HomeMy WebLinkAbout55A - RESO - EMPGREQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MARCH 3, 2015
TITLE:
APPROPRIATION ADJUSTMENT,
RESOLUTION AND AGREEMENT
ACCEPTING FY 2014 -15
EMERGENCY MANAGEMENT
PERFORMANCE GRANT (EMPG)
(STRATEGIC PLAN NO. 1, 2E, 2F, 6C)
�Ia A
/'CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on 1" Reading
❑ Ordinance on 2ntl Reading
❑ Implementing Resolution
❑ Set Public Hearing For_
CONTINUED TO
lyl�� @IIL�iI.i�7
1. Approve an appropriation adjustment recognizing $51,017 in Emergency Management
Performance Grant (EMPG) funds in revenue account (no. 12814002- 52001), and
appropriating same to expenditure account (no. 12814414 - various).
2. Adopt a resolution authorizing the City Manager to act on behalf of the City of Santa Ana
for the purpose of obtaining federal funds, related to homeland security, emergency
management and /or disaster recovery, provided by the US Department of Homeland
Security and sub - granted through the State of California.
3. Authorize the City Manager and the Clerk of the Council to execute a one -year agreement
with the County of Orange, commencing July 1, 2014, for the EMPG Grant in an amount
not to exceed $51,017, subject to non - substantive changes approved by the City Manager
and City Attorney.
DISCUSSION
In October 2014, the Police Department applied for the Emergency Management Performance
Grant (EMPG), which is funded by the US Department of Homeland Security and passed
through the State of California Office of Emergency Services. The EMPG grant is designed to
assist state and local emergency management and disaster preparedness programs with
employment and development of emergency management staff, development of emergency
plans and procedures, and preparing cities for disaster response. The EMPG grant is distributed
by population to counties and cities that maintain emergency management staff and meet
training, exercising and reporting requirements. The Police Department has received an award
from the EMPG grant in the amount of $51,017 for FY 2014 -15. These funds will reimburse the
City for 50% of the salary and benefits of the Emergency Operations Coordinator position.
55A -1
EMPG Grant
March 3, 2015
Page 2
STRATEGIC PLAN ALIGNMENT
Approval of these items assists the City in meeting Goal #1 Community Safety, Objective #2
(Broaden communications, information sharing and community awareness of public safety
activities), Strategy E (Update the City's Emergency Operations Center (EOC) emergency
preparedness plan to include a community evacuation strategy to respond to natural disasters) and
Strategy F (Partner with emergency assistance and disaster relief organizations to promote
community awareness of emergency preparedness (e.g. citywide community preparedness day)),
and Objective #6 (Enhance Public Safety integration, communications and community outreach),
Strategy C (Continue to develop and implement joint command level training in collaboration with
the Police Department's Emergency Operations Coordinator).
FISCAL IMPACT
The appropriation adjustment will recognize $51,017 in EMPG Grant funds in revenue account
(no. 12814002 - 52001), and appropriate same to expenditure account (no. 12814414 - various).
Police Department funding of the Emergency Operations Coordinator position fulfills the
requirement for matching funds.
Carlos Rojas
Chief of Police
Santa Ana Police Department
Attachments:
Resolution
Agreement with County of Orange
APPROVED AS TO FUNDS AND ACCOUNT:
Francisco Gutierrez,
Executive Director
Finance and Management Services Agency
55A -2
LR :313115
RESOLUTION NO.2015 -XXX
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA AUTHORIZING THE CITY MANAGER TO
OBTAIN 2014 EMERGENCY MANAGEMENT
PERFORMANCE GRANT FUNDS THROUGH THE
COUNTY OF ORANGE
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS
FOLLOWS:
Section 1. The City Council of the City of Santa Ana hereby finds, determines
and declares as follows:
A. The State of California Office of Emergency Services is responsible for
implementing the United States Department of Homeland Security's
Emergency Management Performance Grant Program (EMPG). The
funds cover the salary costs for personnel involved in emergency
management activities as well as the cost of miscellaneous equipment
identified on the DHS approved equipment list.
B. The County of Orange is a subgrantee of the 2014 EMPG funds and will
provide funds to local governments for implementation of countywide
emergency management capabilities.
C. The City of Santa Ana is one of the subrecipients of the EMPG funds and
has been allocated $51,017 of the County of Orange's total EMPG fund.
Section 2. The City Council of the City of Santa Ana hereby authorizes the
City Manager, on terms acceptable to the City Attorney, to execute a sub - recipient
transfer agreement with the County of Orange and/or Orange County Sheriffs
Department in an amount not to exceed $51,017.
Section 3, The City Council of the City of Santa Ana hereby authorizes and
directs the City Manager or his designee, on terms acceptable to the City Attorney, to
prepare reimbursement agreements for equipment, services, or training with the County
of Orange pursuant to the guidelines set for in the EMPG program and EMPG Articles,
Assurances, Certifications, Terms and Conditions.
Resolution No. 2015 -XXX
55A -3 Page 1 of 2
LR 3/3/15
Section 4. The City Council of the City of Santa Ana hereby approves an
Appropriation Adjustment recognizing the FY 2014 Emergency Management
Performance Grant in the amount of $51,017 and appropriates same in the FY 2014
Emergency Management Performance Grant expenditure accounts.
Section 5. This Resolution shall take effect immediately upon its adoption by
the City Council and the Clerk of the Council shall attest to and certify the vote adopting
this Resolution.
ADOPTED this _ day of 2015.
Miguel A. Pulido
Mayor
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By Laura A. Rossini
Senior Assistant City Attorney
AYES:
NOES:
ABSTAIN:
NOT PRESENT:
Councilmembers
Councilmembers
Councilmembers
Councilmembers
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached
Resolution No. 2015 -XXX to be the original resolution adopted by the City Council of the
City of Santa Ana on
Date:
Clerk of the Council
City of Santa Ana
55A -4
Resolution No. 2015 -XXX
Page 2 of 2
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Attachment B - Form of Transfer Agreement Page 1 of 4
AGREEMENT TO TRANSFER FUNDS
FOR 2014 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM
THIS AGREEMENT is entered into this day of R(AYCh 20 15, which date is
enumerated for purposes of reference only, by and between the COUNTY OF ORANGE, a political
subdivision of the State of California, hereinafter referred to as "COUNTY," and
a municipal corporation, hereinafter referred to as
"SUBRECIPIENT."
WHEREAS, COUNTY, acting through its Sheriff - Coroner Department, hereinafter referred to
as SHERIFF, in its capacity as the lead agency for the Operational Area, has applied for, received and
accepted the Emergency Management Performance Grant (hereinafter referred to as "the grant') from
the California Office of Emergency Services ( "CalOE5 ").
WHEREAS, the purpose of the grant is to support comprehensive emergency management at
the state, tribal and local levels and to encourage the improvement of prevention, protection, mitigation,
response and recovery capabilities for all hazards, as set forth in Attachment A hereto (FY2014
Emergency Management Performance Grants [EMPG] Program Funding Opportunity Announcement
[FOA]), which is attached hereto and incorporated herein by reference.
NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS;
I, COUNTY shall transfer to SUBREC,IPIENT grant fiords, in arrears, as necessary to
reimburse SUBRECIPIENT for reasonable and permissible expenditures for the grant purposes. In
order to obtain grant funds, SUBRECIPIENT shall comply with the instructions and submit to SHERIFF
all required information and documentation, as set forth in Attachment B (EMPG City Financial
Management Forms Workbook), which is attached hereto and incorporated herein by reference.
2. Throughout their useful life, grant property and equipment shall be used by
SU13RECIPIENT only for grant purposes in accordance with Attachment A hereto.
3. SUBRECIPIENT shall exercise due care to preserve and safeguard grant property and
equipment from damage or destruction, and shall provide regular maintenance and such repairs for grant
CODA: 97,042
Emergency Management Pertbimanee Ghent
Depamnent of Homeland Seaudty Page 1 o'f 4
55A -5
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Attachment B - Form of Transfer Agreement
Page 2 of 4
property and equipment as are necessary, in order to keep said grant property and equipment
continually in good working order.
4. If grant property or equipment becomes obsolete, SUBRECIPIENT shall dispose of it
only in accordance with the instructions of COUNTY or the agency from which COUNTY received the
grant funds.
5. SUBRECIPIENT shall submit to the COUNTY grant program reporting documents and
information in accordance with requirements set out in the Attachment C (Emergency Management
Performance Grant Program: California Supplement to the Federal Program Funding Opportunity
Announcement; or, The State Guidance), which is attached hereto and incorporated herein by reference.
6. By executing this Agreement, SUBRECIPIENT agrees to comply with and be Lilly
bound by this Agreement and all applicable provisions of Attachments A, B, C, and D (FY14
Emergency Management Performance Grant Agreement Articles, Assurances, Certifications, Terms,
and Conditions) hereto. SUBRECIPIENT shall notify COUNTY immediately upon discovery that it has
not abided or no longer will abide by any applicable provision of this Agreement or Attachments A, B,
C, or D hereto.
7. SUBRECIPIENT agrees to indemnify, defend and save harmless COUNTY and the
agency from which COUNTY received grant funds, and their elected and appointed officials, officers,
agents and employees from any and all claims and losses accruing or resulting to any and all contractors,
subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work,
materials or supplies in connection with SUBRECIPIENT's performance of this Agreement,
including Attachments A, B, C, and D hereto, and from any and all claims and losses accruing or
resulting to any person, firm, or corporation who may be injured or damaged by SUBRECIPIENT in the
performance of this Agreement, including Attachments A, B, C, and D hereto.
8. No alteration or variation of the terms of this Agreement shall be valid umiless made in
writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or
agreement not incorporated herein shall be binding on any of the parties hereto.
9. S'UBRECIPIENT may not assign this Agreement in whole or in part without the express
written consent of COUNTY.
CFDA; 97.042
Emorgency Management Performance Grant
Department of nomeland Secudly
Page 2 of 4
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Attachment B - Form of Transfer Agreement
Page 3 of 4
10. SUBRECIPIENT shall provide to COUNTY all records and information requested by
COUNTY for inclusion in quarterly reports and such other reports or records as COUNTY may be
Irequired to provide to the agency from which COUNTY received grant fiends or other persons or
agencies.
11. For a period of three years after the final Federal Financial Report hereunder or until all
claims related to this Agreement are finally settled, whichever is later, SUBRECIPIENT shall preserve
and maintain all documents, papers and records relevant to the work performed or property or equipment
acquired in accordance with this Agreement, including Attachments A, B, C, and D hereto. For the
same time period, SUBRECIPIENT shall make said documents, papers and records available to
COUNTY and the agency from which COUNTY received the grant funds or their duly authorized
representative(s), for examination, copying, or mechanical reproduction on or off the premises of
SUBRECIPIENT, upon request, during usual working hours.
12. SUBRECIPIENT and COUNTY shall be subject to examination and audit by the State I
Auditor General with respect to this Agreement for a period of three years after the final Federal
Financial Report hereunder.
13. COUNTY may terminate this Agreement and be relieved of the payment of any
consideration to SUBRECIPIENT if a) SUBRECIPIENT fails to perform any of the covenants
contained in this Agreement, including the applicable terms of Attachments A, B, C, and D hereto, at the
time and in the manner herein provided, or b) COUNTY loses funding under the grant. In the event of
termination, COUNTY may proceed with the work in any marmer deemed proper by COUNTY.
14. SUBRECIPIENT and its agents and employees shall act in an independent capacity in
the performance of this Agreement, including Attachments A, B, C, and D hereto, and shall not be
considered officers, agents or employees of COUNTY or SHERIFF or of the agency from which
COUNTY received grant funds.
15. By signing this Agreement, SUBRECEIPIENT understands and agrees that:
a. Failure to follow grant guidance, including those detailed below, will result in
ineligibility for any reimbursement tinder the FYI EMPG:
CFDA: 97.042
Emergoncy ManagomonCPerCormanaa Oiaut
Depariment oP aomefand security Page 3 of d
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Attachment B - Form of Transfer Agreement
Page 4 of 4
b. A SUBRECIPIENT representative must attend half of the Orange County Emergency
Managers Organization meetings held from July 1, 2014 through June 30, 2015;
c. SUBRECI'PIENT must maintain National Incident Management System (NIMS)
compliance;
d. For any personnel whose salary is charged to the grant, that specific individual must
meet the training and exercise requirements set forth in the grant guidance; and
e. Only those expenditures specifically detailed in the Financial Management Forms
Workbook are approved for funding; any changes must be pre - approved by the
California Office of Emergency Services.
IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange,
State of California.
DATED: 20— COUNTY OF ORANGE, a political
subdivision of the State of California
I DATED:
By
Sheriff-Coroner
"COUNTY"
APPROVED AS TO FORIVI:
COUNTY COUNSEL
By
Nicole A. Sims, Deputy
DATER: I- — 42OZ
,20_ SUBRECIP.TENT:
By_.....
ATTEST:
�.014XJt_� r�� • 3"��
CFDA: 97.042
Emergency Management Pcrfnemane Qrmu
Department of Homeland Security Pate 4 of 4
55A -8
- ,-,- CrtTC-1crk ..m..—
DATED:_ 20
EXHIBIT "A"
55A -9
Department of Homeland Security
Funding Opportunity Announcement
FY 2014 Emergency Management Performance Grant
Overview Information
Issued By
U.S. Department of Homeland Security, Federal Emergency Management Agency,
Grant Programs Directorate
Catalog of Federal Domestic Assistance (CFDA) Number
97.042
CFDA. Title
Emergency Management Performance Grants (EMPG) Program
Autborizing Authority for Program
Section 662 of the Post - Katrina Emergency Management Reform Act of 2006
(PKEMRA), as amended, (Pub. L. No. 109 -295) (6 U.S.C. § 762); the Robert T
Stafford Disaster Relief and Emergency Assistance Act, as amended (Pub. L. No. 93-
288) (42 U.S.C. §§ 5121 et seq.); the Earthquake Hazards Reduction Act of 1977, as
amended (Pub, L. No. 95 -124) (42 U.S.C. §§ 7701 et seq); and the National Flood
Insurance Act of 1968, as amended (Pub, L. No. 90 -448) (42 U.S.C. §§ 4001 et seq.).
Appropriation Authority for Program
The Department of Homeland Security Appropriations Act, 2014, (Pub. L. No, 113-
76).
FO9A Number
Grant Program Title
FOA Number
Emergency Management Performance Grants (EMPG) — Region I
DHS -I4 -GPD- 042 - 001 -01
Emergency Management Performance Grants (EMPG) — Region II
DHS -I4 -GPD- 042 - 002 -01
Emergency Management Performance Grants (EMPG) — Region III
DHS- I4- GPD-042- 003 -01
Emergency Management Performance Grants (EMPG) — Region IV
DHS -1.4 -GPD- 042 - 004 -01
Emergency Management Performance Grants (EMPG) — Region V
DHS -I4- GPD -04.2- 005 -01
Emergency Management Performance Grants (EMPG) — Region VI
DHS -I4- GPD - 042 - 006 -01
Emergency Management Performance Grants (EMPG) — Region VII
DHS -I4- GPD -042- 007 -01
Emergency Management Performance Grants (EMPG) — Region
VIII
DHS -I4 -GPD -042- 008 -01
Emergency Management Performance Grants (EMPG) _, Region IY
DHS -I4 -GPD- 042 - 009 -01
Emergency Management Performance Grants (EMPG) — Region X
DHS -I4 -GPD- 042 - 010 -01
1
FY 2014 EMPG Program
55A -10
Key Dates and Time
Application Start Date:
Application Submission Deadline:
Anticipated Program Office Review Dates:
Anticipated Funding Date:
Award Date:
Other Key Dates
Period of Performance Start Date:
Period of Performance End Date:
03/10/2014
04/09/2014 at 11:59:59 p.m. EDT
04/11/2014 tbn 05 /18/2014
06/13/2014
No later than 09/30/2014
10/01/2013
09/30/2015
Is an intergovernmental review required?
An intergovernmental review may be required. Applicants must contact their State's
Single Point of Contact (SPOC) to comply with the State's process under Executive
Order 12372 (see h.ttp://r ww,6vsgov/policy/lihr rLLIreeol2372.pg, Name and
addresses of the SPOCs are maintained at the Office of Management and Budget's
home page at htW. / /www, whitehoLtse ,env /oniblgrants spoc to ensure currency.
2
FY 2014 EMPC Program
55A -11
FOA Executive Summary
The Emergency Management Performance Grant (EMPG) Program provides federal funds to
assist state, local, tribal and territorial governments in preparing for all hazards, as authorized by
Section 662 of the Post Katrina Emergency Management Reform Act (6 U.S.C. § 762) and the
Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended (42 U.S.C. §§
5121 et seq.). Title VI of the Stafford Act authorizes FEMA to make grants for the purpose of
providing a system of emergency preparedness for the protection of life and property in the
United States from hazards and to vest responsibility for emergency preparedness jointly in the
federal govermnent and the states and their political subdivisions. The FY 2014 EMPG will
provide federal funds to assist state, local, tribal, and territorial emergency management agencies
to obtain the resources required to support the National Preparedness Goal's (the Goal's)
associated mission areas and core capabilities. The federal government, through the EMPG
Program, provides necessary direction, coordination, and guidance, and provides necessary
assistance, as authorized in this title, to support a comprehensive all hazards emergency
preparedness system.
% Funding Category
Continuing
b. Bate of origin for Program
01/01/2001
c, Type of Funding Instrutrtent
Mandatory grant
d, Application process
The Department of homeland Security (DHS) makes all funding opportunities available
through the common electronic "storefront" grants,gov, accessible on the internet at
http:(w grants ov, For details on how to apply through grants.gov please read
Section IX "How to Apply."
e, rligible Applicants
State governments
FY 2014 EMPG Program
55A -12
Full FCIA Announcernent
i. Funding Opportunity Description
a. Program Summary
The purpose of the Emergency Management Performance Grant (EMPG) Program is
to provide federal funds to States to assist State, local, territorial, and tribal
governments in preparing for all hazards, as authorized by Section 662 of the Post
Katrina Emergency Management Reform Act (6 U.S,C. § 762) and the Robert T
Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. §§ 5121 et seg.),
Title VI of the Stafford Act authorizes FEMA to make grants for the purpose of
providing a system of emergency preparedness for the protection of life and property
in the United States from hazards and to vest responsibility for emergency
preparedness jointly in the Federal Government, States, and their political
subdivisions. The Federal Government, through the EMPG Program, provides
necessary direction, coordination, and guidance, and provides necessary assistance, as
authorized in this title, to support a comprehensive all hazards emergency
preparedness system.
b. Program Priorities
The National Preparedness System is the instrument the Nation employs to build,
sustain, and deliver core capabilities to achieve the Goal of a secure and resilient
Nation. Complex and far- reaclvng threats and hazards require a collaborative and
whole community approach to national preparedness that engages individuals,
families, comnnmities, private and nonprofit sectors, faith -based organizations, and
all levels of government. The guidance, programs, processes, and systems that
support each component of the National Preparedness System allow for the
integration of preparedness efforts that build, sustain, and deliver core capabilities
and achieve the desired outcomes identified in the Goal. In support of the Goal, the
FY 2014 EMPG Program supports efforts to build and sustain core capabilities across
the Prevention, Protection, Mitigation, Response, and Recovery mission areas.
The Department of Homeland Security expects grantees to prioritize grant funding to
address the gaps identified through their annual THIRA and SPR. These assessments
identify the jurisdictions' capability targets and current ability to meet those targets.
Grantees should prioritize grant funds to increase capability for high - priority core
capabilities with low capability levels.
Minimum funding amounts are not prescribed by the Department for these priorities;
however grantees are expected to support state, local, regional, and national efforts in
achieving the desired outcomes of these priorities.
FY 2014 EMPG Program
55A -13
c, Program Objectives
The Emergency Management Performance Grant Program is to support a
comprehensive, all- hazard emergency preparedness system by building and
sustaining the core capabilities contained in the National Preparedness Goal.
Examples include:
• Completing the Threat and Hazard Identification and Risk Assessment
(THIRA) process;
• Strengthening a state or community's emergency management governance
structures;
• Updating and approving specific emergency plans;
• Designing and conducting exercises that enable whole community
stakeholders to examine and validate core capabilities and the plans needed to
deliver them to the targets identified through the THIRA;
• Targeting training and verifying identified capabilities;
• Initiating or achieving a whole community approach to security and
emergency management.
For additional details on priorities for the EMPG Program please refer to Appendix A
— FY 2014 EMPG Program Priorities.
IL Funding Information
a, Available Funding for the FGA
$350,100,000
Allocations: Emergency Management Performance Grant (EMPG) awards are based on Section
662 of the Post - Katrina Emergency Management Reform Act of 2006, as amended, (6 U.S.C, §
762). All 50 States, the District of Columbia, and Puerto Rico receive a base amount of 0.75
percent of the total available funding appropriated for the EMPG program. Four territories
(American Samoa, Guam, Northern Mariana Islands, and the U.S. Virgin Islands) receive a base
amount of 0.25 percent of the total available funding appropriated for the EMPG program. The
balance of the funds appropriated for the EMPG Program fiords are distributed on a population -
share basis. Pursuant to Article X of the Federal Programs and Services Agreement of the
Compact of Free Association Act (Pub. L. No. 108 -188), a set amount of funds are also available
from the Disaster Relief Fund for the Federated States of Micronesia and for the Republic of the
Marshall Islands.
5
FY 2014 EMPG Program
55A -14
btti� FYa2014,6tp ®�y�e.�cy��alha90� 11t , �. �?, P�` 1YTa) i�vGrants'( EMPG )'pFu�[I�n�All4 „C,at)ons� °'�^;
State/Territory Allocation Statefferrltor�
Alabama $5,795,991 1 Nevada $4,455,369
Alaska
$3,107,257
New Hampshire
$3,493,208
Arizona
$6,972,161
New Jersey
$8,463,094
Arkansas
$4,566,391
New Mexico
$3,992,978
California
$27,771,691
New York
$15,516,422
Colorado
$6,081,125
North Carolina
$9,085,469
Connecticut
$4,984,080
North Dakota
$3,099,556
Delaware
$3,232,305
Ohio
$10,215,617
District of Columbia
$3,049,080
Oklahoma
$5,151,028
Florida
$15,451,958
Oregon
$5,203,179
Georgia
$9,180,005
Pennsylvania
$11,004,797
Hawaii
$3,546,080
Rhode Island
$3,314,806
Idaho
$3,682,584
South Carolina
$5,757,363
Illinois
$11,075,866
South Dakota
$3,179,251
Indiana
$6,935,606
Tennessee
$6,886,455
Iowa
$4,652,357
Texas
$19,975,395
Kansas
$4,523,477
Utah
$4,528,014
Kentucky
$5,508,377
Vermont
$3,036,078
Louisiana
$5,659,375
Virginia
$8,043,945
Maine
$3,496,385
Washington
$7,198,343
Maryland
$6,514,387
West Virginia
$3,841,450
Massachusetts
$7,015,589
Wisconsin
$6,392,302
Michigan
$9,116,670
Wyoming
$3,007,232
Minnesota
$6,180,847
Puerto Rico
$4,996,548
Mississippi
$4,587,276
U.S. Virgin Islands
$943,709
Missouri
$6,590,063
American Samoa
$910,896
Montana
$3,290,963
Guam
$980,210
1 $3,850,773
1 Northern Mariana Islands
$908,568
i 000 0i0
Pursuant to Article X of the Federal Programs and Services Agreement of the Compact of Free
Association Act (Pub. L. No. 108 -188), a set amount of funds (5100,000 total) are also available
from the Disaster Relief Fund for the Federated States of Micronesia and for the Republic of the
Marshall Islands.
