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HomeMy WebLinkAbout55B - RESO - AA - AGMT - EMPGCITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE: APPROPRIATION ADJUSTMENT, RESOLUTION AND AGREEMENT ACCEPTING FISCAL YEAR 2015 -16 EMERGENCY MANAGEMENT PERFORMANCE GRANT {STRATEGIC PLAN NO. 1, 2E, 2F, 6C} CITY MANAGER 10FPir&II5100A�Z�+3�C *]�I CLERK OF COUNCIL USE ONLY: ;..»• k ❑ As Recommended ❑ As Amended ❑ Ordinance on 16` Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize the City Manager and the Clerk of the Council to execute a one -year agreement with the County of Orange, commencing July 1, 2015 through June 30, 2016 for the Emergency Management Performance Grant in an amount not to exceed $49,665, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment recognizing $49,665 in Emergency Management Performance Grant Fiscal Year 2015 -16 funds in revenue account (no. 12814002 - 52001) and appropriating same to expenditure account (no. 12814414 - various). 3. 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. DISCUSSION In October 2015, 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 grant is administered by the County of Orange. The Police Department has received an award from the EMPG grant in the amount of $49,665 for FY 2015 -16. These funds will reimburse the City for a portion of the salary and benefits of the Emergency Operations Coordinator position. Awards are set forth from July 1, 2015 -June 30, 2016. 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. 55B -1 Emergency Management Performance Grant Agreement, Appropriation Adjustment, & Resolution March 1, 2015 Page 2 Staff is requesting approval of the appropriation adjustment of $49,665 from the EMPG revenue account to the EMPG expenditure account. Furthermore, staff is recommending approval of a resolution authorizing the City Manager to act on behalf of the City of Santa Ana for the purposes of obtaining 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. 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), Strategy F (Partner with emergency assistance and disaster relief organizations to promote community awareness of emergency preparedness), and Objective #6 (Enhance Public Safety integration, communications and community outreach), and 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 $49,665 in EMPG Grant funds in Fiscal Year 2015- 16 revenue account (no. 12814002 - 52001), and appropriate same to Fiscal Year 2015 -16 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 APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibits: 1. Transfer Agreement with the County of Orange a. Attachment A— FY 2015 EMPG Notice of Funding Opportunity b. Attachment B — FY 2015 Financial Forms Workbook c. Attachment C — FY 2015 California Supplement to Federal Guidance d. Attachment D — FY 2015 EMPG Agreement Articles and Assurances 2. FY 2015 EMPG Resolution 55B -2 Exhibit 1 55B -3 55B -4 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 AGREEMENT TO TRANSFER FUNDS FOR 2015 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM THIS AGREEMENT is entered into this day of 20_, 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 ( "CaIOES "). WHEREAS, the purpose of the grant is to support comprehensive emergency management at the state, tribal and local levels and to encourage the improvement of prevention, protection, mitigation, response and recovery capabilities for all hazards, as set forth in Attachment A hereto (FY2015 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: 1. COUNTY shall transfer to SUBRECIPIENT grant funds, 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 SUBRECIPIENT 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 Emergency cyMa 55B -5 P.mergency MAnayetnanl PeaYonnattce Grant Department of Homeland security Page 1 of - 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 property and equipment as are necessary, in order to keep said grant continually in good working order. property and equipment. 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 I Announcement; or, The State Guidance), which is attached hereto and incorporated herein by reference, 6. By executing this Agreement, SUBRECIPIENT agrees to comply with and be fully bound by this Agreement and all applicable provisions of Attachments A, B, C, and D (FY15 Emergency Management Performance Grant Agreement Articles, Assurances, Certifications, Terms, and Conditions) hereto. SUBRECIPIENT shall notify COUNTY immediately upon discovery that it has I not abided or no longer will abide by any'applicable provision of this Agreement or Attachments A, B, C, or D hereto. 7. . SUBRECIPIENT agrees to indemnify, defend and save harmless COUNTY and the agency from which COUNTY received grant funds, and their elected and appointed officials, officers, agents and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work, services, materials or supplies in connection with SUBRECIPIENT's performance of this Agreement, including Attachments A, B, C, and D hereto, and from any and all claims and losses accruing or resulting to any person, firm, or corporation who may be injured or damaged by SUBRECIPIENT in the performance of this Agreement, including Attachments A, B, C, and D hereto. 8. No alteration or variation of the terms of this Agreement shall be valid unless 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. 91 SUBRECIPIENT may not assign this Agreement in whole or in part without the express I written consent of COUNTY, CVDA! 97.042 Emergency Maaagemeat Petformance Grant 55 B— Department of Homeland Secu ly Page 222222 of 4 11 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 10. SUBRECIPIENT shall provide to COUNTY all records and information requested by COUNT' for inclusion in quarterly reports and such other reports or records as COUNTY may be required to provide to the agency from which COUNTY received grant funds 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 representatives), for examination, copying, or mechanical reproduction on or off the premises of SUBRECIPIENT, upon request, during usual working hours. . 12. SUBRECIPIENT and COUNTY shall be subject to examination and audit by the State Auditor General with respect to this Agreement for a period of three years after the final Federal Financial Report hereunder. 13. COUNTY may terminate this Agreement and be relieved of the payment of any consideration to SUBRECIPIENT if a} SUBRECIPIENT fails to perform any of the covenants contained in this Agreement, including the applicable terms of Attachments A, B, C, and D hereto, at the time and in the manner herein provided, or b) COUNTY loses funding under the grant. In the event of termination, COUNTY may proceed with the work in any malmer deemed proper by COUNTY. 14. SUBRECIPIENT and its agents and employees shall act in an independent capacity in the performance of this Agreement, including Attachments A, B, C, and D hereto, and shall not be considered officers, agents or employees of COUNTY or SHERIFF or of the agency from which COUNTY received grant funds. 15. By signing this Agreement, SUBRECEIPIENT understands and agrees that; a. Failure to follow grant guidance, including those detailed below, will result in ineligibility for any reimbursement under the FY15 EMPG: ;TDA: 97.042 55B-7 Emetgency Management PeiToimance Grpnt Danarlmeni of Hnmelnnd 4 nCA 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 i b. A SUBRECIPIENT representative must attend half of the Orange County Emergency Managers Organization meetings held from July 1, 2015 through June 30, 2016; c. SUBRECIPIENT must maintain National Incident Management System (NIMS) compliance; d. For any personnel whose salary is charged to the grant, that specific individual must meet the training and exercise requirements set forth in the grant guidance; and c. Only those expenditures specifically detailed in the Financial Management Forms Workbook are approved for funding; ally 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: 120_ COUNTY OF ORANGE, apolitical subdivision of the State of California I DATED: CFDA: 47.042 Emw�gency Management Pwfoisnance Giant Depulment of Homeland security By Sheriff-Coroner "COUNTY" APPROVED AS TO FORM: COUNTY COUNSEL By Nicole A. Sims, Deputy DATED: 20 ,20_ SUBRECIPIENT: By ATTEST: 55B -8 Page 4 of 4 City Clerk DATED: Department of Homeland Security Notice of Funding Opportunity FY 2015 Emergency Management Performance Grant Program NOTE: If you are going to apply for this funding opportunity and have not obtained a Data Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management (SAM), please take immediate action to obtain a DUNS Number, if applicable, and then to register immediately in SAM. It may take 4 weeks or more after you submit your SAM registration before your registration is active in SAM, then an additional 24 hours for Grants. gov to recognize your information. Information on obtaining a DUNS number and registering in SAM is available from Grants. gov at: http://www.grants.gov/ web /erantslapplicants /applicant- resources html. A. Notice of Funding Opportunity (NOFO) Description Issued By U.S. Department of Homeland Security (DHS), Federal Emergency Management Agency (FEMA), Grant Programs Directorate (GPD) Catalog of Federal Domestic Assistance (CFDA) Number 97.042 CFDA Title Emergency Management Performance Grant (EMPG) Program Notice of Funding Opportunity Title Emergency Management Performance Grant Program NOFO Numbers Grant Program Title NOFO Number Emergency Management Performance Grants (EMPG) — Region I DHS -I5 -GPD- 042 - 001 -01 Emergency Management Performance Grants (EMPG) — Region II DHS -I5 -GPD- 042 - 002 -01 Emergency Management Performance Grants (EMPG) — Region III DHS -I5 -GPD- 042 - 003 -01 Emergency Management Performance Grants (EMPG) — Region IV DHS -I5 -GPD- 042 - 004 -01 Emergency Management Performance Grants (EMPG) — Region V DHS -I5 -GPD- 042 - 005 -01 Emergency Management Performance Grants (EMPG) — Region VI DHS -I5 -GPD- 042 - 006 -01 Emergency Management Performance Grants (EMPG) — Region VII DHS -I5 -GPD- 042 - 007 -01 Emergency Management Performance Grants (EMPG) — Region VIII DHS -I5 -GPD- 042 - 008 -01 Emergency Management Performance Grants (EMPG) — Region IX DHS -I5 -GPD- 042 - 009 -01 Emergency Management Performance Grants (EMPG) — Region X I DHS -I5 -GPD- 042 - 010 -01 Exhibit A 55B -9 Authorizing 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 an-tended (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 Department of Homeland Security Appropriations Act, 2015, (Pub. L. No. 114 -4) Program Type New Program Overview, Objectives, and Priorities Overview The purpose of the Emergency Management Performance Grant (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 gt M.). 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. The FY 2015 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. Objectives The EMPG Program supports a comprehensive, all- hazard emergency preparedness system by building and sustaining the core capabilities contained in the Goal. Examples of EMPG funded activities include: Initiating or achieving an all -of- Nation/whole community approach to security and emergency management; Strengthening a state or community's emergency management program; Updating emergency plans; FY 2015 EMPG Program 55B -10 • Completing the State Preparedness Reports (SPR), including the Threat and Hazard Identification and Risk Assessment ( THIRA) process; • Designing and conducting exercises that engage an all -of- Nation/whole community of stakeholders and validate core capabilities; and • Conducting training Priorities The National Preparedness System is the instrument the Nation employs to build, sustain, and implement core capabilities to achieve the Goal of a secure and resilient Nation. Complex and far - reaching threats and hazards require a collaborative and all -of- Nation/whole community approach to national preparedness that engages individuals, families, communities, private and nonprofit sectors, faith -based organizations, and all levels of government. The guidance, programs, processes, and systems that support each component of the National Preparedness System allow for the integration of preparedness efforts that build, sustain, and deliver core capabilities and achieve the desired outcomes identified in the Goal. The Department of Homeland Security expects EMPG recipients to prioritize grant funding to address capability targets and gaps identified through the annual THIRA and SPR process. Recipients should prioritize the use of grant funds to maintain/sustain current capabilities, to validate capability levels, and to increase capability for high - priority core capabilities with low capability levels. Additional information, including guidelines for completing the THIRA and SPR, can be found at: httis: / /www.fema.gov/ media- librarv/assets/ documents /26335 and htWs://www.fema.gov/media-librarv/assets/docutuents/24748. Minimum funding amounts are not prescribed by the Department for these priorities; however, recipients are expected to support state, local, regional, tribal, territorial and national efforts to achieve the desired outcomes for these priorities. For additional details on priorities for the EMPG Program, please refer to Appendix A — FY 2015 EMPG Program Priorities. B. Federal Award Information Award Amounts, Important Dates, Extensions Available Funding for the FY 2015 EMPG NOFO: $350,100,000 Period of Performance: Twenty -four (24) Months Extensions to the period of performance are allowed. For additional information on period of performance extensions, refer to Section H of this NOFO, Additional Information (Extensions). Period of Performance Start Date(s): 10/1/2014 FY 2015 EMPG Program 55B -11 Period of Performance End Date(s): 9/30/2016 Funding Instrument: Grant C. Eligibility Information Eligible Applicants State governments (State Administrative Agency [SAA] or the State's Emergency Management Agency [EMA]) Eligibility Criteria All 56 states and territories, as well as the Republic of the Marshall Islands and the Federated States of Micronesia, are eligible to apply for FY 2015 EMPG Program funds. Either the SAA or the EMA is eligible to apply directly to FEMA for EMPG Program funds on behalf of each state or territory. However, only one application will be accepted from each state or territory. Other Eligibility Criteria: Emergency Management Assistance Compact (EMAC) Membership In support of the Goal, EMPG recipients must belong to, be located in, or act as temporary member states of EMAC, except for American Samoa, the Federated States of Micronesia, the Republic of the Marshall Islands, and the Commonwealth of the Northern Mariana Islands, which are not currently required to belong to EMAC. All assets supported in part or entirely with FY 2015 EMPG Program funding must, where applicable, be readily deployable to support emergency or disaster operations per existing EMAC agreements. National Incident Management System (NIMS) Implementation Prior to allocation of any Federal preparedness awards in FY 2015, recipients must ensure and maintain adoption and implementation of NIMS. Emergency management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment and/or supplies) to meet incident needs. Utilization of the standardized resource management concepts such as typing, credentialing, and inventorying promote a strong national mutual aid capability needed to support delivery of core capabilities. Additional information on resource management and NIMS resource typing definitions and job titles /position qualifications is available under http://www.fema.govlresource-management-mutual-aid. FEMA developed the NIMS Guideline for Credentialing of Personnel to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes, and identifies tools which Federal Emergency Response Officials (FEROs) and emergency managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses. FY 2015 EMPG Program 55B -12 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 Federal investment in the Federal Information Processing Standards (FIPS) 201 infrastructure and to facilitate interoperability for personnel deployed outside their home jurisdiction. Additional information is available from the NIMS Guideline for the Credentialina of Personnel. Maintenance of Effort There is no Maintenance of Effort requirement for this program. Cost Match Criteria A cost match is required under this program. The Federal share that is used towards the EMPG Program budget shall not exceed 50 percent of the total budget. The state must equally match (cash or in -kind) the Federal contribution pursuant to Sections 6110) and 613 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Pub. L. No. 93 -288), as amended, (42 U.S.C. §§ 5121- 5207). Unless otherwise authorized by law, Federal funds cannot be matched with other Federal funds. FEMA administers cost matching requirements in accordance with 2 C.F.R. § 200.306. To meet matching requirements, the recipient contributions must be verifiable, reasonable, allowable, allocable, and necessary under the grant program and must comply with all Federal requirements and regulations. In accordance with 48 U.S.C. § 1469a, 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. Application and Submission Information Submission Date and Other Key Dates and Times Date Posted to Grants.gov: Application Submission Deadline: March 25, 2015 April 24, 2015 at 11:59:59 p.m. (EDT) All applications must be received by the established deadline. The Non - Disaster (ND) Grants System has a date stamp that indicates when an application is submitted. Applicants will receive an electronic message confirming receipt of the full application. In general, FEMA will not review applications that are not received by the deadline or consider them for funding. FEMA may, however, extend the application deadline on request for any applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may include technical problems outside of the applicant's control that prevent submission of the application by the deadline, or other FY 2015 EMPG Program 55B -13 exigent or emergency circumstances. Extensions based on exigent or emergency circumstances will be made on case by case basis with the final determination resting with FEMA. If you experience technical issues, you must notify the respective EMPG Regional Program Analyst as soon as possible. Anticipated Award Date: No later than 9/30/2015 Other I {ey Dates The chart below outlines suggested/estimated deadlines for completing the five steps required for a successful application submission prior to the deadline. These dates are only recommendations as applicants are responsible for planning far enough in advance to complete their application. The requirements outlined in the chart below are outside of FEMA's purview. Therefore, FEMA does not guarantee the timeframes for completing those processes. Failure of an applicant to comply with any of the required steps before the deadline for submitting their application may disqualify their application from funding. Applicants are encouraged to register early for Authorized Organizational Representative (AOR) authorization. The registration process can take four weeks or more to be completed. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines. Task Suggested timeframe for completion of task to meet submission deadline Obtain DUNS Number March 31, 2015 Obtain valid Employer Identification Number (EIN) March 31, 2015 Update SAM registration April 10, 2015 Submit initial application in grants.gov Aril 17, 2015 Address to Request Application Package Application forms and instructions are available at Grants.gov. To access these materials, go to http: / /www.grants.g_ov , select "Applicants" then "Apply for Grants," read the registration requirements and register if necessary (Allow up to 7 -10 business days after you submit before your registration is active in SAM, then an additional 24 hours for Grants.gov to recognize your information). In order to obtain the application package, select "Download a Grant Application Package," enter the CFDA and /or the funding opportunity number located on the cover of this NOFO, select "Download Package," and then follow the prompts to download the application package. If you experience difficulties accessing information or have any questions, please call the Qrants.xov customer support hotline at (800) 518 -4726. Hard copies of the NOFO can be downloaded from the common electronic "storefront" in Grants.gov. FY 2015 EMPG Program 55B -14 In addition, the Telephone Device for the Deaf (TDD) and /or Federal Information Relay Service (FIRS) number available for this Notice is: (800) 462 -7585. Applications will be processed through the Grants.gov portal and FEMA's Non - Disaster Grants (ND Grants) System. Content and Form of Application Submission Applying for an award under this program is a multi -step process and requires time to complete. To ensure that an application is submitted on time, applicants are advised to start the required steps well in advance of their submission. Please review the table above under "Submission Dates and Other Key Dates and Times" for estimated deadlines to complete each of the six steps listed below. Failure of an applicant to comply with any of the required steps before the deadline for submitting their application may disqualify their application from funding. The steps involved in applying for an award under this program are: 1. Applying for, updating or verifying their DUNS Number; 2. Applying for, updating or verifying their EIN Number; 3. Updating or verifying their SAM number; 4. Establishing an Authorized Organizational Representative (AOR) in Grants.gov; 5. Submitting an initial application in Grants.gov; and 6. Submitting the complete application in ND Grants. For additional information regarding the DUNS Number, EIN Number, SAM Number, and AOR requirements, please see the section below entitled Dun and Bradstreet Universal Numbering System (DUNS) Number, System for Award Management (SAMh and Authorized Organizational Representative (AOR). Submitting an Initial Application in Grants.gov. All applicants must submit their initial application through Grants. goy. 