Department of Homeland Security Notice of Funding Opportunity (NOFO) Fiscal Year 2022 Emergency Management Baseline Assessment Grant

Effective April 4, 2022, the Federal Government transitioned from using the Data Universal Numbering System or DUNS number, to a new, non-proprietary identifier known as a Unique Entity Identifier, or UEI. For entities that have an active registration in the System for Award Management (SAM).gov prior to April 4, the UEI has automatically been assigned and no action is necessary. For all entities filing a new registration in SAM.gov after April 4, 2022, the UEI will be assigned to that entity as part of the SAM.gov registration process.

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

Grants.gov registration information can be found at https://www.grants.gov/web/grants/register.html.  Detailed information regarding UEI and SAM is also provided in Section D of this funding notice.

Table of Contents

1. Program Description

   1. Issued By
   2. Assistance Listings Number
   3. Assistance Listings Title
   4. Funding Opportunity Title
   5. Funding Opportunity Number
   6. Authorizing Authority for Program
   7. Appropriation Authority for Program
   8. Announcement Type
   9. Program Category
   10. Program Overview, Objectives and Priorities
   11. Performance Measures

2. Federal Award Information

   1. Available Funding for the NOFO:  $825,000
   2. Projected Number of Awards:   2-4
   3. Period of Performance:     12 Months
   4. Projected Period of Performance Start Date(s):  09/01/2022
   5.  Projected Period of Performance End Date(s):  08/30/2023
   6. Funding Instrument Type:   Cooperative Agreement

3.  Eligibility Information

   1.      Eligible Applicants

   2.      Applicant Eligibility Criteria

   3.      Cost Share or Match

4. Application and Submission Information

   1.  Key Dates and Times
   2.  Agreeing to Terms and Conditions of the Award
   3.  Address to Request Application Package
   4.  Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application
   5.  Electronic Delivery
   6. How to Register to Apply through Grants.gov
   7.  How to Submit an Initial Application to FEMA via Grants.gov
   8. Submitting the Final Application in ND Grants
   9. Timely Receipt Requirements and Proof of Timely Submission
   10. Content and Form of Application Submission
   11. Other Submission Requirements
   12.  Intergovernmental Review
   13.  Funding Restrictions and Allowable Costs

5.  Application Review Information

   1.  Application Evaluation Criteria
   2. Review and Selection Process

6. Federal Award Administration Information

   1.      Notice of Award

   2.      Administrative and National Policy Requirements

   3.      Reporting

   4.      Monitoring and Oversight

7.  DHS Awarding Agency Contact Information

   1. Contact and Resource Information
   2. Systems Information

8.  Additional Information

   1.   Termination Provisions

   2.   Program Evaluation

   3.  Period of Performance Extensions

   4.  Disability Integration

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

   6. Procurement Integrity

   7.   Record Retention

   8.    Actions to Address Noncompliance

   9.   Audits

   10.   Payment Information

   11.   Whole Community Preparedness

   12.   Appendices

   Appendix A: FEMA Expectations for Standards Alignment and Assessment Review

   Appendix B: Detail on EMBAG Performance Measurement

   Appendix C: Detail of Allowable and Not Allowable Direct Costs Under EMBAG

   Appendix D: Project Narrative Template

   Appendix E: Evaluation and Scoring Criteria

   Appendix F: Budget Detail Worksheet Template

   Appendix G: Post-Award Requirements

A.  Program Description

1.   Issued By

U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA)/ National Preparedness Directorate (NPD)/National Preparedness Assessment Division (NPAD)

2.   Assistance Listings Number

97.131

3.   Assistance Listings Title

Emergency Management Baseline Assessment Grant

4.   Funding Opportunity Title

Fiscal Year 2022 Emergency Management Baseline Assessment Grant (EMBAG)

5.   Funding Opportunity Number

DHS-22-NPD-131-00-01

6.   Authorizing Authority for Program

Section 503 (b)(2)(G) of the Homeland Security Act of 2002, as amended (6 U.S.C. Section 313 (b)(2)(G))

7.   Appropriation Authority for Program

Department of Homeland Security Appropriations Act, 2022 (Pub. L. No. 117-103).

8.   Announcement Type

Initial

9.   Program Category

Preparedness: Emergency Management

10. Program Overview, Objectives and Priorities

a.   Overview

The nation relies on emergency management programs and emergency managers to respond to a wide range of threats and hazards. The EMBAG program reinforces FEMA mission of advancing all-hazards preparedness, consistent with the Post-Katrina Emergency Management Reform Act of 2006 (PKEMRA) and Presidential Policy Directive 8 (PPD-8), National Preparedness. The EMBAG directly supports the DHS Strategic Plan Fiscal Years 2020-2024, Goal 5: Strengthen Preparedness and Resilience, Objective 5.1: Build a National Culture of Preparedness and Objective 5.2: Respond During Incidents, by supporting efforts that can help ensure that state, tribal, territorial, and local communities have accredited emergency management programs and certified emergency managers in place in advance of an incident.

As the 2022-2026 FEMA Strategic Plan, Objective 3.1 states, “Investing in readiness at all levels enables emergency managers to leverage state, local, tribal, territorial, and national resources as they coordinate within their community to create a more efficient, effective, and unified response.” The EMBAG program supports the 2022-2026 FEMA Strategic Plan through its support of national-level standards and assessment processes that emergency management programs and emergency managers can use to improve their preparedness capabilities to prevent, protect against, mitigate the effects of, respond to and recover from the threats and hazards that pose the greatest risk to the security of the nation. The full list of FEMA 2022-2026 FEMA Strategic Plan goals and objectives that the EMBAG supports are below:

b.   Objectives

The purpose of the FY 2022 EMBAG cooperative agreement is to develop, maintain, and update, and test national-level standards for emergency management that can help ensure that jurisdictions (state, local, tribal and territorial communities) have accredited emergency management programs and certified emergency managers in place in advance of an incident. To achieve this purpose, the EMBAG supports voluntary national-level standards and peer review assessment processes that jurisdictions can use to identify the capacity and shortfalls of their emergency management programs and emergency managers and develop a path to compliance with these standards. These national-level standards fall under “other assistance” called out under Section 503 (b)(2)(G) of the Homeland Security Act of 2002 to “build tribal, local, State, regional, and national capabilities…necessary to respond to a natural disaster, act of terrorism, or other man-made disaster.” See 6 U.S.C. § 313(b)(2)(G).

The EMBAG specifically supports:

1. The development, maintenance, update, revision, and enhancement of voluntary national-level standards and peer review assessment processes for emergency preparedness and response that are driven, established, validated and revised through consensus;
2. Related efforts to develop or update national-level accreditation for these standards; and
3. The assessment of select state, local, tribal and territorial emergency management programs and emergency managers against these national-level standards.

The EMBAG program supports investment in national-level standards for emergency management that target critical functions necessary to prepare for and manage disasters, with the goal of supporting the following short and long-term outcomes:

• In the short-term (within two years), jurisdiction emergency management programs participating in the EMBAG achieve compliance with national-level standards for critical functions necessary to prepare for and manage disasters. Long-term (more than two years), these programs increase their preparedness to manage disasters.
• In the short-term, emergency managers tied to jurisdiction emergency management programs and participating in the EMBAG achieve compliance with national-level standards for critical functions necessary to manage emergency management programs. Long-term, these emergency managers increase their capability to manage these programs during disasters.

To achieve these outcomes, the FY 2022 EMBAG program provides funding for two objectives, which together include seven projects. These objectives, their projects, and detailed requirements for project activities are described in the table below. These objectives are described in further detail in Appendix G: Post-Award Requirements of this funding notice. 

Objective 1: Supporting Emergency Management Program Accreditation

Objective 2: Supporting Emergency Manager Certification

c.   Priorities

The FY 2022 EMBAG cooperative agreement supports the continuing efforts to increase alignment between national level standards and assessment processes for emergency management and FEMA doctrine and policy. These efforts ensure that emergency management programs and emergency managers receive consistent tools to help them respond to and recover from disasters. To this end, requirements for assessment review and alignment are summarized below and noted in full in Appendix A: FEMA Expectations for Standards Alignment and Assessment Review.

• a review of the areas within an emergency management program referenced in Appendix A: FEMA Expectations for Standards Alignment and Assessment Review.
• Appendix A: FEMA Expectations for Standards Alignment and Assessment Review.

Please note that as part of application review, applications will be scored based on how they describe the existing alignment of their organization’s national level standards for emergency management and assessment processes used for accreditation and/or certification to FEMA doctrine and policy, and a remediation plan to improve alignment. Applicants can refer to Appendix A: FEMA Expectations for Standards Alignment and Assessment Review for additional detail on these requirements, and Appendix E: Evaluation and Scoring Criteria for additional detail on the specific scoring criteria related to these requirements.

Applicants are strongly encouraged to explore how EMBAG program-funded activities can, through assessment and accreditation, develop capability for emergency management programs and emergency managers to address the needs of underserved communities to help ensure consistent, systematic, fair, just and impartial treatment of all individuals before, during and after a disaster. To help ensure equity in all-hazards emergency preparedness, applicants are urged to consider the needs of socially vulnerable populations and involve representatives from the affected communities in the development and execution of proposed EMBAG program-funded projects to ensure their needs are sufficiently addressed, including through representation on panels to review and update standards.

Engaging the whole community requires all members of the community to be part of the emergency management team, including diverse community members, social and community service groups and institutions, faith-based and disability groups, academia, professional associations, the private and nonprofit sectors, and government agencies that may not traditionally have been directly involved in emergency management. The whole community is inclusive of, but not limited to, children; older adults; individuals with disabilities and others with access and functional needs; those from religious, racial and ethnically diverse backgrounds; people with limited English proficiency; and owners of animals including household pets, service and assistance animals.

11. Performance Measures

The performance of the EMBAG is measured against the intended outcomes identified in the Objectives section of this funding notice. Applicants should refer to Appendix B: Detail on EMBAG Performance Measurement for additional information on these metrics, including guidance and a template for reporting.

Objective 1: Supporting Emergency Management Program Accreditation

Objective 2: Supporting Emergency Manager Certification

B.  Federal Award Information

1.   Available Funding for the NOFO:                       $825,000

2.   Projected Number of Awards:                              2-4

3.   Period of Performance:                                         12 Months

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

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

4.   Projected Period of Performance Start Date(s):               09/01/2022

5.   Projected Period of Performance End Date(s):                08/30/2023

6.   Funding Instrument Type:                                    Cooperative Agreement

Program authority and responsibility under this cooperative agreement resides with FEMA for the purpose of carrying out a public purpose authorized by law and not to acquire property or services for the federal government or passthrough entity’s direct benefit or use as consistent with 2 C.F.R. § 200.1. FEMA retains the right to terminate all or part of the cooperative agreement in a manner consistent with 2 C.F.R. § 200.340 and may conduct site visits and monitoring throughout the period of performance.

FEMA will work with the recipient to develop and refine the details of executing this award, and provide technical assistance, including work plans, goals, objectives, performance metrics, timelines and objectives. In addition, FEMA may provide subject matter experts to plan, guide, or assist with projects. FEMA will define eligible and ineligible tasks to ensure that the program is effectively implemented. The recipient shall not develop or begin developing tasks not approved in the recipient’s application without FEMA prior approval and issuance of an award amendment.

Throughout the period of performance of this cooperative agreement, FEMA will be substantially involved in the program implementation. Such involvement includes, but is not limited to, the following roles and responsibilities:

1. Maintaining clear communications to ensure intended outcomes are achieved;
2. Jointly developing the program management plan and program spending plan;
3. Providing insight on data points that are of interest to FEMA in assessing and reporting on national preparedness;
4. Supporting alignment of standards with FEMA guidance and policy and determine remedial activities to improve alignment where necessary; and
5. Providing technical assistance on how to perform the work, report progress, and provide programmatic guidance.

C.  Eligibility Information

1.   Eligible Applicants

The following are eligible applicants for this funding opportunity:

• Nonprofits as defined by 2 C.F.R. § 200.1; and
• Institutions of higher education as defined by 2 CFR § 200.1.

There is an additional criterion defining eligible nonprofit organizations and institutes of higher education which is based on demonstrating competence in emergency management program accreditation and/or emergency manager certification. This criterion is defined under the Applicant Eligibility Criteria header below.