FY 2014 EMPG Program
55A -15
b. Period of Perfortnance;
Twenty -four (24) months.
c. Extensions to the Period of Performance
An extension to the period of performance for this program is allowed. Extensions to
the period of performance maybe granted when, due to circumstances beyond the
control of the grantee, activities associated with the award cannot be completed
within the stated performance period. For details on the requirements for requesting
an extension to the period of performance, please refer to Section VI. F Extensions of
the Full Announcement.
III, Eligibility Information
a. Eligibility Criteria
All 56 States and territories, as well as the Republic of the Marshall Islands and the
Federated States of Micronesia, are eligible to apply for FY 2014 EMPG Program
funds, Either the State Administrative Agency (SAA) or the State's Emergency
Management Agency (EMA) is eligible to apply directly to FEMA for EMPG
Program funds on behalf of State and local emergency management agencies.
However, only one application will be accepted, from each State or territory,
Cost Match
A cost match is required under this program.
The Federal share that is used towards the EMPG Program budget shall not
exceed 50 percent of the total budget. The State must equally match (cash or in-
kind) the Federal contribution pursuant to Sections 6110) and 613 of the Robert
T Stafford Disaster Relief and Emergency Assistance Act (Pub. L. No. 93 -288),
as amended, (42 U.S.C. §§ 5121- 5207). Unless otherwise authorized by law,
Federal fimds cannot be matched with other Federal funds.
FEMA administers cost matching requirements in accordance with 44 C.F.R,
§ 13.24 which is located at
T?ts_ //www.access. ;o 4L___ vInara/cj1 /waisi4y 07 44c�rv1 07.hImi or 2 C.F.R.
§215.23 which is located at hga, / /www,apo c�ov /fclsys /nlcg /CFI?- 2012 -W1e2-
voll/ df(L "FR- 2012- title2- vnh.l -sLl I tiefl. )d To meet matching requirements, the
grantee contributions must be reasonable, allowable, allocable, and necessary
under the grant program and must comply with all Federal requirements and
regulations. In accordance with 48 U.S.C. § 1469a, match requirements are
waived for the insular areas: the U.S. territories of American Samoa, Guam, the
U.S. Virgin Islands, the Federated States of Micronesia, the Northern Mariana
Islands, and the Republic of the Marshall Islands.
fi. Maintenance of Effort
This program does not have a maintenance -of- effort requirement.
FY 2014 EMPG Program
55A -16
W. Pass through funding
Each State shall obligate 100 percent (100 %) of its total EMPG Program
allocation amount to the designated State -level Emergency Management Agency
(EMA). If the SAA is also the EMA, this requirement is automatically met. If
the SAA is a separate agency, or has separate budget processes, then these funds
must be obligated to the EMA within 15 days of the grant award date. In
instances where the State -level EMA is making sub - awards to local jurisdictions,
FEMA expects the State-level EMA to make these awards as expeditiously as
possible.
Iv. Other Eligibility Requirements
Emergency Management Assistance Compact (EMAC) Membership
In support of the National Preparedness Goal (Goal), grantees must belong to, be
located in, or act as a temporary member States of EMAC, except for American
Samoa, the Federated States of Micronesia, the Republic of the Marshall Islands,
and the. Commonwealth of the Northern Mariana Islands, which are not currently
required to belong to EMAC. All assets supported in part or entirely with FY
2014 EMPG Program funding by States, territories, and Tribes must, where
applicable, be readily deployable to support emergency or disaster operations per
existing EMAC agreements.
National Incident Management System (NIMS) Implementation
Grantees are required to maintain their existing NIMS compliance. Emergency
management and incident response activities require carefully managed resources
(personnel, teams, facilities, equipment and /or supplies) to meet incident needs.
Utilization of standardized resource management concepts such as typing,
inventorying, and cataloging promotes strong national mutual aid capabilities that
are needed to support delivery of the core capabilities. Additional information on
resource management and national Tier I NIMS Resource Types can be found at
b�: / /wxng. femcz,Qov /resource- mn�caeertaen8,
FEMA developed the NIMS Guideline for Credentialing of Personnel to describe
national credentialing standards and to provide written guidance regarding the use
of those standards. This guideline describes credentialing and typing processes,
and identifies tools which Federal Emergency Response Officials (FEROs) and
emergency managers at all levels of government may use both routinely and to
facilitate multi - jurisdictional coordinated responses. Although State, local, Tribal,
and private sector partners - including nongovernmental organizations - are not
required to credential their personnel in accordance with these guidelines, FEMA
strongly encourages them to do so in order to leverage the Federal investment in
the Federal Information Processing Standards (FIPS) 201 infrastructure and to
facilitate interoperability for personnel deployed outside their home
jurisdiction, Additional information can be found at
hit m/ vw. fen zn.crov /7ni1 /eme>tenev /nim "s /n i g alert cred- iddchne. el.
FY 2014 EMPG Program
55A -17
Emergency Operations Plan (EOP)
Grantees must update their EOP at least once every two years to comply with
Comprehensive Preparedness Guide (CPO) 101 v.2, Developing and Maintaining
Emergency Operations Plans. Grantees will use the SPR to communicate their
compliance with this reporting requirement.
Threat and Hazard Identification and Risk Assessment ( THIRA)
Grantees must update their THIRA by December 31, 2014. Further details on the
THIRA as it relates to EMPG Program requirements can be found in Appendix A
— FY 2014 EMPG Program Priorities. For additional guidance on THIRA, please
refer to CPG 201, Second Edition, available at http 1Anvw femc,,g0y/ c M
IV. Funding Restrictions
a. Restrictions on Use of Award Funds
Federal funds made available through this award may only be used for the purpose set
forth in this award and must be consistent with the statutory authority for the award.
Award fiords may not be used for matching funds for any other Federal
grants /cooperative agreements, lobbying, or intervention in Federal regulatory or
atljudicatory proceedings. In addition, Federal funds may not be used to sue the
federal government or any other government entity.
EMPG Program grantees may only fiord activities and proj cots that were included in
the FY 2014 EMPG Program Work Plan that was submitted to and approved by
FENIA. Activities and projects may include the sustaimnent of capabilities supported
by previous EMPG Program funds.
For additional details on restrictions on the use of funds, please refer to Appendix 3-
FY 2014 EMPG Funding Guidelines.
i. Pre -award costs
Pre -award costs are typically NOT allowed. Pre -award costs are allowable only
with the prior written consent of DHS and if they are included in the award
agreement, To request pre -award costs a written request must be included with the
application, signed by the Authorized Representative of the entity. The letter
must outline what the pre -award costs are for, including a detailed budget break-
out of pre -award costs from the post -award costs, and a justification for approval.
9
FY 2014 EMPG Program
55A -18
il. Direct Costs
Management and Administration (M &A)
Management and Administration (M &A) activities are those directly related to
managing and administering the award such as financial management and
monitoring. It should be noted that salaries of State and local emergency
managers are not typically categorized as M &A, unless the State or local EMA
chooses to assign personnel to specific M &A activities.
M &A costs are allowable for both State and local -level EMAs. The State EMA
may use up to five percent (5 %) of the award for M &A purposes. In addition,
local EMAs may retain and use up to five percent (5 %) of the amount received
from the State for local M &A purposes.
If the SAA is not the state level Emergency Management Agency (EMA), the
SAA is not eligible to retain funds for M &A.
Planning
Planning related costs are allowed under this program.
Organization
Grantee organization costs for managing the grant and to carry -out the grant's
activities are allowed under this program.
Equipment
Equipment costs are allowed under this program.
Training
Training related costs are allowed under this program.
Exercises
Exercise related costs are allowed wider this program,
Travel
Domestic
Domestic travel costs are allowed under this program.
International
International travel is not an allowable cost under this program
unless approved in advance by FEMA.
Construction and Renovation
Construction and renovation costs are allowed under this program.
Operational Overtime
Operational Overtime costs are not allowed tinder this program.
Maintenance and Sustainment
1.0
FY 2014 EMPG Program
55A -19
Funding may be used for the sustainnnom of core capabilities that, while they may
not be physically deployable, support national response capabilities such as
Geographic /Geospatial Information Systems (GIS), interoperable communications
systems, capabilities as defined under the mitigation mission area of the Goal, and
fusion centers.
Unallowable costs
Certain cost items are prohibited under the EMPG Program.
For more details on allowable and unallowable direct costs please refer to
Appendix B —FY 2014 EMPG Funding Guidelines.
iii. Indirect Cosh
Indirect costs are allowable under this program, but only if the applicant has an
approved indirect cost rate agreement with their cognizant Federal agency. A
copy of the approved rate (a fully executed, agreement negotiated with the
applicant's cognizant federal agency) is required at the time of application.
iv. Other Cost Requirements
SAFECOM
Grantees (including sub - recipients) who receive awards under the EMPG that
wholly or partially provide funding for emergency communication projects and
related activities should comply with the most recent version of the SAFECOM
Guidance on Emergency Communications Grants
hC /hvww.safecornnroUram 2ov /erant /Default nsPx. This Guidance provides
recommendations to grantees regarding interoperable emergency communications
projects, including allowable costs, eligible activities, grants management best
practices for emergency communications grants, and information on technical
standards that ensure greater interoperability. The Guidance is intended to ensure
that Federally- funded investments are compatible, interoperable, and support the
national goals and objectives for improving emergency communications
nationwide. Grantees (including sub- recipients) investing in broadband - related
investments should review IB 386: Clarification on Use of DHS/FEMA Public
Safety Grant Funds for Broadband- Related Expenditures and Investments, and
consult their FEMA Regional Program Manager on such Investments before
developing applications. Relocating existing systems operating in the T -Band is
also allowable.
Environmental Planning and Historic Preservation (EHP) Compliance
As a Federal agency, FEMA is required to consider the effects of its actions on
the environment and /or historic properties to ensure that all activities and
programs funded by the agency, including grants- funded projects, comply with
Federal EIIP regulations, laws and Executive Orders as applicable. Grantees and
sub - grantees proposing projects that have the potential to impact the environment,
including but not limited to construction of communication towers, modification
or renovation of existing buildings, structures and facilities, or new construction
including replacement of facilities, must participate in the FEMA, EHP review
11
FY 2014 EMPG Program
55A -20
process. The EHP review process involves the submission of a detailed project
description that explains the goals and objectives of the proposed project along
with supporting documentation so that FEMA may determine whether the
proposed project has the potential to impact environmental resources and /or
historic properties. In some cases, FEMA is also required to consult with other
regulatory agencies and the public in order to complete the review process. The
BHP review process must be completed before fiords are released to carry out the
proposed project.
EHP Policy Guidance can be found in FP 108 - 023 -1, Environmental Planning
and Historic Preservation Policy Guidance, at http:1Avww,fema.gov/media-
library/assetsldoctnnents /$5376.
V. !Application Review information and Selection Process
a. Application Review Information
Overall Review
Submitted applications will undergo a complete content review within their respective
FEMA Region, Each FEMA Regional EMPG Program Manager will be responsible
for reviewing the FY 2014 EMPG Program Work Plan for their respective
States /territories in order to assess their emergency management sustaimnent and
enhancement efforts as well as for linkage to the core capabilities identified in the
Goal.
For additional details on application review information please refer to Appendix C —
FY 201.4 EMPG Program Work Plan.
Initial Review
Once program guidance and application requirements are released publicly, eligible
applicants can submit applications for funding. The FEMA relies on the Grants.gov
and the Non - Disaster (ND) Grants systems to receive applications. Application
release and review periods are primarily determined through the appropriations
process, FEMA's Regional EMPG Program Managers conduct all pre -award reviews
for Emergency Management Performance Grants, All EMPG Work Plans will
require final approval by the appropriate FEMA Region,
Standardized Reporting through the EMPG Program Work Plan Template
The EMPG Program Work Plan Template has been modified to standardize data
collection for improved analysis and reporting. The EMPG Program Work Plan
includes five components: (1) Program and Budget Narrative, (2) Personnel Data
Table, (3) Training Data Table, (4) Exercise Data Table, and (5) Grant Activities
Outline. Baseline data on Personnel, Training, and Exercise as well as the Grant
Activities Outline must be provided in the EMPG Program Work Plan at the time of
application and will form the basis of the Quarterly Performance Progress Report
(SF -PPR) submissions. The Grant Activities Outline is structured to enable reporting
12
FY 2014 EMPG Program
55A -21
of quarterly activities according to Emergency Management Function (EMF) projects,
as well as standardized reporting of activity completion status.
The EMPG Program Work Plan must summarize program. activities in the following
areas:
• Planning: Planning efforts should span all five Goal mission areas. The EMPG
Program Work Plan should provide a baseline for determining potential
threats and hazards, required capabilities, required resources, and establish a
framework for roles and responsibilities. Planning efforts should demonstrate
the engagement of the whole community in the development of a strategic,
operational, and/or community -based approach to preparedness.
• Organization: EMPG Program funds may be used for all- hazards emergency
management operations, staffing, and other day -to -day activities in support of
emergency management, including hazard mitigation staffing of the State
Hazard Mitigation Officer (SHMO) position.
• Equipment: Allowable equipment categories for the EMPG Program are listed
on the web -based version of the Authorized Equipment List (AEL) on the
Lessons Learned Information Sharing site,
h tips: / /www.lCts.cdbas.ov /(craowCed rp�bcse. Unless otherwise stated, equipment
must meet all mandatory regulatory and /or FEMA- adopted standards to be
eligible for purchase using these finds. In addition, agencies will be
responsible for obtaining and maintaining all necessary certifications and
licenses for the requested equipment.
• Training: EMPG Program funds may be used for a range of emergency
management- related training activities to enhance the capabilities of State and
local emergency management personnel through the establishment, support,
conduct, and attendance of training. Training activities should align to a
current, Multi -Year Training and Exercise Plan (TEP) developed through an
annual Training and Exercise Plan Workshop (TEPW).
• Exercises: Exercises conducted with grant funds should evaluate performance
of capability targets, established through the development of a jurisdiction's
THIRA for the core capabilities needed to address their greatest risk. Exercise
priorities should align to a current, Multi -Year TEP developed through an
annual TEPW.
For more details on the EMPG Program Work Plan please refer to Appendix C-
FY 2014 EMPG Program Work Plan.
b. Applicsatlon Selection Process
Funds for grantees who have not submitted their EMPG Program Work Plan as part
of their application will not be released until such Work Plan is received, reviewed,
and approved by FEMA. Grantees will be notified by their FEMA Regional Program
Manager should any component of the EMPG Program application require additional
information.
13
FY 2014 EMPG Program
55A -22
VI. Federal Award Administration Information
a. Notice of Award
Notification of award approval is made through the ND Grants system through an
automatic e -mail to the awardee point of contact (the "authorized official') listed in
the initial application. The date the approval of award is the "award date ". The
awardee should follow the directions in the notification to accept the award,
Grantees must accept their awards no later than 90 days from the award date. The
grantee shall notify the awarding agency of its intent to accept and proceed with work
under the award, or provide a written notice of intent to decline. Funds will remain
on hold until the grantee accepts the award through official correspondence (e,g.,
written, electronic signature, signed letter or fax to the Regional Program Office) and
all other conditions of award have been satisfied, or the award is otherwise rescinded.
Failure to accept the grant award within the 90 day timeframe may result in a loss of
funds.
b. Administrative and Federal Financial Requirements
Before accepting the award, the authorized official should carefully read the award
package for instructions on administering the grant award and the terms and
conditions associated with responsibilities under Federal awards. Grantees must
accept all conditions in this FOA as well as any Special Terms and Conditions in the
Award notice to receive an award under this program.
i, Standard Terms and Conditions
All successful applicants for all DHS grant and cooperative agreements must
comply with DHS Standard Administrative Terms and Conditions available at:
hops: // ww.dhs, Gov/ pufilicotlond l,14- dhs- stanelarel- terms- aruh,conditions.
ii, Payment
FEMA utilizes the FEMA Payment and Reporting System (PARS) for financial
reporting, invoicing and tracking payments. Additional information can be
obtained at
htaps://isource. ema.00vLsfl69 /ezecute[Lo 0sawConterittLlessave= trace,
DHS /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
a Standard Form 1199A, Direct Deposit Form.
c. Reporting Requirements
Awardees are required to submit various financial and prograrmnatic reports as a
condition of their award acceptance. Future awards and fund drawdowns maybe
withheld if these reports are delinquent.
1, Financial and Cornpliance Audit Report
For audits of fiscal years beginning on or after December 26, 2014, recipients that
expend $750,000 or more from all federal funding sources during their fiscal year
are required to submit an organization -wide financial and compliance audit report.
14
FY 2014 EMPG Program
55A -23
The audit must be performed in accordance with the requirements of GAO's
Government Auditing Standards, located at
httl / /YVwvv eao.trcrv/ ov ud(yblc0l.hon, and the requirements of Subpart F of 2
C.F.R. Part 200, located at httn: / /v!ww.ec r. av/
For audits audits of fiscal years beginning prior to December 26, 2014, recipients that
expend $500,000 or more from all federal frmding sources during their fiscal year
are required to submit an organization -wide financial and compliance audit report.
The audit must be performed in accordance with GAO's Government Auditing
Standards, located at hap : //winv. Sao. ov, Qov y bkOl.ditrn, and OMB Circular
A -133, Audits of States, Local Governments, and Non - Profit Organizations,
located at
h,t : / /www,whitehouse av /o ab /cireulnrs /a 133 c•omnlianee 3tenplement 2012.
Audit reports are currently due to the Federal Audit Clearinghouse no later than
nine months after the end of the recipient's fiscal year.
91, Financial and Program Reporting Periods and Due Bates
The following reporting periods and due dates apply:
Reporting Period
Report Due Date
October 1 — December 31
January 30
January 1— March 31
April 30
Atiril 1— June 30
July 30
July 1 — September 30
October 30
HL Federal Financial Report (FFR)
Obligations and expenditures must be reported on a quarterly basis through the
FFR (SF -425) and must be filed electronically using PARS, An FFR report must
be submitted quarterly throughout the period of performance, including partial
calendar quarters, as well as for periods where no grant award activity occurs. The
final. FFR is due 90 days after the end date of the performance period. FFRs must
be filed electronically through Payment and Reporting System (PARS). Future
awards and fund drawdowns maybe withheld if these reports are delinquent,
demonstrate lack of progress, or are insufficient in detail.
iv. Program Performance Rieporting Requirements
Quarterly Performance Progress Reports (SF -PPR). EMPG Program
Quarterly Performance Progress Reports must be submitted to the Regional
Program Manager located at the FEMA regional office on a quarterly basis
through the ND Grants system. The Quarterly Performance Progress Reports
must be based on the approved EMPG Program Work Plan and are due no later
than 30 days after the end of the quarter (i.e., on January 30, April 30, July 30 and
October 30). The Quarterly Performance Progress Report must be completed
using the cover page of the SF -PPR (OMB Control Number: 0970- 0334),
available at t ; /Avim nncr 'ed us/ ap /SF -PPR Q&er°,r2USheeC. d :
15
FY 2014 EMPG Program
55A -24
Grantees are required to report quarterly on progress towards completing
activities and projects approved in their EMPG Program Work Plans, how
expenditures support maintenance and sustainment of current Goal core
capabilities, and progress made towards implementing the NPS. This includes
reporting on the following information:
A roster of EMPG Program funded personnel at both the State and local
levels, along with the training completed together with the Personnel Data
Table Template (available in Appendix C — FY 2014 EMPG Program
Work Plan); and
Percent completion of the Training and Exercise Plan (TEP) outlined in
the FY 2014 EMPG Program Work Plan together with the Training and
Exercise Data Tables Template (available in Appendix C — FY 2014
EMPG Program Work Plan).
State Preparedness Report (SPR) Submittal. Section 652(c) of the Post-
Katrina Emergency Management Reform Act of 2006 (Pub. L. No. 109 -295), 6
U.S.C. §752(c), requires any State that receives Federal preparedness assistance to
submit an SPR (OMB Control Number: 1660 -0131) to FEMA. States submitted
their most recent SPRs in December 2013 thus satisfying this requirement to
receive funding under the FY 2014 EMPG Program.
Biannual Strategy Implementation Reports (BSIR). In addition to the
Quarterly Performance Progress Reports grantees are responsible for completing
and submitting BSIR reports. The BSIR is due within M days after the end of the
reporting period (July 30 for the reporting period of January 1 through June 30
(the sunnier BSIR); and January 30 for the reporting period of July 1 through
December 31. Updated obligations and expenditure information must be
provided within the BSIR to show progress made toward meeting strategic goals
and objectives as well as how expenditures support Planning, Organization,
Equipment, Training and Exercises (POETS). Accordingly, expenditures should
support gaps identified in the grantee's THIRA and SPRs.
d, Monitoring
Grant award recipients will be monitored programmatically and financially on an
annual and as needed basis by FEMA staff to ensure that the activities and project
goals, objectives, performance requirements, timelines, milestone completion,
budgets, and other related program criteria are being met.
Monitoring may be accomplished through either a desk -based review or on, site
monitoring visits, or both. Monitoring will involve the review and analysis of the
financial, programmatic, performance, compliance and administrative processes,
policies, activities, and other attributes of each Federal assistance award and will
identify areas where technical assistance, corrective actions and other support may be
needed.
16
FY 2014 EMPG Program
55A -25
e. Closeout
Pursuant to 44 C.F.R. §13,50 (b) Reports: Within 90 days after the expiration or
termination of the grant, the grantee must submit all financial, performance, and other
reports required as a condition of the grant.
Within 90 days after the end of the period of performance grantees must submit the
following:
1) Final request for payment, if applicable;
2) SF -425 —Final Federal Financial Report — The form is available at
✓ttC17 ✓ /vuw✓tivwhiteltinrire>roy /sites/ rl evault /ilex....c�sscats /l?r'ants 6bnns /SF-
425.12ck
3) SF -PPR — Final Performance Progress Report — The form is available at
r. cl ;
4) A qualitative narrative summary on the impact of those accomplishments
throughout the entire period of performance submitted to the respective
Regional Program Manager in a Word document;
5) SF -428 -b — Tangible Personal Property Report — Inventory of all tangible
personal property acquired using funds from this award. The form is available
at
http:/ /w _WW .wIaiteho� Qcrv/ sites / efizzi�z /�Zles /omb /krrnrrtr /" cannroved �ormsGs =
428 -b2d ; n
6) When applicable, SF -429 — Real Property Status Report — Inventory of all
construction projects using funds from this award. The form is available at
hup // vwv; whllehoatve rvv/ sites /cictf Itlt/�es/om.b/gv- d irvrnv -
429.nc11
7) Other documents required by program guidance or terms and conditions of the
award.
In order to close an award, grantees must be current on, and have submitted, all
required reports per the terms and conditions of the grant award. Once the grant
has officially been closed, the grantee will receive a notification which will
provide information regarding the amount of any deobligated funds, equipment
disposition, and record retention requirements for closed awards.
If FEMA has made reasonable attempts through multiple contacts to close out
awards within the required 180 days, FEMA may waive the requirement' for a
particular report and administratively close the award. If this action is taken,
consideration for subsequent awards to the grantee may be impacted or restricted.