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 initial step on -line, which requires completing: • Standard Form 424 (SF -424), Application for Federal Assistance, and • Grants. gov (GG) Form Certification Regarding Lobbying Form. Both forms are available in the Forms tab under SF -424 Family. The initial application cannot be started or submitted in Grants.gov until the applicant's registration in SAM is confirmed. Application forms and instructions are available at Grants.gov by selecting Apply for Grants. Enter the CFDA number or the Opportunity ID Number noted in this NOFO, select Download Application package, and follow the prompts to download the application package. The information submitted in Grants. gov will be retrieved by ND FY 2015 EMPG Program 55B -15 Grants, which will allow FEMA to determine if an applicant is eligible. Applicants are encouraged to submit their initial application in Grants.gov at least seven days before the April 24, 2015,11:59:59 p.m. (EDT) application deadline. If you need assistance applying through Grants.gov, please go to the Grant Application page, contact sunportna,grants.gov, or call 800 -518 -4726. FEMA cannot assist applicants with questions related to registering with Grants.gov. Submitting the Complete Application in Non Disaster Grants System (ND Grants). Eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement. Early registration will allow applicants to have adequate time to start and complete their application. In ND Grants, applicants will be prompted to submit all of the information contained in the following forms. Applicants should review these forms before applying to ensure they include all required information: • Standard Form 424A, Budget Information (Non- construction); • Standard Form 424B, Standard Assurances (Non- construction); and • Standard Form LLL, Disclosure of Lobbying Activities (if the recipient has engaged or intends to engage in lobbying activities). In addition applicants must submit copies of the following in ND Grants: • Standard Form 424D, Standard Assurances (Construction) if applying for funds to use for construction; • Standard Form 424C, Budget Information (Construction) if applying for grants to support construction; • Program Work Plan; and • Indirect Cost Rate Agreement, if applicable If you need assistance registering for the ND Grants system, please contact ndgrantsAfema.gov or(800)865-4076. Dun and Bradstreet Universal Numbering System (DUNS) Number, System for Award Management (SAM), and Authorized Organizational Representative (AOR) DHS is participating in the Grants.gov Initiative that provides the Grant Community a single site to find and apply for grant finding opportunities; therefore, applicants with electronic access are to submit their applications electronically through http: / /www.grants gov/ web /grants/ applicants /apply- For- grants.html. Before you can apply for a DHS grant at grants.gov, you must have a DUNS number and must be registered in SAM. Obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) Number The DUNS number must be included in the data entry field labeled "Organizational DUNS" on the SF -424 form. Instructions for obtaining a DUNS number can be found at FY 2015 EMPG Program 55B -16 the following website: http:llwww.Qrants.govll web /,grants /applicantsIorganization- registrationlstim-1 - obtain- duns - number, html The applicant must provide a DUNS number with their application. This number is a required field for all subsequent steps in the application submission. Applicants should verify they have a DUNS number, or take the steps necessary to obtain one. Applicants can receive a DUNS number at no cost by calling the DUNS number request line at (866) 705 -5711. FEMA cannot assist applicants with questions related to obtaining a current DUNS number. 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 EIN and DUNS are also required to register with SAM (see below). The EIN base for an organization is the Internal Revenue Service (IRS) Tax ID number; for individuals it is their social security number, both the EIN and social security numbers are nine -digit numbers. Organizations submitting their applications must correctly differentiate the 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 the funding award and/or incorrect payment to a recipient organization. Organization applicants M13jng for an EIN should plan on a minimum of two full weeks to obtain an EIN. If you need assistance registering an EIN please contact the IRS helpline. FEMA cannot assist applicants with questions related to obtaining a current EIN. Register with the System for Award Management (SAM) Applicants applying for grant funds electronically through Grants. gov must register with the Federal System for Award Management (SAM). Step -by -step instructions for registering with SAM can be found at: http:11www.gran1s. gov/ web /grants/ applicants loreanization- rggistration /step- 2- register- with-sam.html. All applicants must register with SAM in order to apply online. Failure to register with the SAM will result in your application being rejected by Grants.gov during the submissions process. Payment under any FEMA award is contingent on the recipient's having a current SAM registration. The SAM registration process must be completed by the applicant. It is imperative that the information provided by the applicant is correct and current. Please ensure that your organization's name, address, DUNS number, and EIN are up to date in SAM and that the DUNS number used in SAM is the same one used to apply for all other FEMA awards. SAM registration is a multi -step process that includes validating your EIN with the IRS and obtaining 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. FY 2015 EMPG Program 55B -17 SAM sends notifications to the registered user via email 60, 30, and 15 days prior to expiration of the SAM registration for the Entity. SAM registration may lapse due to inactivity. To update or renew your Entity record(s) in SAM you will need to create a SAM User Account and link it to your migrated Entity records. If you need assistance registering, please go to SAM. go or call 866 - 606 -8220. FEMA cannot assist applicants with questions related to registering in SAM or obtaining a current CAGE code. Authorized Organizational Representative The next step in the registration process is creating a username and password with Grants.gov to become an Authorized Organizational Representative (AOR). AORs will need the DUNS number of the organization for which they will be submitting applications to complete this process. To read more detailed instructions for creating a profile on Grants.gov visit: http• / /www grants.gov/ web /rants /applicants /or¢anization- registration /step- 3- username- password.html. AOR Authorization After creating a profile on Grants.gov, the E -Biz 'Point of Contact (E -Biz POC), a representative from your organization who is the contact listed for SAM, will receive an email to grant the AOR permission to submit applications on behalf of their organization. The E -Biz POC will then log in to Grants.gov and approve an applicant as the AOR, thereby giving him or her permission to submit applications. To learn more about AOR Authorization visit: http://www rQ ants.gov/ web /Qr ants / applicants /organization - registration /step- 4 -aor- authorization.html. To track an AOR status visit: ht�e / /www grants zov/ web /grants/ applicants / organization- re2istrcitionlsten-5- tracic- aor-status.html. Applicants are encouraged to register early. The registration process can take four weeks or more to be completed. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines. After you have been approved as an AOR, you will be able to submit your application online. Electronic Signature Applications submitted through Grants.gov constitute a submission as electronically signed applications. The registration and account creation with Grants.gov with E -Biz POC approval establishes an AOR. When you submit the application through Grants.gov, the name of your AOR on file will be inserted into the signature line of the application. Applicants must register the individual who is able to make legally binding commitments for the applicant organization as the AOR; this step often is overlooked and it is crucial for valid submissions. FEMA may not make an EMPG award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements and, if an applicant has not fully complied with the requirements by the time FEMA is ready to make an award, FEMA 10 FY 2015 EMPG Program 55B -18 may determine that the applicant is not qualified to receive an award and use that determination as a basis for making an award to another applicant. Intergovernmental Review An intergovernmental review may be required. Applicants must contact their state's Single Point of Contact (SPOC) to comply with the state's process under Executive Order 12372 (see http:// www. fws .RoLlpolicvllibraglrgeo]2372.p4fl. Name and addresses of the SPOCs are maintained at the Office of Management and Budget's home page at http: / /www.whitehouse.kovlombl gry ants Woos to ensure currency. Funding Restrictions Federal funds made available through this award may only be used for the purpose set forth in this award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other Federal award, lobbying, or intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal funds may not be used to sue the Federal government or any other government entity. EMPG Program recipients may only fund activities and projects that were included in the FY 2015 EMPG Program Work Plan that was submitted to and approved by FEMA. Activities and projects may include the sustainment of capabilities supported by previous EMPG Program funds provided the sustainrent activity is cited in the FY 2015 Work Plan. Environmental Planning and Historic Preservation (EHP) Compliance As a Federal agency, FEMA is required to consider the effects of its actions on the environment and/or historic properties to ensure that all activities and programs funded by the agency, including grants - funded projects, comply with Federal EHP regulations, laws and Executive Orders as applicable. Recipients and subrecipients proposing projects that have the potential to impact the environment, including but not limited to construction of 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. In some cases, FEMA also is required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed and approved before funds are released to carry out the proposed project. FEMA will not fund projects that are initiated without the required EHP review. Additionally, all recipients are required to comply with FEMA EHP Policy Guidance. This EHP Policy Guidance can be found in FP 108- 023 -1, Environmental Planning and Historic Preservation Policy Guidance, and FP 108.24.4, Environmental Planning and Historical Preservation Policy. 11 FY 2015 EMPG Program 55B -19 SAFECOM Recipients (including subrecipients) who receive awards under EMPG that wholly or partially provide funding for emergency communication projects and related activities must comply with the most recent version of the SAFECOM Guidance on Emer2ency Communications Grants. This guidance provides recommendations to recipients regarding interoperable emergency communications projects, including allowable costs, eligible activities, grants management best practices for emergency communications grants, and information on technical standards that ensure greater interoperability. The guidance is intended to ensure that Federally- funded investments are compatible, interoperable, and support the national goals and objectives for improving emergency communications nationwide. Recipients (including subrecipients) investing in broadband - related investments should review IB 386 Clarification on Use ofDFIS/FEMA Public Safety Grant Funds for Broadband - Related Expenditures and Investments, and consult their FEMA Regional Program Analyst on such investments before developing applications. Pre -award costs Pre -award costs are allowable only with the prior written approval of FEMA and if they are included in the award agreement. To request pre -award costs a written request must be included with the application, signed by the Authorized Representative of the entity. The letter must outline what the pre -award costs are for, including a detailed budget break -out of pre -award costs from the post -award costs, and a justification for approval. Direct Costs Cost Principles Costs charged to this award must be consistent with the Cost Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. Planning Planning related costs are allowed under this program only as described in this NOFO. Organization Organization costs are allowed under this program only as described in this NOFO. Equipment Equipment costs are allowed under this program only as described in this NOFO. Training Training related costs are allowed under this program only as described in this NOFO. Exercise Exercise related costs are allowed under this program only as described in this NOFO. 12 FY 2015 EMPG Program 55B -20 Travel Domestic travel costs are allowed under this program, as provided for in this NOFO. International travel is not an allowable cost under this program unless approved in advance by FEMA. Construction and Renovation Construction and renovation costs are allowed under this program only as described in this NOFO. Operational Overtime Operational Overtime costs are allowed under this program only as described in this NOFO. Maintenance and Sustainment Funding may be used for the sustainment of programs that help achieve core capabilities that, while they may not be physically deployable, support national response capabilities such as Geographic /Geospatial Information Systems (GIS), interoperable communications systems, capabilities as defined under the Response Mission Area of the Goal, and fusion centers. For additional details on the use of funds, please refer to Appendix B -FY 2015 EMPG Funding Guidelines. 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 EMPG award for M &A purposes. In addition, local EMAs may retain and use up to five percent (5 %) of the amount received from the state for local M &A purposes. If the SAA is not the state -level EMA, the SAA is not eligible to retain funds for M &A. Indirect or Facilities and Administrative (F &A) Costs Indirect costs are allowable under this program as described in 2 C.F.R. § 200.414. With the exception of recipients who have never received a negotiated indirect cost rate as described in 2 C.F.R. § 200.414(t), recipients must have an approved indirect cost rate agreement with their cognizant Federal agency to charge indirect costs to this award. A copy of the approved rate (a fully executed, agreement negotiated with the applicant's cognizant Federal agency) is required at the time of application, and must be provided to FEMA before indirect costs are charged to the award. 13 FY 2015 EMPG Program 55B -21 E. Application Review Information Criteria FY 2015 EMPG Program applications will be evaluated for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed Work Plan. The results from the review process may require applicants to revise submissions before the release of EMPG funding. Review and Selection Process Initial Review Once program guidance and application requirements are released publicly, eligible applicants can submit applications for funding. Application release and review periods are primarily determined through the appropriations process. FEMA's Regional EMPG Program Managers conduct all pre -award reviews for Emergency Management Performance Grants. All EMPG Program Work Plans will require final approval by the appropriate FEMA regional office. Funds for recipients 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. Recipients will be notified by their FEMA Regional Program Manager should any component of the EMPG Program application require additional 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 FY 2015 EMPG Program Work Plans for their respective states /territories in order to assess their emergency management sustainment and enhancement efforts for building, sustaining, and/or delivering the core capabilities. For additional details on application review information please refer to Appendix C — FY 2015 EMPG Program Work Plan. F. Federal Award Administration Information Notice of Award Notification of award approval is made through the ND Grants system through an automatic e -mail to the awardee authorized official listed in the initial application. The "award date" for EMPG awards will be the date that FEMA approves the award. The awardee should follow the directions in the notification to confirm acceptance of the award. Recipients must accept their awards no later than 90 days from the award date. The recipient shall notify FEMA of its intent to accept and proceed with work under the award, or provide a written notice of intent to decline. For instructions on how to accept 14 FY 2015 EMPG Program 55B -22 or decline and award in the ND Grants system, please see pages 40 -43 in the ND Grants Grantee Training Manual. Funds will remain on hold until the recipient accepts the award through ND Grants and all other conditions of award have been satisfied, or the award is otherwise rescinded. Failure to accept the grant award within the 90 day timeframe may result in a loss of funds. Pass through funding Each state shall obligate 100 percent (100 %) of its total EMPG Program allocation amount to the designated state -level EMA. If the SAA is also the EMA, this requirement is automatically met. If the SAA is a separate agency, or has a separate budget processes, then EMPG funds must be obligated to the EMA within 15 days of the grant award date. In instances where the state EMA is making sub - awards to local jurisdictions, FEMA expects the state EMA to make these awards as expeditiously as possible. Administrative and National Policy Requirements Successful applicants for all DHS grant and cooperative agreements are required to comply with DHS Standard Administrative Terms and Conditions, which are available online at: http: / /www.dhs.gov /publication/ 15 -dhs- standard - terms- and - conditions. Before accepting the award the authorized official should carefully read the award package. The award package contains instructions on administering the grant award, as well as terms and conditions with which the recipient must comply. Recipients must accept all the conditions in this NOFO as well as all Terms and Conditions in the Notice of Award to receive an award under this program. Reporting Recipients are required to submit various financial and programmatic reports as a condition of their award acceptance. Future awards and fund drawdowns may be withheld if these reports are delinquent. Federal Financial Reporting Requirements Federal Financial Report (FFR) Recipients must report obligations and expenditures on a quarterly basis through the FFR (SF -425) to FEMA. Recipients must file the FFR electronically using the Payment and Reporting System (PARS). An FFR must be submitted quarterly throughout the period of performance, including partial calendar quarters, as well as for periods where no grant award activity occurs. The final FFR is due 90 days after the end date of the performance period. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate lack of progress, or are insufficient in detail. Recipients may review the FFR Form (SF -425) at: http:// www .whitehouse.eov /siCes /deFault/ files /omb/grantslapproved forms /SF- 425.Pdf, SF -425 OMB #00348 -0061. 15 FY 2015 EMPG Program 55B -23 Financial Reporting Periods and Due Dates The following reporting periods and due dates apply for the FFR: Reporting Period Report Due Date October 1 —December 31 January 30 January 1 — March 31 April 30 April 1— June 30 July 30 July 1 — September 30 October 30 Financial and Compliance Audit Report For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000 or more from all Federal funding sources during the fiscal year are required to submit an organization -wide financial and compliance audit report. The audit must be performed in accordance with the requirements of U.S. Government Accountability Office's (GAO) Government Auditing Standards, located at ht : / /www.gao.QOV /govaud /ybk01.htm, and the requirements of Subpart F of 2 C.F.R. Part 200, located at http: / /Www.ecfr.gov/eei- bin /text- idx? SID= 55e12eead565605b4d529d82d276105c &node = 2:1.1.2.1.1.6 &ren =div6 For audits of fiscal years beginning prior to December 26, 2014, recipients that expend $500,000 or more from all Federal funding sources during their fiscal year are required to submit an organization -wide financial and compliance audit report. The audit must be performed in accordance with GAO's Government Auditing Standards, located at http •/ /www.�,,ao.gov/¢ovaud/vblc01.htm, and OMB Circular A -133, Audits of States, Local Governments, and Non -Profit Organizations, located at htW:Ilwww whitehouve gov/omb /circulars /a133 compliance supplement 2012. Program Performance Reporting Requirements Performance Progress Reports (SF -PPR) Recipients are responsible for providing updated performance reports to FEMA using the SF -PPR on a quarterly basis. The Quarterly Performance Progress Reports must be based on the approved EMPG Program Work Plan and are due no later than 30 days after the end of the quarter (i.e., on January 30, April 30, July 30, and October 30). Recipients must complete the cover page of the SF -PPR (OMB Control Number: 0970 -03341 and submit it as an attachment to the ND Grants system. Recipients are required to report quarterly on progress towards completing activities and projects approved in their EMPG Program Work Plans, how expenditures support maintenance and sustainment of current Goal core capabilities, and progress made towards implementing the National Preparedness System. This includes reporting on the following information: List of completed training courses and exercises and the Training and Exercise Data Table (templates are available in Appendix C — FY 2015 EMPG Program Work Plan). 16 FY 2015 EMPG Program 55B -24 Percent completion of the Training and Exercise Plan (TEP) outlined in the FY 2015 EMPG Program Work Plan (templates are available in Appendix C — FY 2015 EMPG Program Work Plan). Programmatic Reporting Periods and Due Dates The following reporting periods and due dates apply for the PPR: Reporting Period Report Due Date October 1 — December 31 January 30 January 1 — March 31 April 30 April 1 — June 30 July 30 July 1— September 30 October 30 Standardized Reporting through the 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 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: • Plannin¢: Planning efforts should span all five Goal mission areas. The EMPG Program Worlc 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. • Ornanization: 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, and staffing Community Emergency Response Team (CERT) and Citizen Corps positions at the state and local levels in order to promote whole community engagement in all phases of emergency management and across the mission areas. • Equipment: Allowable equipment categories for the EMPG Program are listed on the web -based version of the Authorized Equipment List (AEL) available at http: / /www.fema.QOV /preparedness- non- di.vaster- ¢rants or http: / /wwwema.gov /grants. Unless otherwise stated, equipment must meet all mandatory regulatory and/or FEMA- adopted standards to be eligible for purchase 17 FY 2015 EMPG Program 55B -25 using these funds. 