2.   Applicant Eligibility Criteria

The criteria that organizations must meet in order to be eligible for the EMBAG are defined below. Applicants that do not meet eligibility and application submission requirements will not be evaluated and scored by the review panel.

Eligible nonprofit organizations and institutes of higher education must be able to demonstrate, for either emergency management program accreditation AND/OR emergency manager certification, that they are qualified to develop, update, revise and enhance national-level standards for emergency management and implement assessments against them for emergency management programs AND/OR emergency managers, according to questions defined in Appendix D: Project Narrative Template. Applicants will demonstrate their experience and expertise using the questions in Appendix D: Project Narrative Template, and reviewers will use these questions as one set of criteria to score applications as outlined in Appendix E: Evaluation and Scoring Criteria.

Any standard relating to emergency management program accreditation AND/OR emergency manager certification AND that has been accredited by a national-level accreditation body for standards can satisfy this eligibility criterion. Additional information is contained inSection E: Application Review Information, Appendix D: Project Narrative Template, and Appendix E: Evaluation and Scoring Criteria.

3.   Cost Share or Match

A Cost Share or Match is not required; applications will not receive higher scores for Cost Share or Match.

D.  Application and Submission Information

1.   Key Dates and Times

a.   Application Start Date:                                                     05/23/2022

b.   Application Submission Deadline:                                  07/07/2022 at 5:00 p.m.  ET

All applications must be received by the established deadline.

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

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

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

A list of FEMA contacts can be found in Section G of this funding notice, “DHS Awarding Agency Contact Information.” For additional assistance using the ND Grants System, please contact the ND Grants Service Desk at (800) 865-4076 or NDGrants@fema.dhs.gov. The ND Grants Service Desk is available Monday through Friday, 9 a.m. – 6 p.m. ET). For programmatic or grants management questions, please contact your Program Analyst or Grants Specialist. If applicants do not know who to contact or if there are programmatic questions or concerns, please contact the FEMA Grants Information Desk by e-mail at fema-grants-news@fema.dhs.gov OR by phone at (800) 368-6498, Monday through Friday, 9 a.m. – 5 p.m. ET.

c.   Anticipated Funding Selection Date:    No later than 08/01/2022

d.   Anticipated Award Date:                         No later than 08/31/2022

e.   Other Key Dates

2.   Agreeing to Terms and Conditions of the Award

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

3.   Address to Request Application Package

Initial applications are processed through the Grants.gov portal. Final applications are completed and submitted through FEMA Non-Disaster Grants (ND Grants) System. Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov.

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

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

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

Please review the table above for estimated deadlines to complete each of the steps listed. Failure of an applicant to comply with any of the required steps before the deadline for submitting an application may disqualify that application from funding.

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

a.   Apply for, update, or verify their Unique Entity Identifier (UEI) number from SAM.gov and Employer Identification Number (EIN) from the Internal Revenue Service;

b.   In the application, provide an UEI number;

c.   Have an account with login.gov;

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

e.   Create a Grants.gov account;

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

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

h.   Register in ND Grants

i.    Submit an initial application in Grants.gov;

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

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

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

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

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

5.   Electronic Delivery

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

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

6.   How to Register to Apply through Grants.gov

For information on how to register to apply through Grants.gov, please see the Preparedness Grants Manual.

a.   General Instructions: 

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

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

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

Organizations must also have a Grants.gov account to apply for an award under this program. Creating a Grants.gov account can be completed online in minutes, but UEI and SAM registrations may take several weeks. Therefore, an organization's registration should be done in sufficient time to ensure it does not impact the entity's ability to meet required application submission deadlines. Complete organization instructions can be found on Grants.gov here:
https://www.grants.gov/web/grants/applicants/organization-registration.html.

If individual applicants are eligible to apply for this grant funding opportunity, refer to https://www.grants.gov/web/grants/applicants/registration.html.

B.   Obtain Employer Identification Number

All entities applying for funding must provide an Employer Identification Number (EIN). The EIN can be obtained from the IRS by visiting https://www.irs.gov/businesses/small-businesses-self-employed/apply-for-an-employer-identification-number-ein-online.

C.   Create a login.gov account:

Applicants must have a login.gov account in order to register with SAM or update their SAM registration. Applicants can create a login.gov account here: https://secure.login.gov/sign_up/enter_email?request_id=34f19fa8-14a2-438c-8323-a62b99571fd3.

Applicants only have to create a login.gov account once. For applicants that are existing SAM users, use the same email address for the login.gov account as with SAM.gov so that the two accounts can be linked.

For more information on the login.gov requirements for SAM registration, refer to: https://www.sam.gov/SAM/pages/public/loginFAQ.jsf.

D.   Register with SAM:

All organizations applying online through Grants.gov must register with SAM. Failure to register with SAM will prevent your organization from applying through Grants.gov. SAM registration must be renewed annually.

For more detailed instructions for registering with SAM, refer to:
https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html.

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

i.    Additional SAM Reminders

Existing SAM.gov account holders should check their account to make sure it is “ACTIVE.” SAM registration should be completed at the very beginning of the application period and should be renewed annually to avoid being “INACTIVE.” Please allow plenty of time before the grant application submission deadline to obtain an UEI number and then to register in SAM. It may be four weeks or more after an applicant submits the SAM registration before the registration is active in SAM, and then it may be an additional 24 hours before the FEMA system recognizes the information.

It is imperative that the information applicants provide is correct and current. Please ensure that your organization’s name, address, and EIN are up to date in SAM and that the UEI number used in SAM is the same one used to apply for all other FEMA awards. Payment under any FEMA award is contingent on the recipient’s having a current SAM registration.

ii.   Help with SAM

The SAM quick start guide for new recipient registration and SAM video tutorial for new applicants are tools created by the General Services Administration (GSA) to assist those registering with SAM. If applicants have questions or concerns about a SAM registration, please contact the Federal Support Desk at https://www.fsd.gov/fsd-gov/home.do or call toll free (866) 606-8220.

E.    Create a Grants.gov Account:

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

For more information, follow the on-screen instructions or refer to: https://www.grants.gov/web/grants/applicants/registration.html.

See also Section D.8 in this funding notice, “Submitting the Final Application in ND Grants,” for instructions on how to register early in ND Grants.

F.   Add a Profile to a Grants.gov Account:

A profile in Grants.gov corresponds to a single applicant organization the user represents (i.e., an applicant) or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to one Grants.gov account to access all of your grant applications. To add an organizational profile to your Grants.gov account, if applicable, enter the UEI number for the organization in the UEI field while adding a profile.

For more detailed instructions about creating a profile on Grants.gov, refer to https://www.grants.gov/web/grants/applicants/registration/add-profile.html.

G.   EBiz POC Authorized Profile Roles:

After you register with Grants.gov and create an Organization Applicant Profile, the organization applicant's request for Grants.gov roles and access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the Authorized Organization Representative (AOR) role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role.

For more detailed instructions about creating a profile on Grants.gov, refer to https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html.

H.    Track Role Status:

To track your role request, refer to
https://www.grants.gov/web/grants/applicants/registration/track-role-status.html.

I.    Electronic Signature:

When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize individuals who are able to make legally binding commitments on behalf of the organization as an AOR; this step is often missed, and it is crucial for valid and timely submissions.

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

Standard Form 424 (SF-424) is the initial application for this funding notice.

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

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

• SF-424, Application for Federal Assistance
• Grants.gov Lobbying Form, Certification Regarding Lobbying

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

a.   Create a Workspace:

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

b.   Complete a Workspace:

Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission.

c.   Adobe Reader:

If you decide not to apply by filling out webforms you can download individual PDF forms in Workspace so that they will appear similar to other Standard or DHS forms. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html.

d.   Mandatory Fields in Forms: 

In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

e.   Complete SF-424 Fields First:

The forms are designed to fill in common required fields across other forms, such as the applicant name, address and UEI number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms.

f.    Submit a Workspace:

An application may be submitted through workspace by clicking the “Sign and Submit” button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

g.   Track a Workspace:

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

h.   Additional Training and Applicant Support:

For additional training resources, including video tutorials, refer to https://www.grants.gov/web/grants/applicants/applicant-training.html

Grants.gov provides applicants 24/7 (except federal holidays) support via the toll-free number (800) 518-4726, email at support@grants.gov and the website at https://www.grants.gov/support.html. For questions related to the specific grant opportunity, contact the number listed in the application package of the grant for which you are applying for.

If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist FEMA with tracking your issue and understanding background information on the issue.

8.   Submitting the Final Application in ND Grants

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

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

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

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

9.   Timely Receipt Requirements and Proof of Timely Submission

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

All applications must be received in ND Grants by 5:00 PM ET on the application deadline. Proof of timely submission is automatically recorded by ND Grants. An electronic date/time stamp is generated within the system when the application is successfully received by ND Grants. Additionally, the applicant(s) listed as contacts on the application will receive a system-generated email to confirm receipt.

10. Content and Form of Application Submission

a.   Standard Required Application Forms and Information

The following forms or information are required to be submitted in either Grants.gov or ND Grants. The Standard Forms (SF) are submitted either through Grants.gov, through forms generated in ND Grants, or as an attachment in ND Grants. Applicants may also access the SFs at https://www.grants.gov/web/grants/forms/sf-424-family.html.

i.    Grants.Gov

• SF-424, Application for Federal Assistance, initial application submitted through Grants.gov
• Grants.gov Lobbying Form, Certification Regarding Lobbying, submitted through Grants.gov

ii.   ND Grants

• SF-424A, Budget Information (Non-Construction), submitted via the forms generated by ND Grants
  • For construction under an award, submit SF-424C, Budget Information (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424A
• SF-424B, Standard Assurances (Non-Construction), submitted via the forms generated by ND Grants
  • For construction under an award, submit SF-424D, Standard Assurances (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424B
• SF-LLL, Disclosure of Lobbying Activities, submitted via the forms generated by ND Grants
• Indirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. If the applicant does not have or is not required to have an indirect cost rate agreement or proposal, please see Section D.13 of this notice, “Funding Restrictions and Allowable Costs,” for further information regarding allowability of indirect costs and whether alternatives to an indirect cost rate agreement or proposal might be available, or contact the relevant FEMA staff identified in Section G of this notice, “DHS Awarding Agency Contact Information” for further instructions.

b.   Program-Specific Required Forms and Information

EMBAG-specific application instructions for proposal submission are included in Appendix D: Project Narrative Template.

11. Other Submission Requirements

None.

12. Intergovernmental Review

An intergovernmental review may be required. Applicants must contact their state’s Single Point of Contact (SPOC) to comply with the state’s process under Executive Order 12372

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

13. Funding Restrictions and Allowable Costs

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

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

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

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

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

Recipients are also expected to conform, as applicable, with accepted engineering practices, established codes, standards, modeling techniques, and best practices, and participate in the development of case studies demonstrating the effective use of grant funds, as requested.

Program-specific post-award instructions are included in Appendix G: Post-Award Requirements.

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

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

Guidance is available at Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services (Interim) FEMA Policy  #405-143-1, or superseding document.

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

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

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

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

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

I.    Definitions

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

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

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

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

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

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

b.   Pre-Award Costs

Pre-award costs are NOT allowable.

c.   Management and Administration (M&A) Costs

M&A activities are those directly relating to the management and administration of the EMBAG funds, such as financial management and monitoring. M&A costs are not operational costs. They are the necessary costs incurred in direct support of the grant or as a result of the grant and should be allocated across the entire lifecycle of the grant. Recipients may retain a maximum of 5% of EMBAG funds awarded for M&A purposes associated with the EMBAG award.

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

Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement. Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the FEMA Program Analyst and Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the FEMA Program Analyst, Grants Management Specialist, or other relevant FEMA position for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon on the de minimis rate or cost allocation plan, as applicable.

e.   Other Direct Costs

Please note that Appendix C: Detail of Allowable and Not Allowable Direct Costs Under EMBAG of this notice contains additional information on direct costs allowed and not allowed under this program.

Planning

Planning-related costs are allowed under this program only as described in this notice. Please refer to Appendix C: Detail of Allowable and Not Allowable Direct Costs Under EMBAG of this notice for additional information.

Organization

Organization-related costs are NOT allowed under this program.

Equipment

Equipment costs are NOT allowed under this program.

Training

Training-related costs are allowed under this program only as described in this funding notice. Please refer to Appendix C: Detail of Allowable and Not Allowable Direct Costs Under EMBAG of this notice for additional information.