The grantee is responsible for returning any funds that have been drawn down, but
remain as tuiliquidated on grantee financial records.
f, Extensions
Extensions to the initial period of performance identified in the award will be limited
and considered only through formal, written requests to the grantee's respective
17
FY 2014 EMPG Program
55A -26
Regional Program Manager and must contain specific and compelling justifications as
to why an extension is required. States are advised to coordinate with the Regional
Program Manager as needed, when preparing an extension request. All extension
requests must address the following:
1) Grant Program, Fiscal Year, and award number;
2) Reason for delay — this must include details of the legal, policy, or operational
challenges being experienced that prevent the final outlay of awarded funds
by the applicable deadline;
3) Current status of the activity /activities;
4) Approved period of performance termination date and new project completion
date;
5) Amount of funds drawn down to date;
6) Remaining available funds, both Federal and cost match;
7) Budget outlining how remaining Federal and non - Federal funds will be
expended;
8) Plan for completion including milestones and timeframes for achieving each
milestone and the position/person responsible for implementing the plan for
completion; and
9) Certification that the activity /activities will be completed within the extended
period of performance without any modification to the original Statement of
Work approved by FEMA.
Awardees must submit all extension requests to DHS /FEMA for review and approval
no later than 120 days prior to the end of the period of performance.
"Vii. DHS /FEMA Contact information
�. For Financial, Programmatic, or Administrative QVIestions Pre-
Award and Post Award
1. Centralized Services and Information Desk (CSID)
The Centralized Services Information Desk (CSID) is a non - emergency
comprehensive management and information resource developed by DHS for
grants stakeholders. CSID provides general information on all FEMA grant
programs and maintains a comprehensive database containing key personnel
contact information at the Federal, State, and local levels. When necessary,
grantees will be directed to a Federal point of contact who can answer specific
programmatic questions or concerns. CSID can be reached by phone at (800)
368 -6498 or by e -mail at ASICCsid(7ferna.€ ov , Monday through Friday, 8:00
a.m. — 5:30 p.m. EST.
ii. CPD Grant Operations Division
GPD's Grant Operations Division Business Office provides financial support and
technical assistance. Additional guidance and information can be obtained by
18
FY 2014 EMPG Program
55A -27
contacting the FEMA Call Center at (866) 927 -5646 or via e -mail to ASK -
GMD Adlts. _go v.
iii, FEMA, Regions
FEMA Regions manage, administer and conduct the application budget review,
create the award package, approve, amend and close out awards, as well as
conduct cash analysis, financial monitoring, and audit resolution for the EMPG
Program, The Regions also provide technical assistance to FMPG Program
primary awardees. For a list of contacts, please go to ham: / /rvro�w.ferna. govfrm-
mciin/reerona l -can tact - information.
iv. Systems Information
Grants.gov. For technical assistance with Grants.gov, please call the Grants.gov
customer support hotline at (800) 518 -4726.
Non Disaster (ND) Grants. For technical assistance with the ND Grants system,
please contact nd rg ants(cr�fema nov or (800) 865 -4076.
v. GPD Environmental Planning and Historic Preservation (GPD -EHP)
The FEMA GPD -EHP Team provides guidance and information about the EHP
review process to grantees and sub - grantees. All inquiries and communications
about GPD projects or the EHP review process, including the submittal of EHP
review materials, should be sent to gpdehpinf cLUema. oovv. EHP Technical
Assistance, including the EHP Screening Form, can be found at
mil; /ht>tinwl Tema Gov/ medico- libr- ary- clata/20i30726- 1806- 25045-
2839/,pd ehp screening fbrm. omb 1660 Ell the 201 ptlf.
vi. Telephone Device for the Deaf (t!)D)
The Telephone Device for the Deaf (TDD) and/or Federal Information Relay
Service (FIRS) number available for this announcement is: (800) 462 -7585.
vil. Hard copies of the FDA
Hard copies of the FOA are NOT available.
Vli.t. Other Critical Information
National Preparedness
DHS coordinates with local, State, territorial, and tribal, governments as well as with
other Federal agencies and private and nonprofit organizations to facilitate an all -of-
nation/whole community, risk driven, and capabilities -based approach to
preparedness. This approach is grounded in the identification and assessment of risk
through the THIRA. States must maintain and update their THIRAs and their SPRs
annually to ensure that the community's shared understanding of risk evolves to
account for changes in the risk landscape, including successful mitigation efforts,
emerging threats, hazards, and associated consequences. Information on the NPS can
be found in the National Preparedness System description (released Nov 2011), which
is posted on the FEMA website at hr_tn •• �wtiwv,, j,U? q _eov /national-
19
FY 2014 EMPG Program
55A -28
re arecdness /natinntal- re aredrtcss -s stem. Additional details regarding the NPS
and how it's supported by the EMPG Program can be found in Appendix A— FY
2014 EMPG Program Priorities.
IX. How to Apply
Applying for an award under this program is a multi -step process and requires time
to complete. To ensure that an application is submitted on time applicants are advised
to start the required steps well in advance of their submission. Applicants should
allow at least 15 business days (three weeks) to complete the five steps of
applying listed below. Failure of an applicant to comply with any of the required
steps before the deadline for submitting their application will automatically disqualify
their application from funding.
The steps involved in applying for an award under this program are:
1) Applying for, updating or verifying their Data Universal Numbering System
(DUNS) Number;
2) Applying for, updating or verifying their Employer Identification Number
(EIN);
3) Updating or verifying their System for Award Management (SAM)
registration;
4) Submitting an initial application in grams.gov, and;
5) Submitting the complete application in ND Grants.
To ensure adequate time to complete the full application process, applicants are
encouraged to submit their initial application in Grants,gov (Step 4) at least ten
(10) days before the April 9, 2014 application deadline.
1. Obtain a Dun and Bradstreet. Data Universal Numbering System
(,DUNS) Number
The applicant must provide a DUNS number with their application. This number is a
required field for all subsequent steps in the application submission. Applicants
should verify they have a DUNS number, or take the steps necessary to obtain one.
Applicants can receive a DUNS number at no cost by calling DUNS number request
line at (866) 705-5711. FEMA cannot assist applicants with questions related to
obtaining a current DUNS number.
2. Obtain an Employer Identification Number (EIN)
FEMA requires both the EIN and a DUNS number prior to the issuance of a financial
assistance award and, for grant award payment. Both are also required to register
with SAM (see below). The EIN base for an organization is the IRS Tax ID number,
for individuals it is their social security number, both of which are nine -digit
numbers. Organizations and individuals submitting their applications must correctly
identify the EIN from the DUNS since both are 9 -digit numbers. If these numbers are
not correctly identified in the application, this may result in a delay in the issuance of
an award and /or incorrect payment to a grantee organization.
20
FY 2014 EMPG Program
55A -29
Organization applicants applying for an EIN should plan on a minimum of 2 full
weeks to obtain an EIN. If you need assistance registering an EIN, please go to
htt�, / /wwu irs voidBuvinesses /Srrrall- Baaslnesse.v- cPi -Sel -Emplo ed/A
Ernplayer- Identification- Namaber; (IN)- Online. FEMA cannot assist applicants with
questions related to obtaining a current EIN.
3. Register with the System for Award Management (SAM)
Payments are contingent on the information provided in SAM and must be completed
by the applicant at httn //wmv.salv.,�ov. It is imperative that the information provided
by the applicant is correct and current. Please ensure that your organization's name,
address, DUNS number and EIN are current in SAM and that the DUNS number used
in SAM is the same one used to apply for all other FEMA awards.
SAM registration is a multi -step process including validating your EIN with the
Internal Revenue Service (IRS) to obtain a Commercial and Government Entity
(CAGE) code. The CAGE code is only valid for one year after issuance and must be
current at the time of application,
If you need, assistance registering with SAM, please go to hops / /www. sd.«ov/ or call
866 -606 -8220. FEMA cannot assist applicants with questions related to obtaining a
current CAGE code.
4. Initial. Application Submission In Grarrts,gov,
All applicants submit their initial application through Grants,gov. Applicants may
need to first create a Grants.gov user profile by visiting the Get Registered section of
the grants.gov website. Successful completion of this step is necessary for FEMA to
determine eligibility of the applicant. Applicants should complete this step at
http.,Ili.vww v,gt*tznt,v.gov. The initial on -line application in grants.gov requires
completing Standard Form 424 (SF 424), Application for Federal Assistance. The
initial application cannot be started or submitted in Grants.gov unless the applicant's
registration in SAM is confirmed. Application forms and instructions are available at
Grants.gov. To access these materials, go to h yp'/ /www grants;;oy, select Apply for
Grants, enter the CFDA number or the FOA Number noted in this FOA, select
Download Application Package, and follow the prompts to download the application
package. The information submitted in grants. gov will be retrieved by ND Grants,
which will allow FEMA to determine if an applicant is eligible. Applicants are
encouraged to submit their initial application at least ten (10) days before the
April 9, 2014 application deadline.
If you need assistance applying through grants.gov, please go to
lztt _L11wwvv.yrants.goy/ web /grants /applicant.S /grant - application "pY,pces .iatnal, contact
support @grants.gov, or call 800 -518 -4726. FEMA cannot assist applicants with
questions related to registering with grants.gov.
21
FY 2014 E.MPG Program
55A -30
S. Final Application Submission in Non Disaster Grants system (ND
Grants)
Eligible applicants will be notified by FEMA and asked to proceed with submitting
their complete application package in ND Grants, Applicants can register early with
ND Grants and are encouraged to begin their ND Grants registration at the time of
this announcement. Early registration will allow applicants to have adequate time to
start and complete their application. The application must be completed and final
submission made through the ND Grants system located at hops: / /portal (ema..o_v. In
ND Grants applicants will be prompted to submit all of the information contained in
the following forms:
• Standard Form 424A, Budget Iuforniation (Non - construction)
+ Standard Form 424B, Standard Assurances (Non- construction)
• Standard Form 424D, Standard Assurances (Construction)
• Standard Form LLL, Disclosure of Lobbying Activities (if the grantee has
engaged or intends to engage in lobbying activities)
• Grants.gov (GG) Lobbying Form, Certification Regarding Lobbying.
Applicants will also be required to submit copies of the following in ND Grants:
• EMPG Program Work Plan
The Work Plan consists of a Program and Budget Narrative, Personnel
Data Table, Training Data Table, Exercise Data Table, and Grant
Activities Outline.
• Standard Form 424C, Budget Information (Construction)
• Detailed budget
If you need assistance registering for the ND Grants system, please contact
ndants(a fema.a'ov or (800) 865 -4076.
22
FY 2014 EMPG Program
55A -31
Appendix A - FY 20 14 EMPG Program Priorities
Alignment of the EMPG Program to the National Preparedness System (NPS)
The Nation utilizes the NPS to build, sustain, and deliver core capabilities in order to achieve the
National Preparedness Goal (Goal). The Goal is "a secure and resilient Nation with the
capabilities required across the whole community to prevent, protect against, mitigate, respond
to, and recover from the threats and hazards that pose the greatest risk" The objective of the
NPS is to facilitate an integrated, all-of-Nation, risk informed, capabilities -based approach to
preparedness. The guidance, programs, processes, and systems that support each component of
the NPS enable a collaborative, whole community approach to national preparedness that
engages individuals, families, communities, private and nonprofit sectors, faith -based
organizations, and all levels of government htt . / /www, enia gov /whole -evm round ).
The FY 2014 EMPG Program contributes to the implementation of the NPS by supporting the
building, sustainment, and delivery of core capabilities. Core capabilities are essential for the
execution of critical tasks for each of the five mission areas outlined in the Goal. Delivering core
capabilities requires the combined effort of the whole community, rather than the exclusive effort
of any single organization or level of government. The EMPG Program's allowable costs
support efforts to build and sustain core capabilities across the Prevention, Protection,
Mitigation, Response, and Recovery mission areas.
Emphasis is placed on capabilities that address the greatest risks to the security and resilience of
the United States, and the greatest risks along the Nation's borders. When applicable, funding
should support deployable assets that can be utilized anywhere in the Nation through automatic
assistance and mutual aid agreements, including but not limited to the EMAC.
Using the core capabilities, the FY 2014 EMPG Program supports the achievement of the Goal
by:
• Preventing a threatened or an actual act of terrorism;
• Protecting our citizens, residents, visitors, and assets against the greatest threats and
hazards;
• Mitigating the loss of life and property by lessening the impact of future disasters;
• Responding quickly to save lives, protect property and the environment, and meet basic
human needs in the aftermath of a catastrophic incident; and /or
• Recovering through a focus on the timely restoration, strengthening, and revitalization of
infrastructure, housing, and a sustainable economy, as well as the health, social, cultural,
historic, and environmental fabric of conmmunities affected by a catastrophic incident,.
The core capabilities contained in the Goal are highly interdependent and require the use of
existing preparedness networks and activities, improve training and exercise programs, promote
innovation, and ensure that the appropriate administrative, finance, and logistics systems are in
place.
23
Appendix A- FY 2014 EMPG Program Priorities
55A -32
To support building, sustaining, and delivering these core capabilities, grantees will use the
components of the NPS. The components of the NPS are; Identifying and Assessing Risk;
Estimating Capability Requirements; Building and Sustaining Capabilities; Planning to Deliver
Capabilities; Validating Capabilities; and Reviewing and Updating. For more information on
each component, read the National Preparedness System description available at
/ /wvwe,lema.ov /n zCional��arediaess /nationalNeredness- system, Grantees are
expected to use this process when using grant funds to address their capability gaps.
Reporting on the Implementation of the National Preparedness System (NPS)
Identifying and Assessing Risk and Estimating Capability Requirements
In order to qualify for EMPG Program funding, all grantees shall develop and maintain a Threat
and Hazard Identification and Risk Assessment ( THIRA) which informs and supports the State
Preparedness Report (SPR). Only one THIRA submission from each State wilt be accepted,.
A THIRA provides a comprehensive approach for identifying and assessing risks and associated
impacts. It expands on existing local, tribal, territorial, and State Hazard Identification and Risk
Assessments (HIRAs) and other risk methodologies by broadening the factors considered in the
process, incorporating the whole community throughout the entire process, and by accounting for
important community- specific characteristics. A guide on how to complete a THIRA is available
at l actp;// rvwiy;,( 'e „m;ci;,q<2y /ncita_'oncil;prgp rectnessfpCcan.
In Step Four of the THIRA process, a jurisdiction should estimate the resources required to
deliver the capability targets established in their THIRAs. Communities express resource
requirements as a list of resources needed to successfully manage their threats and hazards.
Through the capability estimation process, jurisdictions should identify the resources from across
the whole community needed to meet capability targets. Each jurisdiction should decide which
combination of resources is most appropriate to achieve its capability targets.
Reporting:
• States are required to submit an annual update to their THIRA. States will submit
their THIRA update along with their State Preparedness Report (SPR) through the
Unified Reporting Tool (URT) and email a copy of the URT to their respective
FEMA Regional Federal Preparedness Coordinator and copy etna-
s�. rLg)Zerna.61hs.gov. THIRA submissions shall be in alignment with
Comprehensive Preparedness Guide (CPG) 201, Second Edition. State
submissions of the THIRA and SPR are due no later than December 31, 2014.
Building and Sustaining Capabilities
EMPG Program grantees should ensure that grant funding is utilized to sustain critical core
capabilities within the NPS that were funded by past EMPG Program funding cycles to include
training of personnel and lifecycle replacement of equipment. New capabilities should not be
built at the expense of maintaining current and critically needed core capabilities, If new core
capabilities are being built utilizing EMPG Program funding, grantees must ensure that the
capabilities are able to be deptoyable outside of their community to support regional and
national efforts or otherwise shareable with regional partners and aligned with a gap identified
24
Appendix A- FY 2014 EMPG Program Priorities
55A -33
in the THIRA/SPR. All capabilities being built or sustained must have a clear linkage to one
or more core capabilities in the Goal,
Reporting:
a As part of programmatic monitoring grantees will be required to: (1) describe how
expenditures support maintenance and sustainment of current Goal core
capabilities, (2) describe how expenditures support a gap identified in the
THIRA /SPR and report these within the quarterly performance progress report.
Planning to Deliver Capabilities
All EMPG Program grantees shall maintain, or revise as necessary, jurisdiction -wide, all threats
and hazards emergency operations plans (EOPs) consistent with the CPG 101 v,2 which serves
as the foundation for State, local, tribal, and territory emergency planning. CPG 101 v.2 can be
found at http: / /www. eraaa.ow /ratrtfanctl rencrrednesv /plan, Grantees must update their EOP at
least once every two years.
In building future EOPs, planners should anticipate the increasing complexity and decreasing
predictability of the future operating environment. These efforts should actively use strategic
foresight, including the multiple driving forces of change and the associated evolving strategic
needs shown in FEMA's Crisis Response and Disaster Resilience 2030 Report. The Report can
be found athttp: / /rovroirov.%ema. env /striatetrie- planninv -nnglp p pa- division /,vtratctic- foreei ht-
initiative.
Reporting:
• Grantees will use the SPR to report EOP compliance.
Validating Capabilities
Grantees should develop long-term training and exercise priorities that examine, validate and /or
address the gaps identified through their annual THIRA and SPR by developing a multi -year
Training and Exercise Plan (TEP). Grantees should also review and consider areas for
improvement identified from real -world events and exercises, and national areas for
improvement identified in the 2013 National Preparedness Report.
The TEP should consider the risks and capability requirements described in the THIRA along
with the guidance provided by elected and appointed officials to identify and set training and
exercise program priorities and develop a multi -year schedule of exercise events and supporting
training activities to mect those priorities A TEP that is developed from a Training and Exercise
Planning Workshop (TEPW) provides a roadmap to accomplish the multi -year priorities
identified by elected and appointed officials and whole community stakeholders, These priorities
help curriculum and exercise planners design and develop a progressive program of training and
exercises that build, sustain, and deliver core capabilities, Information related to TEPs and
TEPWs can be found on the HSEEP website at hti 4s,,IZtwww llis.dhs.eov/Aeen.
In addition to training activities aligned to and addressed in the TEP, all EMPG Program funded
personnel shall complete the following training requirements and record proof of completion:
National Incident Management System (NIMS) Training, IS 100, IS 200, IS 700, and IS 800, and
25
Appendix A- FY 2014 EMPG Program Priorities
55A -34
other Independent Study courses identified in FEMA Professional Development Series. Previous
versions of the IS courses meet the NIMS training requirement. A complete list of Independent
Study Program Courses maybe found at http:11tr ininir.fem gol,/is.
All grantees will develop and maintain a progressive exercise program consistent with Homeland
Security Exercise and Evaluation Program ( HSEEP) (https:www.11is.dhs.gov / hseep). Grantees
shall conduct no less than four quarterly exercise (i.e., one exercise per quarter) of any type (i.e.,
discussion -based or operations - based) and one full -scale exercise within a 12 -month period. All
EMPG funded personnel shall participate in no fewer than three exercises in a 12 -month period
A progressive, multi -year exercise program enables organizations to participate in a series of
increasingly complex exercises, with each successive exercise building upon the previous one
while also taking into account prior lessons learned, Regardless of the exercise type, each
exercise within the progressive series is linked to a set of common program priorities and
designed to test associated capabilities.
Reporting:
• Following the TEPW, all grantees and subgrantees are required to develop a rmulti-
year TEP that identifies combination of exercises, along with associated training
requirements, that address the priorities identified in the TEPW. The TEP shall be
submitted to hsee d dh „s Qti no later 90 days alter the TEPW, States are encouraged
to post their schedules to the National Exercise Scheduling System (NEXS) at
At,, Ilhyeepdhs. vlDHSSSO / ?ReturnUri= %2fhseep ervr%2fToolkitHome..aspx
• Submission of a roster of EMPG Program funded personnel, at both the state and
local level, along with the training completed to be included in the Quarterly
Performance Progress Report.
• In order to report on the required exercises, grantees can either submit one After
Action Report/Improvement Plan (AAR/IP) for the culminating full -scale exercise
that captures the lessons learned and corrective actions from all 5 exercises
conducted within a 12 -month period; or individual AAR/1Ps for each of the 5
exercises to hseep@lema.dhs.gov, no later than 90 days after completion of the
exercise. In accordance with HSEEP guidance grantees are reminded of the
importance of implementing corrective actions iteratively throughout the
progressive exercise cycle. Grantees are encouraged to use the HSEEP AAR/IP
template located at lattps: / /www.Ilis.dhs /hseep and utilize the Corrective Action
Program (CAP) System at https : //hsQep.dhs,gov /caps /, as a means to track the
implementation of corrective actions listed in the AAR /IP.
If a State /territory /local jurisdiction has experienced a major disaster, and would like to request
exemptions for a scheduled exercise, the grantee should send this request to its assigned FEMA,
Regional Program Manager through the quarterly EMPG Program report. Exemptions will be
reviewed on a case -by -case basis by the Regional Grant Manager.
Reviewing and Updating
On a recurring basis, capabilities, resources, and plans should be reviewed to determine if they
remain relevant or need to be updated as it relates to the EMPG Program. This review should be
26
Appendix A- FY 2014 EMPG Program Priorities
55A -35
based on a current risk assessment and utilize inforniation gathered during the validation process.
These reviews will provide a means to examine preparedness analyses; determine priorities;
direct preparedness actions; and calibrate goals and objectives,
Additional considerations
Strengthening Governance Integration
DHS preparedness grant programs are intended to support the core capabilities across the five
mission areas of Prevention, Protection, Mitigation, Response, and Recovery that are necessary
to prepare for incidents that pose the greatest risk to the Nation's security. Each program reflects
the Department's intent to build and sustain an integrated network of national capabilities across
all levels of government and the whole community. Disparate governance structures must be
integrated and refined to ensure resources are targeted to support the most critical needs of a
community based on risk driven, capabilities -based planning, Strong and inclusive governance
systems better ensure that disparate funding streams are coordinated and applied for maximum
impact,
DHS requires that all governance processes that guide the allocation of preparedness grant funds
adhere to the following guiding principles:
• Coordination of Investments —resources must be allocated to address the most critical
capability needs as identified in their SPR and coordinated among affected preparedness
stakeholders.
• Transparency — stakeholders must be provided visibility on how preparedness grant
Rinds are allocated and distributed, and for what purpose,
• Substantive Local Involvement — the tools and processes that are used to inform the
critical priorities which DHS grants support must include local government
representatives. At the State and regional level, local risk assessments must be included
in the overarching analysis to ensure that all threats and hazards are accounted for.
• Flexibility ivith Accountability — recognition of unique preparedness gaps at the local
level, as well as maintaining and sustaining existing capabilities.
• ,Support of Regional Coordination -- recognition of hrter /intra -State partnerships and
dependencies at the State and regional level, and within metropolitan areas.
27
Appendix A- FY 2014 EMPG Program Priorities
55A -36
Appendix B - FY 20141: MPG Funding Guidelines
Allowable Casts
Management and Administration (M&cA)
M &A activities are those defined as directly relating to the management and administration of
EMPG Program funds, such as financial management and monitoring. It should be noted that
salaries of State and local emergency managers are not typically categorized as M &A, unless the
State or local EMA chooses to assign personnel to specific M &A activities.
If the SAA is not the EMA, the SAA is not eligible to retain funds for M &A. M&A costs are
allowable for both State and local -level EMAs. The State EN/IA may use up to five percent (5 %)
for M &A purposes. In addition, local EMAs may retain and use up to five percent (5 %) of the
amount received from the State for local M &A purposes.
Indirect Costs
Indirect costs are allowable only if the applicant has an approved indirect cost rate with the
cognizant Federal agency. A copy of the approved rate (a fully executed, agreement negotiated
with the applicant's cognizant Federal agency) is required at the time of application. Indirect
costs will be evaluated as part of the application for Federal funds to determine if allowable and
reasonable.