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 test and evaluate performance towards meeting capability targets, established through the development of a jurisdiction's THIRA for the core capabilities needed to address their greatest risks. Exercise priorities should align to a current, Multi -Year TEP developed through an annual TEPW. For more details on the EMPG Program Work Plan, please refer to Appendix C -FY 2015 EMPG Program Work Plan. Threat and Hazard Identification and Risk Assessment ( THIRA) Recipients must update their THIRA by December 31 annually. Further details on the THIRA as it relates to EMPG Program requirements can be found in Appendix A — FY 2015 EMPG Program Priorities. For additional guidance on THIRA, please refer to Comprehensive Preparedness Guide (CPG) 201, Second Edition, available at httos: / /www. fema.QOV/ threat - and - hazard - identification- and- rislc- assessment 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 2014, thus satisfying this requirement to receive funding under the FY 2015 EMPG Program. Emergency Operations Plan (EOP) Recipients must update their EOP at least once every two years to comply with Comprehensive Preparedness Guide (CPG) 101 v.2, Developing and Maintaining Emergency Operations Plans. Recipients will use the SPR to communicate their compliance with this reporting requirement. Biannual Strategy Implementation Reports (BSIR) In addition to the Quarterly Performance Progress Reports, recipients are responsible for completing and submitting BSIR reports. The BSIR is due within 30 days of the end of the reporting period (July 30 for the reporting period of January 1 through June 30 (the summer BSIR); and January 30 for the reporting period of July 1 through December 31. Updated obligations and expenditure information must be provided within the BSIR to show progress made toward meeting strategic goals and objectives as well as how expenditures support Planning, Organization, Equipment, Training and Exercise 18 FY 2015 EMPG Program 55B -26 (POETE) activities. Accordingly, expenditures should support gaps identified in the recipient's TH1RA and SPRs. FY 2015 Unified Reporting Tool (URT) The URT is FEMA's collection mechanism for THIRA/SPR and other related preparedness information. The FY 2015 SPR includes questions related to NIMS adoption and implementation, and CPG 101 v 2.0 compliance. Information on the URT, to include when recipients will receive the tool and how to use the tool, will be sent to recipients in summer 2015. Closeout FEMA will close out the grant award when it determines that all applicable administrative actions and all required work of the EMPG award have been completed by the recipient. This section summarizes the actions that the recipient must take to complete the closeout process in accordance with 2 C.F.R. § 200.343 at the end of the grant's period of performance or the expiration of an approved extension via Grant Adjustment Notice (GAN) issued to close out the grant. Within 90 days of the end of the period of performance, or after expiration of a close out extension via GAN, recipients must submit a final FFR and final performance progress report detailing all accomplishments and a qualitative summary of the impact of those accomplishments throughout the period of performance, as well as all the following documentation: 1) Final request for payment, if applicable; 2) SF -425 —Final Federal Financial Report; 3) SF -PPR — Final Performance Progress Report to include final Activity Outline Report from Work Plan; 4) A qualitative summary of the impact of accomplishments throughout the entire period of performance. Summary is submitted to the respective Regional Program Manager in a Word document; 5) SF -428 —Tangible Personal Property Report —Inventory of all tangible personal property acquired using funds from this award; and 6) Other documents required by program guidance or terms and conditions of the award. If applicable, an inventory of all construction projects that used funds from this program has to be reported using the Real Property Status Report (Standard Form SF 429) available at http: / /www.whitehouse.gov /sites /de aultl zles lomb /grantslctvnroved forms/sl 429. d . Additionally, the recipient must liquidate all obligations incurred under the EMPG award no later than 90 calendar days after the end date of the period of performance or expiration of a GAN that closes out the award, whichever comes first. Recipients who do not liquidate their obligations within this time period may have the costs of their unliquidated obligations disallowed. Recipients are also responsible for promptly 19 FY 2015 EMPG Program 55B -27 returning to FEMA the balance of any funds that have been drawn down, but remain unliquidated. After final reports have been reviewed and approved by FEMA, a close -out notice will be completed to close out the grant. The notice will indicate the period of performance as closed, list any remaining funds the recipient has not drawn down that will be deobligated, and address requirements for record retention, and disposition and reporting requirements for any equipment or real property purchased using EMPG grant funding. In addition, any EMPG recipient that issues subgrants to any subrecipients is responsible for closing out those subgrants as described in 2 C.F.R. § 200.343. EMPG recipients must ensure that they complete the closeout of their subgrants in time to submit all necessary documentation and information to FEMA during the closeout of their own grant award. G. DHS Awarding Agency Contact Information Contact and Resource Information 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, recipients will be directed to a Federal point of contact who can answer specific programmatic questions or concerns. CSID can be reached by phone at (800) 368 -6498 or by e -mail at ASKCsid &fema.gov, Monday through Friday, 8:00 a.m. — 5:30 p.m. EST. GPD Grant Operations Division GPD's Grant Operations Division Business Office provides support regarding financial matters and technical assistance. Additional guidance and information can be obtained by contacting the FEMA Call Center at (866) 927 -5646 or via e -mail to ASK- GMD@dhs.gov. dhs.gov. 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 and programmatic monitoring, and audit resolution for the EMPG Program. The Regions also provide technical assistance to EMPG Program awardees. Systems Information Grants.gov. For technical assistance with Grants.gov, please call the Grants. go customer support hotline at (800) 518 -4726. Non Disaster (ND) Grants. For technical assistance with the ND Grants system, please contact ndgrants(a fema.gov or (800) 865 -4076. 20 FY 2015 EMPG Program 55B -28 GPD Environmental Planning and Historic Preservation (GPD -EHP) The FEMA GPD -EHP Team provides guidance and information about the EHP review process to recipients and subrecipients. All inquiries and communications about GPD projects or the EHP review process, including the submittal of EHP review materials, should be sent to gpdehpinfo@fema.gov. EHP Technical Assistance, including the EHP Screening Form, can be found at http://www.fema.govlmedia-librarv-datal2Ol3O726- 1806-25045-28391 gpd ehp screening Lorm omb 1660 0115 Lune 2011.pdf. Telephone Device for the Deaf (TDD) The Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this announcement is: (800) 462 -7585. Hard copies of the NOFO Hard copies of the NOFO can be downloaded from the common electronic "storefront" Grants. go . H. Additional Information Extensions Extensions to this program are allowed. Extensions to the initial period of performance identified in the award will be limited and considered only through formal, written requests to the recipient's respective Regional Program Manager and must contain specific and compelling justifications as to why an extension is required. States are advised to coordinate with the Regional Program Manager as needed, when preparing an extension request. All extension requests must address the following: 1) Grant 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 EMPG Work Plan approved by FEMA. 21 FY 2015 EMPG Program 55B -29 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 perfonmance. In accordance with GPD policy, extensions are typically granted for no more than a six month time period. Extension requests will be granted only due to compelling legal, policy, or operational challenges. National Preparedness DHS coordinates with local, state, territorial, and tribal, governments as well as with other Federal agencies and private and nonprofit organizations to facilitate an all -of- nation/whole community, risk driven, and capabilities -based approach to preparedness. This approach is grounded in the identification and assessment of risk through the THMA. 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 National Preparedness System can be found in the http •//www.fema rov /national preparedness- system (released Nov 2011), which is posted on the FEMA website. Additional details regarding the National Preparedness System and how it is supported by the EMPG Program can be found in Appendix A — FY 2015 EMPG Program Priorities. Payment FEMA utilizes the FEMA Payment and Reporting System (PARS) for financial reporting, invoicing and tracking payments. DHS /FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. To enroll in the DD /EFT, the recipients must complete a Standard Form I I99A, Direct Deposit Form. Monitoring EMPG recipients will be monitored programmatically and financially biannually and as needed by FEMA staff to ensure that the activities and project goals, objectives, performance requirements, timelines, milestone completion, budgets, and other related program criteria are being met. Monitoring may be accomplished through either a desk -based review or on -site monitoring visits, or both. Monitoring will involve the review and analysis of the financial, programmatic, performance, compliance and administrative processes, policies, activities, and other attributes of each Federal assistance award and will identify areas where technical assistance, corrective actions and other support that may be needed. 22 FY 2015 EMPG Program 55B -30 Conflict of Interest To eliminate and reduce the impact of conflicts of interest in the subaward process, recipients and pass - through entities must follow their own policies and procedures regarding the elimination or reduction of conflicts of interest when malting subawards. Recipients and pass - through entities also are required to follow any applicable state, local, or tribal statutes or regulations governing conflicts of interest in the malting of subawards. The recipient or pass - through entity must disclose to FEMA, in writing, any real or potential conflict of interest as defined by the Federal, state, local, or tribal statutes or regulations or their own existing policies that may arise during the administration of the federal award. Recipients and pass - through entities must disclose any real or potential conflicts to their Regional Program Manager within five days of learning of the conflict of interest. Similarly, subrecipients must disclose any real or potential conflict of interest to the pass - through entity as required by the Recipient's conflict of interest policies, or any applicable state, local, or tribal statutes or regulations. Conflicts of interest may arise during the process of FEMA making a Federal award in situations where an employee, officer, or agent, any members of his or her immediate family, his or her partner has a close personal relationship, a business relationship, or a professional relationship, with an applicant, subapplicant, recipient, subrecipient, or FEMA employee. 23 FY 2015 EMPG Program 55B -31 FY 2015 EMPG Program 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 funds are distributed on a population -share basis. Pursuant to Article X of the Federal Programs and Services Agreement of the Compact of Free Association Act (Pub. L. No. 108 -188), a set amount of funds ($100,000 total) are also available from the Disaster Relief Fund for the Federated States of Micronesia and for the Republic of the Marshall Islands. fY i ergenpy. Management • fterformM nce Grantfgi" Program Fun • Ing Allocations m • Allocation Alabama $5,780,028 New Hamps ire $3,488,231 Alaska $3,104,321 New Jersey $8,440,219 Arizona $7,004,535 New Mexico $3,981,883 Arkansas $4,554,934 New York $15,471,989 California $27,870,091 North Carolina $9,094,590 Colorado $6,109,552 North Dakota $3,106,110 Connecticut $4,965,015 Ohio $10,168,217 Delaware $3,233,715 Oklahoma $5,148,078 District of Columbia $3,053,679 Oregon $5,208,056 Florida $15,567,673 Pennsylvania $10,944,419 Georgia $9,194,379 Rhode Island $3,311,501 Hawaii $3,548,573 South Carolina $5,769,036 Idaho $3,688,390 South Dakota $3,180,080 Illinois $11,005,166 Tennessee $6,886,039 Indiana $6,916,945 Texas $20,163,325 Iowa $4,646,511 Utah $4,539,666 Kansas $4,514,370 Vermont $3,032,644 Kentucky $5,496,416 Virginia $8,042,123 Louisiana $5,650,101 Washington $7,219,265 Maine $3,490,362 West Virginia $3,828,831 Mar land $6,513,279 Wisconsin $6,370,898 Massachusetts $7,013,594 Wyoming $3,005,053 Michigan $9,072,413 Puerto Rico $4,933,604 Minnesota $6,175,463 U.S. Virgin Islands $942,773 Mississippi $4,572,962 American Samoa $910,469 Missouri $6,570,000 Guam $979,748 Montana $3,290,945 Northern Mariana Islands $908,495 Nebraska $3,849,115 Republic of the Marshall Islands $50,000 Nevada $4,472,131 Federated States of Micronesia $50,000 $350,10Q,000 24 FY 2015 EMPG Program 55B -32 Appendix A - FY 2015 EMPG Program Priorities Alignment of the EMPG Program to the National Preparedness System The Nation utilizes the National Preparedness System to build, sustain, and deliver core capabilities in order to achieve the National Preparedness Goal (the Goal) of "a secure and resilient Nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk." The objective of the National Preparedness System is to facilitate an integrated, all -of- Nation, risk informed, capabilities -based approach to preparedness. The guidance, programs, processes, and systems that support each component of the National Preparedness System enable a collaborative, whole community approach to national preparedness that engages individuals, families, communities, private and nonprofit sectors, faith -based organizations, and all levels of government(httn: //www.fe ov /whole - community). The FY 2015 EMPG Program contributes to the implementation of the National Preparedness System by supporting the building, sustaimnent, 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 Emergency Management Assistance Compact (EMAC). The FY 2015 EMPG Program supports investments that improve the ability of jurisdictions nationwide to: • 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 fature disasters; • Responding quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; and/or • Recovering through a focus on the timely restoration, strengthening, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by a catastrophic incident. The core capabilities contained in the Goal are highly interdependent and require the use of existing preparedness networks and activities, to improve training and exercise programs, promote innovation, and to ensure that the appropriate administrative, finance, and logistics systems are in place. 25 FY 2015 EMPG Program 55B -33 Recipients will use the components of the National Preparedness System to support building, sustaining, and delivering these core capabilities. The components of the National Preparedness System are: Identifying and Assessing Risk; Estimating Capability Requirements; Building and Sustaining Capabilities; Planning to Deliver Capabilities; Validating Capabilities; and Reviewing and Updating. For more information on each component, read the National Preparedness System description available at http / /Www. ema.gov /national - preparedness -s stem. Recipients are expected to use this process when using grant funds to address their capability gaps. Reporting on the Implementation of the National Preparedness System Identifying and Assessing Risk and Estimating Capability Requirements In order to qualify for EMPG Program funding, all recipients shall develop and maintain a THIRA, which informs and supports an annual SPR. A THIRA provides a comprehensive approach for identifying and assessing risks and associated impacts. It expands on existing local, tribal, territorial, and state Hazard Identification and Risk Assessments (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 https / /www fema Qov /threat- and - hazard - identification- and - risk - assessment. In Step Four of the THIRA process, a jurisdiction should estimate the resources required to deliver the capability targets established in their THIRAs. Communities express resource requirements as a list of resources needed to successfully manage their threats and hazards. Through the capability estimation process, jurisdictions should identify the resources from across the whole community needed to meet capability targets. Each jurisdiction should decide which combination of resources is most appropriate to achieve its capability targets. The SPR is an annual self - assessment of state preparedness submitted by the 56 states and territories to the FEMA. The Post - Katrina Emergency Management Reform Act of 2006 (PKEMRA) requires an SPR from any state or territory receiving federal preparedness assistance administered by the Department of Homeland Security. Reporting: • States are required to submit an annual update to their THIRA. States will submit their THIRA update along with their SPR through the URT and email a copy of the URT to their respective FEMA Regional Federal Preparedness Coordinator and copy fema- sprg/ema.dhs.pov. THIRA submissions shall be in alignment with CPG 201, Second Edition. State submissions of the THIRA and SPR are due no later than December 31 annually. Building and Sustaining Core Capabilities EMPG Program recipients should ensure that grant funding is utilized to sustain critical core capabilities within the National Preparedness System that were funded by past EMPG Program funding cycles. New capabilities should not be built at the expense of maintaining current and critically needed core capabilities. If new core capabilities are being built utilizing EMPG Program funding, recipients must ensure that the capabilities are deployable outside of their 26 FY 2015 EMPG Program 55B -34 community, where applicable, to support regional and national efforts or otherwise shareable with regional partners and aligned with a capability target identified in the THIRA or a capability gap identified through the SPR. Reporting: • Recipients will be required to: (1) describe how expenditures support maintenance and sustainmem of current Goal core capabilities, and (2) describe how expenditures support a capability target identified in the THIRA or a gap identified in the SPR and report these within the quarterly performance progress reports. NIMS Implementation Recipients receiving EMPG funding are required to implement the NIMS, and EMPG funds may be used to meet the requirements described below. The NIMS uses a systematic approach to integrate the best existing processes and methods into a unified national framework for incident management. Incident management refers to how incidents are managed across all homeland security activities, including prevention, protection, and response, mitigation, and recovery. FY 2015 EMPG recipients must use standardized resource management concepts for resource typing, credentialing, and an inventory to facilitate the effective identification, dispatch, deployment, tracking, and recovery of resources. Reporting • Recipients report on NIMS implementation through the SPR. Planning to Deliver Capabilities All EMPG Program recipients shall maintain, or revise as necessary, jurisdiction -wide, all threats and hazards 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 https://www.fema.gov/ media - library /assets /documents /25975. Recipients must update their EOP at least once every two years. In building future EOPs, planners should anticipate the increasing complexity and decreasing predictability of the future operating environment. These efforts should actively use strategic foresight, including the multiple driving forces of change and the associated evolving strategic needs shown in FEMA's Crisis Response and Disaster Resilience 2030 Report. The Report can be found at httn:// www. fema .gov /Strcitetyie- planning-anal sis -. pa-divivion/strategic-foresight- initiative. Reporting: • Recipients will report EOP compliance with CPG 101 v2 in the SPR. Validating Capabilities Recipients should develop long -term training and exercise priorities that examine, validate and /or address capability targets identified through their annual THIRA and or capability gaps identified through their annual SPR. Recipients should also review and consider areas for improvement identified from real -world events and exercises, and national areas for 27 FY 2015 EMPG Program 55B -35 improvement identified in the most recent National Preparedness Report when developing exercise priorities. The Training and Exercise Program (TEP) should consider the risks and capability requirements described in the THIRA along with the guidance provided by elected and appointed officials to identify and set training and exercise program priorities and develop a multi -year schedule of exercise events and supporting training activities to meet those priorities. A TEP that is developed from a Training and Exercise Planning Workshop (TEPW) provides a roadmap to accomplish the multi -year priorities identified by elected and appointed officials and whole community stakeholders. These priorities help curriculum and exercise planners design and develop a progressive program of training and exercises that build, sustain, and increase the ability to deliver core capabilities. Information related to TEPs and TEPWs can be found on the Homeland Security Exercise and Evaluation Program (HSEEP) website at bLtps://www.fema.gov/exercise. In addition to training activities aligned to and addressed in the TEP, all EMPG Program funded personnel shall complete the following training requirements and record proof of completion: NIMS Training, Independent Study (IS) 100, IS 200, IS 700, and IS 800, and other hndependent 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: / /traininy.fema.gov /is. All recipients will develop and maintain a progressive exercise program, consistent to the degree practical, with the Homeland Security Exercise and Evaluation Program (HSEEP) in support of the National Exercise Program (NEP). The NEP is critical to our Nation's ability to test and validate core capabilities. To this end, grantees are highly encouraged to nominate exercises into the NEP. For additional information on the NEP, please refer to htW:Ilwww. ema. ov /national - exercise progr(tm. Recipients shall conduct no less than four quarterly exercises (i.e., one EMPG funded exercise and/or an exercise that includes EMPG funded personnel per quarter) of any type (i.e., discussion -based or operations- based) and one full -scale exercise within a 12 -month period. The five exercises shall be linked to common program priorities and reflect a series of increasingly complex exercises with each building upon the previous one while incorporating prior lessons learned. All EMPG funded personnel shall participate in no fewer than three exercises in a 12- month period. A progressive, multi -year exercise program enables organizations to participate in a series of increasingly complex exercises, with each successive exercise building upon the previous one while also taking into account prior lessons learned. Regardless of the exercise type, each exercise within the progressive series is linked to a set of common program priorities and designed to test associated capabilities. Reporting: • Recipients are required to develop a multi -year TEP that identifies a combination of exercises and associated training requirements that address priorities identified in the 28 FY 2015 EMPG Program 55B -36 TEPW. The TEP shall be submitted to hseeg2fema. dhs. gov no later than June 1 annually. States are encouraged to post their training and exercise schedules to the National Exercise Scheduling System (NEXS) at htt ps://www. ema. ov /exercise. List of completed training courses and exercises and the Training and Exercise Data Table to be included in the Quarterly Performance Progress Report. Percent completion of the TEP outlined in the FY 2015 EMPG Program Work Plan to be included in the Quarterly Performance Progress Report. In order to report on the required exercises, recipients can either submit one After Action Report/Improvement Plan (AAR/IP) for the culminating full -scale exercise from all 5 exercises conducted within a 12 -month period; or individual AAR/IPs for each of the 5 exercises to hseep@Lema.dhs.gov, and the appropriate Regional EMPG Program Manager no later than 90 days after completion of the exercise. In accordance with HSEEP guidance recipients are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. Recipients are encouraged to use the HSEEP AAR/IP template located at https ://www.jema.gov /exercise and utilize the Corrective Action Program (CAP) System at https ://hseep.dhs.gov /caps /, as a means to track the implementation of corrective actions listed in the AAR/IP. If a state /territory /local jurisdiction has experienced a major disaster, and would like to request exemptions for a scheduled exercise, the recipient should send this request to its assigned FEMA Regional Program Manager through the Quarterly Performance Progress Report. Exemptions will be reviewed on a case -by -case basis by the Regional Program Manager. Reviewing and Updating On a recurring basis, capability levels, resources, and plans should be reviewed to determine if they remain relevant or need to be updated. This review should be based on a current risk assessment and utilize information gathered during the capability validation process. These reviews will provide a means to determine priorities, direct preparedness actions, and calibrate goals and objectives. Additional considerations Strengthening Governance Integration DHS /FEMA preparedness grant programs are intended to support the core capabilities across the five mission areas of Prevention, Protection, Mitigation, Response, and Recovery that are necessary to prepare 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 /FEMA requires that all governance processes that guide the allocation of preparedness grant funds adhere to the following guiding principles: 29 FY 2015 EMPG Program 55B -37 • Coordination of Inves tments — resources must be allocated to address the most critical capability needs as identified in their SPR and coordinated among affected preparedness stakeholders. • Transparency — stakeholders must be provided visibility on how preparedness grant funds are allocated and distributed, and for what purpose. • Substantive Local Involvement— the tools and processes that are used to inform the critical priorities, which DHS /FEMA grants support must include local government representatives. At the state and regional levels, local risk assessments must be included in the overarching analysis to ensure that all threats and hazards are accounted for. • Flexibility with f4ccountability— recognition of unique preparedness gaps at the local level, as well as maintaining and sustaining existing capabilities. • Support of Regional Coordination — recognition of inter /intra -state partnerships and dependencies at the state and regional levels, and within metropolitan areas. 