Exercises

Exercise-related costs are allowed under this program only as described in this notice. Please refer to Appendix C: Detail of Allowable and Not Allowable Direct Costs Under EMBAG of this notice for additional information.

Personnel

Personnel costs are allowed under this program for the applicant only as described in this notice, with the following exceptions:

Hiring additional personnel to complete the process of peer review is NOT allowed.

Contract and consulting costs are allowed for management of grant awards.

Contract and consulting costs are NOT allowed for providing subject-matter expertise on the FY 2022 EMBAG Objectives.

Please refer to Appendix C: Detail of Allowable and Not Allowable Direct Costs Under EMBAG  of this notice for additional information.

Travel

Domestic travel costs are allowed under this program only as described in this notice.

International travel is NOT allowed under this program.

Please refer to Appendix C: Detail of Allowable and Not Allowable Direct Costs Under EMBAG of this notice for additional information.

Construction and Renovation                                        

Construction and renovation costs are NOT allowed under this program.

E.  Application Review Information

1.   Application Evaluation Criteria

a.   Programmatic Criteria

Applications must conform with the guidance provided in this section, Section D: Application and Submission Information, and Appendix D: Project Narrative Template.

FY 2022 EMBAG applications will also be evaluated for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed project. Only the applicant may submit an application.

Below is a summary of the evaluation criteria. The full criteria are found in Appendix E: Evaluation and Scoring Criteria, which details the specific criteria aligned to four (4) of the five (5) Project Narrative requirements and the maximum number of points an application can receive for each criterion. The four base criteria earn up to 100 total possible points. Each base criterion contains two questions and subparts that applicants must address in their Project Narrative. FEMA will not review applications that do not address all questions and subparts.

• Demonstration of Experience and Expertise: The applicant demonstrates that it possesses the experience and expertise necessary to carry out the objectives of the FY 2022 EMBAG.
  • Questions align to criteria in Section C: Eligibility Information.
  • Applicants will receive a higher score according to the scoring criteria in Appendix E: Evaluation and Scoring Criteria if they demonstrate through their Project Narrative that they are qualified to develop, update, revise, and enhance standards accredited by the American National Standards Institute (ANSI) or an equivalent North American accreditation or certification body that is a member body of the International Organization for Standardization (ISO).
  • (Possible Points: 0 – 20 maximum; a satisfactory score is 15 points, with up to 5 additional points possible if narrative demonstrates applicant is qualified to develop, update, revise, and enhance standards accredited by ANSI or an equivalent North American accreditation or certification body that is a member body of the ISO)
• Project Plan: The applicant describes an effective plan that meets all objectives and priorities of the FY 2022 EMBAG and addresses its post-award requirements.
  • Questions align to the EMBAG objectives described in Section A: Program Description and Appendix G: Post-Award Requirements, priorities described in Appendix A: FEMA Expectations for Standards Alignment and Assessment Review, and guidance in Appendix A: FEMA Expectations for Standards Alignment and Assessment Review, Appendix G: Post-Award Requirements.
  • Applicants must address completing all projects under at least one (1) objective, which are defined in Section A: Program Description.
  • If applicants address all projects under this objective, they can also note additional projects under another objective for one bonus point per additional project but must also demonstrate qualification for that objective using the questions in the previous section. If an applicant addresses an additional objective, subject to these conditions, they can receive a higher score by the Application Review panel.
  • Additional information is contained in Appendix E: Evaluation and Scoring Criteria.
  • (Possible points: 0 – 30 maximum, with up to one bonus point per additional project possible if additional EMBAG objective addressed)
• Impact: The applicant demonstrates the impact of their proposed plan on the emergency management community, jurisdictions, and national preparedness.
  • Questions align to the EMBAG purpose and performance metrics described in Section A: Program Description.
  • (Possible points: 0 – 30 maximum)
• Budget: The applicant demonstrates a reasonable and cost-effective budget, including an explanation of project costs and relative cost effectiveness across the requested categories, and their ability as an applicant to manage federal grants.
  • Applicants must also complete a Budget Detail Worksheet according to Appendix F: Budget Detail Worksheet Template.
  • (Possible Points: 0 – 20 maximum)

b.   Financial Integrity Criteria

Prior to making a federal award, FEMA is required by 31 U.S.C. § 3354, as amended by the Payment Integrity Information Act of 2019, Pub. L. No. 116-117 (2020); 41 U.S.C. § 2313; and 2 C.F.R. § 200.206 to review information available through any Office of Management and Budget (OMB)-designated repositories of governmentwide eligibility qualification or financial integrity information, including whether the applicant is suspended or debarred. FEMA may also pose additional questions to the applicant to aid in conducting the pre-award risk review. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant:

i.    Financial stability;

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

iii.  History of performance in managing federal award;

iv.  Reports and findings from audits; and

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

c.   Supplemental Financial Integrity Criteria and Review

Prior to making a federal award where the anticipated total federal share will be greater than the simplified acquisition threshold, currently $250,000:

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

ii.   An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a federal awarding agency previously entered.

iii.  FEMA will consider any comments by the applicant, in addition to the other information in FAPIIS, in making a judgment about the applicant’s integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 C.F.R. § 200.206.

2.   Review and Selection Process

Initial Eligibility Review

Prior to application consideration, FEMA will conduct an initial review of all applications to verify applicant eligibility and ensure each application is complete, meaning contains all of the necessary information and materials, was submitted on time and meets all requirements outlined in the funding notice. FEMA will not process incomplete applications for further review and will not consider them for funding. All eligible and complete applications will progress to the applicable FEMA program office for further review. FEMA staff will review the following during the eligibility screening:

• The applicant is an eligible organization as defined under the Eligible Applicants header of Eligibility Information of this NOFO and conforms to the Eligibility Criteria in Section C of this notice, above.
  • The applicant has submitted all required assurances and standard forms.
  • The application complies with the Application Submission information presented in Section D: Application and Submission Information and Appendix D: Project Narrative Template, and:
    • Application includes a Project Narrative that aligns with the format requirements specified in Appendix D: Project Narrative Template.
    • Application includes a Budget Detail Worksheet (Appendix F: Budget Detail Worksheet Template).

Review Panel

Applications will be reviewed and scored by a review panel comprised of personnel from FEMA. Applicants that do not meet eligibility and application submission requirements will not be evaluated and scored by the review panel. The review panel will score applications based on specific criteria described in Appendix E: Evaluation and Scoring Criteria and aligned to the requirements outlined under the Application Evaluation Criteria header of this section, Section D: Application and Submission Information and Appendix D: Project Narrative Template. Each application will be reviewed by no less than two reviewers. The review panel will score applications based on the evaluation criteria, taking into consideration completeness, adherence to programmatic guidelines, and anticipated effectiveness of the plan proposed in the Project Plan section of the Project Narrative.

Application Selection Process

FEMA staff will make recommendations based on scores assigned by the application review panel, which will be sorted by EMBAG Objective in descending order from the highest score to lowest score until as many EMBAG Objective Projects possible are addressed.

FEMA senior leadership will review recommended awards based on the results of the ranked application scores. Final funding determinations will be made by the Administrator of FEMA. A maximum of four applicants will be selected.

Required Application Contents

Applicants must present the contents of the application using the following arrangement. Applicants should refer to Appendix E: Evaluation and Scoring Criteria for additional details.

• Background
• Demonstration of Experience and Expertise
• Project Plan
• Impact
• Budget

Applicants should not include any Classified or Law Enforcement Sensitive information in their applications for this program.

F.   Federal Award Administration Information

1.   Notice of Award

Before accepting the award, the AOR and recipient should carefully read the award package. The award package includes instructions on administering the grant award and the terms and conditions associated with responsibilities under federal awards. Recipients must accept all conditions in this notice as well as any specific terms and conditions in the Notice of Award to receive an award under this program.

Notification of award approval is made through the ND Grants system through an automatic electronic mail to the recipient’s authorized official listed in the initial application. The recipient should follow the directions in the notification to confirm acceptance of the award.

Recipients must accept their awards no later than 60 calendar 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 notice of intent to decline through the ND Grants system. For instructions on how to accept or decline an award in the ND Grants system, please see the ND Grants Grant Recipient User Guide, which is available at https://www.fema.gov/grants/guidance-tools/non-disaster-grants-management-system along with other ND Grants materials.

Funds will remain on hold until the recipient accepts the award through the ND Grants system and all other conditions of the award have been satisfied or until the award is otherwise rescinded. Failure to accept a grant award within the 60-calendar-day timeframe may result in a loss of funds. 

2.   Administrative and National Policy Requirements

In addition to the requirements of in this section and in this notice, FEMA may place specific terms and conditions on individual awards in accordance with 2 C.F.R. Part 200.

a.   DHS Standard Terms and Conditions

All successful applicants for DHS grant and cooperative agreements are required to comply with DHS Standard Terms and Conditions, which are available online at DHS Standard Terms and Conditions.

The applicable DHS Standard Terms and Conditions will be those in effect at the time the award was made unless the application is for a continuation award. In that event, the terms and conditions in effect at the time the original award was made will generally apply. What terms and conditions will apply for the award will be clearly stated in the award package at the time of award.

b.   Ensuring the Protection of Civil Rights

As the Nation works towards achieving the National Preparedness Goal, it is important to continue to protect the civil rights of individuals. Recipients and subrecipients must carry out their programs and activities, including those related to the building, sustainment, and delivery of core capabilities, in a manner that respects and ensures the protection of civil rights for protected populations.

Federal civil rights statutes, such as Section 504 of the Rehabilitation Act of 1973 and Title VI of the Civil Rights Act of 1964, along with FEMA regulations, prohibit discrimination on the basis of race, color, national origin, sex, religion, age, disability, limited English proficiency, or economic status in connection with programs and activities receiving federal financial assistance from FEMA.

The DHS Standard Terms and Conditions include a fuller list of the civil rights provisions that apply to recipients. These terms and conditions can be found in the DHS Standard Terms and Conditions. Additional information on civil rights provisions is available at https://www.fema.gov/about/offices/equal-rights/civil-rights.

Monitoring and oversight requirements in connection with recipient compliance with federal civil rights laws are also authorized pursuant to 44 C.F.R. Part 7.

In accordance with civil rights laws and regulations, recipients and subrecipients must ensure the consistent and systematic fair, just and impartial treatment of all individuals, including individuals who belong to underserved communities that have been denied such treatment.

c.   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 historic properties to ensure that all activities and programs funded by FEMA, including grant-funded projects, comply with federal EHP laws, Executive Orders, regulations and policies, as applicable.

All non-critical new construction or substantial improvement of structures in a Special Flood Hazard Area must, at a minimum, apply the flood elevations of the Federal Flood Risk Management Standard’s Freeboard Value Approach unless doing so would cause the project to be unable to meet applicable program cost-effectiveness requirements. All other types of projects may choose to apply the flood elevations of the Federal Flood Risk Management Standard’s Freeboard Value Approach. See Executive Order (EO) 14030, Climate-Related Financial Risk and FEMA Policy #-206-21-0003, Partial Implementation of the Federal Flood Risk Management Standard for Hazard Mitigation Assistance Programs (Interim) (fema.gov). 

Recipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures and facilities, or new construction including replacement of facilities, must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description along with any supporting documentation requested by FEMA in order to determine whether the proposed project has the potential to impact environmental resources or historic properties.

In some cases, FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. Federal law requires EHP review to be completed before federal funds are released to carry out proposed projects. FEMA may not be able to fund projects that are not incompliance with applicable EHP laws, Executive Orders, regulations, and policies.

DHS and FEMA EHP policy is found in directives and instructions available on the FEMA.gov EHP page, the FEMA website page that includes documents regarding EHP responsibilities and program requirements, including implementation of the National Environmental Policy Act and other EHP regulations and Executive Orders.Individual FEMA programs have separate procedures to conduct and document EHP review. Guidance for individual grant programs is available from applicable program offices.

3.   Reporting

Recipients are required to submit various financial and programmatic reports as a condition of award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent.

a.   Financial Reporting Requirements

i.    Federal Financial Report (FFR)

Recipients must report obligations and expenditures through the FFR form (SF-425) to FEMA.

Recipients may review the Federal Financial Reporting Form (FFR) (SF-425) at https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1

Recipients must file the FFR electronically using the Payment and Reporting Systems (PARS).

ii.   FFR Reporting Periods and Due Dates

An FFR must be submitted quarterly throughout the POP, including partial calendar quarters, as well as in periods where no grant award activity occurs. The final FFR is due within 120 calendar days after the end of the POP. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate lack of progress, or are insufficient in detail.