Planning
Planning spans all five National Preparedness Goal (the Goal) mission areas and provides a
baseline for determining potential threats and hazards, required capabilities, required resources,
and establishes a framework for roles and responsibilities. Planning provides a methodical way
to engage the whole community in the development of a strategic, operational, and/or
community -based approach to preparedness.
EMPG Program funds may be used to develop or enhance upon emergency management
planning activities, some examples include:
• Development ofTTIIPA
• Development of an all- hazards mitigation plan based on identified risks and hazards
Einergency.Management/Operation Plans
• Maintaining a current EOP that is aligned with guidelines set out in CPG 101v.2
&tplltvLly�,fettu govinativncrl-preparedness/ lair
• Modifying existing incident management and emergency operations plans
• Developing /enhancing large -scale and catastrophic event incident plans
Communications Plans
• Developing and updating Statewide Communication Interoperability Plans
• Developing and updating Tactical Interoperability Communications Plans
2&
Appendix 13- FY 2014 EMPG Program Funding Guidelines
55A -37
Continuity /Administrative Plans
• Developing /enhancing Continuity of Operation (COOP) /Continuity of Government
(COG) plans
• Developing/enhancing financial and administrative procedures for use before, during, and
after disaster events in support of a comprehensive emergency management program
Whole Community engagement /planning
• Developing /eiilnancing emergency operations plans to integrate citizen/volunteer and
other non - governmental organization resources and participation
• Engaging the whole community in security and emergency management is critical to
achieving the Goal
• Public education and awareness on emergency management and preparedness
• Planning to foster public- private sector partnerships
• Development or enhancement of mutual aid agreements /compacts, including required
membership in EMAC
Resource management planning
• Developing /enhancing logistics and resource management plans
• Developing /enhancing volunteer and/or donations management plans
• Acquisition of critical emergency supplies such as: shelf stable food products, water,
and /or basic medical supplies. Acquisition of critical emergency supplies requires each
State to have FEMA's approval of a five -year viable inventory management plan if
planned grant expenditure is over $100,000 ; an effective distribution strategy;
sustainment costs for such an effort; and logistics expertise to avoid situations where
funds are wasted because supplies are rendered ineffective due to lack of planning.
• Supply preparation
Evacuation planning
•
Developing/enhancing evacuation plans, including plans for: alerts /warning, crisis
communications, pre - positioning of equipment for areas potentially impacted by mass
evacuations sheltering, and re- eutry.
Pre - disaster and post - disaster Recovery planning
• Disaster housing planning, such as creating/supporting a State disaster housing task force
and developing /enhancing State disaster housing plans
• Pro -event response /recovery / mitigation plans in coordination with State, local, and tribal
governments
• Developing/enhancing other response and recovery plans
Developing recovery plans and preparedness programs consistent with the principles and
guidance in the NDRF that will provide the foundation for recovery programs and whole -
community partnerships. Preparedness and pre - disaster planning was given special
attention within the NDRF with specific guidance: Planning' far a Successful Disaster
Recovery (pages 63 -70). For more information on the NDRF see
h ,lp ffiyvv ,{ema.Qo, v /na /recovervframerovork/n(lrfpdf,
29
Appendix B- FY 2014 EMPG Program Funding Guidelines
55A -38
F /ERO Credentialing and Validation
• Working group meetings and conferences relating to emergency responder credentialing
and validation
• Compiling data to enter into an emergency responder repository
• Coordinating with other State, local, territorial, and tribal partners to ensure
interoperability among existing and planned credentialing and validation systems and
equipment
• Planning to incorporate emergency responder identity and credential validation into
training and exercises.
Organization
Per the Robert. T. Stafford Disaster Relief and Emergency Assistance Act, as amended, (42
U.S.C. §§ 5121 - 5207), EMPG Program funds may be used for all- hazards emergency
management operations, staffing, and other day -to -day activities in support of emergency
management, including hazard mitigation staffing of the State Hazard Mitigation Officer
(SHMO) position; performing close out activities on FEMA Disaster Assistance grants; and
supporting fusion center analysts who are directly involved in all hazards preparedness activities
as defined by the Stafford Act. Proposed staffing activities should be linked to accomplishing
the activities outlined in the EMPG Program Work Plan. To ensure adequate resources are
dedicated to the critical components of preparedness, grantees are encouraged to fund at least
one dedicated Planner, Training officer, and Exercise Officer.
Personnel costs, including salary, overtime, compensatory time off, and associated fringe
benefits, are allowable costs with EMPG Program funds. These costs must comply with 2 C.F.R.
Part §225, Cost Principles for State, Local, and Indian Tribal Governments (Office of
Management and Budget [OMB] Circular A -87).
Equipment
Allowable equipment categories for the EMPG Program are listed on the web -based version of
the Authorized Equipment List (AEL) on the Responder Knowledge Base (RKB), which is
sponsored by FEMA at h tps: //www.Glis dhs env /lcnovvled�ebase. Unless otherwise stated,
equipment must meet all mandatory regulatory and/or FEMA - adopted standards to be eligible for
purchase using these frmds. In addition, agencies will be responsible for obtaining and
maintaining all necessary certifications and licenses for the requested equipment.
The select allowable equipment includes equipment from the following AEL categories:
• Information Teclmology (Category 4)
• Cyber security Erhhancement Equipment (Category 5)
• Interoperablo Communications Equipment (Category 6)
• Detection Equipment (Category 7)
• Power Equipment (Category 10)
• Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Reference
Materials (Category 11)
• CBRNE Incident Response Vehicles (Category 12)
• Physical Security Enhancement Equipment (Category 14)
30
Appendix B- FY 2014 EMPG Program Funding Guidelines
55A -39
• CBRNE Logistical Support Equipment (Category 19)
e Other Authorized Equipment (Category 21)
In addition to the above, general purpose vehicles are allowed to be procured in order to carry
out the responsibilities of the EMPG Program. If State agencies and/or local goveriunents have
questions concerning the eligibility of equipment not specifically addressed in the AEL, they
should contact their FEMA Regional Program Manager for clarification.
Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially
high cost items and those subject to rapid technical advances. Large equipment purchases must
be identified and explained. For more information regarding property management standards for
equipment, please reference 2 CFR Part 215, located at
httn'//wvvw whitehozase g >ov/ombleirctilars a087 20041 (OMB Circular A -$7),
Training
EMPG Program funds may be used for a range of emergency management - related training
activities to enhance the capabilities of State and local emergency management personnel
through the establishment, support, conduct, and attendance of training. Training activities
should align to a current, Multi,Year TEP developed though an annual TEPW, Further
guidance concerning the TEP and the TEPW can be found at httns: / /Dzsee , dhs. ov. Training
should foster the development of a community oriented approach to emergency management that
emphasizes engagement at the community level, strengthens best practices, and provides a path
toward building sustainable resilience. All EMPG Program funded personnel shall participate in
no less than three exercises in a 12 month period.
EMPG Program funds used for training should support the nationwide implementation of NIMS.
The NIMS Training Program establishes a national ourricudu m for NIMS and provides
information on NTMS courses; grantees are encouraged to place emphasis on the core
competencies as defined in the NIMS Training Program, The NIMS Training Program can be
found at( /wvvvv, ema,g2y /gds eyw�ene /n., /ny izns trainin > nrore'a'rt.pdf,
The NIMS Cncideline far Credentialing of Personnel provides guidance on the national
credentialing standards. The NIMS Guidelines for Credentialing can be found at
hh_ti /Lwww.-ama �,,ovIL)clPeme�,«encv/ninis/nims creel Jzuidelines report pelf
To ensure the professional development of the emergency management workforce, the grantee
must ensure a routine capabilities assessment is accomplished and a multi -year training plan is
developed and implemented.
For additional information on review and approval requirements for training courses funded with
preparedness grants please refer to the following policy: http: / /www.fema nov /media- librczrv-
dcita/ 111Sd44e063G7b1i895 .lOcJc &79c1875 /FINAL GPD+TraininZ+ -Three +for +Free +Poltc
09 +10 +13.pdf.
Additional types of training include, but are not limited to, the following:
31
Appendix B- FY 2014 EMPG Program Funding Guidelines
55A -40
• Developing /erilrancing systems to monitor training programs
• Conducting all hazards emergency management training
• Attending Emergency Management Institute (EMI) training or delivering EMI train -the-
trainer courses
• Attending other FEMA- approved emergency management training
• Mass evacuation training at local, State, and tribal levels
Allowable training - related costs include the following:
Funds Used to Develop, Deliver, and Evaluate Training Includes costs related to
administering the training: planning, scheduling, facilities, materials and supplies,
reproduction of materials, and equipment. Training should provide the opportunity to
demonstrate and validate. skills learned, as well as to identify any gaps in these, skills.
Any training or training gaps, including those for children and individuals with
disabilities or access and functional needs, should be identified in the AAR/IP and
addressed in the training cycle. States are encouraged to use existing training rather than
developing new courses. When developing new courses States are encouraged to apply
the Analysis Design Development and Implementation Evaluation (ADDIE) model for
instruction design,
Overtime and Baelcfill The entire amount of overtime costs, including payments related
to backfrlling personnel, which are the direct result of attendance at FEMA and /or
approved training courses and programs are allowable. These costs are allowed only to
the extent the payment for such services is in accordance with the policies of the State or
unit(s) of local government and has the approval of the State or the awarding agency,
whichever is applicable. In no case is dual compensation. allowable. That is, an
employee of a trait of government may not receive compensation from their unit or
agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to
5:00 p.m.), even though such work may benefit both activities.
Travel Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by
employees who are on travel status for official business related to approved training.
Hiring of Fall or Part -Time Staff or Contractors /Consultants Full or part -time staff
may be hired to support direct training - related activities. Payment of salaries and fringe
benefits must be in accordance with the policies of the State or unit(s) of local
government and have the approval of the State or awarding agency, whichever is
applicable.
Certffication/Recertifleation of Instructors Costs associated with the certification and
re- certification of instructors are allowed. States are encouraged to follow the FEMA
Instructor Quality Assurance Program to ensure a minimum level of competency and
corresponding levels of evaluation of student learning. This is particularly important for
those courses which involve training of trainers.
Exercises
Allowable exercise - related costs include:
32
Appendix 13- FY 2014 EMPG Program Funding Guidelines
55A -41
• Funds Used to Design, Develop, Conduct and Evaluate an Exercise This includes costs
related to planning, meeting space and other meeting costs, facilitation costs, materials
and supplies, travel, and docinnentation. Grantees are encouraged to use free public
space /locations /facilities, whenever available, prior to the rental of
space /locations /facilities. Exercises should provide the opportunity to demonstrate and
validate skills learned, as well as to identify any gaps in these skills, Any exercise or
exercise gaps, including those for children and individuals with disabilities or access and
functional needs, should be identified in the AAR/IP and addressed in the exercise cycle.
• Hiring of Full or Part -Time Staff or Contractors/Consultants Full or part —time staff
may be hired to support direct exercise activities. Payment of salaries and fringe benefits
must be in accordance with the policies of the State or unit(s) of local government and
have the approval of the State or the awarding agency, whichever is applicable. The
services of contractors/consultants may also be procured to support the design,
development, conduct and evaluation of exercises.
• Overtime and Backfill The entire amount of overtime costs, including payments related
to backfilling personnel, which are the direct result of time spent on the design,
development and conduct of exercises are allowable expenses. These costs are allowed
only to the extent the payment for such services is in accordance with the policies of the
State or unit(s) of local government and has the approval of the State or the awarding
agency, whichever is applicable, In no case is dual compensation allowable. That is, an
employee of a unit of government may not receive compensation from their unit or
agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to
5:00 p.m..), even though such work may benefit both activities.
• Travel Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by
employees who are on travel status for official business related to the planning and
conduct of the exercise activities
• Supplies Supplies are items that are expended or consumed during the course of the
planning and conduct of the exercise activities (e.g., gloves, non - sterile masks, and
disposable protective equipment)
• Implementation of'HSEEP This refers to costs related to developing and maintaining a
self - sustaining State IISEEP which is modeled after the national HSEEP
• Other Items These costs are limited to items consumed in direct support of exercise
activities such as the rental of space /locations for planning and conducting an exercise,
rental of equipment, and the procurement of other essential nondurable goods. Grantees
are encouraged to use free public space /locations, whenever available, prior to the rental
of space /locations. Costs associated with inclusive practices and the provision of
reasonable accommodations and modifications that facilitate full access for children and
adults with disabilities.
Unauthorized exercise - related costs include;
• Reimbursement for the maintenance and /or wear and teat costs of general use vehicles
(e.g., construction vehicles) and emergency response apparatus (e.g., fire trucks,
ambulances). The only vehicle costs that are reimbursable are fuel /gasoline or mileage.
• Equipment that is purchased for permanent installation and /or use, beyond the scope of
exercise conduct (e.g., electronic messaging signs)
33
Appendix B- FY 2014 EMPG Program Funding Guidelines
55A -42
• Durable and non- duuable goods purchased for installation and /or use beyond the scope of
exercise conduct
Construction and Renovation
Construction and renovation projects for a State, local, territorial, or tribal government's
principal Emergency Operations Center (EOC) as defined by the SAA are allowable under the
EMPG Program.
Written approval must be provided by FEMA prior to the use of any EMPG Program funds for
construction or renovation. Requests for EMPG Program funds for construction of an EOC must
be accompanied by an EOC Investment Justification (FEMA Form 089- 0 -0 -3; OMB Control
Nurmber; 1660- 0124 (httn 11www fema.avv /ptlf�overn.m.enrant /201 Ufyll eoc inv.pdo to their
Regional Program Manager for review. Additionally, grantees are required to submit a SF -424C
Budget and Budget detail citing the project costs.
When applying for funds to construct communication towers, grantees and sub - grantees must
submit evidence that the FCC's Section 106 review process has been completed and submit all
documentation resulting from that review to GPD prior to submitting materials for EHP review.
Grantees and sub - grantees are also encouraged to have completed as many steps as possible for a
successful EHP review in support of their proposal for funding (e.g., coordination with their
State Historic Preservation Office to identify potential historic preservation issues and to discuss
the potential for project effects, compliance with all State and EHP laws and requirements).
Projects for which the grantee believes an Environmental Assessment (EA) may be needed, as
defined in 44 C.F.R. §§ 103 and 10.9, must also be identified to the FEMA Regional Program
Manager within six months of the award and completed EHP review materials must be submitted
no later than 12 months before the end of the period of performance. EHP review packets should
be sent to auclehpinfo iFfema.uOV.
EMPG Program grantees using finds for construction projects must comply with the Davis -
Bacon Act (40 U.S.C. §§ 3141 et sed.). Grant recipients must ensure that their contractors or
subcontractors for construction projects pay workers employed directly at the work -site no less
than the prevailing wages and fringe benefits paid on projects of a similar character. Additional
information, including Department of Labor (DOL) wage determinations, is available from the
following website: tpLlw vmdol,,govv qgq npliance/lavvs /comp -e1hr a htrn.
Maintenance and Sustainment
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or
replacement costs, upgrades, and user fees are allowable under all active and future grant awards,
unless otherwise noted.
EMPG Program grant funds are intended to support the Goal and fund activities and projects that
build and sustain the capabilities necessary to prevent, protect against, mitigate the effects of,
respond to, and recover from those threats that pose the greatest risk to the security of the Nation.
In order to provide grantees the ability to meet this objective, the policy set forth in GPD's 113
379 (Guidance to State Administrative Agencies to Expedite the Expenditure of Certain
DHS/FEMA Grant Funding) allows for the expansion of eligible maintenance and sustainment
34
Appendix B- FY 2014 EMPG Program Funding Guidelines
55A -43
costs which must be in 1) direct support of existing capabilities; (2) must be an otherwise
allowable expenditure under the applicable grant program; (3) be tied to one of the core
capabilities in the five mission areas contained within the National preparedness Goal, and (4)
shareable through the Emergency Management Assistance Compact. Additionally, eligible costs
must also be in support of equipment, training, and critical resources that have previously been
purchased with either Federal grant or any other source of funding other than DHS /FEMA
preparedness grant program dollars. Additional guidance is provided in FEMA Policy FP 205-
402- 125 -1, Maintenance Contracts and Warranty Coverage Fancied by Preparedness Grants,
located at; httn.' / /wrvw.fem --gov/ media- llbrgalarsetr/dociiments /32474.
Unallowable Costs
Expenditures for weapons systems and ammunition
Costs to support the hiring of sworn public safety officers for the purposes of fulfilling
traditional public safety duties or to supplant traditional public safety positions and
responsibilities
Activities and projects unrelated to the completion and implementation of the EMPG
Program
In general, grantees should consult with their FEMA Regional Program Manager prior to malting
any Investment that does not clearly meet the allowable expense criteria established in this
Guidance.
35
Appendix 13- FY 2014 EMPG Program Funding Guidelines
55A -44
EMPG Program Work Plan Instructions
All EMPG Program applicants are encotvaged to use the templates to submit a required Work
Plan that outlines the State's emergency management sustainment and enhancement efforts,
including new and ongoing activities and projects, proposed for the EMPO Program period of
performance. The Work Plan consists of a Program and Budget Narrative, Personnel Data
Table, Training Data Table, Exercise Data Table, and Grant Activities Outline. FEMA regional
program managers will work closely with States to monitor Work Plans during the performance
period and may request further documentation from the grantee to clarify the projected work
plan. In addition, FEMA Regional Program Managers must approve final Work Plans before
States may draw down EMPG Program funds. Grant funds will be released on a rolling basis
upon approval of the State's final Work Plan.
Program and Budget Narrative
Provide a brief description of the State emergency management priorities and initiatives
that will be addressed with EMPG Program funds. In addition, the narrative should
address, if applicable, the following;
• Overview of the State's risk profile such as resulting from a THIRA
• Areas of need identified through assessment processes such as the State
Preparedness Report, Emergency Management Accreditation Program Assessment
Process, National Emergency Communications Plan Goal Assessments, or other
Emergency Management assessment processes
• Baseline inventory of where States are now relative to goals and objectives
identified in relevant strategic plans per CPG 101 v.2
• State errtergency management priorities and planning focus for current budget year
(including linkage to the core capabilities identified in the Goal)
Personnel Data Table
To facilitate consistent data reporting and performance measures collection, a Personnel
Data Table should be completed for State, Local, Tribal and Territory (SLIT) personnel
supported with EMPG Program funds. The data requested will assist in documenting the
extent to which EMPG Program funding contributes to enhancing or sustaining emergency
management capacity in terms of personnel support at the State level. This template will
be submitted with the EMPG Program Work Plan and updated only if numbers change
more than 10% during the award period of performance.
Personnel Data Table Template
Personnel Metrics
Data
All EMPG Program funds (Federal and match) allocated towards State emergency
management personnel
All EMPG Program fiends (Federal and match) allocated towards Non -State emergency
management personnel (Local, Tribal, Territories)
Total Number of State emergency management full -time equivalent (FTE) personnel
(including those supported and not supported by the EMPG Program)
36
Appendix C- FY 2014 EMPG Program Work Plan
55A -45
Number of State emergency management full -time equivalent (FTE) personnel
supported (fully or partially) by the EMPG Program
Total Number of State, Local, Tribal or Territory (SLTT) emergency management
Number of
personnel supported (fully or partially) by the EMPG Program.
Personnel Data Table Definitions
This template is completed and submitted with the EMPG Program Work Plan and only re-
submitted if the data changes more than 10% in any category,
Line 1 - All EMPG Program funds (Fed & match) allocated for State emergency management
personnel
Line 2 -All EMPG Program funds (Fed & match) allocated towards Non -State emergency
management personnel (Local, Tribal, Territories)
Line 3 - Total Number of State Emergency Management full -time equivalent (FTE) personnel
(including those supported and not supported by the EMPG Program)
Line 4 - Number of State emergency management full -time equivalent (FTE) personnel
supported by the EMPG Program
Line 5 - Total Number of State and local emergency management personnel funded (fully or
partially) by the EMPG Program. This number provides the "Universe" number for the Training
& Exercise templates,
Training Data Table
To facilitate consistent data reporting and performance measures collection, a Training
Data Table should be completed for training sessions that meet the EMPG requirements
and any EMPG funded training courses. This template should be updated quarterly with
cumulative information.. EMPG Program funded personnel shall participate in no less than
three exercises, have completed the listed training requirements, and record proof of
completion.
Training Data Table Template
37
Appendix C- FY 2014 EMPG Program Work Plan
55A -46
Total # of
Number of
Total # of
SLTT
SLTT EMPG
Name of
]EMPG
Number of
SLTT
EMPG
Funded
Training
Required?
Personnel
EMPG.
Funded
personnel
(YEN)
Trained
Funded
Personnel in
have nottaken
have not ken
personnel
the Course
this course
37
Appendix C- FY 2014 EMPG Program Work Plan
55A -46
Training Data Table Definitions:
Col 1 - Name of Training
Col 2 - Is the course required of EMPG funded personnel?
Col 3 - # of Personnel Trained
Col 4 - Total # of SLTT EMPG Funded Personnel (Universe)
Cot 5 - Total # of SLTT EMPG Funded Personnel in the Course
Col 6 - Number of SLTT EMPG Funded Personnel that have not taken the Course
Exercise Data Table
To facilitate consistent data reporting and performance measures collection, an Exercise
Data Table should be completed for any exercises cited to meet EMPG requirements
and/or that are conducted in whole or part with EMPG funds.
Exercise Data Table Template
38
Appendix C- FY 2014 EMPG Program Work Plan
55A -47
Total # of
Number of SLTT
SLTT
EMPG Program
Exercise
# of
Name or Description of Exercise
EMPG
Funded Personnel
Data Table
Exercises
Funded.
Participating in
ersonnel
Exercise
Discussion -
Based
Seminar
Workshop
Tabletop
Exercise
TTX
Game
Operations -
Based
Aria
Discussion-
Based
Functional
Exercise
Full -Scale
Exercise
38
Appendix C- FY 2014 EMPG Program Work Plan
55A -47
Exercise Data Table Definitions:
Col 2 - Number of Instances of the Type of Exercise
Col 3 - Name/Description of Exercise
Col 4 - Total # of SLTT ENIPG Funded Personnel (Universe)
Col S - Total # of SLTT EMPG Funded Personnel Participating in Exercise
Grant Activities Outline
To facilitate performance measures and focus on outcomes, an EMPG Program
Grant Activities Outline should be completed for activities supported with FY 2011
EMPG Program funds (including construction and renovation projects). The data outlined in this
template will be used to evaluate the timely completion of planned emergency management
activities. Grantees are encouraged to complete a separate Grant Activities Outline for each
EMF. Quarterly training activities should be reported against EMF #13, "Training," and
quarterly exercise activities should be reported against ENIF #14, "Exercises, Evaluations and
Corrective Actions." Grantees should complete a template as shown on the next page and address
the following areas:
EMF Number. Identify how the grant activities relate to the EMFs outlined in the
September 2007 version of the Emergency Management Accreditation Program
(E'MAP) Standard (e.g. Resource Management, Communications and Warning, etc)
Name of Planned Project. Provide a descriptive name of each planned project.
Examples include "Development of Emergency Function Annexes ", "Development of
Earthquake Scenario Loss Estimations ", "Implementation of Statewide Interoperability
Plan ", "NIMS Training for Emergency Management Personnel ", "Development of
Emergency Preparedness Plan for Individuals with Disabilities ", etc.