30 FY 2015 EMPG Program 55B -38 Appendix B — FY 2015 EMPG Funding Guidelines Allowable Costs Management and Administration (M &A) M &A activities are those defined as directly relating to the management and administration of EMPG Program funds, such as financial management and monitoring. It should be noted that salaries of state and local emergency managers are not typically categorized as M &A, unless the state or local EMA chooses to assign personnel to specific M &A activities. If the SAA is not the EMA, the SAA is not eligible to retain funds for M &A. M &A costs are allowable for both state and local -level EMAs. The state EMA may use up to five percent (5 %) of the EMPG award for M &A purposes. In addition, local EMAs may retain and use up to five percent (5 %) of the amount received from the state for local M &A purposes. Indirect Costs Indirect costs are allowable under this program as described in 2 C.F.R. § 200.414. With the exception of recipients who have never received a negotiated indirect cost rate as described in 2 C.F.R. § 200.414(f), recipients must have an approved indirect cost rate agreement with their cognizant Federal agency to charge indirect costs to this award. A copy of the approved rate (a fully executed, agreement negotiated with the applicant's cognizant Federal agency) is required at the time of application, and must be provided to FEMA before indirect costs are charged to the award. Planning Planning spans all five National Preparedness Goal (the Goal) mission areas and provides a baseline for determining potential threats and hazards, required capabilities, required resources, and establishes a framework for roles and responsibilities. Planning provides a methodical way to engage the whole community in the development of a strategic, operational, and /or community -based approach to preparedness. EMPG Program funds may be used to develop or enhance emergency management planning activities. Some examples include: • Development of THIRA and SPR • Development of an all- hazards mitigation plan based on identified risks and hazards Emergency Management /Operation Plans • Maintaining a current EOP that is aligned with guidelines set out in CPG 101v.2 hops: //www.fema. gov /media- library /assets /documents /25975 • Modifying existing incident management and emergency operations plans • Developing /enhancing large -scale and catastrophic event incident plans Communications Plans • Developing and updating Statewide Communication Interoperability Plans 31 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -39 • Developing and updating Tactical Interoperability Communications Plans Continuity /Administrative Plans • Developing /enhancing Continuity of Operation (COOP) /Continuity of Government (COG) plans • Developing /enhancing financial and administrative procedures for use before, during, and after disaster events in support of a comprehensive emergency management program All- of- Nation/Whole Community Engagement/Planning • Developing /enhancing emergency operations plans to integrate citizen/volunteer and other non - governmental organization resources and participation • Engaging the whole community in public education and awareness activities • Planning to foster public - private sector partnerships, including imiovation for disasters initiatives that support the mission areas identified in the Goal • Executing an America's PrepareAthon! activity to engage the whole community in a hazard - specific activity on the National Day of Action • Establishing a Citizen Corps Council that brings together representatives of the whole community to provide input on emergency operations plans, risk assessments, mitigation plans, alert and warning systems, and other plans; assist in outreach and education of community members in preparedness activities; and build volunteer capability to support disaster response and recovery • Delivering the CERT Basic Training Course and supplemental training for CERT members who have completed the basic training, the CERT Train - the - Trainer Course, and the CERT Program Manager course (strongly encouraged) • Developing or enhancing mutual aid agreements /compacts, including required membership in EMAC Resource Management Planning • Developing /enhancing logistics and resource management plans • Developing/enhancing volunteer and/or donations management plans • Acquiring critical emergency supplies such as: shelf stable food products, water, and/or basic medical supplies. Acquisition of critical emergency supplies requires each state to have 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 Evacuation planning • Developing /enhancing evacuation plans, including plans for: alerts /warning, crisis communications, pre - positioning of equipment for areas potentially impacted by mass evacuations, sheltering, and re- entry. Recovery Planning • Disaster housing planning, such as creating/supporting a state disaster housing task force and developing/enhancing state disaster housing plans 32 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -40 Pre -event response /recovery /mitigation plans in coordination with state, local, and tribal governments Developing /enhancing other response and recovery plans Developing recovery plans and preparedness programs consistent with the principles and guidance in the National Disaster Recovery Framework (NDRF) that will provide the foundation for recovery programs and whole - community partnerships. Preparedness and pre- disaster planning was given special attention within the NDRF with specific guidance: Planning for a Successful Disaster Recovery (pages 63 -70). For more information on the NDRF see hg2: / /www. Tema. gov /ndf/recoveryframework/ndrLpdf. Federal (and Mutual Aid) Emergency Response Official (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; staffing CERT and Citizen Corps positions at the state and local levels in order to promote whole community engagement in all phases of emergency management; performing close -out activities on FEMA Disaster Assistance grants; and supporting 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. Recipients are encouraged to fund at least one dedicated Planner, Training Officer, and Exercise Officer. Personnel costs, including salary, overtime, compensatory time off, and associated fringe benefits, are allowable costs with EMPG Program funds. These costs must comply with 2 C.F.R. Part 200, Subpart E — Cost Principles. Equipment Allowable equipment categories for the EMPG Program are listed on the web -based version of the Authorized Equipment List (AEL) at hgp://www.fema. ovloreparedness- non - disaster - grants or hyp: / /www.fema.gov /grants. Unless otherwise stated, equipment must meet all mandatory regulatory and/or FEMA- adopted standards to be eligible for purchase using these funds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. 33 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -41 Allowable equipment includes equipment from the following AEL categories: • Information Technology (Category 4) • Cyber security Enhancement Equipment (Category 5) • Interoperable Communications Equipment (Category 6) • Detection Equipment (Category 7) • Power Equipment (Category 10) • Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Reference Materials (Category 11) • CBRNE Incident Response Vehicles (Category 12) • Physical Security Enhancement Equipment (Category 14) • CBRNE Logistical Support Equipment (Category 19) • Other Authorized Equipment (Category 21) In addition to the above, general purpose vehicles are allowed to be procured in order to carry out the responsibilities of the EMPG Program. If state agencies and/or local governments have questions concerning the eligibility of equipment not specifically addressed in the AEL, they should contact their FEMA Regional Program Manager for clarification. Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, please reference 2 C.F.R. Part 200, including 2 C.F.R. §§ 200.310, 200.313, and 200.316. Training EMPG Program funds may be used for a range of emergency management - related training activities to enhance the capabilities of state and local emergency management personnel through the establishment, support, conduct, and attendance of training. Training activities should align to a current, Multi -Year TEP developed through an annual TEPW. Further guidance concerning the TEP and the TEPW can be found at ham: / /Www.fema.zov /exercise. Training should foster the development of a community oriented approach to emergency management that emphasizes engagement at the community level, strengthens best practices, and provides a path toward building sustainable resilience. EMPG Program funds used for training should support the nationwide implementation of NIMS. The NIMS Training Program establishes a national curriculum for NIMS and provides information on NIMS courses; recipients are encouraged to place emphasis on the core competencies as defined in the NIMS Training Program. The NIMS Training Program can be found at http://www.fema.goKlpd /emergencL/nims/nims training program.pdf. The NIMS Guideline for Credentialing of Personnel provides guidance on the national cedentialing standards. The NIMS Guidelines for Credentialing can be found at http• / /wwwfema.goEl f /emergency /nims /nims cred guidelines report.pdf. 34 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -42 To ensure the professional development of the emergency management workforce, the recipients must ensure a routine capabilities assessment is accomplished and a TEP is developed and implemented. For additional information on review and approval requirements for training courses funded with preparedness grants please refer to the following policy: http://www.fema.govlmedia-library- datall 1]5d44eO6367bb895]Oaalbe79c]8751FINAL GPD+Training +Three +for +Frees -Polite 09 +10 +13.pdf. Additional types of training or training related activities include, but are not limited to, the following: • Developing /enhancing systems to monitor training programs • Conducting all hazards emergency management training • Attending Emergency Management Institute (EMI) training or delivering EMI train -the- trainer courses • Attending other FEMA- approved emergency management training • State - approved, locally- sponsored CERT training • Mass evacuation training at local, state, and tribal levels Allowable training - related costs include the following: • Funds Used to Develop, Deliver, and Evaluate Training. This includes costs related to administering the training: planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the training cycle. States are encouraged to use existing training rather than developing new courses. When developing new courses states are encouraged to apply the Analysis Design Development and Implementation Evaluation (ADDIE) model for instruction design. • Overtime and Bachfill. The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of attendance at FEMA and/or approved training courses and programs are allowable. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or FEMA, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. • Travel. Travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as expenses by employees who are on travel status for official business related to approved training. • Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff or contractors /consultants may be hired to support direct training- related activities. Payment 35 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -43 of salaries and fringe benefits must be in accordance with the policies of the state or unit(s) of local government and have the approval of the state or FEMA, whichever is applicable. Certification✓Recertifieation of7nstructors. Costs associated with the certification and re- certification of instructors are allowed. States are encouraged to follow the FEMA Instructor Quality Assurance Program to ensure a minimum level of competency and corresponding levels of evaluation of student learning. This is particularly important for those courses which involve training of trainers. Exercises Allowable exercise - related costs include: • Funds Used to Design, Develop, Conduct and Evaluate an Exercise. This includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Recipients are encouraged to use free public space /locations /facilities, whenever available, prior to the rental of space /locations /facilities. Exercises should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any exercise or exercise gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the exercise cycle. • Hiring 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 FEMA, whichever is applicable. The services of contractors /consultants may also be procured to support the design, development, conduct and evaluation of exercises. • Overtime and Backfill. The entire amount of 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 FEMA, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. • Travel. Travel costs (e.g., airfare, mileage, per diem, 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 ofHSEEP. This refers to costs related to developing and maintaining an exercise program consistent with HSEEP. • Other Items. These costs are limited to items consumed in direct support of exercise activities such as the rental of space /locations for planning and conducting an exercise, rental of equipment, and the procurement of other essential nondurable goods. Recipients 36 Appendix 13- FY 2015 EMPG Program Funding Guidelines 55B -44 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 are allowable. Unauthorized exercise - related costs include: Reimbursement for the maintenance and/or wear and tear costs of general use vehicles (e.g., construction vehicles) and emergency response apparatus (e.g., fire tracks, ambulances). The only vehicle costs that are reimbursable are fuel /gasoline or mileage. Equipment that is purchased for permanent installation and /or use, beyond the scope of exercise conduct (e.g., electronic messaging signs) Durable and non - durable goods purchased for installation and /or use beyond the scope of exercise conduct Construction and Renovation Construction and renovation projects for a state, local, territorial, or Tribal government's principal Emergency Operations Center (EOC) as defined by the SAA are allowable under the EMPG Program. Written approval must be provided by FEMA prior to the use of any EMPG Program funds for construction or renovation. Requests for EMPG Program funds for construction of an EOC must be accompanied by an EOC Investment Justification (FEMA Form 089- 0 -0 -3; OMB Control Number; 1660 -0124 ( http:// www. %ma.gOILflizovenament/zrant /2011 /fvll eoc invp& to their Regional Program Manager for review. Additionally, recipients are required to submit a SF- 424C Budget and Budget detail citing the project costs. When applying for funds to construct communication towers, recipients and subrecipients must submit evidence that the Federal Communication Commission's (FCC) Section 106 review process has been completed and submit all documentation resulting from that review to GPD prior to submitting materials for EHP review. Recipients and subrecipients are also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in 44 C.F.R. § 10.8, must also be identified to the FEMA Regional Program Manager within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP review packets should be sent to gpdeh ip nfogfema.gov. EMPG Program recipients using funds for construction projects must comply with the Davis - Bacon Act (40 U.S.C. §§ 3141 et seq.). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis -Bacon Act, including Department of Labor (DOL) wage 37 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -45 deterininations, is available from the following website: httn: //www.dol.gov /compliance /laws /comp- dbra.htm. Maintenance and Sustainment The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active grant awards, unless otherwise noted. EMPG Program grant funds are intended to support the Goal and fund activities and projects that build and sustain the capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in GPD's IB 379 (Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding) allows for the expansion of eligible maintenance and sustainment costs, which must be in: (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program; (3) be tied to one of the core capabilities in the five mission areas contained within the Goal, and (4) shareable through the EMAC. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either Federal grant funding or any other source of funding other than DHS/FEMA preparedness grant program dollars. Additional guidance is provided in FEMA Policy FP 205- 402 - 125 -1, Maintenance Contracts and Warranty Coverage Funded by Preparedness Grants, located at: hgQ://www.fema.gov/media- li brary /assets /documents /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, recipients should consult with their FEMA Regional Program Manager prior to making any investment that does not clearly meet the allowable expense criteria established in this Guidance. 38 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -46 Appendix C — FY 2015 EMPG Program Work Plan EMPG Program Work Plan Instructions All EMPG Program applicants are encouraged to use the templates to submit a required Work Plan that outlines the state's emergency management sustainment and enhancement efforts, including new and ongoing activities and projects, proposed for the EMPG Program period of performance. The Work Plan consists of a Program and Budget Narrative, Personnel Data Table, Training Data Table, Exercise Data Table, and Grant Activities Outline. FEMA Regional Program Managers will work closely with states to monitor Work Plans during the performance period and may request further documentation from the recipients to clarify the projected work plan. In addition, FEMA Regional Program Managers must approve final Work Plans before states may draw down EMPG Program funds. Grant funds will be released upon approval of the state's final Work Plan. Program and Budget Narrative Provide a brief description of the state emergency management priorities and initiatives that will be addressed with EMPG Program funds. In addition, the narrative should address the following: • Overview of the state's risk profile resulting from the current THIRA • Areas of need identified through assessment processes such as the State Preparedness Report, Emergency Management Accreditation Program Assessment Process, National Emergency Communications Plan Goal Assessments, or other emergency management assessment processes • Baseline inventory of where states are now relative to goals and objectives identified in relevant strategic plans per CPG 101 v.2 • State emergency management priorities and planning focus for current budget year (including linkage to the core capabilities identified in the Goal) • Detailed Budget Narrative justifying the requested funding for the identified Work Plan activities • Description of how projects and programmatic activities support the building or sustainment of the core capabilities as outlined in the Goal Personnel Data Table To facilitate consistent data reporting and performance measures collection, a Personnel Data Table should be completed for state, local, tribal and territory (SLTT) personnel supported with EMPG Program funds. This will assist in documenting the extent to which EMPG Program funding supports personnel at the state - level. Submit this template with the EMPG Program Work Plan and a roster of EMPG - funded personnel. The roster of EMPG - funded personnel should be updated only if numbers change more than 10 percent during the award period of performance. 39 Appendix C- FY 2015 EMPG Program Work Plan 55B -47 Personnel Data Table Template Personnel Metries Data EMPG Program funds (Federal and match) allocated towards state emergency management personnel EMPG Program funds (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) Number of state emergency management fall -time equivalent (FTE) personnel supported (fully or partially) by the EMPG Program Total Number of state, local, Tribal and territory (SLTT) emergency management personnel supported (fully or partially) by the EMPG Program Personnel Data Table Definitions Line 1 — All EMPG Program funds (Fed & match) allocated for state emergency management personnel Line 2— All 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 courses that meet the EMPG reporting requirements. This template should reflect training activities outlined in the Multi -Year TEP and completion of EMPG Program training requirements. EMPG Program funded personnel should complete the listed training requirements and record proof of completion. 40 Appendix C- FY 2015 EMPG Program Work Plan 55B -48 Training Data Table Template Training Data Table Definitions: Col 1 —Name of Training Col 2 — Is the course required of EMPG funded personnel? Col — # of Personnel Trained Col 4 — Total # of SLTT EMPG Funded Personnel (Universe) Col 5 — Total # of SLTT EMPG Funded Personnel that completed the Course Col 6 — Is the training identified in the multi -year TEP? Exercise Data Table To facilitate consistent data reporting and performance measure collection, an Exercise Data Table should be completed for any exercises that meet EMPG requirements and /or exercises conducted in whole or part with EMPG funds. Recipients shall conduct no less than four quarterly exercises and one full -scale exercise within a 12 -month period. The five exercises shall be linked to common program priorities and reflect a progressive exercise series of increasingly complex exercises with each building upon the previous one while incorporating prior lessons learned. The exercises should be part of the recipient's progressive exercise program and outlined in the multi -year TEP. EMPG Program funded personnel shall participate in no less than three exercises. 