Except for the final FFR due at 120 days after the end of the POP for purposes of closeout, the following reporting periods and due dates apply for the FFR:

b.   Programmatic Performance Reporting Requirements

i.    Performance Progress Report (PPR)

Recipients are responsible for uploading performance reports to FEMA on a quarterly basis. FEMA will use these reports to monitor progress for the grant award. The report is due within 30 calendar days after the end of the reporting period. Recipients must submit the report as an attachment to the ND Grants system. For more information about performance reporting requirements, please refer to the table under the Post-Award Programmatic Reporting and Other Communication Requirements header in Appendix G: Post-Award Requirements.

ii.    Performance Reporting Periods and Due Dates

The following reporting periods and due dates apply for the quarterly performance reports:

iIi.   Additional Programmatic Reporting Requirements

For additional details regarding requirements for Performance Progress Reports, additional program reporting, and other post-award requirements, please refer to Appendix G: Post-Award Requirements.

c.   Closeout Reporting Requirements

I.    Closeout Reporting

Within 120 calendar days after the end of the period of performance for the prime award or after an amendment has been issued to close out an award before the original POP ends, recipients must liquidate all financial obligations and must submit the following:

i.    The final request for payment, if applicable;

ii.   The final FFR (SF-425).;

iii.  The final progress report detailing all accomplishments, including a narrative summary of the impact of those accomplishments throughout the period of performance; and

iv.  Other documents required by this notice, terms and conditions of the award, or other FEMA guidance.

In addition, pass-through entities are responsible for closing out their subawards as described in 2 C.F.R. § 200.344; subrecipients are still required to submit closeout materials within 90 calendar days of the period of performance end date. When a subrecipient completes all closeout requirements, pass-through entities must promptly complete all closeout actions for subawards in time for the recipient to submit all necessary documentation and information to FEMAduring the closeout of the prime award.

After the prime award closeout reports have been reviewed and approved by FEMA, a closeout notice will be completed to close out the grant. The notice will indicate the period of performance as closed, list any remaining funds that will be deobligated, and address the requirement of maintaining the grant records for at least three years from the date of the final FFR. The record retention period may be longer, such as due to an audit or litigation, for equipment or real property used beyond the period of performance, or due to other circumstances outlined in 2 C.F.R. § 200.334.

The recipient is responsible for refunding to FEMA any balances of unobligated cash that FEMA paid that are not authorized to be retained per 2 C.F.R. § 200.344(d).

II.   Administrative Closeout

Administrative closeout is a mechanism for FEMA to unilaterally move forward with closeout of an award using available award information in lieu of final reports from the recipient per 2 C.F.R. § 200.344(h)-(i). It is a last resort available to FEMA, and if FEMA needs to administratively close an award, this may negatively impact a recipient’s ability to obtain future funding. This mechanism can also require FEMA to make cash or cost adjustments and ineligible cost determinations based on the information it has, which may result in identifying a debt owed to FEMA by the recipient.

When a recipient is not responsive to  reasonable FEMA efforts to collect required reports needed to complete the standard closeout process, FEMA is required under 2 C.F.R. § 200.344(h) to start the administrative closeout process within the regulatory timeframe. FEMA will make at least three written attempts to collect required reports before initiating administrative closeout. If the recipient does not submit all required reports in accordance with 2 C.F.R. § 200.344, this notice, and the terms and conditions of the award, FEMA must proceed to administratively close the award with the information available within one year of the period of performance end date. Additionally, if the recipient does not submit all required reports within one year of the period of performance end date, per 2 C.F.R. § 200.344(i), FEMA must report in FAPIIS the recipient’s material failure to comply with the terms and conditions of the award.

If FEMA administratively closes an award where no final FFR has been submitted, FEMA uses that administrative closeout date in lieu of the final FFR submission date as the start of the record retention period under 2 C.F.R. § 200.334.

In addition, if an award is administratively closed, FEMA may decide to impose remedies for noncompliance per 2 C.F.R. § 200.339, consider this information in reviewing future award applications, or apply special conditions to existing or future awards.

d.   Additional Reporting Requirements

I.    Disclosing Information per 2 C.F.R. § 180.335

This reporting requirement pertains to disclosing information related to government-wide suspension and debarment requirements. Before a recipient enters into a grant award with FEMA, the recipient must notify FEMAif it knows if it or any of the recipient’s principals under the award fall under one or more of the four criteria listed at 2 C.F.R. § 180.335:

i.    Are presently excluded or disqualified;

ii.   Have been convicted within the preceding three years of any of the offenses listed in 2 C.F.R. § 180.800(a) or had a civil judgment rendered against it or any of the recipient’s principals for one of those offenses within that time period;

iii.  Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state or local) with commission of any of the offenses listed in 2 C.F.R. § 180.800(a); or

iv.  Have had one or more public transactions (federal, state or local) terminated within the preceding three years for cause or default.

At any time after accepting the award, if the recipient learns that it or any of its principals falls under one or more of the criteria listed at 2 C.F.R. § 180.335, the recipient must provide immediate written notice to FEMA in accordance with 2 C.F.R. § 180.350.

II.   Reporting of Matters Related to Recipient Integrity and Performance

Per 2 C.F.R. Part 200, Appendix I § F.3, the additional post-award reporting requirements in 2 C.F.R. Part 200, Appendix XII may apply to applicants who, if upon becoming recipients, have a total value of currently active grants, cooperative agreements, and procurement contracts from all federal awarding agencies that exceeds $10 million for any period of time during the period of performance of an award under this funding opportunity.

Recipients that meet these criteria must maintain current information reported in FAPIIS about civil, criminal, or administrative proceedings described in paragraph 2 of Appendix XII at the reporting frequency described in paragraph 4 of Appendix XII.

III. Single Audit Report

For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000 or more from all federal funding sources during their fiscal year are required to submit an organization-wide financial and compliance audit report, also known as the single audit report.

The audit must be performed in accordance with the requirements of U.S. Government Accountability Office’s (GAO) Government Auditing Standards, located at https://www.gao.gov/yellowbook/overview, and the requirements of Subpart F of 2 C.F.R. Part 200, located at http://www.ecfr.gov/cgi-bin/text-idx?node=sp2.1.200.f.

4.   Monitoring and Oversight

Per 2 C.F.R. § 200.337, FEMA, through its authorized representatives, has the right, at all reasonable times, to make site visits or conduct desk reviews to review project accomplishments and management control systems to review award progress and to provide any required technical assistance. During site visits or desk reviews, FEMA will review recipients’ files related to the award. As part of any monitoring and program evaluation activities, recipients must permit FEMA, upon reasonable notice, to review grant-related records and to interview the organization’s staff and contractors regarding the program. Recipients must respond in a timely and accurate manner to FEMA requests for information relating to the award.

Effective monitoring and oversight help FEMA ensure that recipients use grant funds for their intended purpose(s); verify that projects undertaken are consistent with approved plans; and ensure that recipients make adequate progress toward stated goals and objectives. Additionally, monitoring serves as the primary mechanism to ensure that recipients comply with applicable laws, rules, regulations, program guidance, and requirements. FEMA regularly monitors all grant programs both financially and programmatically in accordance with federal laws, regulations (including 2 C.F.R. Part 200), program guidance, and the terms and conditions of the award. All monitoring efforts ultimately serve to evaluate progress towards grant goals and proactively target and address issues that may threaten grant success during the period of performance.

FEMA staff will periodically monitor recipients to ensure that administrative processes, policies and procedures, budgets, and other related award criteria are meeting Federal Government-wide and FEMA regulations. Aside from reviewing quarterly financial and programmatic reports, FEMA may also conduct enhanced monitoring through either desk-based reviews, onsite monitoring visits, or both. Enhanced monitoring will involve the review and analysis of the financial compliance and administrative processes, policies, activities and other attributes of each federal assistance award, and it will identify areas where the recipient may need technical assistance, corrective actions, or other support.

Financial and programmatic monitoring are complementary processes within overarching FEMA monitoring strategy that function together to ensure effective grants management, accountability, and transparency; validate progress against grant and program goals; and safeguard federal funds against fraud, waste and abuse. Financial monitoring primarily focuses on statutory and regulatory compliance with administrative grant requirements, while programmatic monitoring seeks to validate and assist in grant progress, targeting issues that may be hindering achievement of project goals and ensuring compliance with the purpose of the grant and grant program. Both monitoring processes are similar in that they feature initial reviews of all open awards, and additional, in-depth monitoring of grants requiring additional attention.

Recipients and subrecipients who are pass-through entities are responsible for monitoring their subrecipients in a manner consistent with the terms of the federal award at 2 C.F.R. Part 200, including 2 C.F.R. § 200.332. This includes the pass-through entity’s responsibility to monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, in compliance with federal statutes, regulations and the terms and conditions of the subaward; and that subaward performance goals are achieved.

In terms of overall award management, recipient and subrecipient responsibilities include, but are not limited to: accounting of receipts and expenditures, cash management, maintaining adequate financial records, reporting and refunding expenditures disallowed by audits, monitoring if acting as a pass-through entity, or other assessments and reviews, and ensuring overall compliance with the terms and conditions of the award or subaward, as applicable, including the terms of 2 C.F.R. Part 200.

G.  DHS Awarding Agency Contact Information

1.   Contact and Resource Information

a.   Program Office Contact

The Measures and Standards Branch in FEMA National Preparedness Directorate maintains programmatic responsibility for the EMBAG. Please reach out to the EMBAG Program Manager Madeline Clark by phone at (202) 568-4257 between the hours of 9:00 a.m. – 3:00 p.m. E.T. Monday through Friday or email (madeline.clark@fema.dhs.gov) for additional information.

Additional Program Office points of contact are the Measures and Standards Branch Chief Sharon Kushnir, who can be reached by phone at (202) 368-4469 between the hours of 9:00 a.m. – 3:00 p.m. E.T. Monday through Friday or email (sharon.kushnir@fema.dhs.gov) and Elizabeth Hunziker, who can be reached by phone at (202) 809-1398 between the hours of 9:00 a.m. – 3:00 p.m. E.T. Monday through Friday or email (elizabeth.hunziker@fema.dhs.gov).

b.   FEMA Grants News

FEMA Grants News is a non-emergency comprehensive management and information resource developed by FEMA for grants stakeholders. This channel 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. FEMA Grants Information Desk can be reached by e-mail at fema-grants-news@fema.dhs.gov OR by phone at (800) 368-6498, Monday through Friday, 9 a.m. – 5 p.m. ET.

c.   Grant Programs Directorate (GPD) Award Administration Division

GPD Award Administration Division (AAD) provides support regarding financial matters and budgetary technical assistance. Additional guidance and information can be obtained by contacting the AAD’s Help Desk via e-mail at ASK-GMD@fema.dhs.gov.

D.   Equal Rights

The FEMA Office of Equal Rights (OER) is responsible for compliance with and enforcement of federal civil rights obligations in connection with programs and services conducted by FEMA and recipients of FEMA financial assistance. All inquiries and communications about federal civil rights compliance for FEMA grants under this notice should be sent to FEMA-CivilRightsOffice@fema.dhs.gov.

E.    Environmental Planning and Historic Preservation

The FEMA Office of Environmental Planning and Historic Preservation (OEHP) provides guidance and information about the EHP review process to FEMA programs and FEMA recipients and subrecipients. All inquiries and communications about EHP compliance for FEMA grant projects under this notice or the EHP review process should be sent to FEMA-OEHP-NOFOQuestions@fema.dhs.gov.

2.   Systems Information

a.   Grants.gov

For technical assistance with Grants.gov, call the customer support hotline 24 hours per day, 7 days per week (except federal holidays) at (800) 518-4726 or e-mail at support@grants.gov.

b.   Non-Disaster (ND) Grants

For technical assistance with the ND Grants system, please contact the ND Grants Helpdesk at ndgrants@fema.dhsgov or (800) 865-4076, Monday through Friday, 9:00 AM – 6:00 PM ET. User resources are available at https://www.fema.gov/grants/guidance-tools/non-disaster-grants-management-system

c.   Payment Management System (PMS) (“Smartlink”)

The Payment Management System (PMS), commonly referred to as Smartlink, is a web-based application hosted by the Department of Health and Human Services. FEMA CSEPP may continue to use Smartlink for grants awarded in previous fiscal years using Smartlink. Additional information on PMS is available at https://pms.psc.gov.

H.  Additional Information

1.   Termination Provisions

FEMA may terminate a federal award in whole or in part for one of the following reasons. FEMA and the recipient must still comply with closeout requirements at 2 C.F.R. §§ 200.344-200.345 even if an award is terminated in whole or in part. To the extent that subawards are permitted under this notice, pass-through entities should refer to 2 C.F.R. § 200.340 for additional information on termination regarding subawards.

a.   Noncompliance

If a recipient fails to comply with the terms and conditions of a federal award, FEMA may terminate the award in whole or in part. If the noncompliance can be corrected, FEMA may first attempt to direct the recipient to correct the noncompliance. This may take the form of a Compliance Notification. If the noncompliance cannot be corrected or the recipient is non-responsive, FEMA may proceed with a Remedy Notification, which could impose a remedy for noncompliance per 2 C.F.R. § 200.339, including termination. Any action to terminate based on noncompliance will follow the requirements of 2 C.F.R. §§ 200.341-200.342 as well as the requirement of 2 C.F.R. § 200.340(c) to report in FAPIIS the recipient’s material failure to comply with the award terms and conditions. See also the section on Actions to Address Noncompliance in this notice.

b.   With the Consent of the Recipient

FEMA may also terminate an award in whole or in part with the consent of the recipient, in which case the parties must agree upon the termination conditions, including the effective date, and in the case of partial termination, the portion to be terminated.

c.   Notification by the Recipient

The recipient may terminate the award, in whole or in part, by sending written notification to FEMA setting forth the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. In the case of partial termination, FEMA may determine that a partially terminated award will not accomplish the purpose of the federal award, so FEMA may terminate the award in its entirety. If that occurs, FEMA will follow the requirements of 2 C.F.R. §§ 200.341-200.342 in deciding to fully terminate the award.

2.   Program Evaluation

Recipients and subrecipients are encouraged to incorporate program evaluation activities from the outset of their program design and implementation to meaningfully document and measure their progress towards meeting an agency priority goal(s). Title I of the Foundations for Evidence-Based Policymaking Act of 2018 (Evidence Act), Pub. L. No. 115-435 (2019) urges federal awarding agencies and federal assistance recipients and subrecipients to use program evaluation as a critical tool to learn, to improve equitable delivery, and to elevate program service and delivery across the program lifecycle. Evaluation means “an assessment using systematic data collection and analysis of one or more programs, policies, and organizations intended to assess their effectiveness and efficiency.” Evidence Act § 101 (codified at 5 U.S.C. § 311). Evaluation costs are allowable costs (either as direct or indirect), unless prohibited by statute or regulation.

3.   Period of Performance Extensions

Extensions to the period of performance (POP) for this program are allowed. Extensions to the POP identified in the award will only be considered through formal, written requests to the recipient’s FEMA Program Analyst and must contain specific and compelling justifications as to why an extension is required. Recipients are advised to coordinate with the FEMA Program Analyst as needed when preparing an extension request.

All extension requests must address the following:

a.   The grant program, fiscal year, and award number;

b.   Reason for the delay –including details of the legal, policy, or operational challenges that prevent the final outlay of awarded funds by the deadline;

c.   Current status of the activity(ies);

d.   Approved POP termination date and new project completion date;

e.   Amount of funds drawn down to date;

f.    Remaining available funds, both federal and, if applicable, non-federal;

g.   Budget outlining how remaining federal and, if applicable, non-federal funds will be expended;

h.   Plan for completion, including milestones and timeframes for achieving each milestone and the position or person responsible for implementing the plan for completion; and

i.    Certification that the activity(ies) will be completed within the extended POP without any modification to the original statement of work, as described in the application or other relevant document and as approved by FEMA.

Extension requests will be granted only due to compelling legal, policy, or operational challenges. Extension requests will only be considered for the following reasons:

• Contractual commitments by the recipient or subrecipient with vendors prevent completion of the project, including delivery of equipment or services, within the existing POP;
• The project must undergo a complex environmental review that cannot be completed within the existing POP;
• Projects are long-term by design, and therefore acceleration would compromise core programmatic goals; or
• Where other special or extenuating circumstances exist.

Recipients should submit all proposed extension requests to FEMA for review and approval at least 90 calendar days prior to the end of the POP to allow sufficient processing time. Extensions are typically granted for no more than a six-month period.

4.   Disability Integration

Pursuant to Section 504 of the Rehabilitation Act of 1973, recipients of FEMA financial assistance must ensure that their programs and activities do not discriminate against other qualified individuals with disabilities.

Grant recipients should engage with the whole community to advance individual and community preparedness and to work as a nation to build and sustain resilience. In doing so, recipients are encouraged to consider the needs of individuals with disabilities into the activities and projects funded by the grant.

FEMA expects that the integration of the needs of people with disabilities will occur at all levels, including planning; alerting, notification, and public outreach; training; purchasing of equipment and supplies; protective action implementation; and exercises/drills.

The following are examples that demonstrate the integration of the needs of people with disabilities in carrying out FEMA awards:

• Include representatives of organizations that work with/for people with disabilities on planning committees, work groups and other bodies engaged in development and implementation of the grant programs and activities.
• Hold all activities related to the grant in locations that are accessible to persons with physical disabilities to the extent practicable.
• Acquire language translation services, including American Sign Language, that provide public information across the community and in shelters.
• Ensure shelter-specific grant funds are in alignment with FEMA Guidance on Planning for Integration of Functional Needs Support Services in General Population Shelters.
• If making alterations to an existing building to a primary function area utilizing federal funds, complying with the most recent codes and standards and making path of travel to the primary function area accessible to the greatest extent possible.
• Implement specific procedures used by public transportation agencies that include evacuation and passenger communication plans and measures for individuals with disabilities.
• Identify, create, and deliver training to address any training gaps specifically aimed toward whole-community preparedness. Include and interact with individuals with disabilities, aligning with the designated program capability.
• Establish best practices in inclusive planning and preparedness that consider physical access, language access, and information access. Examples of effective communication access include providing auxiliary aids and services such as sign language interpreters, Computer Aided Real-time Translation (CART), and materials in Braille or alternate formats.

FEMA grant recipients can fund projects towards the resilience of the whole community, including people with disabilities, such as training, outreach and safety campaigns, provided that the project aligns with this notice and the terms and conditions of the award.

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

For conflicts of interest under grant-funded procurements and contracts, refer to the section on Procurement Integrity in this NOFO and 2 C.F.R. §§ 200.317 – 200.327.

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 making subawards. Recipients and pass-through entities are also required to follow any applicable federal and state, local, tribal or territorial (SLTT) statutes or regulations governing conflicts of interest in the making of subawards.

The recipient or pass-through entity must disclose to the respective Program Analyst or Program Manager, in writing, any real or potential conflict of interest that may arise during the administration of the federal award, as defined by the federal or SLTT statutes or regulations or their own existing policies, within five days of learning of the conflict of interest. Similarly, subrecipients, whether acting as subrecipients or as pass-through entities, must disclose any real or potential conflict of interest to the recipient or next-level pass-through entity as required by the recipient or pass-through entity’s conflict of interest policies, or any applicable federal or SLTT 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 FEMA employees.

6.   Procurement Integrity

Through audits conducted by the DHS Office of Inspector General (OIG) and FEMA grant monitoring, findings have shown that some FEMA recipients have not fully adhered to the proper procurement requirements at 2 C.F.R. §§ 200.317 – 200.327when spending grant funds. Anything less than full compliance with federal procurement requirements jeopardizes the integrity of the grant as well as the grant program. To assist with determining whether an action is a procurement or instead a subaward, please consult 2 C.F.R. § 200.331. For detailed guidance on the federal procurement standards, recipients and subrecipients should refer to various materials issued by FEMA Procurement Disaster Assistance Team (PDAT), such as the PDAT Field Manual and Contract Provisions Guide. Additional resources, including an upcoming trainings schedule can be found on the PDAT website: https://www.fema.gov/grants/procurement.

The below highlights the federal procurement requirements for FEMA recipients when procuring goods and services with federal grant funds. FEMA will include a review of recipients’ procurement practices as part of the normal monitoring activities. All procurement activity must be conducted in accordance with federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. Select requirements under these standards are listed below. The recipient and any of its subrecipients must comply with all requirements, even if they are not listed below.

Under 2 C.F.R. § 200.317, when procuring property and services under a federal award, states (including territories) must follow the same policies and procedures they use for procurements from their non-federal funds; additionally, states must now follow 2 C.F.R. § 200.321 regarding socioeconomic steps, 200.322 regarding domestic preferences for procurements, 200.323 regarding procurement of recovered materials, and 2 C.F.R. § 200.327 regarding required contract provisions.

All other non-federal entities, such as tribes (collectively, non-state entities), must have and use their own documented procurement procedures that reflect applicable SLTT laws and regulations, provided that the procurements conform to applicable federal law and the standards identified in 2 C.F.R. Part 200. These standards include, but are not limited to, providing for full and open competition consistent with the standards of 2 C.F.R. § 200.319 and the required procurement methods at § 200.320.

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

OMB recently updated various parts of Title 2 of the Code of Federal Regulations, among them, the procurement standards. States are now required to follow the socioeconomic steps in soliciting small and minority businesses, women’s business enterprises, and labor surplus area firms per 2 C.F.R. § 200.321. All non-federal entities should also, to the greatest extent practicable under a federal award, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States per 2 C.F.R. § 200.322. More information on OMB’s revisions to the federal procurement standards can be found in Purchasing Under a FEMA Award: OMB Revisions Fact Sheet.

The recognized procurement methods in 2 C.F.R. § 200.320 have been reorganized into informal procurement methods, which include micro-purchases and small purchases; formal procurement methods, which include sealed bidding and competitive proposals; and noncompetitive procurements. The federal micro-purchase threshold is currently $10,000, and non-state entities may use a lower threshold when using micro-purchase procedures under a FEMA award. If a non-state entity wants to use a micro-purchase threshold higher than the federal threshold, it must follow the requirements of 2 C.F.R. § 200.320(a)(1)(iii)-(v). The federal simplified acquisition threshold is currently $250,000, and a non-state entity may use a lower threshold but may not exceed the federal threshold when using small purchase procedures under a FEMA award. See 2 C.F.R. § 200.1 (citing the definition of simplified acquisition threshold from 48 C.F.R. Part 2, Subpart 2.1).

See 2 C.F.R. §§ 200.216, 200.471, and Appendix II as well as section D.13.a of the NOFO regarding prohibitions on covered telecommunications equipment or services.

b.   Competition and Conflicts of Interest

Among the requirements of 2 C.F.R. § 200.319(b) applicable to all non-federal entities other than states, in order to ensure objective contractor performance and eliminate unfair competitive advantage, contractors that develop or draft specifications, requirements, statements of work, or invitations for bids or requests for proposals must be excluded from competing for such procurements. FEMA considers these actions to be an organizational conflict of interest and interprets this restriction as applying to contractors that help a non-federal entity develop its grant application, project plans, or project budget. This prohibition also applies to the use of former employees to manage the grant or carry out a contract when those former employees worked on such activities while they were employees of the non-federal entity.

Under this prohibition, unless the non-federal entity solicits for and awards a contract covering both development and execution of specifications (or similar elements as described above), and this contract was procured in compliance with 2 C.F.R. §§ 200.317 – 200.327, federal funds cannot be used to pay a contractor to carry out the work if that contractor also worked on the development of those specifications. This rule applies to all contracts funded with federal grant funds, including pre-award costs, such as grant writer fees, as well as post-award costs, such as grant management fees.

Additionally, some of the situations considered to be restrictive of competition include, but are not limited to:

• Placing unreasonable requirements on firms for them to qualify to do business;
• Requiring unnecessary experience and excessive bonding;
• Noncompetitive pricing practices between firms or between affiliated companies;
•  Noncompetitive contracts to consultants that are on retainer contracts;
• Organizational conflicts of interest;
• Specifying only a “brand name” product instead of allowing “an equal” product to be offered and describing the performance or other relevant requirements of the procurement; and
• Any arbitrary action in the procurement process.

Per 2 C.F.R. § 200.319(c), non-federal entities other than states must conduct procurements in a manner that prohibits the use of statutorily or administratively imposed SLTT geographical preferences in the evaluation of bids or proposals, except in those cases where applicable federal statutes expressly mandate or encourage geographic preference. Nothing in this section preempts state licensing laws. When contracting for architectural and engineering services, geographic location may be a selection criterion provided its application leaves an appropriate number of qualified firms, given the nature and size of the project, to compete for the contract.

Under 2 C.F.R. § 200.318(c)(1), non-federal entities other than states are required to maintain written standards of conduct covering conflicts of interest and governing the actions of their employees engaged in the selection, award, and administration of contracts. No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a federal award if he or she has a real or apparent conflict of interest. Such conflicts of interest would arise when the employee, officer or agent, any member of his or her immediate family, his or her partner, or an organization that employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract. The officers, employees and agents of the non-federal entity may neither solicit nor accept gratuities, favors or anything of monetary value from contractors or parties to subcontracts. However, non-federal entities may set standards for situations in which the financial interest is not substantial, or the gift is an unsolicited item of nominal value. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees or agents of the non-federal entity.

Under 2 C.F.R. 200.318(c)(2), if the recipient or subrecipient (other than states) has a parent, affiliate, or subsidiary organization that is not a state, local, tribal, or territorial government, the non-federal entity must also maintain written standards of conduct covering organizational conflicts of interest. In this context, organizational conflict of interest means that because of a relationship with a parent company, affiliate or subsidiary organization, the non-federal entity is unable or appears to be unable to be impartial in conducting a procurement action involving a related organization. The non-federal entity must disclose in writing any potential conflicts of interest to FEMA or the pass-through entity in accordance with applicable FEMA policy.

c.   Supply Schedules and Purchasing Programs

Generally, a non-federal entity may seek to procure goods or services from a federal supply schedule, state supply schedule, or group purchasing agreement.

I.    General Services Administration Schedules

States, tribes, and local governments, and any instrumentality thereof (such as local education agencies or institutions of higher education) may procure goods and services from a General Services Administration (GSA) schedule. GSA offers multiple efficient and effective procurement programs for state, tribal and local governments, and instrumentalities thereof, to purchase products and services directly from pre-vetted contractors. The GSA Schedules (also referred to as the Multiple Award Schedules and the Federal Supply Schedules) are long-term government-wide contracts with commercial firms that provide access to millions of commercial products and services at volume discount pricing.

Information about GSA programs for states, tribes, and local governments, and instrumentalities thereof, can be found at https://www.gsa.gov/resources-for/programs-for-State-and-local-governments and https://www.gsa.gov/buying-selling/purchasing-programs/gsa-schedules/schedule-buyers/state-and-local-governments.

For tribes, local governments, and their instrumentalities that purchase off of a GSA schedule, this will satisfy the federal requirements for full and open competition provided that the recipient follows the GSA ordering procedures. However, tribes, local governments, and their instrumentalities will still need to follow the other rules under 2 C.F.R. §§ 200.317 – 200.327, such as solicitation of minority businesses, women’s business enterprises, small businesses, or labor surplus area firms (§ 200.321), domestic preferences (§ 200.322), contract cost and price (§ 200.324), and required contract provisions (§ 200.327 and Appendix II).

II.   Other Supply Schedules and Programs

For non-federal entities other than states, such as tribes, local governments, and nonprofits, that want to procure goods or services from a state supply schedule, cooperative purchasing program, or other similar program, in order for such procurements to be permissible under federal requirements, the following must be true:

• The procurement of the original contract or purchasing schedule and its use by the non-federal entity complies with state and local law, regulations, and written procurement procedures;
• The state or other entity that originally procured the original contract or purchasing schedule entered into the contract or schedule with the express purpose of making it available to the non-federal entity and other similar types of entities;
• The contract or purchasing schedule specifically allows for such use, and the work to be performed for the non-federal entity falls within the scope of work under the contract as to type, amount and geography;
• The procurement of the original contract or purchasing schedule complied with all the procurement standards applicable to a non-federal entity other than states under at 2 C.F.R. §§ 200.317 – 200.327; and
• With respect to the use of a purchasing schedule, the non-federal entity must follow ordering procedures that adhere to applicable state, tribal, and local laws and regulations and the minimum requirements of full and open competition under 2 C.F.R. Part 200.
• If a non-federal entity other than a state seeks to use a state supply schedule, cooperative purchasing program, or other similar type of arrangement, FEMA recommends the recipient discuss the procurement plans with its FEMA program analyst.

d.   Procurement Documentation

Per 2 C.F.R. § 200.318(i), non-federal entities other than states and territories are required to maintain and retain records sufficient to detail the history of procurement covering at least the rationale for the procurement method, selection of contract type, contractor selection or rejection, and the basis for the contract price. States and territories are encouraged to maintain and retain this information as well and are reminded that in order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g).

Examples of the types of documents that would cover this information include but are not limited to:

• Solicitation documentation, such as requests for quotes, invitations for bids, or requests for proposals;
• Responses to solicitations, such as quotes, bids, or proposals;
• Pre-solicitation independent cost estimates and post-solicitation cost/price analyses on file for review by federal personnel, if applicable;
• Contract documents and amendments, including required contract provisions; and
• Other documents required by federal regulations applicable at the time a grant is awarded to a recipient.
• PDAT Field Manual.

8.   Record Retention

a.   Record Retention Period

Financial records, supporting documents, statistical records, and all other non-Federal entity records pertinent to a Federal award generally must be maintained for at least three years from the date the final FFR is submitted. See 2 C.F.R. § 200.334. Further, if the recipient does not submit a final FFR and the award is administratively closed, FEMA uses the date of administrative closeout as the start of the general record retention period.

The record retention period may be longer than three years or have a different start date in certain cases. These include:

• Records for real property and equipment acquired with Federal funds must be retained for three years after final disposition of the property. See 2 C.F.R. § 200.334(c).
• If any litigation, claim, or audit is started before the expiration of the three-year period, the records must be retained until all litigation, claims, or audit findings involving the records have been resolved and final action taken. See 2 C.F.R. § 200.334(a).
• The record retention period will be extended if the non-federal entity is notified in writing of the extension by FEMA, the cognizant or oversight agency for audit, or the cognizant agency for indirect costs, or pass-through entity. See 2 C.F.R. § 200.334(b).
• Where FEMA requires recipients to report program income after the period of performance ends, the program income record retention period begins at the end of the recipient’s fiscal year in which program income is earned. See 2 C.F.R. § 200.334(e).
• For indirect cost rate computations and proposals, cost allocation plans, or any similar accounting computations of the rate at which a particular group of costs is chargeable (such as computer usage chargeback rates or composite fringe benefit rates), the start of the record retention period depends on whether the indirect cost rate documents were submitted for negotiation. If the indirect cost rate documents were submitted for negotiation, the record retention period begins from the date those documents were submitted for negotiation. If indirect cost rate documents were not submitted for negotiation, the record retention period begins at the end of the recipient’s fiscal year or other accounting period covered by that indirect cost rate. See 2 C.F.R. § 200.334(f).

b.   Types of Records to Retain

FEMA requires that non-federal entities maintain the following documentation for federally funded purchases:

• Specifications;
• Solicitations;
• Competitive quotes or proposals;
• Basis for selection decisions;
• Purchase orders;
• Contracts;
• Invoices; and
• Canceled checks.

Non-federal entities should keep detailed records of all transactions involving the grant. FEMA may at any time request copies of any relevant documentation and records, including purchasing documentation along with copies of canceled checks for verification. See, e.g., 2 C.F.R. §§ 200.318(i), 200.334, 200.337.

In order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g). Non-federal entities who fail to fully document all purchases may find their expenditures questioned and subsequently disallowed.

9.   Actions to Address Noncompliance

Non-federal entities receiving financial assistance funding from FEMA are required to comply with requirements in the terms and conditions of their awards or subawards, including the terms set forth in applicable federal statutes, regulations, funding notices, and policies. Throughout the award lifecycle or even after an award has been closed, FEMA or the pass-through entity may discover potential or actual noncompliance on the part of a recipient or subrecipient. This potential or actual noncompliance may be discovered through routine monitoring, audits, closeout or reporting from various sources.

In the case of any potential or actual noncompliance, FEMA may place special conditions on an award per 2 C.F.R. §§ 200.208 and 200.339, FEMA may place a hold on funds until the matter is corrected, or additional information is provided per 2 C.F.R. § 200.339, or it may do both. Similar remedies for noncompliance with certain federal civil rights laws are authorized pursuant to 44 C.F.R. Parts 7 and 19.

In the event the noncompliance is not able to be corrected by imposing additional conditions or the recipient or subrecipient refuses to correct the matter, FEMA might take other remedies allowed under 2 C.F.R. § 200.339. These remedies include actions to disallow costs, recover funds, wholly or partly suspend or terminate the award, initiate suspension and debarment proceedings, withhold further federal awards, or take other remedies that may be legally available. For further information on termination due to noncompliance, see the section on Termination Provisions in the funding notice.

FEMA may discover and take action on noncompliance even after an award has been closed. The closeout of an award does not affect FEMA right to disallow costs and recover funds as long the action to disallow costs takes place during the record retention period. See 2 C.F.R. §§ 200.334, 200.345(a). Closeout also does not affect the obligation of the non-federal entity to return any funds due as a result of later refunds, corrections or other transactions. 2 C.F.R. § 200.345(a)(2).

The types of funds FEMA might attempt to recover include, but are not limited to, improper payments, cost share reimbursements, program income, interest earned on advance payments, or equipment disposition amounts.

FEMA may seek to recover disallowed costs through a Notice of Potential Debt Letter, a Remedy Notification, or other letter. The document will describe the potential amount owed, the reason why FEMA is recovering the funds, the recipient’s appeal rights, how the amount can be paid, and the consequences for not appealing or paying the amount by the deadline.

If the recipient neither appeals nor pays the amount by the deadline, the amount owed will become final. Potential consequences if the debt is not paid in full or otherwise resolved by the deadline include the assessment of interest, administrative fees, and penalty charges; administratively offsetting the debt against other payable federal funds; and transferring the debt to the U.S. Department of the Treasury for collection.

FEMA notes the following common areas of noncompliance for FEMA grant programs:

• Insufficient documentation and lack of record retention;
• Failure to follow the procurement under grants requirements;
• Failure to submit closeout documents in a timely manner;
• Failure to follow EHP requirements; and
• ·Failure to comply with the POP deadline.

10. Audits

FEMA grant recipients are subject to audit oversight from multiple entities including the DHS OIG, the GAO, the pass-through entity, or independent auditing firms for single audits, and may cover activities and costs incurred under the award. Auditing agencies such as the DHS OIG, the GAO, and the pass-through entity (if applicable), and FEMA in its oversight capacity, must have access to records pertaining to the FEMA award. Recipients and subrecipients must retain award documents for at least three years from the date the final FFR is submitted, and even longer in many cases subject to the requirements of 2 C.F.R. § 200.334. In the case of administrative closeout, documents must be retained for at least three years from the date of closeout, or longer subject to the requirements of 2 C.F.R. § 200.334. If documents are retained longer than the required retention period, the DHS OIG, the GAO, and the pass-through entity, as well as FEMA in its oversight capacity, have the right to access these records as well. See 2 C.F.R. §§ 200.334, 200.337.

Additionally, non-federal entities must comply with the single audit requirements at 2 C.F.R. Part 200, Subpart F. Specifically, non-federal entities, other than for-profit subrecipients, that expend $750,000 or more in federal awards during their fiscal year must have a single or program-specific audit conducted for that year in accordance with Subpart F. 2 C.F.R. § 200.501. A single audit covers all federal funds expended during a fiscal year, not just FEMA funds. The cost of audit services may be allowable per 2 C.F.R. § 200.425, but non-federal entities must select auditors in accordance with 2 C.F.R. § 200.509, including following the proper procurement procedures. For additional information on single audit reporting requirements, see section F of this notice under the header “Single Audit Report” within the subsection “Additional Reporting Requirements” or other applicable document.

The objectives of single audits are to:

• Determine whether financial statements conform to generally accepted accounting principles (GAAP);
• Determine whether the schedule of expenditures of federal awards is presented fairly;
• Understand, assess and test the adequacy of internal controls for compliance with major programs; and
• Determine whether the entity complied with applicable laws, regulations and contracts or grants.

For single audits, the auditee is required to prepare financial statements reflecting its financial position, a schedule of federal award expenditures, and a summary of the status of prior audit findings and questioned costs. The auditee also is required to follow up and take appropriate corrective actions on new and previously issued but not yet addressed audit findings. The auditee must prepare a corrective action plan to address the new audit findings. 2 C.F.R. §§ 200.508, 200.510, 200.511.

Non-federal entities must have an audit conducted, either single or program-specific, of their financial statements and federal expenditures annually or biennially pursuant to 2 C.F.R. § 200.504. Non-federal entities must also follow the information submission requirements of 2 C.F.R. § 200.512, including submitting the audit information to the Federal Audit Clearinghouse within the earlier of 30 calendar days after receipt of the auditor’s report(s) or nine months after the end of the audit period. The audit information to be submitted include the data collection form described at 2 C.F.R. § 200.512(c) and Appendix X to 2 C.F.R. Part 200 as well as the reporting package described at 2 C.F.R. § 200.512(b).

The non-federal entity must retain one copy of the data collection form and one copy of the reporting package for three years from the date of submission to the Federal Audit Clearinghouse. 2 C.F.R. § 200.512; see also 2 C.F.R. § 200.517 (setting requirements for retention of documents by the auditor and access to audit records in the auditor’s possession).

FEMA, the DHS OIG, the GAO, and the pass-through entity (if applicable), as part of monitoring or as part of an audit, may review a non-federal entity’s compliance with the single audit requirements. In cases of continued inability or unwillingness to have an audit conducted in compliance with 2 C.F.R. Part 200, Subpart F, FEMA and the pass-through entity, if applicable, are required to take appropriate remedial action under 2 C.F.R. § 200.339 for noncompliance, pursuant to 2 C.F.R. § 200.505.

11. Payment Information

FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. To enroll in the DD/EFT, the recipient must complete SF-1199A, Direct Deposit Form.

FEMA utilizes the Payment and Reporting System (PARS) for financial reporting, invoicing and tracking payments. For additional information, refer to https://isource.fema.gov/sf269/execute/LogIn?sawContentMessage=true.

12. Whole Community Preparedness

Preparedness is a shared responsibility that calls for the involvement of everyone, not just the government, in preparedness efforts. By working together, everyone can help keep the nation safe from harm and help keep it resilient when struck by hazards, such as natural disasters, acts of terrorism, and pandemics.

Whole Community includes:

•  Individuals and families, including those with access and functional needs;
• Businesses;
• Faith-based and community organizations;
• Nonprofit groups;
• Schools and academia;
• Media outlets; and
• All levels of government, including federal, state, local, tribal and territorial partners.

The phrase “Whole Community” often appears in preparedness materials, as it is one of the guiding principles. It means:

1. Involving people in the development of national preparedness documents; and
2. Ensuring their roles and responsibilities are reflected in the content of the materials.

13. Appendices

• Appendix A: FEMA Expectations for Standards Alignment and Assessment Review
• Appendix B: Detail on EMBAG Performance Measurement           
• Appendix C: Detail of Allowable and Not Allowable Direct Costs Under EMBAG
• Appendix D: Project Narrative Template
• Appendix E: Evaluation and Scoring Criteria
• Appendix F: Budget Detail Worksheet Template
• Appendix G: Post-Award Requirements

Appendix A: FEMA Expectations for Standards Alignment and Assessment Review

The FY 2022 EMBAG cooperative agreement supports the continuing efforts to increase alignment between national level standards and assessment processes for emergency management with FEMA doctrine and policy. These efforts ensure that emergency management programs and emergency managers receive consistent tools to help them respond to and recover from disasters. Requirements for assessment review and alignment are described in full below.

Assessment Process Requirements:

Any assessment processes supported by the EMBAG must include a review of the following 16 areas within an emergency management program as part of their assessment and accreditation process:

1. Emergency Management Program Administration, including Authorities, Oversight and Strategic Planning;
2. Development and use of a Threat and Hazard Identification and Risk Assessment (THIRA)/State Preparedness Review (SPR);
3. Continuity of Government and Continuity of Operations;
4. Incident Management, to include National Incident Management System (NIMS) and National Qualification System (NQS) Implementation;
5. Emergency Management Finance, including Disaster Cost Recovery;
6. Operations and Procedures;
7. Consequence Analysis;
8. Emergency Planning, including Mutual Aid, Communications and Warning;
9. Evacuation and Shelter in Place;
10. Mass Care and Sheltering;
11. Resource Management and Logistics;
12. Recovery;
13. Disaster Housing;
14. Hazard Mitigation;
15. Training and Exercises, including Alignment with the Homeland Security Exercise and Evaluation Program; and
16. Public Affairs.

National Standards Requirements:

Any standards supported by the EMBAG must align to the nine FEMA guidance resources outlined below. If there is a lack of doctrinal alignment, a remediation plan to increase alignment must be provided as part of the application and updated in the final workplan for approval by FEMA. This remediation plan may span a maximum of four years and should, at minimum, address improving alignment to National Preparedness System (NPS), National Continuity Policy, NIMS, and NQS documents (as noted below) within the period of performance. The remediation plan will be taken into consideration during application scoring and evaluation. Progress on the remediation plan must be provided as part of PPR reporting and performance reporting upon close out. Two FY 2022 EMBAG performance metrics measure this alignment and will be used to evaluate grant activities.

• National Preparedness System (NPS)

The NPS serves as the instrument the nation employs 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 Goal defines resilience as the ability to adapt to changing conditions and withstand and rapidly recover from disruption due to emergencies.

Information on the National Preparedness System can be found at https://www.fema.gov/national-preparedness-system. Information on the Goal can be found at https://www.fema.gov/national-preparedness-goal.

• National Continuity Policy

Presidential Policy Directive (PPD) 40, National Continuity Policy, and the 2018 Continuity Guidance Circular provide comprehensive national policy on continuity programs, capabilities, and operations. PPD-40 and the Circular provides guidance and tools to assist state, local, tribal, and territorial, local, and tribal governments; non-governmental and private sector critical infrastructure owners and operators in maintaining essential functions during disasters and emergencies. Information on National Continuity Programs can be found at https://www.fema.gov/about/offices/continuity and the 2018 Continuity Guidance Circular is located at https://www.fema.gov/sites/default/files/2020-07/Continuity-Guidance-Circular_031218.pdf.

NIMS provides a nationwide approach to enable stakeholders to work together to manage all threats and hazards, regardless of the incident’s cause or size. FEMA has developed the NQS, which provides a foundational guideline on the typing of personnel resources within the NIMS framework, in addition to supporting tools. Information on NIMS and NQS can be found at https://www.fema.gov/emergency-managers/nims and https://www.fema.gov/emergency-managers/nims/components#nqs.

• FEMA Public Assistance Program and Policy Guide (PAPPG), v4 (June 2020)

The FEMA Policy 104-009-2: Public Assistance Program and Policy Guide (PAPPG) combines all Public Assistance (PA) policy into a single volume and provides an overview of the PA Program implementation process with links to other publications and documents that provide additional process details. Information on aspects of disaster cost recovery referenced in this notice of funding opportunity can be found in the PAPPG, which is located at https://www.fema.gov/assistance/public/policy-guidance-fact-sheets.

• National Disaster Recovery Framework (NDRF), Second Edition

The NDRF establishes a common platform and forum for how the whole community builds, sustains, and coordinates delivery of recovery capabilities through the effective coordination of partners and resources to ensure the continuity of services and support to meet the needs of affected community members. Information on the NDRF can be found at https://www.fema.gov/national-disaster-recovery-framework.

• FEMA Pre-Disaster Recovery Planning Guides

Information for state, local, tribal and territorial governments on creating an organizational framework for comprehensive recovery efforts can be found in the FEMA Pre-Disaster Recovery Planning Guides, located at https://www.fema.gov/sites/default/files/2020-07/pre-disaster-recovery-planning-guide-for-state-governments.pdf for state and territorial governments, https://www.fema.gov/sites/default/files/2020-07/pre-disaster-recovery-planning-guide-for-tribal-government.pdf for tribal governments, and Pre-Disaster Recovery Planning Guide for Local Governments (fema.gov) for local governments.

• Comprehensive Preparedness Guide (CPG) 201: Threat and Hazard Identification and Risk Assessment (THIRA) and Stakeholder Preparedness Review (SPR) Guide, Third Edition

CPG 201, Third Edition provides guidance for conducting the three-step process for a Threat and Hazard Identification and Risk Assessment (THIRA) and the three-step process for a Stakeholder Preparedness Review (SPR), formerly the State Preparedness Report. CPG 201, Third Edition covers both the THIRA and SPR because they are interconnected processes that, together, communities use to measure capabilities and evaluate their preparedness. All types of communities can complete the THIRA/SPR to better understand the risks they face and make important decisions on how to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risks.

For the purposes of SHSP and UASI, FEMA requires states, territories and Urban Areas to complete a THIRA and Stakeholder Preparedness Review (SPR) (formerly known as the State Preparedness Report) and prioritize grant funding to support closing capability gaps or sustaining capabilities identified in this process. Information on CPG 201, Third Edition can be found at https://www.fema.gov/media-library/assets/documents/165308.

• National Response Framework (NRF), Fourth Edition

The National Response Framework (NRF), Fourth Edition, provides foundational emergency management doctrine for how the nation responds to all types of incidents. The NRF is built on scalable, flexible, and adaptable concepts identified in the National Incident Management System (NIMS) to align key roles and responsibilities across the nation. The structures, roles and responsibilities described in this Framework can be partially or fully implemented in the context of a threat or hazard, in anticipation of a significant event, or in response to an incident. Implementing the structures and procedures described herein allows for a scaled response, delivery of specific resources and capabilities, and a level of coordination appropriate to each incident.

• Homeland Security Exercise and Evaluation Program (HSEEP)

Exercises are a key component of national preparedness, providing the whole community with the opportunity to shape planning, assess and validate capabilities, and address areas for improvement. HSEEP provides a set of guiding principles for exercise and evaluation programs, as well as a common approach to exercise program management, design and development, conduct, evaluation and improvement planning. Through the use of HSEEP, the whole community can develop, execute, and evaluate exercises that address the preparedness priorities. These priorities are informed by risk and capability assessments, findings, corrective actions from previous events, and external requirements.  These priorities guide the overall direction of an exercise program and the design and development of individual exercises.

Learn more about HSEEP:  https://www.fema.gov/emergency-managers/national-preparedness/exercises/hseep

Appendix B: Detail on EMBAG Performance Measurement

The performance of the EMBAG is measured against the intended outcomes identified in the Objectives section of this notice. All projects and activities under the two objectives listed in the Objectives section contribute to these outcomes. Projects contribute directly to targeted outcomes through supporting training and assessments for emergency management programs and emergency managers that can help them obtain accreditation or certification according to the national-level standards for emergency management. Projects also contribute systemically to targeted outcomes, through supporting the following for national-level standards: governance, revising standards, and developing training and planning needed for conducting assessments. Short-term outcomes targeted by the EMBAG consist of achieving compliance with national level standards for critical functions necessary to prepare for and manage disasters and to manage emergency management programs. Long-term outcomes targeted by the EMBAG consist of increasing preparedness to manage disasters and increasing capability to manage emergency management programs during disasters.

The table below displays FY 2022 EMBAG performance metrics. The performance of the EMBAG in achieving its targeted short-term outcomes is measured through metrics 2 and 3 for program accreditation and 6 and 7 for emergency manager certification. EMBAG performance related to outputs supported are measured by metrics 1 and 4 (program accreditation) and metrics 5 and 8 (emergency manager certification). FEMA will use data collected from EMBAG performance measures to study improvements in national capability according to other data sources. The remediation plan should accompany metrics 4 and 8 when submitting scores for closeout reporting, and further details on remediation plan are outlined in Appendix G.

The following is an example template for how to report FY 2022 EMBAG metric scores; documentation requirements are outlined in Appendix G:

Appendix C: Detail of Allowable and Not Allowable Direct Costs Under EMBAG

Appendix D: Project Narrative Template

FEMA will not review or consider for funding any application that does not conform to the following criteria. Applicants must format the application according to the following guidance.

1. Required Format

   • Document Type: The Project Narrative must be submitted in Microsoft Word or Adobe Portable Document Format (PDF).
   • Spacing is Single or Double.
   • Typeface:
     • Narrative: Times New Roman, Arial, Calibri, or Cambria; 12 pt. font size.
     • Citations (in-text, endnote/footnote): Times New Roman, Arial, Calibri, or Cambria 10, 11, or 12 pt. font sizes
     • Spreadsheet or Table Data Figures, Notes, and Titles: Times New Roman, Arial, Calibri, or Cambria 10, 11, or 12 pt. font sizes
     • Graphics (such as pictures, models, charts, and graphs): Times New Roman, Arial, Calibri, or Cambria 10, 11, or 12 pt. font sizes
   • Margins are 1 inch.
   • Indentation/Tabs are at the Applicant’s discretion.
   • Page Orientation is Portrait. However, Landscape may be used for spreadsheets and tables.
   • Maximum number of pages, not including cover, background, budget detail worksheet, and indirect cost rate agreement, is 12 (see the Project Narrative Template below for the maximum number of pages for each section).
   • Graphics (e.g., pictures, models, charts and graphs) will be accepted but are not required.
   • Primary font color will be black. However, other colors such as red and blue may be used for emphasis as appropriate.
   • Bold or italicized font may be used but is not required.
   • Spreadsheet or table format is acceptable where appropriate (e.g., timelines and matrices) but not mandatory.

2. Required Application Contents

Applicants must present the contents of the application using the following arrangement. See Appendix E: Evaluation and Scoring Criteria for how applications will be scored by the application review panel.

Appendix E: Evaluation and Scoring Criteria

The review panel will score applications based on specific criteria aligned to the Project Narrative requirement questions. The table below details the specific criteria aligned to each of the Project Narrative questions, and the maximum number of points an application can receive for each criterion. Each criterion row will be scored based on complexity, priority to EMBAG, and summed scores for questions.

Appendix F: Budget Detail Worksheet Template

Purpose: The Budget Detail Worksheet may be used as a guide to assist applicants in the preparation of the budget and budget narrative. Applicants may submit the budget and budget narrative using this form or in the format of their choosing (plain sheets, independently created forms, or a variation of this form). However, all required information (including the budget narrative) must be provided. Applicants must provide all the requested information identified in the general instructions, as well as the instructions for each section, and categorize it by activity and allowable cost.

General Instructions

Populate the tables to identify the cost to implement the proposed project.

• The applicant should list and describe all activities and associated costs required to implement the EMBAG Object and Project(s) that they will implement.
• The applicant should link each cost to a funding notice objective and project as defined in Section A: Program Description.
• Funds must be aligned to allowable cost categories (e.g., personnel, travel, supplies) within each of the funding notice objectives addressed in the Project Plan.
• A justification of costs for each section, including the identification of any cost savings measures, should be addressed in the Budget section of the Project Narrative (the budget narrative).

Personnel

List each position by title and name of employee, if available. Show the annual salary rate and the percentage of time to be devoted to the project. Compensation paid for employees engaged in grant activities must be consistent with that paid for similar work within the applicant organization.

Fringe Benefits

Fringe benefits should be based on actual known costs or an established formula. Fringe benefits are for the personnel listed in budget category (A) and only for the percentage of time devoted to the project.

Travel

Itemize travel expenses of project personnel by purpose (e.g., staff to training, field interviews, advisory group meeting, etc.). Show the basis of computation (e.g., six people to 3- day training at $X airfare, $X lodging, $X subsistence). In training projects, travel and meals for trainees should be listed separately. Show the number of trainees and unit costs involved. Identify the location of travel, if known. Indicate source of any Travel Policies applied.

Supplies

List items by type (office supplies, postage, training materials, copying paper, and other expendable items such as books, hand held tape recorders) and show the basis for computation. (Note: Organization’s own capitalization policy and threshold amount for classification of supplies may be used). Generally, supplies include any materials that are expendable or consumed during the course of the project.

Consultants/Contracts

Consultant Fees: For each consultant enter the name, if known, service to be provided, and computed estimated cost of the service. Note: Contract and consulting costs are not allowed for providing subject-matter expertise on the FY 2022 EMBAG Objectives, and no pre-award grant writing services are allowed, since pre-award costs are not allowed. Contract and consulting costs used for management of the grant award are allowed.

Budget Narrative: Provide a narrative budget justification for each of the budget items identified.

Consultant Expenses: List all expenses to be paid from the grant to the individual consultant in addition to their fees (i.e., travel, meals, lodging, etc.)

Budget Narrative: Provide a narrative budget justification for each of the budget items identified.

Contracts: Provide a description of the product or services to be procured by contract and an estimate of the cost. When using federal funds to procure property or services, applicants must follow the applicable requirements set forth in 2 C.F.R. §§ 200.317 through 200.326.

Budget Narrative: Provide a narrative budget justification for each of the budget items identified.

Other Costs. List items by major type and the basis of the computation.

Budget Narrative: Provide a narrative budget justification for each of the budget items identified.

Important Note: If applicable to the project, construction costs should be included in this section of the Budget Detail Worksheet.

Indirect Costs

Indirect costs are allowed only if the applicant has a federally approved indirect cost rate. A copy of the rate approval, (a fully executed, negotiated agreement), must be attached. If the applicant does not have an approved rate, one can be requested by contacting the applicant’s cognizant Federal agency, which will review all documentation and approve a rate for the applicant organization, or if the applicant’s accounting system permits, costs may be allocated in the direct costs categories.

Budget Summary. When applicant has completed the budget worksheet, transfer the totals for each category to the spaces below. Compute the total direct costs and the total project costs. Indicate the amount of Federal funds requested and the amount of non-Federal funds that will support the project.

Appendix G: Post-Award Requirements

This appendix describes post-award conditions that applicants, as described in Appendix D: Project Narrative Template and Appendix E: Evaluation and Scoring Criteria, must address in the Project Plan section of their Project Narrative and that recipients must comply with in order to receive funding. These post-award conditions are described below.

I. Post-Award Programmatic Reporting and Other Communication Requirements

This section describes requirements for recipient communication with FEMA and all programmatic post-award reporting. These requirements are separated below into a single table, with the columns noting the EMBAG objective applicable to each reporting requirement. The type of programmatic reporting for each requirement is noted under in the Report or Communication Type column. Raw data used for reports must be submitted to FEMA no later than 90 calendar days after the end of the period of performance. FEMA reserves the right to collect additional information to validate recipient reporting.

II.  Post-Award Workplan Requirements

This section describes requirements that recipients must address in their final workplan that they submit to FEMA after accepting the award. Requirements are listed by EMBAG Objective and Project. Additional details are broken out into tasks. Workplans must address all details described in the two (2) tables below pertinent to projects selected.

Emergency Management Program Accreditation

For voluntary standards and accreditation processes for emergency management programs, the applicant will be responsible for the following EMBAG Objective requirements and its four projects.

Objective 1: Supporting Emergency Management Program Accreditation

Objective 1, Project 1: Maintain and revise national-level standards used to accredit emergency management programs. Standards must be voluntary, consensus-based, and accredited through a national-level accreditation body for standards and include a peer review assessment process using emergency managers from the emergency management community.

Requirements for Activities

• Efforts must include ongoing update of national-level standards used to accredit emergency management programs, including:
  • Plans to increase the alignment of the assessment and national level standards with the FEMA guidance outlined in Appendix A: FEMA Expectations for Standards Alignment and Assessment Review.
  • Conducting informational sessions and training on the assessment process and the emergency management standards with state, local, tribal and territorial emergency managers (SLTTs).
• Efforts must include developing, maintaining, updating, and improving systems, policy and processes necessary to complete the objectives of the EMBAG, including:
  • Systems and tools for assessments and providing training on the accreditation process and standards to SLTTS.
  • Developing additional standards and peer-assessment and accreditation processes as needed.
  • Providing FEMA an annual trend analyses report, including challenges for the assessments.
• Efforts should include operationalizing and/or validating national-level standards used to accredit emergency management programs.

Objective 1, Project 2: Maintain a peer review process to assess emergency management program adherence to the standards.

Requirements for Activities

• Efforts must include outreach and selection of a peer review team that consists of emergency management officials from other (peer) jurisdiction emergency management programs.
• Efforts must also include training assessors for activities supported by the EMBAG.

Objective 1, Project 3: Conduct assessments on a volunteer basis for jurisdictions.

Requirements for Activities

• Efforts must include assessments used to accredit jurisdiction emergency management programs using the national-level standards, including:
  • Executing a peer review process for emergency management program accreditation.
  • Securing agreements for and completing at least 10 jurisdictions’ assessments against standards accredited by a national-level accreditation body for standards.
• Efforts must include assessments of jurisdiction emergency management programs using other capability assessment tools, including:
  • During jurisdiction assessments, incorporating a review of the THIRA for jurisdictions required to submit a THIRA and an SPR and alignment to FEMA guidance as outlined in Appendix A: FEMA Expectations for Standards Alignment and Assessment Review.
  • Conducting four separate plan and process review tasks for at least nine jurisdictions in tandem with each jurisdiction assessment conducted as part of this program and provide results to FEMA as described under the as described under the Post-Award Programmatic Reporting and Other Communication Requirements header of this appendix. Additional details will be provided if selected for award. All tasks review jurisdiction plan and process alignment to FEMA doctrine, which consists of reviewing the alignment of jurisdictions’:
    • Continuity Plans to National Continuity Policy;
    • Resource management systems to NIMS/NQS;
    •  EOPs and Recovery Plans or their equivalents to PAPPG and NDRF guidance; and
    • THIRA submission to CPG 201.
  • Conducting six assessments using the Continuity Assessment Tool (CAT) as outlined in the Continuity Guidance Circular and providing results to FEMA as described in the Post-Award Programmatic Reporting and Other Communication Requirements. Additional details will be provided if selected for award.

Objective 1, Project 4: Engage with tribal and territorial emergency management jurisdictions.

Requirements for Activities

• Efforts must include capacity building, outreach on accreditation and conducting baseline assessments with tribal and territorial emergency management programs.
• Efforts must include inclusion of tribal and territorial representatives on the panel review and other input collected for the development or review process of standards.
• Efforts must include an analysis of any factors impacting tribal and territorial emergency management program participation in activities supported by the EMBAG.

Emergency Manager Certification

For voluntary standards and certification processes for emergency management professionals, the applicant will be responsible for the following EMBAG Objective requirements (1) and its three (3) Projects.

Objective 2: Supporting Emergency Manager Certification

Objective 2, Project 5: Maintain and revise national-level standards and criteria used to certify emergency managers’ competence to manage emergency management programs. Standards must be voluntary, consensus-based, and involve input from emergency managers from the emergency management community.

Requirements for Activities

• Efforts must include validating and accrediting standards and criteria through a national-level accreditation body for standards, including:
  • Collecting input from the emergency management community, including subject-matter experts and practitioners from multiple emergency management disciplines regarding multiple hazard and jurisdiction types.
  • Reviewing and synthesizing input and provide the results of this review to FEMA as described under the as described under the Post-Award Programmatic Reporting and Other Communication Requirements header of this appendix. FEMA expects this review to accurately reflect the most common duties of emergency managers, including those necessary to manage jurisdiction emergency management programs.
  • Supporting accreditation of standards and criteria for emergency managers certification through a national-level accreditation body for standards.
• Efforts must include developing, maintaining, updating, and improving systems, policy and processes necessary to complete the objectives of the EMBAG, including:
  • Maintaining systems, tools, and processes for:
    • Certification candidate selection.
    • Maintaining records for certifications supported by the FY 2022 EMBAG.
    • Plans to increase the alignment of the assessment and national level standards with the FEMA guidance outlined in  Appendix A: FEMA Expectations for Standards Alignment and Assessment Review.

Objective 2, Project 6: Conduct assessments on a volunteer basis for state, local, tribal and territorial emergency managers against these standards and criteria.

Requirements for Activities

• Efforts must include assessments used to certify emergency managers using the national-level standards and criteria, including.
  • At least 25 state, local, tribal and territorial emergency manager certifications.
  • Collecting data on how the employers of these emergency managers benefit from the certification of their employees through the EMBAG.

Objective 2, Project 7: Engage with tribal and territorial emergency management professionals.

Requirements for Activities

• Efforts must include capacity building, outreach to increase awareness of and engagement in certification, and supporting tribal and territorial emergency manager certifications.
• Efforts must include tribal and territorial representatives on panel review and other input collected for the development or review process of standards.
• Efforts must include an analysis of any factors impacting tribal and territorial emergency manager participation in activities supported by the EMBAG.