Project Objective. Briefly explain the major objective of the project, including how the
project will address gaps identified through various assessments conducted.
Performance Measure and Basis of Evaluation. Indicate the performance measure
that will be used to evaluate this project Challenges/Pisks. Identify any challenges to
implementing this project or any of its activities.
Quarterly Activity. Break each project down into quarterly activities, For each
quarter, briefly identify the activities that will accomplish the
planned project. This information will provide the foundation for the
second component of the Quarterly Progress Report,
Step. Provide the status of planned quarterly activities. The main steps and processes
of the Project Management Lifecycle are summarized in the below table
39
Appendix C- FY 2014 EMPG Program Work Plan
55A -48
Comments. Briefly describe the reason for the prof ect status and provide other
comments as needed. Include the number of training sessions funded and the
number of personnel trained in this section.
Grant Activities Outline - Template
Name of Planned
Project:
Project Objective:
Performance Measure
and Basis of Evaluation:
Challenges /Risks:
1s Quarter Activity
Planned Activities:
Step:
Comments:
(10/1113-12/31/13)
2no Quarter Activity
Planned Activities:
Step:
Comments:
1 /1 /14. 3/31 /14
3` Quarter Activity
Planned Activities:
Step:
Comments:
4/1/14. 6/30/14
4 Quarter Activlty
Planned Activities:
Step:
Comments.
7/1 /14. 9/30/14
Tff
5 Quarter Activity
Planned Activities:
_
Step:
Comments:
10/l/14-12/31
6 Quarter Activity ^
Planned Activities:
Step:
Comments:
1 /1 /15 -3/31 /15
7 Quarter Activity
Planned Activities:
Step:
Comments:
(4/l/15-6130/15)
_
S Quarter Activity
Planned Activities:
Step:
Comments:
(7/l/15-9130/15)
40
Appendix C- FY 2014 BMPG Program Work Plan
55A -49
Project Manageinent Lifecycle
Ste s
bescrl tion
Process
The authorization to begin work or
Involves preparing far, assembling
Initiate
resume work on any particular
resources and getting work started. May
activity
apply to any level, e.g. program, project,
hase, acti l task.
The purposes of establishing, at an early
Involves working out and extending the
Plan
date, the parameters of the project that
theoretical, practical, and /or useful
is going to be worked on as well as to try
application of an idea, concept, or
to delineate any specifics and /or any
preliminary design. This also involves a plan
peculiarities to the project as a whole
for moving a project concept to a viable
and /or any specific phases of the
project.
project.
The period within the project lifecycle
Involves directing, accomplishing,
managing, and completing all phases and
Execute
during which the actual work of
creating the project's deliverables is
aspects of work for a given project.
carried out.
A mechanism which reacts to the
Involves exercising corrective action as
Control
current project status in order to ensure
necessary to yield a required outcome
accomplishment of project objectives.
consequent upon monitoring performance.
This involves planning, measuring,
Or, the process of comparing actual
monitoring, and taking corrective action
performance with planned performance,
based on the results of the monitoring,
analyzing variances, evaluating possible
alternatives, and taking appropriate
correct action as needed.
The completion of all work on a project.
Involves formally terminating and concluding
Close
Can also refer to completion of a phase
all tasks, activities, and component parts of
Out
of the project
a particular project, or phase of a project
41
Appendix C- FY 2014 LMPG Prog=i Work Plan
55A -50
EXHIBIT "B"
55A -51
(C41 DES Use 0"N1
Car QFS s Dan.G.u9r I as is VS UfDA 4 970l2 Grant 0 2014 007o
. .. ... ..... .. .... 11-1-1.11.
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES
GRANT AWARD FACE SHEET (Cal OES 2.101)
I'de cai,lorrio ro,earor's otficoot Emergency $9 otao' Cal OES, harecar makes a Graul Award of funds In the ftl1lQwing:
1. Grant Recipient; qo .... itf-919.0nae. Ia. DUNS# U0-0,5 AnDt'
In the a mount and for it Is purpose and duration act forth in this Grant Award,
2. I mratlmonthrit; Agency: C-Orrya.f.SalloArm
2a. DUNS!! oa•niti-32A,
3 folfiriniOntinr Agency Addross: 60 Civic canter M07A Soria ArA 4210 1 .1 as I
- -----------------
4. l,ccatonn of Project: Caynl Santa !lds, lU?T:!
Qoy coanty
5, DisasteGPrpgram Title: h!xyMaliJSn!!.0'Pad arcs Giant 0. Perfor"hanco Period: orloVi to
—1— - .... 4 ------ ......
..... . . . ....
Years Fund Source t A. State B, Federal i C radii 0 Cash E. In,Kind R fare G, Total Projectl • Match Match Match Cost
2014 -7 VNIPG
�s 2,01 4311 WA34
...... ......
select railacl
S elect q sa loci $0 $0
U. a a
+ -
12 TO TA 14
'3 52 01 $52434
11 this Grant Aware consists of it"s st" longer the OpaliCatli'll for the grant. WhIch Is attAChad and modes part hereof, anal the
AsnuraturexaCaroficartans, he fogy corCify am vested with Otte ownority ro enter Into this Grant Award Agroomard, and have the approval time
Chy/Co; ... ty Financial Officer, City Manager County Administrator. Governing Baard Chair, or other Approving i3oOy. The Grant fieciplanil cc rtifills
that all funds received pursuant to this agrartmomt will by spent exclusively on the purposes sivocsiedill the Grand Award,
accupl5 this Grant Award and agrees to administer the grant project in accordance with the Grant Award an well as all applor0cha state and federal
Laws, audit requirements, fijaeml program guidelines. and Cal OES policy and program guidance. rho Grant Recipient further qro" that the
allocation at foods may be contingent or the enactment of the slate Budget,
14. Official Authorized to Sign lot ApielliminhOont Recipient: 15, Falderal EroplimarrIDN
Name; Title: ONgLyl ElAca
Telephone 11 i24WQQ 1 PAX
flaoj'y arda---- Email
Payment fanning Addrear- a Crty; Santa Anal lip-4. 92 Wirlt
7
Sidgairne: 7 Dale;
i hereby certify ur"On in, persons, knowfiedge, fti'll Cudgeled funds are available in, the Pound and purposes Dr this expenditure; stated Db,)ve
Cal OF$ Psom QOcar Data oil Ors D'ecto, tQ' o0eg000) Dart
. ........... .....
Cl,ink Award Face Sheei -Car Orq f 101 licevied 1.;!3)
55A-52
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EXHIBIT "C"
55A -61
Fiscal Year 2014
EMERGENCY MANAGEMENT
PERFORMANCE GRANTS (EMPG) PROGRAM
California Supplement to the Federal Program Funding
Opportunity Announcement; or, The State Guidance
55A -62
STATE OF CALIFORNIA
Edmund G. Brown Jr, Governor
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES
Mark S. Ghilarducci, Director
Nancy Ward, Chief Deputy Director
FINANCE & ADMINISTRATION DIRECTORATE
Brendan A. Murphy, Deputy Director
GRANTS MANAGEMENT SECTION
Gina Buccieri- Harrington, Assistant Director
CRIMINAL JUSTICE / EMERGENCY MANAGEMENT & VICTIM SERVICES BRANCH
Gwen Durling, Branch Manager
CRIMINAL JUSTICE / EMERGENCY MANAGEMENT DIVISION
John Isaacson, Division Chief
EMERGENCY MANAGEMENT GRANTS UNIT
John Thomas, Supervisor
Cheryl McCorlcle, Program Specialist
Patti Delaney, Program Specialist
Michelle Cruz, Program Specialist
55A -63
Director's Message
The California Governor's Office of Emergency Services (Cal OES), as the leader in emergency management,
continuously strives to protect lives and property, build capabilities, and support our communities for a resilient
California.
As a result of our (state govermnent, its political subdivisions, and tribal nations) dedicated efforts and collaborative
partnerships, under the Emergency Management Performance Gram (EMPG), we have undoubtedly made our
communities safer and better prepared. It is through our jointly vested responsibility in emergency management that a
robust system of emergency preparedness, for the protection of life and property from all hazards and threats, has
been established in the State of California.
This year, through the EMPG Program, we will continue to promote the advancement of both our collective, as well
as individual security and emergency management efforts. In addition, our efforts will support the National
Preparedness Goal's associated mission areas and core capabilities.
Throughout the duration of the grant, Cal OES EMPG program specialists and emergency services coordinators will
continue to be available to assist you in enhancing your emergency management programs, both grant-related and
operations - related, and I encourage you to contaet them for their respective guidance and advice.
We have much work ahead of us as we continue to plan for both the expected and the unexpected. California
continues to be recognized as a national leader in emergency management and the dedicated, staff at Cal OES will
continue to work, collaboratively and in unison, with you to advance our combined efforts to promote safe and
prepared comrmnities with the strength to withstand, or rebound, from any event or emergency.
To further our progress, lam pleased to present the Cal OES Fiscal Year 2014 Emergency Management Performance
Grant Program -- California Supplement to the Federal Program Funding Opporhmity Announcement.
Mark S. Ghthifilututi
Director
55A -64
Table of Contents
FEDERALPROGRAM GUID ANCE ........................................................................................ ..............................1
INFORMATIONBULLETINS ...............................................................................................
............................... I
GRANT MANAGEMENT MEMORANDUMS ..................................................................... ...............................
.... I
PURPOSE OF T141S SUBGRANT & GUIDANCE .....................................................................
............................... I
ELIGIBLE SUBGRANTREC[ PIENTS .................... ....... ........................................ ................................................
I
SUBRECIPIENTS / PASS- THROUGH ENTITIES .....................................................................
..............................1
PERFORMANCEPERIOD ....................................................................................................
............................... I
MATCHREQUIREMENTS ...................................................................................................
..............................2
ALLOCATIONS AND METHODOLOGY .................................................................................
..............................2
EXCESSFUNDS .................................................................................................................
..............................2
SUBGRANT TIMELINES / KEY DATES ................................................................................
..............................2
WHAT'S NEW? .................................................................................................................
..............................3
EMPGPROGRAMM EMPHASIS ............................................................................................
..............................3
APPLICANT RESPONSIBILITIES ...........................................................................................
..............................4
APPLICATIONDOCUMENTS ...............................................................................................
..............................4
OPTIONAL APPLICATION COMPONENTS ............................................................................
..............................4
GOVERNING BODY RESOLUTION ( GBR) ............................................................................
..............................5
ADDENDUM TO GOVERNING BODY RESOLUTION .............................................................
..............................5
OFFICIAL WRITTEN CORRESPONDENCE ............................................................................
..............................5
GRANT CERTIFICATIONS AND ASSURANCES .....................................................................
..............................5
NIMSADOPTION ..............................................................................................................
..............................6
APPLICATIONDUE DATE ..................................................................................................
..............................6
APPLICATIONSUBMITTAL .................................................................................................
..............................6
EMPGPROGRAM SPECIALISTS .........................................................................................
..............................6
MAILINGADDRESS ...........................................................................................................
..............................6
APPROVAL OF APPLICATION .............................................................................................
..............................6
ADDITIONALFUNDS .........................................................................................................
..............................7
APPLICABLE LAWS & REGULATIONS ................................................................................
..............................7
ENVIRONMENTAL PLANNING AND HISTORIC PRESERVATION (EHP) COMPLIANCE ..........
..............................7
FEDERALLY MANDATED OBJECTIVE INFORMATION ........................................................
............................... 8
VALIDATING CAPABILITIES OBJECTIVE: DEVELOP AND MAINTAIN MULTI -YEAR TEPS
.. ..............................9
VALIDATING CAPABILITIES OBJECTIVE: EXERCISE ..........................................................
..............................9
VALIDATING CAPAB[LITIFS OBJECTIVE: TRAINING .........................................................
.............................10
55A -65
TRAINING FEEDBACK NUMBER ..... ...............................
SUBCONTRACTS,, ............................................ ............
SYSTEM FOR AWARD MANAGEMENT (SAM) ............ -
MAINTENANCE AND S USTAINMENT .............................
UNALLOWABLE COSTS ................. ...............................
SUPPLANTING............................... ...............................
ACCESSIBILITY OF RECORDS — . .... ...............................
REIMBURSEMENT OF ELIGIBLE COSTS .........................
GRANT MODIFICATIONS ................
PERFORMANCE REPORTS ............... ..............................�
CLOSEOUT.................................... ...............................
RECORDS RETENTION .................... ...............................
FINAL SUBGRANT REPORT ............. ...............................
AUDIT REQUIREMENTS .................. ...............................
MONITORING SUBGRANT PERFORMANCE .....................
GRANT- RELATED DOCUMENTS':
................................................ .............................11
................................. .............................11
................................................ .............................11
....... - ....................................... .............................11
................................................ .............................12
................................................ .............................12
................................................ .............................12
................................................ .............................12
............................................... .............................12
............................................... .............................13
............................................... .............................13
............................................... .............................13
................................................ .............................13
.............................................. .............................13
...... ............................... . ......... .............................13
• FINANCIAL MANAGEMENT FORMS WORKBOOK (FMFW) — (REQUIRED)
• GOVERNING BODY RESOLUTION (GBR) & ADDENDUM TO GBR— (REQUIRED)
• GRANT CERTIFICATIONS AND ASSURANCES — (REQUIRED)
• FY2014 EMPG APPLICATION CHECKLIST — (REQUIRED)
• EXCESS FUNDS STATEMENT FORM — (OPTIONAL)
• ADDITIONAL PROJECT USING EXCESS FUNDS FORM — (OPTIONAL)
• ADDITIONAL PROJECT USING EXCESS FUNDS DETAILED BUDGET FORM — (OPTIONAL)
• HOW TO SUBMIT AN EMPG MODIFICATION REQUEST — (INSTRUCTIONAL)
• HOW TO SUBMIT AN EMPG REIMBURSEMENT REQUEST — (INSTRUCTIONAL)
'All documents can be located on Cal OES' website aC: b1lp: / /www.oaloes.ca �+ov/EMS- iiS -FI z a'ei,;gpno-MauagemenC-
Peffo ftl lftnCE- GCant-DOCUiIlEnf9.ft,4pt.
55A -66
Federal Program The U.S. Department of Homeland Security (DHS) published the Fiscal Year 2014
Guidance Emergency Management Performance Grants (EMPG) Program, Funding Opportunity
Announcement (FOA) on March 10, 20142.
Information DHS issues Information Bulletins that provide updates, clarification, and requirements
Bulletins throughout the life of the grant 3.
Grant Cal OES issues Grant Management Memorandums (GMMs) that provide additional
Management information regarding EMPG funds 4.
Memorandums
Purpose of this The purpose of the Emergency Management Performance Grant (EMPG) Program is to
Subgrant & provide federal funds to states to assist state, local, and tribal governments in preparing for all
Guidance hazards. Funds provided under the EMPG must be used to support activities that contribute to
the Operational Area's capability to prevent, prepare for, mitigate against, respond to, and
recover from emergencies and disasters, whether natural or man -made. This California
Supplement to the Federal Program Funding Opportunity Announcement will provide the
Operational Areas (OAs) with guidance and forms to apply for, perform, and closeout the
FY14 EMPG subgrant. This supplemental guide specifies the performance period, objectives,
eligible activities, and other subgrant - related information and requirements. This document is
to supplement the U.S. Department of Homeland Security FY14 EMPG Program Funding
Opportunity Announcement;
Eligible Subgrant The eligible subgrant recipients are the 58 county Operational Areas (OAs). The Tribal
Recipients Guidance will be issued under separate cover.
(Subgrantees may contract with any other public or private organizations to perform eligible
activities on approved projects.)
Note: Cal OES is the, `grantee'; the county is the `subgrantee'; and the county's pass - through
entities are the `subreeipients'.
Sub recipients / Any time grant funds are given to a subrecipient/pass- through entity, such as a political
Pass - Through subdivision (city, town, or special district) or federally- recognized tribe, the county must
Entities ensure that the Assurances and Certifications of this subgrant are included as part of the
subgrant agreement with the subrecipient/pass- through entity.
Performance The performance period for FY 14 EMPG is July 1, 2014 through Junc 30, 2015.
Period
Pending receipt of all valid application materials, subgrantees may request retroactive
reimbursement of Financial Management Forms Workbook (FMFW) approved activities and
budgeted items to the start of the performance period listed above; with the exception of
Equipment. Procurement of equipment shall occur only after the OA is in grant award, and
any applicable federal requirements have been met.
z U.S. Department of Homeland Security FYJ4 TAZPG Program Funding Opportumiy Announcement may be viewed and downloaded at:
' Information Bulletins may be obtained at:
A GMMs can be located at: littu: / /www.catc
[1]
55A -67
Match The FYI EMPG requires a dollar- for - dollar match, This can be cash or in -kind. Refer to 44
Requirements Code of Federal Regulations (CFR), Part 13.24 for specific details.
Allocations and California will subgrant a total of $15,481,623 to Operational Areas. The local allocations
Methodology were determined using a $125,000 base award, with remaining funds distributed using per
capita figures in the Department of Finance's yearly report called:
E -1: City /County Population Estimates with Annual Percent Changes
Excess Funds While developing an application, if it is determined that all allocated funds cannot be
expended by the end of the performance period and the need to return a portion of
fiords to Cal OES exists, then it will be necessary to complete ire Excess Funds
Statement Form6. These Rinds can then be reallocated to other OAs who have
identified one -time projects they would like to undertake; if funding is available.
Subgrant
Timelines / Key
]Dates
March 10, 2014 D
DHS releases announcement of FY14 E1vlPG
April 9, 2014 C
Cal OES' Application due to DHS
July 1, 2014 S
Subgrantee Performance Period Begins
July 1, 2014 F
FY14 EMPG California Supplement to the
Federal Program Funding Opportunity
Announcement released
fuly 8, 9, 11, 15, 22, 25, 29, 2014_ E
EMPG A pplication Workshops
August 21, 2014 T
The OA's completed /vetted applications must
be received by Cal OES Grants Management
Section Program Specialist by this date
September 30, 2014 D
DHS awards grant fiords to Cal OES
September 30, 2014 M
MY -TEPs due to be submitted
October 14, 2014 P
Performance Report due to Program Specialist for
7/1/14 - 9/30/14
October 1.4, 2014 A
Anticipated date that OAs will be notified of
aDDlication amiro yal and award
January 14, 2015 P
Performance Report due to 'Program Specialist for-
7/l/2014– 12/31/2014
April 14, 2015 P
Performance Report due to Program Specialist for
7/1/201.4– 3/31/2015
June 30, 2015 S
Subgrantee performance period ends. All
subgrant activities must be completed and all
rant funds ex vended
July 14, 2015 F
Final Performance Report due to Program
Specialist for 7/1/2014 – 6/30/2015
July 14, 2015 F
Final Reimbursement Request due to Program
S ecialist
September 30, 2015 C
Cal OES' Federal Performance Period Ends
This report can be accessed at the following website: http: / /www di
This forth can be located at: http://,,vww.caloes.ca.gov/ElvfS-FTS-El
Documents_as _xx, under FY 14 EMPG Optional Application Forms.
[2]
55A -68
What's New? • The Cal OES Strategic Plan Goals have been updated.
• The EMPG specific FMFW has been revised, to include dropdown menu options on the
Project Descriptions Tab,
• SAFECOM requirements — Subgrantees (including their subrecipients) who receive awards
under the EMPG that wholly or partially provide funding for emergency communication
projects and related activities shall comply with the most recent version of the SAFFCOM
Guidance on Emergency Communications Grants.7
• Where, and to whom, all official Cal OES written notification will be mailed within a
subgrantee's organization has been revised.
• The EMPG Performance Report form has been revised to capture additionally required
information for federal reporting purposes.
• EMPG- funded personnel can no longer utilize participation in one real -world event in lieu
of participating in one of their three required exercises within a 12 -month period.
EMPG The FY14 EMPG Program will focus on the building, sustaimnent, and delivery of all- hazards
Program emergency management capabilities in the following areas:
Emphasis
• Planning
• Organization
• Equipment Acquisitions
• Training
• Exercises
• EOC Construction and Renovation
• Maintenance and Sustainment
The PY14 EMPG Program plays an important role in the implementation of the National
Preparedness System (NPS)a by supporting the development and sustairmient of core
capabilities. Core capabilities are essential for the execution of each of the five mission areas
outlined in the National Preparedness Goal (NPG). The development and sustairinicnt of thew
core capabilities are not exclusive to any s$2gle level of govermnent or organization, but rather
require the combined effort of the whole community. The FY14 EMPG Program supports all
core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission
areas based on allowable costs.
The SAEECOM Guidance on Emergency Communications Grants can be located at:
ht m /ta_t -afec_ omp rRm ov /eca/ 093 stifecom atdaace Peb 22 fmal.�df
"The National Preparedness System can be located at: http://www,feiuq.gov/11,ltlotial-
[31
55A -69
Applicant The applicants' responsibilities are to:
Responsibilities 1.
Submit a finalized FMFW application, both electronic copy and hard copy, to their Cal OES
EMPG Program Specialist by August 21, 2014 along with all other required application
components,
Note: An electronic copy of the proposed FMFW shall be submitted for Program Specialist
review and vetting prior to submission of signed hard copy original. The electronic copy of
the FMFW should be submitted for Cal OES review by no later than August 4, 2014,
2.
Comply with all certifications and assurances contained in the Grant Assurances submitted
with the FY14 EMPG application. In addition, if the OA subgrants finds to other entities,
their subgrant agreements /contracts must also include these same assurances and
certifications; along with any local requirements.
3.
Prepare and submit timely Performance Reports for the duration of the performance period.
4.
Maintain fmancial management systems that support subgrant activities in accordance with
Title 44 CFR, Part 13.20.,.,._,
5.
Submit revision requests to Cal OES gLia to incurring any associated expenditures; if
changes are required after the initial subgrant award. Further details are included in this
guidance under "Grant Modifications."
6.
Deobligate unexpended subgram funds to Cal OES after all work has been completed and
reimbursements have been disbursed.
7.
Maintain property, programmatic, and financial records in accordance with the grant record
retention requirements.
8.
Comply with the audit requirements in (OMB) Circular A -133, and Title 44 CFR Part 13.26.
9.
Complete all EMPG requirements associated with federal and state objectives; including but
not limited to, staff training and exercises.
10.
Submit all grant - related paperwork including: Performance Reports, Reimbursement
Requests, Modification Requests, and Amendments, by the identified due dates.
11.
Comply with Title 44 CFR Part 13, Title 2 CFR Part 225, and FEMA Grant. Programs
Directorate (GPD) Polices,
Application T1
Documents
1.
2,
3.
4.
5.
e application must include the following five components:
Financial Management Forms Workbook (FMFW)
Governing Body Resolution (GBR)
Addendum to Governing Body Resolution
Grant Certifications and Assurances
FY14 Emergency Management Performance Grants Application Checklist
Optional Excess Funds Statement Form - While developing an application, any excess funds should
Application be identified and returned to Cal OES so that the funds can be reallocated to other
Components Operational Areas. In this case, it will be necessary to complete and submit the Excess
Funds Statement Form to your Program Specialist by the application due date.
Additional Project Using Excess Funds Form and Additional Project Using Excess Funds
Detailed Budget - These two forms are to be used for requesting additional funding; should it
become available.
Application components can be found on the Cal OES website on the Emergency Management Performance Grants Documents page at:
tttp. / /www caloos ca aov/ ENiS- FdS- HazMaC/ Pades/ E+ iner¢ er�cv- Mu7aeernenf- Fetformance- Grant- Dncuments.asg�r.