41 Appendix C- FY 2015 EMPG Program Work Plan 55B -49 Total # of SLTT EMPG Total# of EMPG Training Number of SLTT Name of Training Required Personnel EMPG. Funded Identified Training? Personnel in TEP (YEN) Trained Funded that (Y/1) Personnel completed the Course Training Data Table Definitions: Col 1 —Name of Training Col 2 — Is the course required of EMPG funded personnel? Col — # of Personnel Trained Col 4 — Total # of SLTT EMPG Funded Personnel (Universe) Col 5 — Total # of SLTT EMPG Funded Personnel that completed the Course Col 6 — Is the training identified in the multi -year TEP? Exercise Data Table To facilitate consistent data reporting and performance measure collection, an Exercise Data Table should be completed for any exercises that meet EMPG requirements and /or exercises conducted in whole or part with EMPG funds. Recipients shall conduct no less than four quarterly exercises and one full -scale exercise within a 12 -month period. The five exercises shall be linked to common program priorities and reflect a progressive exercise series of increasingly complex exercises with each building upon the previous one while incorporating prior lessons learned. The exercises should be part of the recipient's progressive exercise program and outlined in the multi -year TEP. EMPG Program funded personnel shall participate in no less than three exercises. 41 Appendix C- FY 2015 EMPG Program Work Plan 55B -49 Exercise Data Table Template Name/ Description of Exercise Date Excreise Scheduled/ Completed Type of Exercise Program Priority y Exercised Exercise � Fulfills Progressive 1 rogressive Exercise Requirement f� /N} Total # of MPG Funded Personnel Number of SLTT EMPG Program Funded Personnel Participating in Exercise Exercise Fulfills. EMPG Exercise Requirement Rcrynirement 1N) Exercise Identified in /N) 42 Appendix C- FY 2015 EMPG Program Work Plan 55B -50 Exercise Data Table Definitions: Col 1 — Name /Description of Exercise Col 2 — Date of exercise Col 3 — Type of exercise (e.g., seminar, workshop, tabletop, games, drills, functional, and/or full- scale) Col 4 — Program priority associated with the exercise Col 5 — Is the exercise part of a progressive exercise series? Col 6 — Total # of SLTT EMPG Funded Personnel (Universe) Col 7— Total # of SLTT EMPG Funded Personnel Participating in Exercise Col 8 — Does the exercise fulfill the EMPG requirement that EMPG Program funded personnel participate in no less than three exercises? Col — Is exercise identified in the multi -year TEP? Grant Activities Outline To facilitate performance measures and focus on outcomes, an EMPG Program Grant Activities Outline should be completed for activities supported with FY 2015 EMPG Program funds (including construction and renovation projects). The data outlined in this template will be used to evaluate the timely completion of planned emergency management activities. Recipients are encouraged to complete a separate Grant Activities Outline for each Emergency Management Function (EMF). Quarterly training activities should be reported against EMIT #13, "Training," and quarterly exercise activities should be reported against EMF #14, "Exercises, Evaluations and Corrective Actions." Recipients should complete a template as shown on the next page and address the following areas: • EMF Number. Identify how the grant activities relate to the EMFs outlined in the September 2007 version of the Emergency Management Accreditation Program (EMAP) Standard (e.g. Resource Management, Communications and Warning, etc.) • 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. 43 Appendix C- FY 2015 EMPG Program Work Plan 55B -51 • Core Capability Addressed. Briefly describe which of the 31 core capabilities (multiple can be selected) the project addresses. • Performance Measure and Basis of Evaluation. Indicate the performance measure that will be used to evaluate this project. • Challenges /Risks. Identify any challenges to implementing this project or any of its activities. • Quarterly Activity. Break each project down into quarterly activities. For each quarter, briefly identify the activities that will accomplish the planned project. This information will provide the foundation for the second component of the Quarterly Performance Progress Report. • Step. Provide the status of planned quarterly activities. • Comments. Briefly describe the reason for the project status and provide other comments as needed. Include the number of training sessions funded and the number of personnel trained in this section. Grant Activities Outline - Template Name of Planned Project: Project Objective: Core Capabilities Addressed: Performance Measure and Basis of Evaluation: Challenges /Risks: 1" Quarter Activity Planned Activities: Step: Comments: (10/1/14 - 12/31/14) 2" Quarter Ac tivity Planned Activities: Step: Comments: 1/1/15- 3/31/1 5) 3` Quarter Activity Planned Activities: Step: Comments: 4/1/15- 6/30/15) 4' Quarter Activity Planned Activities: Step: Comments: 7/1/15- 9/30/15 5, Quarter Activity Planned Activities: Step: Comments: 10 /1M-elr /31/15) 6" Quarter Activity Planned Activities: Step: Comments: 1/1/16- 3/31/16 7 Quarter Activity Planned Activities: Step: Comments: (4/1/16- 6/30/16 8` Quarter Activity Planned Activities: Step: Comments: 7/1/16- 9/30/16 44 Appendix C- FY 2015 EMPG Program Work Plan 55B -52 Project Management Lifecycle Steps Description Process The authorization to begin work or Involves preparing for, assembling Initiate resume work on any particular resources and getting work started. May activity apply to any level, e.g. program, project, phase, activity, 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, Execute during which the actual work of managing, and completing all phases and creating the project's deliverables is aspects of work for a given project. carried out. A mechanism which reacts to the Involves exercising corrective action as Control current project status in orderto ensure necessary to yield a required outcome accomplishment of project objectives. consequent upon monitoring performance. This involves planning, measuring, Or, the process of comparing actual monitoring, and taking corrective action performance with planned performance, based on the results of the monitoring, analyzing variances, evaluating possible alternatives, and taking appropriate correct action as needed. The completion of all work on a project. Involves formally terminating and concluding Close Can also refer to completion of a phase all tasks, activities, and component parts of Out of the project. a particular project, or phase of a project 45 Appendix C- FY 2015 EMPG Prograin Work Plan 55B -53 55B -54 Exhibit B Instructions 55B -55 55B -56 CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal DES) This tab provides detailed instructions on how to complete the Financial Management Farms Workbook v1.15. For further guidance, please refer to your Program Representative. TA8 ISECTION EXPLANATION INSTRUCTIONS FOR ENABLING MACROS IN EXCEL 2003, EXCEL 2007 AND EXCEL 2010 INSTRUCTIONS FOR ENABLING MACROS- EXCEL 2003 Save the FMFW v1.15 to your computer With the FMFW v1.15 open, click on TOOLS, MACRO, SECURITY... Under the SECURITY LEVEL tab, select the MEDIUM or LOW setting. The MEDIUM setting will prompt you to enable /disable macros each time the file Is opened. This will prevent potentially unsafe macros from running. The LOW setting will enable macros without prompt. it Is recommended that You have vws snftwere Installed and updated If using the LOW setting to prevent unsafe macros from running In other Flies. Save, Close, and Re -open the workbook- Macros will be enabled. INSTRUCTIONS FOR ENABLING MACROS- EXCEL 200] Save the FMFW vi. 15W your computer Open the FMFW VI Click on the round Office button In the top left Click on Excel Options In the lower right of the drop down box Select Popular module along the left side Check the Show Developer tab in the Ribbon option Hit OK Click on the round office button In the top left (again) Click on Excel Options In the lower right of the drop down box Select the Trust Center module along the left Click on the Trust Center Settings... button Select the Macro Settings module along the left Set the Macro Settings to Enable all macros... Check the Trust eases to the VBA protect.. option Hit OK Save, Close, and Re -open the workbook- Macros will be Contend. INSTRUCTIONS FOR ENABLING MACROS- EXCEL 2010 Save the FMFW v1.15 to your computer Open the FMFW v1.15 Click on the File tab, choose Options to open the Excel Options dlaloo box. Click on Customize Ribbon on the left side of the dialog box Under Choose commands from the left side of the dialog box, select Popular Commands. Under Customise the ribbon on the left side of the dialog box, select Main Tabs and then select the Developer check box Hit OK Click OR the File tab, choose Options to open the Excel Options dialog box (again). Click on Trust Center on the left side of the dialog box Click on Trust Center Settings from the right side of the dialog box Select Macros Settings on the left side of the dlaloo box Under Macros Settings click on "Enable all macros" Check the Trust access to the VBA project... option Hit OK Save, Close, and Reopen the workbook- Macros will be enabled. Note: Soma computer. m.V at run Macros correctly even If enabled by Excel. A Non -Macro notation of the workbook Is available under such circumstances. This Image represents buttons mat are placed throughout me workbook, Explanations are provided In cle chose an how to use apedgc buttons. Use the Grant Subaward Face Sheet to apply for grant programs. Each grant program requires its own separate Grant Subaward Face Sheet. Cal DES Section: The top portion of the form contains blocks for four (4) Important numbers. Please do not fill in these blocks. These numbers will be entered by Cal DES. Please print the Grant Subaward Face Sheet in portrait format. Provide an original signature of the authorized official. The use of white out or face is Prohibited and will invalidate the slanahlre on the Grant Subaward Face Sheet. 1. Subrecipient The Subreclplent Is the unit of government or community based organization (CBO) that will have legal responsibility for these grant funds (e.g. County of Alameda, City of Fresno or Women's Place of Merced). Enter the legal title of the Subreclplent. IS. Federal DUNS Number Enter the full 91 Federal Data Universal Numbering System (DUNS) ID number for the Subreciplent. If the Subrecipient does (Grant Subrecipient) not yet have a DUNS number assigned, one may be obtained by contacting Dun & Bradstreet at 866.705 -5711 or at www.dnb.com. This applies to federally funded grants only. Your DUNS # must be current and active in the System for Award Management (SAM) at the time of your Award. 2. Implementing AgencV Enter the complete name of the agency responsible for the day -to -day operation of the grant (e.g. Sheriff, Police Department, or Department of Public Works). If the Implementing Agency Is the same as the Grant Subreciplent, enter the same title again. 2a. Federal DUNS Number Enter the full 9 -dlglt Federal Data Universal Numbering System (DUNS) ID number for the Implementing Agency. If the (Implementinq Agency) Implementing Agency does not yet have a DUNS number assigned, one may be obtained by contacbng Dun & Bradstreet at 865- 705 -5711 or at www.dnb.mm. This applies to federally funded grants only. Your DUNS # must be current and active In the System for Award Management at the time of your Award. 3. Implementinq Agency Address Enter the address of the Implementing Agency. Provide the complete nine digit zip code (Zip +4). 4. Location Of Project Enter the City and County/Operational Area where the project is located. Provide the complete nine digit zip code (Zip +4). 5. Disaster /Program Title Enter the name of the Disaster or Program providing the funds for this grant award. A disaster may be referred by the federal declaration number. Program titles should be complete without the use of acronyms. 6. Performance Period Enter beginning and ending dates of the performance period for the grant (mm /dd /yvl 7. Indirect Cost Rate Indicate whether you are using the 10% up Minimis rate based on Modified Total Direct Costs (MTDC) or your current cognizant agency approved indirect cost rate agreement. A copy of the approved ICR Negotatin Agreement must be enclosed with your application. Indicate N/A if you will not be claiming indirect Costs under the award. Indirectcosts may ormay not be afiewab7e under all Fetlerat fund sources. SA. - 12G. Fund Allocations For each fund source used In the program, select the correct grant year and acronym from the drop down lists, the amount of and Total Project Cost State or Federal grant funds requested, the amount of cash and /or unkind match contributed and the resulting totals. Please do not enter both State and Federal on the same line. Block 12G should correspond to the total project cost specified In the budget. 13. Certification Paragraph Please review the Certification Paragraph. 14. Official Authorized to sign for Enter the name, title, telephone number, and e-mail address of the official authorized to enter Into the Grant Subaward the Subrecipient Agreement for the Grant Subrecpient as stated in Block 1 of the Grant Subaward Face Sheet. Enter the Payment Mailing 55B -57 FMFW vi - 2015 Address where grant funds should be sent. 15. Federal Employer ID Number Enter the 9 -diqlt Federal Employer Identification Number for the Implementinq Agency. Provide information on additional Authorized Agents (AA) and Grant Program Contacts, Additional Authorized Agent Provide the contact information of any addltlonal Authorized Agents (AA) and staff related to grant activities. It Is Contact Information recommended that more than one person be designated as the Authorized Agent (AA) so that if one AA Is not available, a second AA can slqn the requests for reimbursements. 55B -58 FMFW v1.15 - 2015 MEMUse the FFATA Financial Disclosure to provide information required by the Federal Funding Accountability and Transparency Act of 2005. If your organization Is not subject to the FFATA Financial Disclosure requirements, check the "Not Subject to FFATA Financial Disclosure" box at the bottom of the page. Executive Name Provide the full name of the executive. Title Provide the title of the executive. Annual Salary Provide the annual salary of the executive. Annual Dollar Value of Benefits Provide the Annual Dollar Value of Benefits. Total Compensation Automatic calculation of Annual Salary and Annual Dollar Value of Benefits. Warring l Do not enter Information in this column, contains formulas. sUse the Project Descriptions to describe the various details of each Project. Maximum of 20 projects are allowed. Project Enter the letter (required) and name (optional) of each project. A maximum of 20 projects are allowed (A -T). NPG Mission Area Select a National Preparedness Goal (NPG) Mission Area from the drop down menu that corresponds to your traded. NPG Core Capabilities Link the National Preparedness Goal (NPG) Core Capability that match to each of your Mission Area projects. Cal IDES Goals Select a Cal DES Goal from the drop down menu option that corresponds to your project. Project Description Provide a detailed but concise description of the project. Note: Do not exceed 1,000 characters underling punctuation end ecoo). Word Wrap featare will terminate after this Ilmit end text will not be visible. Match Description Provide a detailed Match Description. Need Explain why this project is needed and how this need was determined. Project Milestone St Justification Provide estimates on milestones for your projects In terms of percentage completeness and amounts expended for the next 6 and 12 months. Leave 15 month blank. Use this ledger to submit funding information for projects, as well as submitting Reimbursement Requests and Modifications. 55B -59 FMFW V1.15 -2015 Note: outer on all tabs Project, Morning, Organization, Equipment, Training, Exercise, MBA, consultant, Personnel and Match) pertomt the same tasks. Descriptions will only be mentioned In this section of the Instructions page. Ledger Type Using the Macro buttons, specify what type of ledger is being completed (Initial App, Reimbursement Request, Modification). Complete the additional information that displays below the ledger type (Today's Date, Expenditure Period and Request #). Ledger will not be accepted without this Information. New Modification Use this button to create a single new line Item modification. The selected row will turn Its font color to red with the strikethrough property (to Indicate an Incorrect Item) and create a copy of itself. Modify the copied row (automatically colored In blue font) as needed. New REIMB /MOD Request Use this button to create a copy of the Project Ledger to submit Reimbursement or Modification requests. After clicking the button, enter the name of the request and press enter, The copy will place Itself accordingly before the Planning tab. If Macros are disabled, a copy of the Project Ledger can be created manually by performing the following steps: Right click on the 'Project Leger' tab -> Select MOVE OR COPY... from the list of options -> Place the copy before the Planning tab but after the last working Project Ledger -> Check CREATE A COPY -> Click OR. Rename the copied Project Ledger appropriately to reflect a Reimbursement request or Modification. Row Size Auto Use this button to automatically resize ALL rows In your project ledger to fully display text that is not visible. Row Size 15 Use this button to automatically r.size all rows to a height of 15 pixels. Formula Reset If formulas are inadvertently deleted, use this button to reset all formulas. Black/Red /Blue buttons Use these buttons to change font colors. Selection will change the color of only what Is selected. Row will change the color of (All tabs) only the raw which contains the active cell (the cell that is currently selected). Use Selection buttons to change font colors on multiple rows. Project Select the project letter from the drop -down list, or manually enter the letter In capkallzation format. Direct/Subaward Use the drop -down list to Identify if the Project is Direct or SUbaward Project Name Enter the name of the project. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments (place curser over Column D, Row 21). Discipline Select a Discipline from the drop -down list. A full description of the Disciplines can be viewed In Comments (place corset over Column E, Row 21), Solution Area Select a Solution Area from the drop -dawn list. Solution Area Sub - Category Select a Solution Area Sub - Category from the drop -down list. This list is dependent on a selection from the Solution Area Category drop -down list. The Solution Area Sub- Category will not display the drop -down list unless a Solution Area Category Is selected. 55B -59 FMFW V1.15 -2015 Total Obligated Enter the total amount of grant funding obligated for each project in this column. Amount Approved Previous Automatic calculation of Amount Approved Previous. I Warningl Dc not enter lrhimatlon In this column, contalns formulas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement In this column. Match Amount If match amount is required, place the amount in this column. If not required, disregard this column. Total Approved Automatic calculation of Total Approved. WarninglD -not enter information In this column, contains formulas. Remaining Balance Automatic calculation of Remaining Balance. WarninglD -not enter Information In up column, contains formulas. Percent Expended Automatic calculation of Percentage Complete. Warningl no notenwr Information in this column, contalns formulas. Provide detailed information on Planning activities. NOTE: Consultants and Contractors are used interchangeably and changes for either require the completion of the ConsultantiCOntractor tab. Staff salaries and Staff Intelligence Analyst expenditure categories require the completion of the Personnel tab. Project Project Select the project letter from the drop -down list, or manually enter the letter in capitalization format. Direct/Subaward Use the drop -dawn list to Identify if the Project is Direct or Subaward Planning Activity Enter the planning activity. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments (place curser over Column D, Raw 21). (place curler over Column D, Raw 21). Discipline Select a Discipline from the drop -down list. A full description of the Disciplines can be reviewed in Comments (place curser over Column E, Row 21). (place curser over Column E, Row 21). Solution Area Sub - Category Select a Solution Area Sub - Category from the drop -down list. Expenditure Category Select an Expenditure Category from the drop down list, This list is dependent on a selection from the Solution Amount Approved Previous Area Sub- Category drop -down list. The Expenditure Category will not display the drop -down list unless a Solution Amount This Request Area Sub- Category Is selected. Final Product Enter a description of the final product of this diamond activity. This must be a tangible item such as Total Approved a manual, procedure, etc. Please contact your Program Representative for further examples of final products. Hold Trigger Projects may be placed an hold. Please select an option from drop down list. Approval Date Enter the approval date. Part of a Procurement over 150k Select YES or NO from the drop down list, Sole Source Involved Select YES or NO from the drop down list, Budgeted Cost Enter the total amount of grant funding budgeted for each project In this column. Amount Approved Previous Automatic calculation of Amount Approved Previous. I Warningl Do not enter information in this wlumn, contains fomimas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement In this column. Reimbursement Request Number Enter the Reimbursement Request number for this planning activity. Total Approved Automatic calculation of total reimbursed. Warningl W eenWr Information in this column, contalns formulas. Remaining Balance Automatic calculation of Remaining Balance. Warningl Dona enter mformatlon in this column, contalns formulas. Provide detailed information on 0,ganizatlonal activities. NOTE: Consultants and Contractors are used interchangeably and changes for either require the completion of the Consultant/Contractor tab. Staff salaries and Staff Intelligence Analyst expenditure categories require the completion of the Personnel tab. Project Select the project letter from the drop -down list, or manually enter the letter in capltallzatlon format. Direct/Subaward Use the drop -down list to Identify if the Project Is Direct or Subaward Organization Enter the organizational activity. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments (place curser over Column D, Raw 21). Discipline Select a Discipline from the drop -down list. A full description of the Disciplines can be viewed In Comments (place curser over Column E, Row 21). Solution Area Sub - Category Select a Solution Area Sub-Category from the drop -down list. Expenditure Category Select an Expenditure Category from the drop-down list. This list is dependent on a selection from the Solution Area Sub - Category drop -down list. The Expenditure Category will not display the drop -down list unless a Solution Area Sub-Category Is selected. Detail Select a Detail option from the drop -down list. Budgeted Cost Enter the total amount of grant funding budgeted for each project In this column. 55B -60 FMFW Y1.15 - 2015 Amount Approved Previous Automatic calculation of Amount Approved Previous. Warningl Do not enter Information In this column, contains lbmmlas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement In this column. Reimbursement Request Number Enter the Reimbursement Request number for this organizational activity. Total Approved Automatic calculation of total reimbursed. warning) Do not enter Information In this column, contains formulas. Remaining Balance Automatic calculation of Remaining Balance. Warningl Dc not enter'mformation In this column, contains formulas. 55B -61 FMFW v1.15 - 2015 r Select the project letter from the drop -down list, or manually enter the letter in capitalization format. Provide detailed Information on Equipment that is purchased with grant funding. Project Select the project letter from the drop -down list, or manually enter the letter In capitalization format. Equipment Description Provide a description of equipment and quantity. If Item is Mobile or Portable Identify as such. & (Quantity) AEL Number &Title Place the AEL Number and Title In these columns. The AEL Number and Title can be aotblui from the following link: Select a Discipline from the drop -down list. A full description of the Disciplines on be viewed In Comments hope i/wwwAlisdius.a.alkincralockialbase SAFECOM Compliance Select YES, NO or N/A from the drop -down list. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments Select an Expenditure Category from the drop -dawn list. This list Is dependent on a selection from the Solution (place purser over Column F, Row 21). Discipline Select a Discipline from the drop -down list. A full description of the Disciplines can be viewed In Comments Area Sub- Category Is selected. (place curser over Column G, Row 21). Solution Area Sub - Category Select a Solution Area Sub- Category from the drop -down list. Invoice Number Enterthe Invoice Number for the equipment. Vendor Name Enter the name of vendor from whom the equipment was purchased. ID Tap Number Enter the ID Tag Number used to identify this equipment with. Subgrantee may use their own internal numbering Enter the approval date. format to tag equipment. ID Tag Number must be available during monitoring visits. Condition and Disposition Enter the condition of equipment by selecting the appropriate drop -down item. If the equipment Is not in use, please use the following column (Deployed Location) to explain. Deployed Location Enter the equipment's current location. Acquired Date Enter the date that this equipment was acquired from vendor. Part of a Procurement over 150k Select YES or NO from the drop down list. Sole Source Involved Select YES or NO from the drop down list. Hold Trigger Projects may be placed on hold. Please select an option from drop -down list. Approval Date Enter the approval date. Budgeted Cost Enter the total amount of grant funding budgeted for each project In this column. Amount Approved Previous Automatic calculation of Amount Approved Previous. Warningi Do not enter Information In this column, contains formulas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement in this column. Reimbursement Request Number Enter the Reimbursement Request number. Total Approved Automatic calculation of total reimbursed. Warming[ Do not enter information In this column, contains formulas. Remaining Balance Automatic calculation of Remaining Balance. Warning! Do not enter Information In this column, contains formulas. Provide detailed information on planned or attended training courses. NOTE: Consultants and Contractors are used interchangeably and changes for either require the completion of the Consultant /Contractor tab. Staff salaries and Staff Intelligence Analyst expenditure categories require the completion of the Personnel tab. Project Select the project letter from the drop -down list, or manually enter the letter in capitalization format. Direct/Subaward Use the drop -dawn list to Identify If the Project Is Direct or Subaward Course Name Enter course name. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments (place curser over Column D, Row 21). Discipline Select a Discipline from the drop -down list. A full description of the Disciplines on be viewed In Comments (place corset over Column E, Row 21). Solution Area Sub - Category Select a Solution Area Sub- Category from the drop -down list. Expenditure Category Select an Expenditure Category from the drop -dawn list. This list Is dependent on a selection from the Solution Area Sub- Category drop -down list. The Expenditure Category will not display the drop -dawn list unless a Solution Area Sub- Category Is selected. Feedback Number Enter the feedback number forthis training activity. The Feedback number can be obtained from the Cal DES websits: htcu /1wmw caloes ca kry Click on TRAINING, then Training Division, then TRAINING REQUEST FORM. Training Activity Please identify your training activity from the drop -down list. Hold Trigger Projects may be placed on hold. Please select an option from drop -down list. Approval Date Enter the approval date. 55B -62 FMfW 0 .15 - 2015 Total #Tralnee(5) Enter the total number of tralnee(s). Identified Host If you are not the host, please Identify who Is the host. For further guidance, please refer to your Program Representative. Part of a Procurement over 150k Select YES or NO from the drop -down Ilst. Sole Source Involved Select YES or NO from the drop -down list. Budgeted Cost Enter the total amount of grant funding budgeted for each project in this column. 55B -63 FMFW v1.15 - 2015 Amount Approved Previous Automatic calculation of Amount Approved Previous. I Warn InoI Do not enter Information um Is column, mum Ins formulas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement In this column. Reimbursement Request Number Enter the Reimbursement Request number for this training activity. Total Approved Automatic calculation of total reimbursed. warnings or not enter'mformation In this column, mntalns formulas. Remaining Balance Automatic calculation of remaining balance. warning! oo notenter Inmrma cir in this column, contains formulas. Provide detailed information on Exercise activities. Consultants and Contractors are used interchangeably and chances for either require the completion of the Consultant/Contractor tab. Staff salaries and Staff Intelligence Analyst expenditure categories require the completion of the Personnel tab. Discipline Project Select the project letter from the drop-down list, or manually enter the letter In capitalization format. Direct/SUbaward Use the drop-down list to Identify If the Project Is Direct or Subaward Exercise Title Enter the title of the exercise activity. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments Area Sub- Category dropAown list. The Expenditure Category will not display the drop -down list unless a Solution (place corset over Column D, Row 21). Discipline Select a Discipline from the drop-down list. A full description of the Disciplines can be viewed in Comments Select a Detail option from the drop -down list, (place cursor over Column E, Row 21). Solution Area Sub - Category Select a Solution Area Sub - Category from the drop-down list. Expenditure Category Select an Expenditure Category from the drop-down list. This list is dependent on a selection from the Solution Area Sub - Category drop-down list. The Expenditure Category will not display the drop-down list unless a Solution Area Sub- Category Is selected. Hold Triqqer Projects may be placed on hold. Please select an option from drop -down list. Approval Date Enter the approval date. Date of Exercise Enter the date of when this exercise was conducted. Exercise Activity Please select your exercise activity from the drop -down list. Identified Host If you are not the host, please Identify who Is the host. For further guidance, please refer to your Program Representative. Date AAR e- mailed to HSEEP Enter the date that the After Action Report (MR) was e- malled to hseep@fema.dhs.gov. The After Added Report requirement can be obtained from the fallowing link: https,//www.Ilis .dhs .coy /h,ee p Part of a Procurement over 150k Select YES or NO from the drop-di list. Sole Source Involved Select YES or NO from the tlrop -tlown list. Budgeted Cost Enter the total amount of grant funding budgeted for each project In this column. Amount Approved Previous Automatic calculation of amount approved previous. I Warning) DO not enter Information In this column, contains formulas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement in this column. Reimbursement Request Number Enter the Reimbursement Request number for this exercise activity. Total Approved Automatic calculation of total reimbursed. Warnmg] on not emorinformahon In this column, contains formulas. Remaining Balance Automatic calculation of remaining balance. Warning) DO wtamer Information in this coumn, contains formulas. Provide detailed information on M&A activities. Consultants and Contractors are used interchangeably and changes for either require the completion of the Consultant/Contractor tab. Staff salaries and Staff Intelligence Analyst expenditure categories require the completion of the Personnel tab. Project Select the project letter from the drop-down list, or manually enter the letter In capitalization format. Activity Provide detailed information on M&A activity. Funding Source Select a Funding Source from the drop-down list. A full description of the Funding Source can be viewed In Comments (place curser over Column D, Row 21). Discipline Select a Discipline from the drop-down list. A full description of the Disciplines can be viewed In Comments (place curse over Column E, Raw 21). Solution Area Sub - Category Select a Solution Area Sub - Category from the drop -down list. Expenditure Category Select an Expenditure Category from the drop-down list. This Ifist Is dependent on a selection from the Solution Area Sub- Category dropAown list. The Expenditure Category will not display the drop -down list unless a Solution Area Sub- Category is selected. Detail Select a Detail option from the drop -down list, Budgeted Cost Enter the total amount of funding budgeted for each project in this column. Amount Approved Previous Automatic calculation of amount approved previous. Wamingl Do nonenter information in this column, contains formulas. 55B -64 FMFW v1.15 - 2015 Amount This Request Reimbursement Request Number Total Approved Remalninp Balance FMFW v115 - 2015 For Reimbursement requests, enter the requested amount of reimbursement In this column. Enter the Relmbursement Request number. Automatic calculation of total reimbursed. Automatic calculation of remaining balance. 55B -65 Warning! Do not enter Information In this column, contains formulas. Warning! Do not enter Information In this mllumn, contains formulas. MENEM Provide nformatio in on who is being paid with grant funds, and what consultant /contractor costs are being charged to the grant. Project Select the project letter from the drop -down list, or manually enter the letter in caplWllzation format. Consulting Firm If claiming indirect costs under the award, provide detailed information on the total estimated indirect costs and the Indirect cost rate at which, you & Consultant Name will be claiming. If you have a federally - approved rate, provide information on the direct cost base on which, the rate is calculated, e.g., Salary and Wages (S /W), Salary, Wages and Benefits (SW &B), Total Direct Costs (TDC), Modified Total Direct Costs (MTDCj, the De Minimis Rate of 10% of MTDC (10% MrTi or another base (Other). Project Select the project letter from the drop -down list, or manually enter the letter in capitalization format. Activity Provide detailed information on Indirect Cost activity. Funding Source Select a Funding Source from the dromdown Ilk. A full description of the Funding Source can be viewed In Comments (place Solution Area Sub - Category curser over Column D, Row 21). Solution Area Sub-Category Select a Solution Area Sub - Category from the drop -down list. ICR Base Select an ICR Base from the drop -down Ilk. Rate Enter the Percentage Rate. Budgeted Cost Enter the total amount of grant funding budgeted for each project in this column. Amount Approved Previous Automatic calculation of amount approved previous. I VVUr lDo not enter information In this column, contains formulas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement In this column. Reimbursement Request Number Enter the Reimbursement Request number. Total Approved Automatic calculation of total reimbursed. Warning! Do not enter information In thlscolumn, containsfmmula Remaining Balance Automatic calculation of remaining balance. Warning! Do not enter information In this column, contains lommlas. MENEM Provide nformatio in on who is being paid with grant funds, and what consultant /contractor costs are being charged to the grant. Project Select the project letter from the drop -down list, or manually enter the letter in caplWllzation format. Consulting Firm Provide the name of the Consulting Firm and Consultant Name. & Consultant Name Project & Description of Services Provide detailed Information on the project and description of services. Deliverable If your consultant/contrador invoiced you for their services using a fee for each deliverable ($10,000 for a reverse 911 1telephone emergency metrication system), then describe the product In the Deliverable column. Solution Area Select a Solution Area from the drop down list. Solution Area Sub - Category Select a Solution Area Sub- Category from the drop -down list. This list Is dependent on a selection from the Solution Area Category drop -down list. The Solution Area Sub - Category will not display the drop -down list unless a Solution Area Category is selected. Expenditure Category Select an Expenditure Category from the drop -down list. This list is dependent on a selection from the Solution Area Sub - Category dromdown Ilsh. The Expenditure Category will not display the drop -down list unless a Solution Area Sub - Category Is selected. Period of Expenditure Enter the Period of Expenditure In this column. Fee for Deliverable If your consultant/contractor Invoiced You for their services using a fee for each deliverable ($10,000 for a reverse 911 /telephone emergency notification system), then fill In the cost for the product In the Fee for Deliverable column. Billable Hour Breakdown section If your consultant/contractor Invoiced you for their services uslnq an hourly rate ($50 /hour for 10 hours of work), then 011 in the three (3) columns of the Billable Hour Breakdown, Reimbursement Request Number Enter the Reimbursement Request number. Total Cost Charged to this Grant Enter the Total Cost Chamed to the Grant In this column. Provide information on who is being paid with grant funds, and what staff costs are being charged to the grant. Project Select the project letter from the drop -down list, or manually enter the letter In capitalization format. Employee Name Provide the name of the employee. Project /Deliverable Provide detailed information on the project and description of services. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Commnets (place curser over Column E, Row 21). Discipline Select a Discipline from the drop down list. A full description of the Disciplines an be viewed In Comments (place curser over Column F, Row 21). Solution Area Select a Solution Area from the drop -down list. Solution Area Sub - Category Select a Solution Area Sub - Category from the drop -down list. This list is dependent on a selection from the Solution Area Category drop-down list. The Solution Area Sub- Category will not display the drop -down list unless a Solution Area Category Is selected. 55B -66 FMFW v1.15 - 2015 Dates of Payroll Period Total Salary and Benefits Charged for this Reporting Period Total Project Hours Reimbursement Request Number Total Cost Charged to this Grant Provide the Dates of the Payroll Period. Provide the Total Salary and Benefits Charged for the Reporting Period Enter the Total Project Hours In this column. Enter the Reimbursement Request number. Enter the Total Cost Charged to the Grant In this column. Provide detailed Information on Match (Not applicable for all grants). Project Select the project letter from the drop -down list, or manually enter the letter In capitalization format. Direct/Subaward Use the drop -down list to Identify if the Project is Direct or Subaward Project Name Enter the name of the project. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments (place purser over Column D, Row 21). Discipline Select a Discipline from the drop -down list. A full description of the Disciplines can be viewed in Comments (place cursor over Column E, Row 21). Solution Area Select a Solution Area from the drop -down list. Solution Area Sub - Category Select a Solution Area Sub- Category from the drop -down list. This list Is dependent on a selection from the Solution Area Category drop -down list. The Solution Area Sub- Category will not display the drop -down list unless a Solution Area Category is selected. Type of Match Select the Type of Match options from the drop -down list Total Obligated Match Enter the total obligated match amount for this project In this column. Previous Match expended Automatic calculation of amount approved previous. warnlnei Do not enter mfmmaton in this column, contains formulas. Current Match For Reimbursement requests, enter the current match amount In this column. Reimbursement Request Number Enter the Reimbursement Request number for this reimbursement. Total Match Expended Automated calculation of Total Match Expended. Warning, Do not enter'nformation In this column, contains formulas. Remaining Balance Automatic calculation of Remaining Balance. warningl on not enter Information In this column, contains formulas. Percentage Expended Automatic calculation of Percentage Expended. Wominyi Dc not enter information m this column, contains formulas. Authorized Agent sheet must accompany ALL Reimbursement Requests, Modifications and the Initial Application, Type Click on the appropriate button to describe what type of workbook is being submitted. Available options are: INITIAL APPLICATION, REIMBURSEMENT REQUEST, FINAL REIMBURSEMENT REQUEST and MODIFICATION Expenditure Period Dates Enter the beginning and ending expenditure period dates. REIMBURSEMENT REQUEST: Expenditure periods are decided by the Subgrantee and can span single or multiple months at a time. NOTE: Expenditure periods cannot cross state fiscal year. Modifications do not require expenditure period entries. REIMB or MOD Request # Enter the REIMB or MOD Request # that Is associate with the most recent request. Amount This Request Enter the amount that is being requested. Authorized Agent Enter the name of Authorized Agent. Sign and date after printing. Original signature required. Send hard copy of workbook to address (provided). Mail workbook to: E..ra.nw Management PerformanceGrants EMPG. Program Specialist Name California Governor's Office of Emergency Services 3650 Schriever Avenue Mather, CA 95655 55B -67 FMFW v1.15 - 2015 55B -68 Exhibit B Facesheet 55B -69 55B -70 Cel DES # 1 059 -00000 FIPS # 059 -00000 VS# (Cal OES Use Only) Subaward # 2015 -0049 CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES GRANT SUBAWARD FACE SHEET c e c The California Governor's Office of Emergency Services (Cal DES) hereby makes a Grant Subaward of funds to the following: 1. Subreciplent: County of Orange 1a. DUNS# 00- 965 -7602 2. Implementing Agency: City of Santa Ana 2a. DUNS# 3. Implementing Agency Address: 6D Civic Center Driva Santa Ana : 92701'1981 veer city zip +4 4. Location of Project: Santa Ana ` Orange 92701-1981 City County Zip14 5. Disaster /Program Title: Emergency Management Performance Grant 6. Performance Period: 07/01/15 to 06/30/16 7. Indirect Cost Rate: N /A; 10% de Mlnlmis; Federally Approved ICR; Grant Fund Source A. State B. Federal C. Total D. Cash Match E. In-Kind F. Total Match G. Total Year Match Project Cost 2015 8, EMPG $0 $49,665 $49,665 $49,665 Select 9. Select $0 $0 Select 10. Select $0 $0 Select 11. Select $0 $0 12. TOTALS zc.mui aropn cone $0 $0 $0 49 665 0 $49 685 $49 665 13. This Grant Subaward consists of this title page, the application for the grant, which Is attached and made a part hereof, and the Assurances /Certlficatlons. I hereby certify I am vested with the authority to enter into this Grant Subaward, and have the approval of the City /County Financial Officer, City Manager, County Administrator, Governing Board Chair, or other Approving Body. The Subreciplent certifies that all funds received pursuant to this agreement will be spent exclusively on the purposes specified in the Grant Subaward, The Subreciplent accepts this Grant Subaward and agrees to administer the grant project in accordance with the Grant Subaward as well as all applicable state and federal laws, audit requirements, federal program guidelines, and Cal DES policy and program guidance. The Subreciplent further agrees that the allocation of funds may be contingent on the enactment of the Stale Budget. 14. Official Authorized to Sign for Subreciplent: 15. Federal Employer ID Number: 95- 6000785 Name: David Cavazos Title:. City Manager Telephone: 714- 647 -5200 FAX Emall: dcavazos(afsants- ana.org (area code) area co e Payment Mailing Address: 60 Civic Center Drive PO Box 1981 City: Santa Ana Zip +4: 92701-1981 Signature: Date: (FOR Cal OES USE ONLY) I hereby certify upon my personal knowledge that budgeted funds are available for the period and purposes of this expenditure stated above Cal OES Fiscal Officer Date Cal CES Director (or designee) Date 55B -71 Grant Award Face Sheet - Cal DES 2 -101 (Revised 7/2015) 55B -72 Exhibit B Authorized Agent and Contact Information 55B -73 55B -74 a p a ui w M z O z_ O U FQ Z Q ❑ N O o� O O o 0 ck °o U L 55B -75 R E E w N m m m 0 n ^ n m a a N � a c � U Vl U �i m x m° n � v 0 0 C U C U a °o V 0 n � O C `E z v E $ 55B -75 55B -76 Exhibit B FFATA Financial Disclosure 55B -77 55B -78 \ \ § \ § \ \ § \f. 4 \7{! {( ; { Lo \\ \ \ \ \ \ }\ \ \ \ \ \ \ \ \} )2f \f!! \! 3 \ \[ UO E # : 55B-79 \ 55B -80 Exhibit B Authorized 55B -81 55B -82 It \ Mh 3 \ \\ 55B-83 \ \ ) \ ! \! {/ , !! ® ) �— f\ ) \\ \ k \ �R , { 2} k: \} \ ) aEl �- — L% ( m : : Sq )zz!)! :2 2(5{ {; } ){ of \))S \� \\EF 55B-83 \ \ ) \ 55B -84 Exhibit B Project Descriptions 55B -85 55B -86 55B -87 = 3 ry 00 n is S w . 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W �S �v Er FT n o� QH pH F w off mF nG r G i D F.a as E.a F.a °. �,rpa =o as Fa �a a m ararpp. aa. a° =a, a = 55B -94 Exhibit B Project Ledger 55B -95 55B -96 P C Q N 'e a E ab `oo 9� NE fiFa s "N mamEgg aoN��o m oNv E ac9 saE �v& °c3S �y c Q�go $�vE E o aao�5a ..moo y�oq owa a o S o 0 v m Y: LL i°n o g $ m o .�'+.. o° 'e a E ab `oo 9� NE fiFa s "N mamEgg aoN��o m oNv E ac9 saE �v& °c3S �y c Q�go $�vE E o aao�5a ..moo y�oq owa a o S o 0 v LL i°n g $ m o .�'+.. o° n a E E E E o 0 O O O O o T 55B -97 h N N 55B -98 0 a n R a d d a R o d d n n a d d o d n a a a dda n nd a d d£ d a '$ as =< 3 3 s S s o 9 E z 3 m 3 3 3 5 59 59 3 3 3 m3 3 59 3 3 59 3m 3 c a Ll y3 y3 LI Ll y5 4) y3 Gl 41 y3 L1 � L1 � Ll Ll Ll y5 L1 93 Ll L1 y3 LI Ll Ll y3 L1 y3 LI y3 LI Ll 9 Ll � y3 � LI y3 y3 GI Li Ll � Ll � � 3 3 3 5 3 3 I 3 3 5 m3 3 3 3 5 3 3 3 5 3 3 3 3 5 Sm33 3 Mm 3 3 5 p' L1 L1 Ll Gl Ll Ll Ll Ll L1 Ll L1 Ll Gl Ll Ll L1 4l Ll Ll Ll Ll 61 Ll Ll L1 L1 L1 Ll Ll = 00 00 m 3 s _- %' �A =4 �cq3 3E�° E�° 9v O e a D D �gw 3 °e c T N 3 p 9 °a i A (p N 55B -98 55B -99 55B -100 Exhibit B Planning 55B -101 55B -102 i U z K E LL ti QQ N C Q E wp � JF 8 P O 0 �OpGS� V o °ry 55B -103 E A I — Y tp B6 ryKU ga tle Yqq �o 68086 BEd 2$5 aE& $ 8 9 9 9 @ 8 @ 8 9 8 — Sa" �yy r �qqb Act S O =EYq oJE A °aq z �qqyp� ry a z s a ��ga ¢� GE S.o EH GV £p E u ➢ 2 V ➢ H ➢ H m a"O qsg E5 q�F g6E gqF 8Ag t�F dg Eqg ua� Se SS�� %t 3dt�S E% m� o"sE o"c� s g �mv €E v gv $" E q EE £v a �. o @➢ 2' „�� od a od o tip �P £ �� oq� FB fla�° RE �tl�b g &� o 2H 1 � dU s' 8� E 'E 4 g 4 P 4a 4 55B -103 55B -104 Exhibit B Organization 55B -105 55B -106 55B -107 N O 55B -108 _I_I _ I_ VI VI Ut _N F d d d d fiT L�1 L9l G1 G1 L3l G3) Ll G31 51 � ff B g Exhibit B Equipment 55B -109 55B -110 Zgff Von 55B -111 A I Elt 11 tit t! tp t og 2 2 2 2 2 2 RHP Z Z 55B -111 55B -112 Exhibit B Training 55B -113 55B -114 V O C O �d O s 0 s Q � S O �W v 0 08 x� V a n 55B -115 55B -116 Exhibit B Exercise 55B -117 55B -118 `o a g G � oP nea 44 V§-y 55B -119 55B -120 Exhibit B 55B -121 55B -122 55B -123 55B -124 Exhibit B Indirect Cost 55B -125 55B -126 O O N 55B -127 s N H 7 55B -128 Exhibit B Consu Ita nt /Contractor 55B -129 55B -130 \ ( ( 55B-1 31 (!� ! \| \ } .,_ \ ! & , � 9 gig ! / �{ ) ! ! .�!!„ M� H /2\ . g /; � \) /\� ) -- \ 55B-1 31 55B -132 Exhibit B 55B -133 55B -134 55B -135 C 10 <O S-5 Id jE 'gas E le� E, L5 Iz 0. 5 'Eq �J mr 0 0 0 0 0 0 E E E 21 21 - to E 0 49 0 0 0 0 0 0 0 0 1 0 0 0 2 2 2 �2 0 0 > > ZZ cz 12 55B -135 55B -136 —T-7 7— dd- v B 6 n C 3 3 3 v ° o o n^ v 3 °° 3 9 = �� °o m n °a o n as a a a =a a a S a o vry d d n o d d o,2m o'er .°° < ` 3 v 3 3 0-4 3 e o .-'o v v �Q02 Q 3 n�'�° �2 - Qt2IX2 ° �+�m f°2 3- 3 3 a3�' n.2 G 3 3 �° m' 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 so 2 C 6 Ll 4l� Ll 41 G1 L] Ll L1 L1 Ll Ll L1 Ll 4l L] L1 Ll Ll L] L] �'� 0 3 3 3 3 3 3 3 3 3 3 3 Ll 3 Ll 3 G1 3 Gl 3 Ll 3 Ll 3 Ll 3 0 3 G] 3 L] 3 L1 ti = L1 Ll Ll L1 Gl G] L] Ll Ll G1 O O 0 0 O O O a 0 O 1Nn O y v y y o c 6$a c° mo ?I co 3oM-?i a� v�v A -.'3: �Z v° 0 S � El Aar, w S � a 0 0 0 A Q 3 R I� N a ryS 55B -136 Exhibit B Match 55B -137 55B -138 55B -139 ee O o 69 ig z go 2 oo 8 o o o 0 Er 55B -139 3 55B -140 O ry q 0 n P 39 3 3 39 3 39 3 39 9 �.Q y3 4) G1 LR � G1 LR Ll y3 41 L1 � y3 cl Ll � � m m � � !n � O L�l 43l L31 L31 431 L31 GEi L) Ll = � a 3 a� y; G o a 0 o0 E 3� fi o 3c a n 'n xo A �ry � 3 55B -140 ( SSB.141 ) \ ] ) ) \ ) { ) \ ) \ ) /\ ! ! ! ! - ! - ! - f - ! ; ! ! ; ; ( SSB.141 ) \ ] ) ) \ ( SSB.141 ) \ \ ) ) \ ) { ) \ ) \ ( SSB.141 3 55B -142 it y3 3 39 3 39 3 9 39 3 39 3 9 O O s u a 0 3 °y ^� 3c �rpn �m a Ila m° 55B -142 \� £ ] , \ \ ) \ \ \ \ \ \ ) }# / ® » © 6-2 ! y £ ] , \ ) \ \ \ \ \ \ ) SSB.142 \ ) \ \ \ \ \ \ ) SSB.142 55B -144 Exhibit B Indirect Cost- Summary Recap of Costs Claimed 55B -145 55B -146 \ /§§ §EE ou ae )§ \) /§ \� R k SSB.147 / 221,�g �;aa =;KR:, :a,s(N3 ^�® 6 � � � � R � � � � � k)2E\() } \�f{k °f(\ ) F T 3 r N O N 55B -148 1 O rt a � Y O O a � r a m 'd n CL 1 n � o o `^ N OI V V r N W W W W 01 C t� "� t ", t t A Fiscal Year 2015 EMERGENCY MANAGEMENT PERFORMANCE GRANT (EMPG) PROGRAM California Supplement to the Federal Program Notice of Funding Opportunity; or, The State Guidance Exhibit C Director's Message The California Governor's Office of Emergency Services (Cal OES), serves as the State's leader for emergency management and homeland security agencies in California. As such, Cal OES realizes that our vision of building a safer and more resilient California will be achieved through collaboration and coordination with emergency management partners from communities large and small throughout our diverse state. We recognize that our mission to protect lives and property, build capabilities, and support our communities for a more prepared California can only be achieved because of the dedication of like- minded professionals, who are willing to work alongside Cal OES to support the National Preparedness Goal's associated mission areas and core capabilities. It is with profound gratitude for the hard work and commitment of our partners that we are pleased to announce the release of the Cal OES Fiscal Year 2015 Emergency Management Performance Grant Program (EMPG) — California Supplement to the Federal Program Notice of Funding Opportunity. As in previous years, Cal OES EMPG program specialists and emergency services coordinators remain available to assist you in successfully completing this and other emergency management programs in addition to supporting your emergency operations. As we continue to jointly advance California's comprehensive emergency preparedness system, we understand there is still much work to do. Yet, we can say with certainty that our communities are safer, better trained, and better prepared as a result of the EMPG Program and others like it. We have been entrusted with a duty and responsibility to the people of this state to provide leadership through service during some of the most difficult times our communities will face. We maintain that trust by fulfilling our mission with honesty, accountability, and transparency. It is a great honor for us to be working alongside partners that exemplify a commitment to maintaining that trust. We both welcome you and thank you for joining us in our forward leaning efforts to ensure California's optimum readiness to prevent, prepare for, protect against, respond to, recover from, and mitigate the effects of all threats and hazards to life, property, and environment. tr MARK S. GHILARDUCCI Director 55B -150 Table of Contents FEDERAL PROGRAM GUIDANCE ........................................................................................ ..............................1 INFORMATION BULLETINS ................................................................................................ ..............................1 GRANT MANAGEMENT MEMORANDUMS .......................................................................... ..............................1 PURPOSE OF THIS SUBAWARD & GUIDANCE ..................................................................... ..............................1 ELIGIBLE SUBAWARD SUBRECIPIENTS .............................................................................. ..............................1 SUBRECIPIENTS / PASS - THROUGH ENTITIES ..................................................................... ..............................1 PERFORMANCEPERIOD ..................................................................................................... ..............................1 MATCHREQUIREMENTS ................................................................................................... ..............................2 ALLOCATIONS AND METHODOLOGY ................................................................................. ..............................2 EXCESSFUNDS ................................................................................................................. ..............................2 INDIRECTCOSTS ............................................................................................................... ..............................2 CONFLICTOF INTEREST .................................................................................................... ..............................2 SUBAWARD TIMELINES / KEY DATES ............................................................................... ..............................3 WHAT'S NEW? ................................................................................................................. ..............................4 EMPGPROGRAM EMPHASIS ............................................................................................ ..............................4 APPLICANT RESPONSIBILITIES .......................................................................................... ..............................5 APPLICATIONDOCUMENTS ............................................................................................... ..............................5 OPTIONAL APPLICATION COMPONENTS ............................................................................ ..............................6 GOVERNING BODY RESOLUTION ( GBR) ........................................................................... ..............................6 ADDENDUM TO GOVERNING BODY RESOLUTION ............................................................. ..............................6 OFFICIAL WRITTEN CORRESPONDENCE ............................................................................ ..............................6 SOLE SOURCE PROCUREMENT .......................................................................................... ..............................6 SUBAWARD ASSURANCES AND CERTIFICATIONS .............................................................. ..............................7 NIMSADOPTION .............................................................................................................. ..............................7 APPLICATION DUE DATE .................................................................................................. ..............................7 APPLICATION SUBMITTAL ................................................................................................. ..............................8 EMPG PROGRAM SPECIALISTS ......................................................................................... ..............................8 MAILINGADDRESS .......................................................................................................... ............................... 8 APPROVAL OF APPLICATION ............................................................................................. ..............................8 ADDITIONALFUNDS ......................................................................................................... ..............................8 APPLICABLE LAWS & REGULATIONS ................................................................................ ..............................9 ENVIRONMENTAL PLANNING AND HISTORIC PRESERVATION (EHP) COMPLIANCE ......... ............................... 9 FEDERALLY MANDATED OBJECTIVE INFORMATION ........................................................ .............................10 55B -151 EXTENSIONREQUESTS ................................................................................ ............................... VALIDATING CAPABILITIES OBJECTIVE: DEVELOP AND MAINTAIN MULTI -YEAR TEPS........... VALIDATING CAPABILITIES OBJECTIVE: EXERCISE .................................... ............................... VALIDATING CAPABILITIES OBJECTIVE: TRAINING .................................... ............................... TRAINING FEEDBACK NUMBER ................................................................... ............................... SUBCONTRACTS.......................................................................................... ............................... SYSTEM FOR AWARD MANAGEMENT (SAM) ............................................. ............................... MAINTENANCE AND SUSTAINMENT ............................................................ ............................... UNALLOWABLE COSTS ............................................................................... ............................... SUPPLANTING............................................................................................. ............................... ACCESSIBILITY OF RECORDS ...................................................................... ............................... REIMBURSEMENT OF ELIGIBLE COSTS ........................................................ ............................... SUBAWARD MODIFICATIONS ...................................................................... ............................... PERFORMANCE REPORTS ............................................................................ ............................... CLOSEOUT................ .................................................................................. ............................... RECORDSRETENTION ................................................................................. ............................... FINAL SUBAWARD REPORT ......................................................................... ............................... AUDIT REQUIREMENTS ............................................................................... ............................... MONITORING SUBAWARD PERFORMANCE .................................................. ............................... SUBAWARD - RELATED DOCUMENTS:I • FINANCIAL MANAGEMENT FORMS WORKBOOK (FMFW) - (REQUIRED) • GOVERNING BODY RESOLUTION (GBR) & ADDENDUM TO GBR - (REQUIRED) • SUBAWARD ASSURANCES AND CERTIFICATIONS - (REQUIRED) • FY2015 EMPG APPLICATION CHECKLIST - (REQUIRED) • INDIRECT COST RATE NEGOTIATION AGREEMENT - (REQUIRED IF APPLICABLE) • 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) 10 11 11 12 13 13 13 13 14 14 14 14 14 15 15 15 15 15 15 ' All documents can be located on the Cal OES website at: Mtn: / /www caloes ca ¢ ov/ GratitsManagementSite /Pages/Eniergency- Manaeem ent- Perform ante- Grant.asnx 55B -152 Federal Program The U.S. Department of Homeland Security (DHS) published the Fiscal Year (FY) 2015 Guidance Emergency Management Performance Grant (EMPG) Program, Notice of Funding Opportunity (NOFO) on March 25, 2015.2 Information DHS issues Information Bulletins that provide updates, clarification, and requirements Bulletins throughout the life of the grant 3 Grant Cal OES periodically issues Grant Management Memorandums (GMMs). GMMs that Management provide additional information regarding EMPG funds can be located on the Web Page.° Memorandums Purpose of this The purpose of the Emergency Management Performance Grant (EMPG) Program is to Subaward & provide federal funds to states to assist state, local, and tribal governments in preparing for all Guidance hazards. Funds provided under the EMPG must be used to support activities that contribute to the Operational Area's capability to prevent, prepare for, mitigate against, respond to, and recover from emergencies and disasters, whether natural or man -made. This California Supplement to the Federal Program Notice of Funding Opportunity will provide the Operational Areas (OAs) with guidance and forms to apply for, perform, and closeout the FYI EMPG subaward. This supplemental guide specifies the performance period, objectives, eligible activities, and other subaward - related information and requirements. This document is to supplement the U.S. Department of Homeland Security FY2015 EMPG Program Notice of Funding Opportunity. Eligible The eligible subaward subrecipients are the 58 county Operational Areas (OAs). The Tribal Subaward Guidance will be issued under separate cover. Subeeipients (subrecipients may contract with any other public or private organizations to perform eligible activities on approved projects.) Note: Cal OES is the `recipient'; the county is the `subrecipient'; and the county's pass - through entities are `subrecipients.' For a definition of the teen subrecipient, refer to 2 Code of Federal Regulations (C.F.R.) § 200.93. Subreeipient / Any time grant funds are given to a subrecipient, such as a political subdivision (city, town, Pass- Through or special district) or federally - recognized tribe, the county /pass - through entity must ensure Entitles that the assurances and certifications of this subaward are included as part of the subaward agreement with the subrecipient. Performance The performance period for FY 15 EMPG is July 1, 2015, through June 30, 2016. All Period Subaward activities must be completed and all grant funds expended within this period. Pending receipt of all valid application materials, subrecipients may request retroactive reimbursement of Financial Management Forms Workbook (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 award, and any applicable federal requirements have been met. 2 U.S. Department of Homeland Security Fiscal Year (FY) 2015 EMPG Program, Notice of Funding Opportunity may be viewed and downloaded at: htip: / /www.fema.gov/ media - library- data / 1427284768817- b62b93d48b12617f423cOe8tI)fde562b /FY2015EMPG NOFO:udf. 3 Information Bulletins may be obtained at: http: / /www.fema.gov/grants /grant- programs- directorate - information- bulletins. a GMMs can be located at http:// www. caloes. ca .gov /GrantsManagementSilgTages /Emergency- Management- Peifonnanee- Grant.asnx. 55B-1 53 Match The FYI EMPG requires a dollar- for - dollar match. This can be cash or third party in -kind Requirements contributions. Refer to 2 C.F.R. § 200.29 and § 200.306 for specific details. Allocations and California will subaward a total of $15,481,623 to Operational Areas. The local allocations Methodology were determined using a $125,000 base award, with remaining funds distributed using per capita figures in the Department of Finance's yearly report called: E -I: City /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 funds to Cal OES exists, then it will be necessary to complete the Excess Funds Statement Form e These funds may then be reallocated to other OAs who have identified one -time projects they would like to undertake; if funding is available and the project is selected for funding by Cal OES. Indirect Costs Indirect costs are allowable under the FYI EMPG subaward. Subrecipients wishing to claim indirect costs may do so using either of the following two methods: Subrecipients with an indirect cost rate approved by their cognizant federal agency may claim indirect costs based on the established rate. Indirect costs claimed must be calculated using the base approved in the indirect cost Negotiation Agreement. A copy of the approved Negotiation Agreement is required at the time of application. 2. Subrecipients who have never received a negotiated indirect cost rate and receive less than $35 million in direct federal funding per year may claim the 10% de minimis indirect cost rate based on Modified Total Direct Costs (MTDC) as described in 2 C.F.R. §200.68 and Subpart E. Indirect costs are in addition to the M &A allowance, and must be included in the subaward application as a "Project" and reflected in the Financial Management Forms Workbook on the Indirect Cost Category Ledger if being claimed under the subaward. Conflict of Subrecipients must disclose to their Cal OES EMPG Program Specialist, in writing, Interest any real or potential conflict of interest as defined by the federal, state, local, or tribal statutes or regulations or their own existing policies, which may arise during the administration of the EMPG award within five days of learning of the conflict of interest. s This report can be accessed at the following website: littp• / /www dof ca eov/ research /demographic /rei)oils /estimates /e -1 /view php. 'This form can be located at: http: / /www catoes ca eov/ GrantsManaeementSite /Pages/Emerl4ency- Management- Performance- Grant.aspx, under EMPG Forms. [21 55B -154 Subaward Timelines / Key Dates March 25, 2015 DHS releases announcement of FY15 EMPG April 24, 2015 Cal OES' Application due to DHS July 1, 2015 Subreci ient Performance Period Begins August 14, 2015 FYI5 EMPG California Supplement to the Federal Program Notice of Funding Opportunity released August, 19, 20, 24, 25, 26, and 28 EMPG Application Workshops 2015 September 14, 2015 Electronic copy of completed FMFW and other application documents due to your Cal OES EMPG Program Specialist for review and vetting September 30, 2015 DHS awards grant funds to Cal OES September 30 2015 MY -TEPs due to be submitted October 14, 2015* The OA's completed /vetted applications must be received by Cal OES Grants Management *Submit as soon as possible, but Unit Program Specialist by this date no later than October 14 2015 October 14, 2015 Submission of the FY15 EMPG Performance Report for the Period of 7/1/2015 — 9/30/2015 has been waived and is not required to be completed November 16, 2015 Anticipated date that OAs will be notified of application approval and award January 14, 2016 Performance Report due to Program Specialist for 7/1/2015— 12/31/2015 April 14, 2016 Performance Report due to Program Specialist for 7/1/2015 — 3/31/2016 June 30, 2016 Subrecipient performance period ends. All subaward activities must be completed and all grant funds expended July 14, 2016 Final Performance Report due to Program Specialist for 7/1/2015 — 6/30/2016 July 14, 2016 Final Reimbursement Request due to Program Specialist September 30, 2016 Cal OES' Federal Performance Period Ends 55B -155 What's New? The 2 C.F.R. Part 200 —Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards ( "Super Circular" or "Omni Circular ") supersedes all inconsistent provisions found in other administrative requirements, program manuals, handbooks, and other non - regulatory materials (see 2 C.F.R. § 200.105). • Subrecipients are responsible for costs incurred to comply with FEMA's Environmental Planning and Historic Preservation (EHP) requirements. This includes, but is not limited to, California Historical Resources Information System (CHRIS) reports; when required. See Information Bulletin (IB) 404. • Indirect costs are allowed under the FYI EMPG subaward, as described on page 2 of this State Guidance. • The FYI EMPG - specific Financial Management Forms Workbook (FMFW) has been updated. Updates include, but are not limited to, a revised Grant Subaward Face Sheet which includes additional fields; and new Indirect Cost - related tabs. EMPG The FY15 EMPG Program will focus on the building, sustaimment, and delivery of all- hazards Program emergency management capabilities in the following areas: Emphasis • Planning • Organization • Equipment Acquisitions • Training • Exercises • EOC Construction and Renovation • Maintenance and Sustainment The FY 15 EMPG Program plays an important role in the implementation of the National Preparedness System (NPS)7 by supporting the development and sustainment of core capabilities. Core capabilities are essential for the execution of each of the five mission areas outlined in the National Preparedness Goal (NPG). The development and sustainment of these core capabilities are not exclusive to any single level of government or organization, but rather require the combined effort of the whole community. The FYI EMPG Program supports all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs. The National Preparedness System can be located at: littp://www.fema.gov/national-prgaredness-system [4] 55B -156 Applicant The applicants' responsibilities are to: Responsibilities 1. Submit a finalized FMFW application, both electronic copy and hard copy, to their Cal OES EMPG Program Specialist as soon as possible, but no later than October 14, 2015; along with all other required application components. Note: An electronic copy of the proposed FMFW and other required application documents shall be submitted for Program Specialist review and vetting prior to submission of signed hard copy original. The electronic copy of the FMFW and other required application documents should be submitted for Cal OES review by no later than September 14, 2015. 2. Comply with all assurances and certifications contained in the Subaward Assurances and Certifications submitted with the FY15 EMPG application. In addition, if the OA subawards funds to other entities, their subaward agreements /contracts must also include these same assurances and certifications; along with any local requirements. 3. Prepare and submit timely Performance Reports for the duration of the performance period. 4. Maintain financial management systems that support subaward activities in accordance with 2 C.F.R. § 200.302. 5. Submit revision requests to Cal OES and obtain approval prior to incurring any associated expenditures; if changes are required after the initial subaward. Further details are included in this guidance under " Subaward Modifications." 6. Deobligate unexpended subaward funds to Cal OES after all work has been completed and reimbursements have been disbursed. 7. Maintain property, programmatic, and financial records in accordance with the 2 C.F.R. Part 200 record retention requirements. 8. Comply with the audit requirements in 2 C.F.R. Part 200 Subpart F —Audit Requirements. 9. Complete all EMPG requirements associated with federal and state objectives; including but not limited to, staff training and exercises. 10. Submit all subaward- related paperwork including: Performance Reports, Reimbursement Requests, Modification Requests, and Amendments, by the identified due dates. 11. Comply with 2 C.F.R. Part 200 and FEMA Grant Programs Directorate (GPD) Policies. 12. Comply with DHS FY 2015 EMPG Program NOFO and the Cal OES FY 2015 EMPG Program - California Supplement to the Federal Program NOFO, as applicable. Application The application must include the following components:8 Documents 1. Financial Management Forms Workbook (FMFW) 2. Governing Body Resolution (GBR) 3. Addendum to Governing Body Resolution 4. Subaward Assurances and Certifications 5. FYI Emergency Management Performance Grant Application Checklist 6. Indirect Cost Rate Negotiation Agreement; if applicable* *If claiming indirect costs at a federally - approved rate, then you must provide a copy of your approved indirect cost rate Negotiation Agreement – see Indirect Costs on page 2 of this Guide. 'Application documents can be found on the Cal OES website on the Emergency Management Performance Grants Documents page at: httn: / /www. caloes. ca. gov /GrantsManagementSi to /Pages /Emergency- Management- Performance- Grant.aspx. [5] 55B -157 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 may be reallocated to other OAs. Components hi 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. Governing The GBR appoints agents authorized to execute any actions necessary under this subaward. Body Universal GBRs can be used for up to three years as long as the majority of the original Resolution approving Board members (three out of five) are still currently on the Board. If past GBRs are Sole Source going to be utilized for present applications, then the OA will still need to submit a copy with (GBR) their application. Universal GBRs are strongly encouraged; this refers to a GBR that does not identify a specific subaward arnormt, specific subaward years, and does not identify a specific grant program by name. Addendum to Governing Body Resolution For each person or position appointed by the governing body, submit the following information to Cal OES, along with the Resolution, on the applicant's letterhead: • Name • Title • 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 new Resolution and corresponding Addendum to the GBR are needed when any changes are made. If the Governing Body Resolution identified the Authorized Agents by position and/or title, changes can be made by only submitting a new Addendum to the GBR. Cal OES will not accept signatures of an Authorized Agent's designee. Official Written For the EMPG Program, all official written correspondence from Cal OES will be mailed to the Correspondence payment mailing address, identified on the Grant Subaward Face Sheet, and addressed to the Authorized Agent who signed the Grant Subaward Face Sheet. Sole Source To be eligible for reimbursement, sole source (or noncompetitive) procurements exceeding the Procurement simplified acquisition threshold (which is established by the Federal Acquisition Regulation at 48 C.F.R. Subpart 2.1 and is currently set at $150,000) require Cal OES prior written approval. Note: This method of procurement must be approved by your local Purchasing Agent prior to submitting a request for Cal OES approval. A copy of the Purchasing Agent's approval must be included with the Cal OES submission; additional documentation supporting the procurement effort may also be requested for review by Cal OES. [61 55B -158 Subaward The Subaward Assurances and Certifications form lists the requirements to which the OA will Assurances and be held accountable. OAs are required to file a new Subaward Assurances and Certifications Certifications form with the FYI EMPG application. Failure to comply with any of the Subaward Assurances and Certifications may result in suspension, termination, or reduction of grant funds. The State may suspend or terminate subaward funding, in whole or in part, or other measures may be imposed for any of the following reasons: • Failing to expend funds in a timely manner consistent with the subaward milestones, guidance, and assurances • Failing to comply with the requirements or statutory objectives of federal or state law • Failing to make satisfactory progress toward the goals or objectives set forth in the subaward application • Failing to follow subaward requirements or special conditions • Proposing or implementing substantial plan changes to the extent that, if originally submitted, the application would not have been selected for funding • Failing to submit required reports on time • Providing false certification in the application or other report or document • Failing to adequately manage, monitor, or direct the subaward funding activities of their subrecipients • Failing to submit a Reimbursement Request Before taking action, the State will provide the subrecipient reasonable notice of intent to impose corrective measures and will make every effort to resolve the problem informally. NIMS Adoption In accordance with the Homeland Security Presidential Directive (HSPD) -5, Management of Domestic Incidents, the adoption and implementation of the National Incident Management System (NIMS) is a requirement to receive federal preparedness assistance, through grants, contracts, and other activities. The Subaward Assurances and Certifications form includes NIMS adoption for certifying compliance. This certifies that the OA will complete the NIMS Implementation Tool, is working on their metrics, and has adopted and implemented NIMS. For further details and /or assistance regarding NIMS - related matters contact Cindy Shipley at cynthia.shi 11? ey ,@caloes.ca.gov, (916) 845 -8753. Application Due The application must be received by Cal OES no later than S:OOpm on October 14,2015*. Date *The completed application packet should be submitted as soon as possible after vetted by your Cal OES EMPG Program Specialist; however, by no later than October 14, 2015. [7] 55B -159 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 should be submitted as soon as possible; however, they must be received by Cal OES Grants Management Section by no later than October 14, 2015, at 5:00pm. Note: To streamline the process, electronically submit the completed FMFW to your EMPG Program Specialist prior to submitting a signed hard copy, in order to identify any corrections or adjustments that may need to be addressed. The electronic copy of the FMFW should be submitted for Cal OES review by no later than September 14, 2015. Work closely with your Program Specialist to ensure that all application documents are complete and accurate. Further, EMPG Program Specialists (Grant Management Staff) are available to assist in any EMPG - related matters. If the application is received with errors or is incomplete, this will cause a delay in receiving your Notification of Application Approval letter by November 2015. Subrecipients must receive the Notification of Application Approval letter prior to drawing down any grant funds. EMPG Grant Management Staff, Program Inland Region — Patti Delaney: patti.delaney@caloes.ca.gov, (916) 845 -8469 Specialists Coastal Region— Michelle Cruz: michelle.cruz a,caloes.ca.gov, (916) 845 -8383 Southern Region — Jason Stalder: jason.stalder a caloes.ca.gov, (916) 845 -8289 Tribal Nations — Cheryl McCorkle: cheryl.mccorkle a ealoes.ca.gov, (916) 845 -8415 Mailing Cal OES Address Emergency Management Grants Unit (EMGU) 3650 Schriever Avenue Mather, CA 95655 Approval of Cal OES will notify the OA, in writing, of the approved application, subaward amount, and Application performance period. Subrecipient reimbursements will not be made until all required application components have been approved by the State. Additional In order to reallocate any identified excess, declined, or deobligated funds, we are asking the Funds OAs to submit one -tithe EMPG eligible projects that they can fully execute in a two -five month period, as well as, within the subaward performance period. The Additional Project Using Excess Funds Form and Additional Protect Using Excess Funds Detailed Budget should be submitted if an OA is interested in additional funds. 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 funding requests may be submitted at any time but preferably during the application phase. 9 Emergency Management Grants Unit contact information: http•/ /www caloes ca.aov /GrantsManagementSite /Pages /Emereencv- Management- Performance -Grant aspx under the heading of Regional Assignments Map. 10 These forms can be located at: http•/ /www caloes ca gov/ GrantsManagementSite /Pages/Emerl4ency- Management - Performance- Grant.aspx, under EMPG Forms. [81 55B -160 Applicable OAs must ensure that local and internal departments are aware of the following laws, Laws & regulations, and guidance documents that apply to this subaward: Regulations • Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended • Title 2 C.F.R. Part 200 • California Emergency Services Act, Chapter 7 of Division 1 of Title 2 of the Government Code — which 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 Notice of Funding Opportunity, provided by Cal OES • FY 2015 Emergency Management Performance Grants (EMPG) Program Notice of Funding Opportunity (NOFO), issued by the U.S. Department of Homeland Security (DHS): Federal Emergency Management Agency (FEMA) • FEMA Grant Programs Directorate (GPD) Policies Environmental FEMA is legally required to consider the potential impacts of all grant- funded projects on Planning and environmental resources and historic properties. For the EMPG Program and other preparedness Historic grant programs, this is accomplished through FEMA's Environmental Planning and Historic Preservation Preservation (EHP) review. Any project with the potential to impact natural or biological resources, or historic properties, or involving installation, or that involves Emergency Operation (EHP) Center construction and renovation cannot be initiated until FEMA has completed the required Compliance EHP compliance review. Subrecipients that implement projects prior to receiving EHP approval from FEMA risk de- obligation of funds. Subrecipients who are proposing communication tower projects are encouraged to complete their Federal Communications Commission (FCC) EHP process prior to preparing their 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. Note: EHP review requests may require that a confidential California Historical Resources Information System (CHRIS) report be provided to FEMA.H Furthermore, for those proposed construction or renovation projects that are part of larger projects funded from a non -FEMA source (such as an Emergency Operation Center that is part of a larger proposed public safety complex), a FEMA EHP review must be completed before the larger project is initiated. For these types of projects, subrecipients roust complete the FEMA EHP Screening Form (OMB Number 1660- 0115/FEMA Form 024 -0 -1)12 and submit it, with all supporting documentation, to Cal OES. Note: Subrecipients should submit the FEMA EHP Screening Form for each applicable project as soon as possible. However, to ensure that ample time exists to allow for the FEMA EHP review and approval process, as well as the subsequent execution of the subaward- funded project, all subrecipient EHP- related documents must be received by Cal OES no later than Information regarding CHRIS can be obtained at: http: / /ohp.parks.ca.gov / ?page id =1068, �z The FEMA EHP Screen Form can be located at: litips: / /www.fema.gov/media- library /assets /documents /90195. [9] 55B -161 Environmental December 31, 2015. Exceptions to this due date will be at the discretion of Cal OES, based on Planning and exceptional circumstances and/or compelling justification. Historic Refer to FEMA GPD EHP Policy Guidance FP- 108 -023 -1 (located at: Preservation hql2s://www.fema.gov/niedia-libmM/assets/documents/85376) and IB 404 (located at: (EHP) http: / /www.fema gov/ rs antis/ rp ant - programs- directorate - information - bulletins) for further details Compliance, on EHP requirements. The EHP Screening Form can be downloaded at: Continued https://www.fema.gov/media-library/`assets/documents/90195. 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 and administrative or personnel actions; classroom -based training; tabletop and functional exercises; and acquisition of mobile and portable equipment (not involving installation). To be considered, extension requests must be received no later than 60 days prior to the end of the subrecipient's period of performance, and must contain specific and compelling justifications as to why an extension is required. Additionally, period of performance extension requests should be limited to one month in duration. Only under extenuating and extremely compelling circumstances will two -month extensions be considered. Extension Requests beyond two months will not be considered. 13 The Federally Mandated Objectives can be located in the FY 2015 EMPG EMPG Program Priorities, pages 25 -30 at: http: / /www.fema.gov /media -libra [10] 55B -162 Notice of Funding Opportunity, Appendix A -FY 2015 Projects initiated without proper EHP review will not be funded. Projects that were initiated or completed before an EHP review was concluded, using EMPG Program funds, will be deobligated. To avoid unnecessary delays in starting a project, subrecipients are encouraged to pay close attention to the reporting requirements for an EHP review. Federally Validating Capabilities, Priority Objective, and Performance Measures 13 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 subrecipients are in utilizing EMPG Program funding to prepare for all hazards, and advance a whole community Information approach. With these measures, subrecipients must evaluate their progress toward achieving the stated objectives in the quarterly EMPG Performance Report and in compliance with all reporting requirements. Extension Extensions to the initial period of performance identified in the subaward will only be Requests considered through formal, written requests to your EMPG Program Specialist. Upon receipt of extension requests, Cal OES will: (1) verify compliance with performance reporting requirements by confirming that the subrecipient has submitted all necessary performance reports; (2) confirm that the subrecipient has provided sufficient justification for the request; and (3) if applicable, confirm that the subrecipient has demonstrated sufficient progress in past situations where an extension was authorized by Cal OES. To be considered, extension requests must be received no later than 60 days prior to the end of the subrecipient's period of performance, and must contain specific and compelling justifications as to why an extension is required. Additionally, period of performance extension requests should be limited to one month in duration. Only under extenuating and extremely compelling circumstances will two -month extensions be considered. Extension Requests beyond two months will not be considered. 13 The Federally Mandated Objectives can be located in the FY 2015 EMPG EMPG Program Priorities, pages 25 -30 at: http: / /www.fema.gov /media -libra [10] 55B -162 Notice of Funding Opportunity, Appendix A -FY 2015 Validating SubrecipientRequirements: Capabilities Objective• 1. All subrecipients are required to develop a Multi -Year Training and Exercise Plan (TEP) that incorporates linkages to the NPG core capabilities and update it annually. The Multi -Year Develop and TEP shall encompass the period of January 1, 2016 — December 31, 2017. Maintain Multi- 2. The TEP must be submitted to the Cal OES Exercise Division POCs and EMPG Program Year TEPs Specialist by September 30, 2015. Note: TEPs shall be e- mailed to Cal OES Exercise Division Points of Contact (POCs), with a copy to their EMPG Program Specialist (Grant Management Staff) no later than September 30th each year. Exercise POCs listed below are available for assistance, if needed, in any exercise - related matters. • Southern Region— Steve Nunez: steve.mmez(a,caloes.ca.Qov • Inland Region —Kevin Leisher: kevinleishergealoes.ca.gov • Coastal Region— Kevin Leisher: kevin.leisher a,caloesxa.sov Measurement Method: • Submission to Cal OES of an updated Multi -Year TEP. Reporting: • Subrecipients 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 a Capabilities 12 -month period. This 12 -month period shall be the subaward performance period of Obieetive• July 1, 2015 — June 30, 2016, regardless of time extensions. EMPG Program - 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., discussion -based or operations- based) within the performance period (see httDS://WWW.fema.gov/media-libraty/assets/documents/32326 . 2. An After Action Report/Improvement Plan (AAR/IP) must be completed by the host of each EMPG- funded exercise and submitted to hseepnfema.dhs.gov, and a copy sent to your EMPG Program Specialist within 90 days after the completion of an exercise. 3. A summary of all collected corrective action items and the tracking of their implementation shall be reported as part of the EMPG quarterly reporting. Additional information and guidance related to AAR/IPs and the National Exercise Program (NEP) Base Plan can be found on the HSEEP website at htips://www.fema.gov/media- libmM/assets/documents/32326. ://www.fema.gov /media- libmM/assets /documents /32326. Questions regarding HSEEP guidance may be directed to hseep@,fema.dhs.gov. For HSEEP Toolkit technical support, contact the HSEEP helpdesk at Wportp.hseep.net, 877 - 612 -4357. Note: It is acceptable to submit an Exercise Summary Report for Seminars and Workshops in lieu of a full AAR/IP. E -mail the copies of the AAR/IPs to your EMPG Program Specialist. [11] 55B -163 Validating A summary of all collected corrective action items and a tracking of their implementation shall Capabilities be reported as part of the EMPG quarterly reporting. FEMA encourages the use of the Homeland Obieetive: Security Exercise and Evaluation Program (HSEEP). Exercise, Exercise Division staff are available for assistance with any exercise - related questions or Continued matters Measurement Method: • Percent of exercises participated by the OA's EMPG- funded personnel. • Submission of an AAR/IP completed by the host of the EMPG - funded exercises. Reporting: Subrecipients must report quarterly in the EMPG performance report, the percent completed of the exercise requirements for the EMPG - funded personnel. Subrecipients must submit AAR/IPs for each EMPG - funded exercise, if the exercise is hosted by the Subrecipients. AAR/IPs will be completed by the host of the exercise. Participants do not have to individually complete an AAR/IP. Validating Training activities supported with EMPG Program funds should strategically align to the NPG Capabilities core capability identified in the Multi -Year TEP. To ensure the development of a professional Objective: emergency management workforce all EMPG Program - funded personnel shall complete 11 training requirements and record proof of completion. EMPG Program - funded personnel are any Training personnel paid at any percentage with EMPG funding; this includes M &A staff funded by EMPG Program funds. All EMPG Program- funded personnel shall complete the following training requirements by June 30,201 . National Incident Manaeement Svstem (NIMS) Training: IS 100.b Introduction to Incident Command System (ICS) IS 200.b ICS for Single Resources and Initial Action Incident IS 700.a National Incident Management System, An Introduction IS 800.b National Response Framework, An Introduction FEMA Professional Development Series: IS 120.a Introduction to Exercises IS 230.d Fundamentals of Emergency Management IS 235.b Emergency Planning IS 240.b Leadership and Influence IS 241.b Decision Malting and Problem Solving IS 242.b Effective Communication IS 244.b Developing and Managing Volunteers The aforementioned listed courses are available on -line and at no cost from the Emergency Management Institute (EMI) at the following links: http: / /trainin .fa ema.gov /IS/NIMS.aspx & h4p://training.fema.gov/is/searchis.aspx?search=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, such as certificates of completion, must exist and be kept on file by the subrecipient and be made available for review upon request. [ 12] 55B -164 Validating Measurement Method: Capabilities Percent of EMPG Program - funded personnel completing the previously identified 11 Obieetive: • required training courses. Training, Continued Reporting: Subrecipients are required to share with Cal OES a TEP that includes an exercise plan and schedule, and a plan for training personnel. Information related to TEPs can be obtained by consulting Cal OES' Exercise Division POC. • Submission of a list of EMPG Program - funded personnel along with the training and dates completed is to be included in the EMPG Program quarterly Performance Reports. Training In order for EMPG Program funds to be utilized for training- related purposes, subrecipients Feedback must first obtain a Training Feedback Number. Training Feedback Numbers must be obtained Number no later than thirty (30) days prior to the training event. To be considered for a Training Feedback Number, subrecipients must complete a Training Request Form and submit it electronically to Cal OES. Training Request Forms can be obtained at the following link: httys:// w3. calema. cagov /WebPage /trainreq.nsf /TraiiiRe u�a est ?Ot)enFonn For Training Request Form or Training Feedback Number assistance contact Johnie Garrett at i ohn. garrcgL@caloes. ca.gov. Subcontracts In accordance with 2 C.F.R. § 200.326 Contract Provisions, any time funds are given to a contractor the subrecipient's contracts must contain the applicable provisions described in Appendix II to 2 C.F.R. Part 200 — Contract Provisions for Non - Federal Entity Contracts Under Federal Awards. The OA must monitor and ensure that the contractors are adhering to all applicable federal and state laws. The OA must not make or permit any award (subaward or contract) at any tier to any party that is debarred, suspended, or otherwise excluded from, or ineligible for participation in federal assistance programs, such as the EMPG. Subrecipients must obtain documentation of eligibility prior to any subaward of EMPG funds and be prepared to present supporting documentation to monitors. System for The System for Award Management (SAM) includes information regarding entities debarred, Award suspended, proposed for debarment, excluded or disqualified under the non - procurement Management coimnon rile, 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: / /www.sam,gov. Maintenance The use of EMPG funds for maintenance contracts, warranties, repair or replacement costs, and upgrades, licenses, and user fees are allowable under all active and future grant awards, unless Sustainment otherwise noted. With the exception of maintenance plans purchased incidental to (i.e., at the same time and under the same subaward as) the original purchase of the system or equipment, the period covered by a maintenance agreement or warranty plan must not exceed the period of performance of the specific grant funds used to purchase the plan or warranty, and address the requirements identified in FEMA Information Bulletin (113) 379. 55B- 1 135 Unallowable • 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 and projects unrelated to the completion and implementation of the EMPG Program Supplanting Grant funds must be used to supplement existing funds, not replace (supplant) funds that have been appropriated or budgeted for the same purpose through non - federal sources. In the event that supplanting is suspected, the subrecipient will be required to supply documentation 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(DHS), the DHS Office of Inspector General, Records the 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 subaward, in order to make audits, monitoring reviews, examinations, excerpts, and transcripts. The right of access is not limited to the required retention period but shall last as long as the records are retained. Refer to 2 C.F.R. § 200.336 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 EMPG. The EMPG funds will be disbursed on a reimbursement basis, using the FMFW. Costs Follow the Workbook instructions for Reimbursement Requests 14 and submit the signed forms to your EMPG Program Specialist. Payment will be made within 30 days after the Grants Management Section receives a valid and complete Reimbursement Request. It is strongly recommended that copies of all documents adding up to the total of each Reimbursement Request be retained to make verification by monitors and/or auditors easier. Cal OES may require submittal of these documents at any time. Subaward Post award budget, scope, and other modifications must be requested using the Cal OES FMFW Modifications and be signed by the subrecipient's Authorized Agent. A hard copy must be submitted to Cal OES and approved by Cal OES' Grants Management Section, prior to initiating any revised scope of work or incurring the associated expenditures. The OAs may submit modifications to Cal OES once per quarter during the performance period. