to Sign for Subrecipient; 15. Federal Employer ID Number: 95-6000765 Name: David Cavazos Title: CityIvlanagar Telephone: 714-647-5200 FAX: Email: doavazos@s@nta-ana.org area code) (area code) Payment Mailing Address: 60 Civic Center Drive PO Box 1981 City: Santa Ana Zip+ 4: 92701.1961 Signature: Date: MAY f< 7V_ {FOR CaI0E5 USE ONLY) I hereby certify upon my personal knowledge Vy budgeted funds are available for the period and purposes of this expenditure stated above Cal OES Fiscal Officer Date Grant Award Face Sheet - Cal OES 2-101 (Revised 7/2015) Cal OES Director (or designee) Date N a ti 0) C`} d ui M. Q U &i O o am 00 a O U o r+ t� t' �. LU o p LnrN ... _ Ul rn LP v� c: `n v _ ..W. o vEL o r, 00 W M - W - � p 0 p is io ro W m rn W O C3 4 C , Ul - lu l L yy :10 L 0 U Vl C-. O' 16 a. a oma' m m,E t 49 0 U C y cr v . l 0. z T. 73 ti ¢¢ a W V) 0 n ra U- H 0 t N .n V) V7 O Z Q d U r-{ C_ N w � W. v � m m a a CIA c ro w a > r t C rL c 'U c 5 a � 'E m •� 73 a , c o u o v c m �i g N u E 3 IA ra m0 E V V1 44 OL d OL 'CL •� Q cr N C U p rp t O 0 1 "6 C m M ED c 4; m o as n o c 3 m o 0 n QED �Q N C Q C m a " * m � c c v o_ o w` r CL O m LA � � a m L E F L 0t +5 a ai o N N N U f l qj r ccr -LU Q o 2� -0 c 3 "= x ro c'i E ro o m pw—U E +t+ l V, a c1J �..� O O U o c O CL 0 U N c v v M_0 M .� F='LQ Ln rzN m4N O cu P E m a C CL E 0 -W p N N c � Ln E x aJ P s C 3 Cn O a .i3 aj Eci +� c s Ln E T =:3 `o = C C SO cn U1 E ,40O o` u o 4.-. O — C g �O es 9 v 00 =O a,H- a U CJ c" Ln - F L F- m r-{ C_ N w � W. v � m m a a CIA c ro w a > r t C rL c 'U c 5 a � 'E m •� 73 a , c o u o v c m �i g N u E 3 IA ra m0 E V V1 44 OL d OL 'CL •� Q cr N C U p rp t O 0 1 "6 C m M ED c 4; m o as n o c 3 m o 0 n QED �Q N C Q C m a " * m � c c v o_ o w` r CL O m LA � � a m L E F L 0t +5 a ai o N N N U f l qj r ccr -LU Q o 2� -0 c 3 "= x ro c'i E ro o m pw—U E +t+ l V, a c1J �..� O O U o c O CL 0 U N c v v M_0 M .� F='LQ Ln rzN m4N O cu P E m a C CL IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: e 0A,"', . MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: OFFICE OF THE CITY ATTORNEY By: &.-"' i�- - Laura A. Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: Carlos Rojas Chief of Police CITY OF SANTA ANA ia)Aaj (D ci (Ii V�a, 3 � tn ta N -12 a oC 0 w o a3oco .13li — ;n ': N Ul lit vl N -0 CL R a,, N N Vl N ro n N V_I N 'D n " a In a "O t tl1 4- ^ a� N �7 cP M g m a� _N V1 'w' If1 N ro a� +F�' Y} 0 ^ 'o m [a +' �i w-. 64 Q rV H SC t4 Y Q '6 +'S Y Ln Y r-I .JC} Q N E c E ra E ro E m E m E ro @ C ro fa Z E °c E rCa E o 1�a m E c E E o 10 ro N E E E C L 3 7E5 B lr5 O O v L m L � C C B CO N Q to C IO,. CO a7 �� ro C C� � N E° E v r E v Ln '�. O a E° E v o o a o 4 w E o v a o a' n E 4, a N E 'o a yv o a o Q ° E a E E -d E o, r -�... oro �iro E �i N v "' v u-t',-� uro ^r Ero v rE In ° .� u u E_�° o CL)° v.� E o �� o v v O c C a' u C al L Ql a' O V C v a C v o a N y o m L U N l' z a1 C V O a 61 O Ql U a' ° C v roC a' a ro N o v V W zv Lp,•:i= O Q N a1 Q .-r N Q i a aO. 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