[4]
55A -70
Governing The Governing Body Resolution (GBR) appoints agents authorized to execute any actions
Body necessary under this subgrant. GBRs can be used for up to three years as long as the majority of
Resolution the original approving Board members (three out of five) are still currently on the Board. If past
(GBR) GBRs are going to be utilized for present applications, then the OA will still need to submit a
copy with their application. Universal GBRs are strongly encouraged; this refers to a GBR that
does not identify a specific grant award amoumt, specific grant years, and does not identify a
specific grant program by name.
Addendum to For each person or position appointed by the governing body, submit the following information
Governing to Cal OES, along with the Resolution, on the applicant's letterhead:
Body • Name e Title
Resolution • Jurisdiction + E -Mail Address
• Street Address, City, & Zip Code • Phone and Fax Number(s)
Note: Changes identifying the Authorized Agent can be made if and when necessary. If the
Governing Body Resolution identifies the Authorized Agent by name, a now Resolution and
corresponding Addendum to the GBR are needed when any changes are made. If the Governing
Body Resolution identified the Authorized Agents by position and /or title, changes can be made
by only submitting a new Addendum to the GBR. Cal OES will not accept signatures of an
Authorized Agent's designee,
Official Written
For the EMPG Program, all official written correspondence from Cal OES will be mailed to the
Correspondence
payment mailing address, identified on the Grant Award Face Sheet, and addressed to the
Authorized Agent who signed the Grant Award Face Sheet.
Grant
The Grant Certifications and Assurances Form lists the requirements to which the OA will be
Certifications
held accountable. OAs are required to file a new Grant Certifications and Assurances form with
and Assurances
the FY14 EMPG appl.ioation. Failure to comply with any of the Certifications and
Assurances may result in suspension, termination, or reduction of grant funds.
The State may suspend or terminate subgrant funding, in whole or in part, or other measures
may be imposed for any of the following reasons:
• Failing to expend fiurds in a timely manner consistent with the grant milestones, guidance,
and assurances
• Failing to comply with the requirements or statutory objectives of federal or state law
• Failing to make satisfactory progress toward the goals or objectives set forth in the subgram
application
• Failing to follow grant agreement requirements or special conditions
• Proposing or implementing substantial plan changes to the extent that, if originally
submitted, the application would not have been selected for funding
• Failing to submit required reports on time
• Providing false certification hi the application or other report or document
• Failing to adequately manage, monitor, or direct the grant funding activities of their
subrecipients
• Failing to submit a Reimbursement Request
Before taking action, the State will provide the subgrantee reasonable notice of intent to
impose corrective measures and will make every effort to resolve the problem informally.
[5]
55A -71
NIMS Adoption In accordance with the homeland Security Presidential Directive (HSPD) -5, Management of
Domestic Incidents, the adoption of the National Incident Management System (NIMS) is a
requirement to receive federal preparedness assistance, through grants, contracts, and other
activities, The Certification and Assurances Form includes NIMS adoption for certifying
compliance, This certifies that the OA will complete the NIMS Implementation Tool, is working
on their metrics, and has adopted NIMS.
For further details and /or assistance regarding NIMS - related matters contact Nate Ortiz at
nate,-ortiz(i)caloes,ca gov, (916) 845 -8799; or Cindy Shipley at 0211-111 .shipfe�(ilcaloos ca uov,
(916) 845 -8753.
Application Due The application must be received by Cal OES no later than 5:00pm on August 21, 2014.
Date
Application The completed original hard copy of the FMFW and all other application components must be
Submittal mailed with original signatures, with enough time to be received by Cal OES' Grants
Management Section by the Application Due Date, Signatures should be in ink. OAs will also
submit an electronic copy of the completed FMFW to their Program Specialist. All application
materials must be received by Cal OES Grants Management Section by August 21„ 2014 at
5:00P .
Note: To streamline the process, electronically submit the completed FMFW to your EMPG
Program Specialist prior to submitting a signed hard copy, in order to identify any corrections
that may need to be addressed. The electronic copy of the FMFW should be submitted for
Cal OES review by no later than August 4, 2014. Work closely with your Program
Specialistto to ensure that all application documents are complete and accurate. Further,
EMPG Program Specialists (Grant Management Staff) are available to assist in any EMPG -
related matters. If the application is received with errors or is incomplete, this will cause a
delay in receiving your award letter by October 2014. Subgrantees must receive the grant
award letter prior to drawing down any grant funds.
EMPG Grant Management Staff:
Program Southern Region — Cheryl McCorkle: cheryl,mecor1deQcaioes.ca.eov, (916) 845 -8415
Specialists Inland Region — Patti Delaney: patti.dclanev @caloes ca.aov, (916) 845 -8469
Coastal Region —Michelle Cruz: michelle.cruzCa)caloes.c , (916) 845 -8383
Mailing Cal OES
Address Emergency Management Grants Unit (EMGU)
3650 Schriever Avenue
Mather, CA 95655
Approval of Cal OES will notify the CA, in writing, of the approved application, award amount, and
Application performance period. Subgramee reimbursements will not be made until all required application
components have been approved by the State.
10 Emergency Management Grants Unit contact information: http: / /www,calema ca eov/EMS- HS- H'azMat /Paves /Emeageney- MgtiLLyei ent-
Performance- Graa7t,- DocumettGS.aspx under the heading of EMPG Reference Links, titled Cal OES Grant Staff Regional Assignment Map.
[61
55A -72
Additional In order to reallocate any identified excess, declined, or d ®obligated funds, we are asking the
Funds OAs to submit one -time EMPG eligible projects that they can fully execute in a 2 -5 month
period, as well as, within the subgrant performance period. The Additional Protect Usin¢
Excess Funds Form and Additional Proiect Using Excess Funds Detailed Budget should
be submitted if you are interested in additional funds T If selected for funding, the applicant
will be required to submit an FMFW Modification Request and an Amendment Form that will
comprehensively integrate the approved excess funds project(s), both financially and
programmatically, into their existing, approved FMFW application. These documents need to
be submitted within 15 days of being notified; or funds may be re- directed to some other
project(s). Additional fimding requests may be submitted at any time but preferably during
the application phase.
Applicable OAs must ensure that local and internal departments are aware of the following laws,
]Laws & regulations, and guidance documents that apply to this subgrant:
Regulations
• Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended
• Office of Management and Budget (OMB) Circulars A -87, A -102,
A -133 at: littp://www,whitehouse.gov/omb/circulars/iiiclex.html
• Title 44 Code of Federal Regulations Part 13
• California Emergency Services Act, Chapter 7 of Division 1 of Title 2 of the Government
Code — provides the legal basis for Emergency Management activities in California
• Government Code Section 8607 describes the Standardized Emergency Management System
• California Supplement to the Federal Program Funding Opportunity Announcement
provided by Cal OES
• FY 2014 Emergency Management Performance Grants (EMPG) Funding Opportunity
Announcement (FOA), issued by the U.S. Department of Homeland Security (DHS): Federal
Emergency Management Agency (FEMA)
• FEMA Grant Programs Directorate (GPD) Polices
Environmental FEMA is legally required to consider the potential impacts of all grant - ,funded projects on
Planning and environmental resources and historic properties. For the EMPG Program and other preparedness
Historic grant programs, this is accomplished through FEMA's Environmental Planning and Historic
Preservation Preservation (EHP) review. Any project with the potential to impact natural or biological _
(EHP) resources, or historic properties, or involves installation, or that involves Emergency Operation
Center construction and renovation cannot be initiated until FF,MA has completed the required
Compliance EHP compliance review.
Subgrantees that implement projects prior to receiving EHP approval from FEMA risk de-
obligation of funds. Subgrantees who are proposing communication tower projects are
encouraged to complete their Federal Communications Commission (FCC) EHP process prior to
preparing their EHP review materials for the Grants Program Directorate (GPD), and to include
their FCC EHP materials with their submission to GPD. 'EMPG Program projects that involve
the installation of equipment; ground- disturbing activities; new construction„ including
communication towers; or modification/renovation of existing buildings or structures must
undergo a FEMA EHP review.
n These forms can be 'located at: httu:/(www.catoes.ca.eov /EMS d- IS-HazM2t /Pa es/E,merge,Eq,Muia� =emeat- Per {'ocivance- Grant-
D0CLanents aspx, tinder FY 14 EMPG Optional Application Forms.
[7j
55A -73
Environmental
Furthermore, for those proposed construction or renovation projects that are part of larger
Planning and
projects funded from a non -FEMA source (such as an Emergency Operation Center that is part
Historic
of a larger proposed public safety complex), a FEMA EHP review must be completed before the
Preservation
larger project is initiated.
(EHP)
For these types of projects, subgrantees must complete the FEMA EHP Screening Form (OMB
Compliance,
Number 1660- 0115 /17EMA Form 024 -0 -01) and submit it, with all supporting documentation, to
Continued
Cal OES,
Note: Subgrantees should submit the FEMA EHP Screening Form for each applicable project as
soon as possible upon receiving their grant award. However, to ensure that ample time exists to
allow for the FEMA EHP review and approval process, as well as the subsequent execution of
the grant - funded project, all subgrantee EHP - related documents must be received by Cal OES
no later than January 30, 2015. Exceptions to this due date wilt be at the discretion of Cal OES,
based on exceptional circumstances and/or compelling justification.
Refer to IBs 329, 345, 356, and 371 (located at: http: / /www.fema .gov /graiits /frrant- proarams-
directorate- information - bulletins) for further details on EHP requirements. The EHP Screening
Form can be downloaded at:
http: / /www,fenta.gov /doe/ government /grant /bulletins /info329 final screening memo.docx.
Forward completed EHP documents electronically to the appropriate Cal OES EMPG Program
Specialist.
The following activities would not require the submission of the FEMA EHP Screening Form:
planning and development of policies or processes; management, administrative or personnel
actions; classroom -based training; tabletop exercises; and acquisition of mobile and portable
equipment (not involving installation).
Projects initiated without proper EHP review will not be funded. Projects that were initiated or
completed before an EHP review was concluded, using EMPG Program funds, will be
deobligated. To avoid unnecessary delays in starting a project, subgramees are encouraged to
pay close attention to the reporting requirements for an EHP review.
Federally Validating Capabilities, Priority Objective, and Performance Measures 12
Mandated To address the EMPG priorities, an objective has been identified and given a set of performance
Objective measures and associated reporting requirements to determine how effective subgrantees are in
Information utilizing EMPG Program fimding to prepare for all hazards, and advance a whole community
approach. With these measures, subgrantees must evaluate their progress toward achieving the
stated objectives in the quarterly EMPG Performance Report and in compliance with all
reporting requirements,
"The Federally Mandated Objectives Gan be located in the FY 2014 EMPG Funding Opportunity Announcement, Appendix A -FY 2014
EMPG} Program Priorities, pages 25 -27 at: littp: / /www.fema.eov/ media - library-,dat /13984.3.3.298042-
l8d5c17604fdb97c5ef5b49419a7et Tl1 /FY2014 EMPG FOA Revised. 508,2 f.
[81
55A -74
Validating SubgranteeRequirements;
Capabilities
Objective • 1. All subgrantees are required to develop a Multi -Year Training and Exercise Plan (TEP)
Develop and that incorporates linkages to the NPG core capabilities and update it annually, The Multi -
Year TEP shall encompass the period of January 1, 2015 — December 31, 2016,
Maintain Multi- 2. The TEP must be submitted to the Cal OES Exercise Division POCs and EMPG Program
Year TEPs Specialist by September 30, 2014,
Note: TEPs shall be e- mailed to Cal OES Exercise Division Point of Contacts (POCs), with a
copy to their EMPG Program Specialist (Grant Management Staff) no later than September
30th each year. Exercise POCs listed below are available for assistance, if needed, in any
exercise - related matters.
• Southern Region —Nick Lowe: nicholas.loweiilcaloes.ca�ov
• Inland Region —Duane Valenzuela: duane.valenzuelaL6bcaloes.ca..aov
• Coastal Region —Kevin Leisher: kevin,leisher(@,caloes.ca.gov
Measurement Method:
• Submission to Cal OES of an updated Multi -Year TEP.
Reporting:
Additional information and guidance related to AARTPs and the National Exercise Program
(NEP) Base Plan can be found on the HSEEP website at https: / /hseep.dhs.gov. Questions
regarding HSEEP guidance may be directed to hscep@&cma.dhs.gov. For HSEEP Toolkit
technical support, contact the HSEEP helpdesk at supportLdihseep.net, 877 -612 -4357.
Note: It is acceptable to submit an Exercise Summary Report for Seminars and Workshops in
lieu of a fall AAR/IP. E -mail the copies of the AAR/1Ps to your EMPG Program Specialist.
191
55A -75
• Subgrantees must report in the EMPG Performance Report their compliance with
submitting an updated Multi -Year TEP to Cal OES.
Validating
1. All EMPG Program- funded personnel shall participate in no less than three exercises in
Capabilities
a 12 -month period-; This 12 -month period shall be the subgrant performance period of
Objective:
July 1, 2014— June 30, 2015, regardless of time extensions. EMPG grant - funded
Exercise
personnel are any personnel paid at any percentage with EMPG funding, including M &A
staff. There is no specific requirement for level of "participation" in the exercises; so,
observation and attendance satisfies the objective. The exercises can be of any type (e.g,,
Drills, Tabletop Exercises, or Functional Exercises) within the performance period (see
haps;/ hseep&I .goy).
2. An After Action Report/Improvement Plan (AAR /IP) must be completed by the host of
each EMPG- fmrded exercise and submitted to hseep &f ma.dhs. aov_, and a copy sent to
your EMPG Program Specialist within 90 days after the completion of an exercise.
3. A summary of all collected corrective action items and the tracking of their
implementation shall be reported as part of the EMPG quarterly reporting.
Additional information and guidance related to AARTPs and the National Exercise Program
(NEP) Base Plan can be found on the HSEEP website at https: / /hseep.dhs.gov. Questions
regarding HSEEP guidance may be directed to hscep@&cma.dhs.gov. For HSEEP Toolkit
technical support, contact the HSEEP helpdesk at supportLdihseep.net, 877 -612 -4357.
Note: It is acceptable to submit an Exercise Summary Report for Seminars and Workshops in
lieu of a fall AAR/IP. E -mail the copies of the AAR/1Ps to your EMPG Program Specialist.
191
55A -75
Validating
A summary of all collected corrective action items and a tracking of their implementation shall
Capabilities
be reported as part of the EMPG quarterly reporting. FEMA encourages the use of the Homeland
Objective:
Security Exercise and Evaluation Program (HSEEP).
Exercise,
Continued
Exercise Division staff are available for assistance with any exercise - related questions or
matters.
Measurement Method:
• Percent of exercises participated by the OA's EMPG - funded personnel.
• Submission of an AARAP completed by the host of the EMPG - funded exercises.
Reporting:
• Subgrantees must report quarterly in the EMPG performance report, the percent completed
of the exercise requirements for the EMPG - funded personnel.
• Subgrantees must submit AAR/IPs for each EMPG- funded exercise, if the exercise is hosted
by the subgrantee. AAR/IPs will be completed by the host of the exercise. Participants do
not have to individually complete an AAR/IP.
Validatintz Training activities supported with EMPG Program finds should strategically align to the NPG
Capabilities core capability identified in the Multi -Year TEP. To ensure the development of a professional
Objective: emergency management workforce all EMPG grant - funded personnel shall complete 11 training
Training requirements and record proof of completion. EMPG grant - funded personnel are any personnel
paid at any percentage with EMPG funding. This includes M &A staff funded by EMPG
Program funds, All EMPG Program funded personnel shall complete the following training
requirements by June 30, 2015.
National Incident Management System (N'IMS ) Training_
IS I OO.b Introduction to Incident Command System (ICS)
IS 200 b ICS for Single Resources and Initial Action Incident
IS 700,a National Incident Management System, An Introduction
IS 800.b National Response Framework, An Introduction
FEMA Professional Develonment Series
IS 120.a Introduction to Exercises
IS 230.4 Fundamentals of Emergency Management
IS 235.b Emergency Planning
IS 240.a Leadership and Influence
IS 241.b Decision Making and Problem Solving
IS 242b Effective Commtmication
IS 244,b Developing and Managing Volunteers
The aforementioned listed courses are available on -line and at no cost from the Emergency
Management Institute (EMI) at the following links:
hitp://training.fema. ov /[S /N'MS.aspx & htto: //training.fema.gov emiweb /PDS/
Note: The "G" course series and classroom -based equivalents can be used as an alternate to
satisfy these training requirements. Past completion of the above courses (or qualifying
equivalent) is considered acceptable in meeting this requirement. Recorded proof of completion,
[10]
55A -76
Validating such as certificates of completion, must exist and be kept on file by the subgrantee and be made
Capabilities available for review upon request.
Objective: Measurement Method:
Training
Continued Percent of EMPG grant - funded personnel completing the previously identified 11
required training courses.
Reporting:
Subgrantees are required to share with Cal OES a TEP that includes an exercise plan and
schedule, and a plan for training personnel. Information related to TEPs can be obtained
by consulting Cal OES' Exercise Division POC.
• Submission of a list of EMPG grant- funded personnel along with the training and dates
completed is to be included in the EMPG Program quarterly Performance Report,
Training In order for EMPG Program finds to be utilized for training - related purposes, subgrantees must
Feedback first obtain a Training Feedback Number. Training Feedback Numbers must be obtained no later
Number than thirty (3 0) days prior to the training event. To be considered for a Training Feedback
Number, subgrantees must complete a Training Request Forra and submit it electronically to
Cal OES,
Training Request Forms can be obtained at the following link:
htto : / /www,calerna.ca,gov /TraiLi ngan(lExercises/ Pages /Training- Regquest .FgrLn.Lspx
For Training Request Form or Training Feedback Number assistance contact Johnie Garrett at
I 1m. aarrett(cb,caloes.ca.go_v.
Subcontracts Any time fiends are given to a contractor, the local jurisdiction must ensure that all contract
provisions of this subgrant are included as part of the contractual agreement with the contractor.
The OA must monitor and ensure that the contractors are adhering to all applicable federal and
state laws. The OA must not make or permit any award (subgrant or contract) at any tier to any
party that is debarred, suspended, or otherwise excluded from, or ineligible for participation in
federal assistance programs, such as the EMPG. Subgrantees must obtain documentation of
eligibility prior to any subaward of EMPG finds and be prepared to present supporting
documentation to monitors.
System for The System for Award Management (SAM) includes information regarding entities debarred,
Award suspended, proposed for debarment, excluded or disqualified under the non - procurement
Management common rule, or otherwise declared ineligible from receiving federal contracts, certain
(SAM) subcontracts, and certain federal assistance and benefits. Contractor disbarment verification can
be obtained from the following website: https : / /wwtv.satn,gov,
Maintenance The use of EMPG finds for maintenance contracts, warranties, repair or replacement costs,
and upgrades, licenses, and user fees are allowable under all active and future grant awards, unless
otherwise noted. With the exception of maintenance plans purchased incidental to (i.e., at the
Sustainment same time and tinder the same grant award as) the original purchase of the system or equipment,
the period covered by a maintenance agreement or warranty plan must not exceed the period of
performance of the specific grant Rinds used to purchase the plan or warranty, and address the
requirements identified in FEMA Information Bulletin (IB) 379.
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55A -77
Unallowable a Expenditures for weapons systems and ammunition
Costs • Costs to support the hiring of sworn officers for the purposes of fulfilling traditional public
safety duties or to supplant traditional public safety positions and responsibilities
• Activities unrelated to the completion and implementation of the EMPG Program
Supplanting Grant funds must be used to supplement existing fiords, not replace (supplant) funds that have
been appropriated or budgeted for the same purpose through non - federal sources. In the event
that supplanting is suspected, the subgrantee will be required to supply doctmientation
demonstrating or certifying that a reduction in non - federal resources occurred for reasons other
than the receipt, or expected receipt, of federal funds.
Accessibility of The federal Department of Homeland Security, the DHS Office of Inspector General, the
Records Comptroller General of the United States, Cal OES, and any of their authorized
representatives, shall have the right of access to any books, documents, papers, or other
records which are pertinent to the subgrant, in order to make audits, monitoring reviews,
examinations, excerpts, and transcripts. The right of access is not limited to the required
retention period but shall last as long as the records are retained. Refer to Title 44 CFR Part
13.42 for more information about accessibility of records.
Reimbursement The EMPG is a reimbursement grant and therefore no cash advances are permitted under the
of Eligible Costs EMPG. The EMPG funds will be disbursed on a reimbursement basis, using the FMFW.
Follow the Workbook instructions for Reimbursement Requests13 and submit the signed
forms to your EMPG Program Specialist.
It can take between six to eight weeks to receive payment after the Grants Management
Section receives a valid and complete Reimbursement Request. It is strongly recommended
that copies of all documents adding up to the total of each Reimbursement Request be
retained to make verification by monitors and /or auditors easier. Cal OES may require
submittal of these documents at any time.
Grant Post award budget, scope, and other modifications must be requested using the Cal OES FMFW
Modifications and be signed by the subgrantee's Authorized Agent. A hard copy must be submitted to
Cal OES and approved by Cal OES' Grants Management Section, pt•ior to initiating any revised
scope of work or incurring the associated expenditures.
The OAs may submit modifications to Cal OES once per quarter during the performance
period. Failure to submit modifications and receive approval prior to expenditure could result in
a reduction or disallowance of that part of the subgrant.
Instructions on how to submit a Modification Request are available at the link identified in
the footnote, 14
The Reimbursement Request instructions can be located at: I, tt .- ftmy.ealoes.ca ggvLLM$- HS-Ftazlytat /Pages /1;nteraency I fanagement-
P erfo rmauee- Grant -Doca meats. asox.
t The Modification Request instructions can be Located at: li p: / /www caloes oa ov /F S-HSHaz_nv tit/- ,ggos/Eme,rwency-Manaeentettt-
e �forrrr yancc- .Gray�:- Docu.ments.asp.N.
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Performance Subgrantees must prepare and submit Performance Reports to the State for the duration of the
Reports grant performance period, or until all grant activities are completed and the grant is formally
closed by Cal OES, The report must include the progress made on identified activities, as well as
other required information and data. Failure to submit a Performance Report could result in
subgrant reduction, termination, or suspension.
Subgrantees must also complete a Biannual Strategy Implementation Report (BSIR) using the
DHS/FEMA Grants Reporting Tool (GRT). To obtain access to the online ORT, log on to their
website at www.reporting,odp.dhs.aov. To create a new account, follow the instructions that
read, "If you need to register for an account, please click here." For additional assistance with
the GRT, contact: Gina Joaquin at gina. joagain(a)caloes.ca.gov, (916) 845 -8647.
Closeout The State will close a subgrantee award after:
• Receiving a subgrantee Performance Report indicating that all approved work has been
completed, and all funds have been disbursed
• Completing a review to confirm the accuracy of reported information
• Reconciling actual costs to awards, Modifications, and payments
If the closeout review and reconciliation indicates that the subgrantee:
• Is owed additional funds, the State will send the final payment automatically to the
subgrantee
• Did not use all funds received, the State will issue a deobligation amendment, invoice or
letter to recover unused funds
• Did not expend all obligated grant funds, the State will require that a Grant Award
Amendment be done to deobligate the unspent funds and revert them back to the State
Records Specific requirements for record retention can be found in Title 44 CFR Part 13.42. In the
Retention Grant Closeout Letter, the State will notify the subgrantee of the start of the record retention
period for all programmatic and financial grant - related records.
Final Subgrant Cal OES will review the OA's final Performance Report for compliance with all subgrant
Report conditions. The final Performance Report is due to Cal OES by July 14, 2015 (unless the
subgrant performance period is extended) and will serve as the final subgrant report.
Audit The OAs, and their subrecipients, must comply with the audit requirements contained in OMB
Requirements Circular A -133 and Title 44 CF'R Part 13.26.
Monitoring The State may perform periodic reviews of the OA's subgrant performance. The Monitoring
Subgrant Division is actively conducting monitoring visits, both desk review and on -site, among
Performance subgramees. These reviews may include, but are not limited to:
• Comparing actual subgrant activities to those approved on the Financial Management
Forms Workbook
• Confirming compliance with:
— Grant Assurances
— Information provided on the Performance Reports
• Rcviewing and monitoring financial and administrative records
[13]
55A -79
XHIBIT "D"
55A -80
FY14 Emergency Management Performance Grant
Agreement Articles, Assurances, Certifications, Terms, and Conditions
FEDERAL AGREEMENT ARTICLES
Article I - Administrative Requirements
The administrative requirements that apply to most DES award recipients through a grant or cooperative
agreement arise from two sources;
1) Office of Management and Budget (OMB) Circular A -102, Uniform Administrative Requirements for Grants
and Cooperative Agreements to State and Local Governments (also known as the "A -102 Common Rule "), found
under DES regulations at Title 44, Code of Federal Regulations (CFR) Part 13, "Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments.
2) OMB Circular A -110, Uniform Administrative Requirements for Grants and Agreements with Institutions of
Higher Education, Hospitals, and Other Non - Profit Organizations, relocated to 2 CFR Part 215.
The requirements for allowable costs /cost principles are contained in the A -102 Common Rule, OMB Circular A-
110 (2 CFR § 215.27), DES program legislation, Federal awarding agency regulations, and the terms and
conditions of the award.
The four costs principles that apply to DES award recipients through a grant or cooperative agreement originate
from the following sources:
- OMB Circular A -21, Cost Principles for Educational Institutions, relocated to 2 CFR Part 220.
- OMB Circular A -87, Cost Principles for State, Local, and Indian Tribal Governments, relocated to 2 CPR Part
225.
- OMB Circular A -122, Cost Principles for Non - Profit Organizations, relocated to 2 CFR Part 230.
- OMB Circular A -133, Audits of States, Local Governments and Non - Profit Organizations; origination of audit
requirements for State, Local and Tribal recipients of DES awards.
Article II - DHS Specific Acknowledgements and Assurances
All recipients of financial assistance must acknowledge and agree -and require any subrecipients, contractors,
successors, transferees, and assignees acknowledge and agree -to comply with applicable provisions governing
DHS access to records, accounts, documents, information, facilities, and staff.
1. Recipients must cooperate with any compliance review or complaint investigation conducted by DHS.
2. Recipients must give DHS access to and the right to examine and copy records, accounts, and other documents
and sources of information related to the grant and permit access to facilities, personnel, and other individuals and
information as may be necessary, as required by DHS regulations and other applicable laws or program guidance.
3. Recipients must submit timely, complete, and accurate reports to the appropriate DHS officials and maintain
appropriate backup documentation to support the reports.
4. Recipients must comply with all other special reporting, data collection, and evaluation requirements, as
prescribed by law or detailed in program guidance.
5. It, during the past three years, the recipient has been accused of discrimination on the grounds of race, color,
national origin (including limited English proficiency), sex, age, disability, religion, or familial status, the recipient
must provide a list of all such proceedings, pending or completed, including outcome and copies of settlement
agreements to the DES awarding office and the DHS Office of Civil Rights and Civil Liberties.
6. In the event any court or administrative agency makes a finding of discrimination on grounds of race, color,
national origin (including limited English proficiency), sex, age, disability, religion, or familial status against the
recipient, or the recipient settles a case or matter alleging such discrimination, recipients must forward a copy of
the complaint and findings to the DHS Component and /or awarding office.
The United States has the right to seek judicial enforcement of these obligations.
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55A -81
Article III - Lobbying Prohibitions
None of the funds provided under an award may be expended by the recipient to pay any person to influence, or
attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with any Federal action concerning the award or
renewal of any Federal contract, grant, loan, or cooperative agreement. These lobbying prohibitions can be found
at 31 U.S.C. §1352.
Article IV - Acknowledgement of Federal Fundine from DHS
All recipients of financial assistance must comply with requirements to aelmowledge Federal funding when issuing
statements, press releases, requests for proposals, bid invitations, and other documents describing projects or
programs funded in whole or in part with Federal funds.
Article V - Copyright
All recipients of financial assistance will comply with requirements that publications or other exercise of copyright
for any work. first produced tinder Federal financial assistance awards hereto related unless the work includes any
information that is otherwise controlled by the Government (e.g., classified information or other information
subject to national security or export control laws or regulations). For any scientific, technical, or other copyright
work based on or containing data first produced under this award, including those works published in academic,
technical or professional journals, symposia proceedings, or similar works, the recipient grants the Government a
royalty -free, nonexclusive and irrevocable license to reproduce, display, distribute copies, perform, disseminate, or
prepare derivative works, and to authorize others to do so, for Government ptu-poses in all such copyrighted works.
The recipient must affix the applicable copyright notices of 17 U.S.C. § 401 or 402 and an acknowledgement of
Government sponsorship (including award number) to any work lust produced under an award.
Article VI - Use of DIIS Seal, Logo and Flags
All recipients of financial assistance must obtain DHS's approval prior to using the DHS seal(s), logos, crests or
reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal,
logo, crests or reproductions of flags or likenesses of Coast Guard officials.
Article V1I - Activities Conducted Abroad
All recipients of financial assistance will comply with the requirements, and must ensure, that project activities
carried on outside the United States are coordinated as necessary with appropriate government authorities and that
appropriate licenses, permits, or approvals are obtained.
Article VIII - Fly America Act of 1974
All recipients of financial assistance must comply with the requirements of the Preference for U.S. Flag Air
Carriers: Travel supported by U.S. Government funds requirement, which states preference for the use of U.S. flag
air carriers (air carriers holding certificates under 49 LT. S.C. § 41102) for international air transportation of people
and property to the extent that such service is available, in accordance with the International Air Transportation
Fair Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by the
Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision
B138942.
Article IX - GPD - Drug -Free Workplace Regulations
All recipients of financial assistance must comply with the requirements of the Drug -Free Workplace Act of 1988
(412 U.S.C. § 701 et seq,), which requires that all organizations receiving grants from any Federal agency agree to
maintain a drug -free workplace. The recipient must notify the awarding office if an employee of the recipient is
convicted of violating a criminal drug statute. Failure to comply with these requirements may be cause for
debarment. These regulations are codified at 2 CFR 3001.
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55A -82
Article X - GPD - Trafficking Victims Protection Act of 2000
All recipients of financial assistance must comply with the requirements of the govenmzent -wide award term
which implements Section 106(g) of the Trafficing Victims Protection Act (TVPA) of 2000, as amended (22
U.S.C. § 7104), located at 2 CPR Part 175. This is implemented in accordance with OMB Interim Final Guidance,
Federal Register, Volume 72, No. 218, November 13, 2007. In accordance with the statutory requirement, each
agency award under which funding is provided to a private entity, Section 106(g) of the TVPA, as amended,
requires the agency to include a condition that authorizes the agency to terminate the award, without penalty, if the
recipient or a subrecipient - (a) Engages in severe forms of trafficking in persons during the period of time that the
award is in effect; (b) Procures a commercial sex act during the period of time that the award is in effect; or (c)
Uses forced labor in the performance of the award or sub - awards under the award. Full text of the award term is
provided at 2 CFR § 175,15.
Article XT — Title VT of the Civil Rights Act of 1964
All recipients of financial assistance must comply with the requirements of Title VI of the Civil Rights Act of 1964
(42 U,S,C. § 2000d et seq.), codified at 6 CFR Part 21 and 44 CFR Part 7, which provides that no person in the
United States will, on the grounds of race, color, or national origin, be excluded from participation in, be denied
the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial
assistance.
Article X11 - Civil Right Act of 1968
All recipients of financial assistance must comply with Title VIII of the Civil Rights Act of 1968, which prohibits
recipients from discriminating in the sale, rental, financing, and advertising of dwellings, or in the provision of
services in connection therewith, on the basis of race, color, national origin, religion, disability, familial status, and
sex (42 U.S.C. §3601 et seq,), as implemented by the Department of Housing and Urban Development at 24 CFR
Part 100. The prohibition on disability discrimination includes the requirement that new multifamily housing with
four or more dwelling units i.e., the public and common use areas and individual apartment units (all units in
buildings with elevators and ground -floor units in buildings without elevators) -be designed and constructed with
certain accessible features (see 24 CFR. §100,201).
Article X1II - Americans with Disabilities Act of 1990
All recipients of financial assistance must comply with the requirements of Titles I, 11, and III of the Americans
with Disabilities Act, which prohibits recipients from discriminating on the basis of disability in the operation of
public entities, public and private transportation systems, places of public accommodation, and certain testing
entities (42 U.S.C. §§ 12101 - 12213).
Article XIV - Age Discrimination Act of 1975
All recipients of financial assistance must comply with the requirements of the Age Discrimination Act of 1975
(42 U.S.C. §6101 et seq.), which prohibits discrimination on the basis of age in any program or activity receiving
Federal financial assistance.
All recipients of financial assistance must comply with the requirements of Title IX of the Education Amendments
of 1972 (20 U.S.C. §1681 et seq.), which provides that no person in the United States will, on the basis of sex, be
excluded from participation in, be denied the benefits of, or be subjected to discrimination under any educational
program or activity receiving Federal financial assistance. These regulations are codified at 6 CFR Part 17 and 44
CFR Part 19.
Article XVI - Rehabilitation Act of 1973
55A -83
Initials
All recipients of financial assistance must comply with the requirements of Section 504 of the Rehabilitation Act
of 1973, 29 U.S.C. §794, as amended, which provides that no otherwise qualified handicapped individual in the
United States will, solely by reason of the handicap, be excluded from participation in, be denied the benefits of, or
be subjected to discrimination under any program or activity receiving Federal financial assistance. These
requirements pertain to the provision of benefits or services as well as to employment.
All recipienta must comply with the Civil Right Act of 1964 (Title VI), prohibition against discrimination on the
basis of national origin, which requires that recipients of Federal financial assistance must take reasonable steps to
provide meaningful access to persons with limited English proficiency (LEP) to their programs and services.
Providing meaningful access for persons with LEP may entail providing language assistance services, including
oral interpretation and written translation. In order to facilitate compliance with Title VI, recipients are encouraged
to consider the need for language services for LEP persons served or encountered both in developing budgets and
in conducting programs and activities. Executive Order 13166, improving Access to Services for Persons with
Limited English Proficiency (August 11, 2000), requires federal agencies to issue guidance to recipients, assisting
such organizations and entities in understanding their language access obligations. DHS published the required
recipient guidance in April 2011, DHS Guidance to Federal Financial Assistance Recipients Regarding Title VI
Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons, 76 Fed. Reg.
21755 - 21768, (April 18, 2011). The Guidance provides helpful information such as how a recipient can determine
the extent of its obligation to provide language services; selecting language services; and elements of an effective
plan on language assistance for LEP persons. For additional assistance and information regarding language access
obligations, please refer to the DHS Recipient Guidance hops: / /ww,,v.dhs, aoy/gWdance- published -helu-
d artment- snorted- orgatljy, ons provide- meanin ful- aaoess- people l� }xli ed and additional resources on
lutp://www.le oy.
Article XVIII - Animal Welfare Act of 1966
All recipients of financial assistance will comply with the requirements of the Animal Welftu•e Act, as amended (7
U.S.C. §2131 et seq.), which requires that minimum standards of care and treatment be provided for vertebrate
animals bred for commercial sale, used in research, transported commercially, or exhibited to the public.
Recipients must establish appropriate policies and procedures for the humane care and use of animals based on the
Guide for the Care and Use of Laboratory Animals and comply with the Public Health Service Policy and
Goverranent Principles Regarding the Care and Use of Animals.
All recipients of financial assistance will comply with the requirements o£42 U.S.C. §7401 et seq. and Executive
Order 11738, which provides for the protection and enhancement of the quality of the nation's air resources to
promote public health and welfare and for restoring and maintaining the chemical, physical, and biological
integrity of the nation's waters.
Article XX - Protection of Human Subjects
All recipients of financial assistance will comply with the requirements of the Federal regulations at 45 CFR Part
46, which requires that recipients comply with applicable provisions /law for the protection of human subjects for
purposes of research. Recipients must also comply with the requirements in DHS Management Directive 026 -04,
Protection of Human Subjects, prior to implementing any work with human subjects. For purposes of 45 CFR Part
46, research means a systematic investigation, including research, development, testing, and evaluation, designed
to develop or contribute to general Icnowledge. Activities that meet this definition constitute research for purposes
of this policy, whether or not they are conducted or supported under a program that is considered research for other
purposes. The regulations specify additional protections for research involving human fetuses, pregnant women,
and neonates (Subpart 13); prisoners (Subpart C); and children (Subpart D). The use of autopsy materials is
governed by applicable State and local law and is not directly regulated by 45 CFR Part 46,
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55A - -84
All recipients of financial assistance will comply with the requirements of the National Environmental Policy Act
(NEPA), as amended, 42 U.S.C. §4331 et seq., which establishes national policy goals and procedures to protect
and enhance the environment, including protection against natural disasters. To comply with NEPA for its grant -
supported activities, DHS requires the environmental aspects of construction grants (and certain non - construction
projects as specified by the component and awarding office) to be reviewed and evaluated before final action on
the application.
Article XXII - National Flood Insurance Act of 1968
All recipients of financial assistance will comply with the requirements of Section 1306(c) of the National Flood
Insurance Act, as amended, which provides for benefit payments under the Standard Flood Insurance Policy for
demolition or relocation of a structure insured under the Act that is located along the shore of a lake or other body
of water and that is certified by an appropriate State or local land use authority to be subject to imminent collapse
or subsidence as a result of erosion or undermining caused by waves or currents of water exceeding anticipated
cyclical levels. These regulations are codified at 44 CFR Part 63.
Article XXHJ - Flood Disaster Protection Act of 1973
All recipients of financial assistance will comply with the requirements of the Flood Disaster Protection Act of
1973, as amended (42 [J.S.C. § 4001 of seq.), which provides that no Federal financial assistance to acquire,
modernize, or construct property may be provided in identified flood -prone communities in the United States,
unless the community participates in the National Flood Insurance Program and food insurance is purchased
within one year of the identification. The flood insurance purchase requirement applies to both public and private
applicants for DHS support. Lists of flood -prone areas that are eligible for flood insurance are published in the
Federal Register by FEMA.
All recipients of financial assistance will comply with the requirements of Executive Order 11990, which provides
that federally funded construction and improvements minimize the destruction, loss, or degradation of wetlands.
The Executive Order provides that, in furtherance of Section 101(b)(3) of NEPA (42 U.S.C. §4331(b)(3)), Federal
agencies, to the extent permitted by law, must avoid undertaking or assisting with new construction located in
wetlands unless the head of the agency finds that there is no practicable alternative to such construction, and that
the proposed action includes all practicable measures to minimize harm to wetlands that may result from such use.
In malting this finding, the head of the agency may take into account economic, environmental, and other pertinent
factors. The public disclosure requirement described above also pertains to early public review of any plans or
proposals for new construction in wetlands. This is codified at 44 CFR Part 9.
Article XXV - USA Patriot Act of 2001
All recipients of financial assistance must comply with the requirements of the Uniting and Strengthening America
by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which
amends 18 U.S.C. § §175 -175c. Among other things, it prescribes criminal penalties for possession of any
biological agent, toxin, or delivery system of a type or in a quantity that is not reasonably justified by a
prophylactic, protective, bona fide research, or other peaceful purpose. The act also establishes restrictions on
access to specified materials. "Restricted persons," as defined by the act, may not possess, ship, transport, or
receive any biological agent or toxin that is listed as a select agent.
n1 U, W nn V x — neat rracnces ror uouection ano Use of Personally Identifiable Information (PII)
All recipients of financial assistance who collect PlI are required to have a publicatly- available privacy policy that
describes what PII they collect, how they use the PII, whether they share PII with third parties, and how
individuals may have their PII corrected where appropriate. Useful resources are the DHS Privacy Impact
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55A -85
Assessments: litto; / /www.dhs.gov /xlibrary/ assets /privacy /privacy piajuicianoe june2010.pff, and
uov /xlibraiv /assets /privacy /pi'i,vacy gia tel-fl �g.,pdf.
Article XXVIl — Duplication of Benefits
State, Local, and Tribal Recipients must comply with 2 CFR Part §225, Appendix A, paragraph (C)(3)(c), which
provides that any cost allocable to a particular Federal award or cost objective under the principles provided for in
this authority may not be charged to other Federal awards to overcome fund deficiencies.
tr]L'lluly0 V III — 1`axScL AUA1113 trAOl dlAw r A vglu 111 I I Ulm\AY1I 1IVLLLVU1Va
All recipients of financial assistance must comply with the requirements of 31 U.S.0 §3729 which set forth that no
recipient of Federal payments shall submit a false claim for payment. See also 38 U.S.0 §3801 -3812 which details
the administrative remedies for false claims and statements made.
Article XXIX — Federal Debt Status
All recipients of financial assistance are required to be non - delinquent in their repayment of any Federal debt.
Examples of relevant debt include delinquent payroll and other taxes, audit disallowance, and benefit
overpayments. See OMB Circular A -129 and form SF -42413, item number 17 for additional information and
guidance.
Article XXX — Hotel and Motel Fire Safety Act of 1990
Itn accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. §2225(a), all recipients
must ensure that all conference, meeting, convention, or training space funded in whole or in part with Federal
funds complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of
1974, 15 U.S.C. §2225.
Article XXXI — Nou- supplanting Requirement
All recipients who receive awards made under programs that prohibit supplanting by law must ensure that Federal
funds do not replace (supplant) funds that have been budgeted for the same purpose tluough non - Federal sources.
Where Federal statues for a particular program prohibits supplanting, applicants or award recipients may be
required to demonstrate and document that a reduction in non - Federal resources occurred for reasons other than the
receipt of expected receipt of Federal funds.
Article XXXII — Debarment and Suspension
All recipients must comply with Executive Orders 12549 and 12689, which provide protection against waste, fraud
and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the Federal
government,
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All recipients of financial. assistance proposing projects that have the potential to impact the environment,
including but not limited to construction of communication towers, modification or renovation of existing
buildings, structures and facilities, or new construction including replacement of facilities must participate in the
FEMA EHP review process. The EHP review process involves the submission of a detailed project description that
explains the goals and objectives of the proposed project along with supporting documentation so that FEMA may
determine whether the proposed project has the potential to impact environmental resources and /or historic
properties. The EHP review process must be completed before finds are released to tarty out the proposed project.
EHP Policy Guidance can be found in FP 108- 023 -01, Environmental Planning and Historic Preservation Policy
Guidance, at http // vw.fema.Npv/ media- librat�/ggsets /document /85376.
Article XXXIV — SAFECOM
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All recipients who receive awards made under programs that provide emergency communication equipment and its
related activities must comply with the SAFECOM Guidance for Emergency Communication Grants, including
provisions on technical standards that ensure and enhance interoperable communications. All recipients investing
in broadband - related investments should review Information Bulletin (IB) 386: Clarification on Use of
DHS/FEMA Public Safety Grant Funds for Broadband - Related Expenditures and Investments before developing
applications.
The SAFECOM Guidance on Emergency Communication Grants can be found at: FY 2014 SAFECOM Guidance
on Emergency Communications Grants.
ASSURANCES
The applicant hereby assures and certifies compliance with all applicable Federal statutes, regulations, policies,
guidelines, and requirements. See Article I above. The applicant also specifically assures and certifies that it:
1. Has the legal authority to apply for Federal assistance, and the institutional, managerial, and financial
capability (including funds sufficient to pay the non - Federal share of project costs) to ensure proper planning,
management, and completion of the project described in this application.
2. Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State,
through any authorized representative, access to and the right to examine all records, books, papers, or
documents related to the assistance or award; and will establish a proper accotmting system in accordance
with generally accepted accounting standards or agency directives. See Article II above.
3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or
presents the appearance of personal or organizational conflict of interest, or personal gain.
4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding
agency.
5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. § §4728 -4763) relating to
prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations
specified in Appendix A of Office of Personnel Management's (OPM) Standards for a Merit System of
Personnel Administration (5 C.F.R. 900, Subpart F),
6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a)
Title VI of the Civil Rights Act of 1964 (P.L. 88 -352) which prohibits discrimination on the basis of race,
color or national origin: (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. § §1681-
1683, and 1685 - 1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the
Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which prohibits discrimination on the basis of
handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. § §6101 - 6107), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92 -2S5), as
amended, relating to nondiscrimination on the basis of drug abase; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91 -616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or alcoholism;(g) § §523 and 527 of the Public Health Service
Act of 1912 (42 U.S.C. § §290 dd -3 and 290 cc-3), as amended, relating to confidentiality of alcohol and chug
abuse patient records; (h) Title VIII of the Civil Right Act of 1968 (42 U.S.C. § §3601 et seq.), as amended,
relating to nondiscrimination in the sale, rental, or financing of housing; (i) any other nondiscrimination
provisions in the specific statute(s) under which application for Federal assistance is being made; and, (j) the
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requirements of any other nondiscrimination statute(s) which may apply to the application. See Articles XI,
XII, XIII, XIV, XV, XVI, and XVII.
Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970 (P.L, 91 -646) which provide for fair and
equitable treatment of persons displaced or whose property is acquired as a result of Federal and /or federally -
assisted programs. These requirements apply to all interests in real property acquired for project purposes
regardless of Federal participation in purchases,
8. Will comply, as applicable, with the provisions of the Hatch Act (5 U.S.C, § §1501 -1508 and 7324 -7328)
which limit the political activities of employees whose principal employment activities are funded in whole
or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. §§ 276a to 276a -7), the
Copeland Act (40 U.S.C. § 276c and 18 U.S.C. §874), and the Contract Work Hours and Safety Standards
Act (40 U.S.C. § §327 -333), regarding labor standards for federally- assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood
Disaster Protection Act of 1973 (P.L. 93 -234) which requires recipients in a special flood hazard area to
participate in the program and to purchase flood insurance if the total cost of insurable constriction and
acquisition is $10,000 or more; and the National Flood Insurance Act of 1968. See Articles XXII and XXIII.
11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution
of envirorunental quality control measures under National Environmental Protection Act (NEPA) of 1969
(P.L. 91 -190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738;
(c) protection of wetlands pursuant to EO 11990; (d) evaluation flood hazards in floodplains in accordance
with EO 11988; (e) assurance of project consistency with the approved State management program
developed under the Coastal Zone Management Act of 1972 (16 U.S.C. § §145'1 et seq.); (f) conformity of
Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clear Air Act of 1955,
as amended (42 U.S.C. § §7401 et seq.); (g) protection of underground sources of drinking water under the
Safe Drinking Water Act of 1974, as amended, (P.L. 93 -523); and (h) protection of endangered species under
the Endangered Species Act of 1973, as amended, (P.L. 93 -205), See Articles XIX, XXI, and XXIV.
12. Will comply with the Wild and Scenic Rivers Act of 1968 (I6 U.S.C. §§ 1271 et seq.) related to protecting
components or potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic
Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593 (identification and protection of historic
properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. § §469a -1 or seq.).
Alt proposed construction and renovation activities must undergo an Environmental Planning and historic
Preservation (EHP) review, including approval of the review from FEMA, prior to undertaking any action
related to the project, Any applicant that is proposing a construction project should pay special attention to
the EHP requirements. See Article XXXIII
14. Will comply with P.L. 93 -348 regarding the protection of human subjects involved in research, development,
and related activities supported by this award of assistance. See Article XX.
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15. Will comply with the Laboratory Animal welfare Act of 1966 (P.L. 89 -544, as amended, 7 U.S.C. § §2131 et
seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or
other activities supported by this award of assistance. See Article XVIII.
16. Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. § §4801 et seq.) which prohibits
the use of lead -based paint in construction or rehabilitation of residence structures.
17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit
Act of 1996 or OMB Circular No. A -133, "Audits of States, Local Governments, and Non -Profit
Organizations."
18, Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and
policies governing this program. This includes all requirements, restrictions and regulations identified in the
California Governor's Office of Emergency Services (Cal OES) Fiscal Year 2014 Emergency Management
Performance Grants (EMPG) Program - California Supplement to the Federal Program Funding Opportunity
Announcement; or, The State Guidance.
19. Will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act (TVPA) of
2000, as amended (22 U.S.C, 7104) which prohibits grant award recipients or a. sub - recipient from (1)
Engaging in severe forms of trafficking in persons during the period of time that the award is in effect (2)
Procuring a commercial sex act during the period of time that the award is in effect or (3) Using forced labor
in the performance of the award or subawards under the award. See Article X.
20. Will comply with Homeland Security Presidential Directive (HSPD) -5, Management of Domestic Incidents.
The adoption of the NIMS is a requirement to receive Federal preparedness assistance, through grants,
contracts, and other activities. The NIMS provides a consistent nationwide template to enable all levels of
government, tribal nations, nongovernmental organizations, and private sector partners to work together to
prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause,
size, location, or complexity.
21, Will not dispose of, modify the use of, or change the terms of the real property title, or other interest in the
site and facilities without permission and instructions from the awarding agency. Will record the Federal
interest in the title of real property in accordance with awarding agency directives and will include a
covenant in the title of real property acquired in whole or in part with Federal assistance funds to assure non-
discrimination during the useful life of the project.
22. Will comply with the requirements of the assistance awarding agency with regard to the drafting, review and
approval of construction plans and specifications.
23. Will provide and maintain competent and adequate engineering supervision at the constriction site to ensure
that the complete work conforms with the approved plans and specifications and will furnish progress reports
and such other information as may be required by the assistance awarding agency or State.
24. Will comply with Public Law (PL) 109 -282 (Federal Funding Accountability and Transparency Act of 2006),
as amended by Section 6202(a) of the Government Funding Transparency Act of 2008 (PL 110 -252), which
is outlined in FEMA GPD Information Bulletin NO. 350. If the subgrantee in the preceding year did not get
80% or more of its annual gross revenues from Federal Awards, and $25M or more in annual gross revenues
from Federal Awards, and the public does have access to information about the compensation of the senior
executives of the entity, then the subgrantee is not subject to the FFATA Financial Disclosure requirements.
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25. Will comply with the following: (a) All recipients of financial assistance must acknowledge and agree —and
require any subrecipients, contractors, successors, transferees, and assignees acknowledge and agree ---to
comply with applicable provisions governing Cal OES access to records, accounts, documents, information,
facilities, and staff; (b) Recipients must cooperate with any site visit, compliance /monitoring review or
complaint investigation conducted by Cal OES; (c) Recipients must give Cal OES access to and the right to
examine and copy records, accounts, and other documents and sources of information related to the grant and
permit access to facilities, personnel, and other individuals and information as may be necessary, as required
by Cal OES regulations and other applicable laws or program guidance; (d) Recipients must submit timely,
complete, and accurate reports to the appropriate Cal OES officials and maintain appropriate backup
documentation to support the reports; and (e) Recipients must comply with all other special reporting, data
collection, and evaluation requirements, as prescribed by law or detailed in the program guidance.
26. Will comply with the EMPG - Funded Personnel Training and Exercise Requirement. All recipients of
financial assistance must acknowledge and agree —and require any subrecipients, to acknowledge and
agree —to comply with the EMPG - funded personnel training and exercise requirement, as detailed in both the
Federal and State program guidance. Failure to comply with this requirement, by individuals whose salary is
funded in part or whole with EMPG, may result in the incurred salary costs associated with the non-
compliant EMPG- handed personnel from being eligible for reimbursement and/or result in the recipient's
repayment of already disbursed grant funding associated with the non - compliant EMPG -funded personnel's
salary - related costs.
CERTIFICATIONS
1. CERTIFICATION FOR CONTRACTS GRANTS LOANS AND COOPERATIVE AGREEMENTS:
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any
person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of Congress in connection with the
awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the
entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative agreement. See Article III.
(2) If any funds other than Federal appropriated £rinds have been paid or will be paid to any person for influencing
or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with this Federal contract,
grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL,
"Disclosure of Lobbying Activities," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award documents for all
subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative
agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material
representation of fact upon which reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for malting or entering into this transaction imposed by
section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a
civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
Statement for Loan Guarantees and Loan Insurance
The undersigned states, to the best of his or her knowledge and belief, that:
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If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the
undersigned shall complete and submit Standard Form -LLL, "Disclosure of Lobbying Activities," in accordance
with its instructions. Submission of this statement is a prerequisite for malting or entering into this transaction
imposed by section 1352, title 31, U,S. Code. Any person who fails to file the required statement shall be subject to
a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
2. DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS (DIRECT RECIPIENT)_
As required by Executive Orders 12549 and 12589, Debarment and Suspension, and implemented at 44 CPR,
Part 17 (See Article XXXII):
A. The applicant certifies that it and its principals:
(1) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a
denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions
by any Federal department or agency;
(2) Have not within a three -year period preceding this application been convicted of or had a civil judgment
rendered against them for commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State, or Local) transaction or contract under a
public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft-,
forgery, bribery, falsification or destruction of records, malting false statements, or receiving stolen
property;
(3) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity
(Federal, State, or Local) with. commission of any of the offenses enumerated in paragraph (A)(2) of this
certification; and
(4) Have not within a three -year period preceding this application had one or more public transactions
(Federal, State, or Local) terminated for cause or default; and
B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an
explanation to this application.
3, CERTIFICATIONS REGARDING DRUG -FREE WORKPLACE REQUIREMENTS: This certification
eorrunits the applicant to compliance with the certification requirements under 44 CFR, Part 17 Governnient-
wide Requiretnents, far Drug -Free Morkplace (Grants). See Article IX.
A. The grantee certifies that it will or will continue to provide a drug -free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing,
possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the
actions that will be taken against employees for violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to inform employees about —
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drag -free workplace;
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(3) Any available drug counseling, rehabilitation, and employee assistance programs; and
(4) The penalties that may be imposed upon employees for drug abuse violations occurring in the
workplace;
(c) Making it a requirement that each employee to be engaged in the performance of the grant be given a
copy of the statement required by paragraph (a);
(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment
under the grant, the employee will —
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute
occurring in the workplace no later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph
(d)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted
employees must provide notice, including position title, to every grant officer or other designee on
whose grant activity the convicted employee was wonting, unless the Federal agency has designated a
central point for the receipt of such notices. Notice shall include the identification number(s) of each
affected grant;
(f) Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph
(d)(2), with respect to any employee who is so convicted—
(1) Taking appropriate personnel action against such an employee, up to and including termination,
consistent with the requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation
program approved for such purposes by a Federal, State, or local health, law enforcement, or other
appropriate agency;
(g) Making a good faith effort to continue to maintain a drag -free workplace through implementation of
paragraphs (a), (b), (c), (d), (e), and (f).
4. S WEATFREE CODE OF CONDUCT:
a. All applicants contracting for the procurement or laundering of apparel, garments or corresponding
accessories, or the procurement of equipment, materials, or supplies, other than procurement related to a
public works contract, declare under penalty of perjury that no apparel, garments or corresponding
accessories, equ'i'pment, materials, or supplies furnished to the state pursuant to the subgrant have been
laundered or produced in whole or in part by sweatshop labor, forced labor, convict labor, indentured labor
under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor, or with the
benefit of sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms
of child labor or exploitation of children in sweatshop labor. The applicant further declares under penalty of
perjury that they adhere to the Sweatfree Code of Conduct as sat forth on the California Department of
Industrial Relations website located at www a.oa.gQy, and Public Contract Code Section 6108.
b. The applicant agrees to cooperate fiilly in providing reasonable access to the applicant's records, documents,
agents or employees, or ,premises if reasonably required by authorized officials of the contracting agency, the
Department of Industrial Relations, or the Department of Justice to determine the contractor's compliance
with the rcquirements under paragraph (a).
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5. DOMESTIC PARTNERS: For subgrants executed or amended after July 1, 2004, the applicant may elect to
offer domestic partner benefits to the applicant's employees in accordance with Public Contract Code section
10295.3. However, the applicant cannot require an employee to cover the costs of providing any benefits which
have otherwise been provided to all employees regardless of marital or domestic partner status.
TERMS AND CONDITIONS
The following laws apply to persons or entities doing business with the State of California.
1. CONFLICT OF INTEREST: Applicant needs to be aware of the following provisions regarding current or
former state employees, If subgrantee has any questions on the status of any person rendering services or
involved with the Agreement, the awarding agency must be contacted immediately for clarification.
Current State Employees (Public Contract Code ,§10410):
1) No officer or employee shall engage in any employment, activity or enterprise from which the officer or
employee receives compensation or has a financial interest and which is sponsored or funded by any state
agency, unless the employment, activity or enterprise is required as a condition of regular state employment.
2) No officer or employee shall contract on his or her own behalf as an independent contractor with any state
agency to provide goods or services.
Former State Employees (Public Contract Code ,§10411):
1) For the two -year period from the date he or she left state employment, no former state officer or employee
may enter into a contract in which he or she engaged in any of the negotiations, transactions, planning,
arrangements or any part of the decision - making process relevant to the contract while employed in any
capacity by any state agency.
2) For the twelve -month period from the date he or she left state employment, no former state officer or
employee may enter into a contract with any state agency if be or she was employed by that state agency in a
policy - malting position in the same general subject area as the proposed contract within the 12 -month period
prior to his or tier leaving state service.
If applicant violates any provisions of above paragraphs, such action by applicant shall render this Agreement
void. (Pub. Contract Code §10420)
Members of boards and commissions are exempt from this section if they do not receive payment other than
payment of each meeting of the board or commission, payment for preparatory time and payment for per
diem. (Pub. Contract Code §10430 (e))
2. LABOR CODE/WORKERS' COMPENSATION: Applicant needs to be aware of the provisions which require
every employer to be insured against liability for Workers' Compensation or to undertake self - insurance in
accordance with the provisions, and applicant affirms to comply with such provisions before commencing the
perforrmance of the work of this Agreement. (Labor Code Section 3700)
3. AMERICANS WITH DISABILITIES ACT: Applicant assures the State that it complies with the Americans
with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability, as well as all
applicable regulations and guidelines issued pursuant to the ADA. (42 U.S.C. 12101 et seq.)
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4. APPLICANT NAME CHANGE: An amendment is required to change the applicant's name as listed, on this
Agreement. Upon receipt of legal documentation of the name change the State will ,process the amendment.
Payment of invoices presented with a, new name cannot be. paid prior to approval of said amendment.
5. RESOLUTION: A county, city, district, or other local public body must provide the State with a copy of a
resolution, order, motion, or ordinance of the local governing body which by law has authority to enter into an
agreement, authorizing execution of the agreement.
6, AIR OR WATER POLLUTION VIOLATION: Under the State laws, the applicant shall not be:
(1) in violation of any order or resolution not subject to review promulgated by the State Air Resources Board or
an air pollution control district;
(2) subject to cease and desist order not subject to review issued pursuant to Section 13301 of the Water Code
for violation of waste discharge requirements or discharge prohibitions; or
(3) finally determined to be in violation of provisions of federal law relating to air or water pollution.
SYSTEM FOR AWARD MANAGEMENT (SAM) AND UNIVERSAL IDENTIFIER REQUIREMENTS:
A. Requirement for System for Award Management (SAM)
Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the
currency of your information in the SAM until you submit the final financial report required. under this
award or receive the final payment, whichever is later. This requires that applicants and recipients review
and update the information at least annually after the initial registration, and more frequently if required by
changes in your information or another award term.
B. Requirement for Data Universal Numbering System (DUNS) Numbers
If recipients are authorized to make subawards under this award, they:
1. Must notify potential subrecipi,ents that no entity (see definition in paragraph C of this award terns)
may receive a subaward from you unless the entity has provided its DUNS number to you.
2. May not make a subaward to an entity unless the entity has provided its DUNS number to you.
C. Definitions
For purposes of this award term:
1. System for Award Management (SAM) means the Federal repository into which an entity must
provide information required for the conduct of business as a recipient. Additional information
about registration procedures may be found at the SAM Internet site (currently at
bttp: / /www.smn.gz y).
2. Data Universal Numbering System (DUNS) number means the nine digit number established and
assigned by Dun and Bradstreet, Inc. (D &B) to uniquely identify business entities. A DUNS
number may be obtained from D &B by telephone (currently 866 - 705 -5711) or the Intemet
(currently at bttp://fedaoy.dnb,com/wehform).
3, Entity, as it is used in this award term, means all of the following, as defined at 2 CFR §25.320,
subpart C:
a. A Governmental organization, which is a State, Local government, or Indian Tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for -profit organization; and
e. A Federal agency, but only as a subrecipient under an award or subaward to a non- Federat
entity.
4. Stibaward, as defined in 2 CFR § 170.325:
a. This term means a legal instrument to provide support for the performance of any portion of
the substantive project or program for which you received this award and that you as the
recipient award to an eligible subrecipient.
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b. The term does not include your procurement of property and services needed to carry out the
Projector program (for further explanation, see Sec. 210 of the attachment to OMB Circular
A -133, " Audits of States, Local Government, and Non -Profit Organizations ").
c. A subaward may be provided through any legal agreement, including an agreement that you
consider a contract.
5. Subrecipient, as defined in 2 CFR §25.360, means an entity that:
a. Receives a subaward frorn you under this award; and
b. Is accountable to you for the use of the Federal funds provided by the subaward.
8, FINANCIAL GUIDELINES: The recipient and any subrecipient shall comply with the most recent version of
the Administrative Requirements, Cost Principles, and Audit Requirements. A non - exclusive list of regulations
commonly applicable to FEMA grants are listed below:
A. Administrative Requirements
1. 44 CFR 13, Uniform Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments
2. 2 CFR Part 215, Uniform Administrative Requirements for Grants and Agreements with Institutions
of Higher Education, Hospitals, and Other Non - Profit Organizations (OMB Circular A -1 IC)
3. 44 CFR part 10, Environmental Considerations
B. Cost Principles
1. 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal Governments (OMB Circular A-
87)
2. 2 CFR Part 220, Cost Principles for Educational Institutions (OMB Circular A -21)
3, 2 CFR Part 230, Cost Principles for Non - Profit Organizations (OMB Circular A -122)
4. 48 CFR 31,2, Federal Acquisition Regulations (FAR), Contracts with Commercial Organizations
C, Audit Requirements
1. OMB Circular A -133, Audits of States, Local Governments, and Non - Profit Organizations
9, PROHIBITION ON USING FEDERAL FUNDS: The recipient understands and agrees that it cannot use any
Federal funds, either directly or indirectly, in support of the enactment, repeal, modification or adoption of any law,
regulation or policy, at any level of government, without the express prior written approval of FEMA.
10, COMPLIANCE WITH PROGRAM GUIDANCE: The recipient agrees that all allocations and use of funds
under this grant will be in accordance with the Program guidance and application kit,
11. CLASSIFIED SECURITY CONDITION:
A. Classified national security information, as defined in Executive Order (EO) 12958, as amended, means
information that has been determined pursuant to EO 12958 or any predecessor order to require protection
against unauthorized disclosure and is marked to indicate its classified status when in documentary form.
B, No funding under this award shall be used to support a contract, subaward, or other agreement for goods
or services that will include access to classified national security information if the award recipient has
not been approved for and has access to such information.
C. Where an award recipient has -been approved for and has access to classified national security
information, no funding under this award shall be used to support a contract, subaward, or other
agreement for goods or services that will include access to classified national security information by the
contractor, subawardee, or other entity without prior written approval from the DNS Office of Security,
Industrial Security Program Branch (ISPB), or an appropriate official within the Federal department or
agency with whom the classified effort will be performed,
D. Such contracts, subawards, or other agreements shall be processed and administered in accordance with the
DHS "Standard Operating Procedures, Classified Contracting by States and Local Entities," dated July 7,
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2008; EOs 12829, 12958, 12968, as amended,; the National Industrial Security Program Operating Manual
(NISPOM); and /or other applicable implementing directives or instructions. All security requirement
documents are located at: ht –Lww —w hs, =ov /xo anbiz/ ,rantsJudex.shim
E. Immediately upon determination by the award recipient that funding under this award will be used to
support such a contract, subaward, or other agreement, and prior to execution of any actions to
facilitate the acquisition of such a contract, subaward, or other agreement, the award recipient shall
contact ISPB, or the applicable Federal department or agency, for approval and processing
instructions.
DRS Office of Security ISPB contact information:
Telephone: 202 - 447 -5346
Email: DD254AdministrativeSecurity( (a)dh, s aov
Mail: Department of Homeland Security
Office of the Chief Security Officer
ATTN: ASD /Industrial Security Program Branch
Washington, D.C. 20528
12. REPORTING SUBAWARD AND EXECUTIVE COMPENSATION:
A. Reporting of first -tier subawards,
L Applicability. Unless you are exempt as provided in paragraph D. of this award term, you must
report each action that obligates $25,000 or more in Federal funds that does not include Recovery
funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009,
Pub, L. 111 -5) for a subaward to an entity (see definitions in paragraph E. of this award term).
2. Where and when to report.
a. You must report each obligating action described in paragraph A.I. of this award tern to
jLA1? //www.fsrs.uov.
b.For subaward information, report no later than the end of the month following the month
in which the obligation was made. (For example, if the obligation was made on November
7, 2012, the obligation must be reported by no later than December 31, 2012)
3. What to report, You must report the information about each obligating action that the submission
instructions posted at http:/ /www.fsrs.gnv specify.
B. Reporting Total Compensation of Recipient Executives,
1. Applicability and what to report. You rnust report total compensation for each of your five most
highly compensated executives for the preceding completed fiscal year, if-
a. The total Federal funding authorized to date under this award is $25,000 or more;
b.in the preceding fiscal year, you received -
i. 80 percent or more of your annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act, as
defined at 2 CFR 170.320 (and subawards); and
ii. $25,000,000 or more in annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act, as
defined at 2 CFR 170.320 (and subawards); and
c. The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange
Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of
1986. (To determine if the public has access to the compensation information, see the
U, S, Security and Exchange Commission total compensation filings at
lattp: / /wwwsec. t?oa /answers /execom �.httn,)
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2. Where and when to report. You must report executive total compensation described in paragraph
B.1. of this award terms:
a.As part of your registration profile at http;/ /w4vw.sam.gov.
b.By the end of the month following the month in which this award is made, and annually
thereafter.
C. Reporting of Total Compensation of Subrecipient Executives,
1. Applicability and what to report, Unless you are exempt as provided hz paragraph D. of this award
term, for each first -tier subrecipient under this award, you shall report the names and total
compensation of each of the subrecipient's five most highly compensated executives for the
subrecipient's preceding completed fiscal year if-
a, in the subrecipient's preceding fiscal year, the subrecipient received -
i. 80 percent or more of its annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act,
as defined at 2 CPR 170.320 (and subawards); and
ii. $25,000,000 or more in annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act,
as defined at 2 CFR 170.320 (and subawards); and
b.The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15 (d) of the Securities Exchange
Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of
1986. (To determine if the public has access to the compensation information, see the
U.S. Security and Exchange Commission total compensation filings at
t t_//www.sec. >ov /answers /execonip l tin.)
2. Where and when to report. You must report subrecipient executive total compensation described in
paragraph C.1, of the award terns:
a, To the recipient.
b.By the end of the month following the month during which you make the subaward. For
example, if a subaward is obligated on any date during the month of October of a given
year (i.e., between October 1 and 31), you must report any required compensation
information of the subrecipient by November 30 of that year.
D. Exemptions.
1, If, in the previous tax year, you had gross income, from all sources, under $300,000, you are
exempt from the requirements to report:
a.Subaward, and
b.The total compensation of the five most highly compensated executives of any subrecipient,
E. Definitions. For purposes of the award terms:
1. Entity means all of the following, as defined in CFR §25.320:
a.A Governmental organization, which is a State, Local government, or Indian Ttribe;
b.A foreign public entity;
c.A domestic or foreign nonprofit organization;
d.A domestic or foreign fox - profit organization;
e.A Federal agency, but only as a subrecipient under an award or subaward to a non - Federal
entity
2. Executive means officers, managing partners, or any other employees in management positions, as
defined in2 CFR § 170.315.
3. Subaward, as defined in 2 CRF § 170,325:
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a.This term means a legal instrarnent to provide support for the performance of any portion of
the substantive project or program for which you received this award and that you as the
recipient award to an eligible subrecipient.
b7he term does not include your procurement of property and services needed to carry out
the project or program (for further explanation, see Sec._ 210 of the attachment to OMB
Circular A -133, "Audits of States, Local Governments, and Non -Profit Organizations ").
c. A subaward may be provided through any legal agreement, including an agreement that
you or a subrecipient considers a contract.
4. Subrecipient, as defined in 2 CFR §25,360 means an entity that:
a, Receives a subaward from you (the recipient) under this award;
b.Is accountable to you for the use of the Federal funds provided by the subaward.
5. Total compensation, as defined in 2 CFR §170.330 means the cash and noncash dollar value earned
by the executive during the recipient's or subrecipient's preceding fiscal year and includes the
following (for more information see 17 CFR 229.402(c)(2)):
a. Salary or bonus.
b.Awards of stock, stock options, and stock appreciation rights. Use the dollar amount
recognized for financial statement reporting purposes with respect to the fiscal year in
accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004)
(FAS 123R), Shared Based Payments.
c. Earnings for services under non - equity incentive plans. This does not include group life,
health, hospitalization or medical reimbursement plans that do not discriminate in favor of
executives, and are available generally to all salaried employees.
d. Change in pension value, This is the change in present value of defined benefit and
actuarial pension plans.
e. Above - market earnings on deferred compensation which is not tax- qualified.
f. Other compensation, if the aggregate value of all such other compensation (e.g, severance,
termination payments, value of life insurance paid on behalf of the employee, perquisites or
property) for the executive exceeds $10,000.
Failure to comply with these requirements may result in suspension of payments under the Agreement or
termination of the Agreement or both and applicant may be ineligible for award of any future State agreements if
the department determines that any of the following has occurred: the applicant has made false certification, or
violated the certification by failing to carry out the requirements as noted above. (Gov. Code §8350 et seq.)
I, the official named below, CERTIFY UNDER PENALTY OF PERJURY that I am duly authorized to legally
bind the prospective jurisdiction to the assurances and certifications listed above.
Jurisdiction (Printed)
By (Authorized Signature)
Printed Name and Title of Person Signing
Date L'xecuted
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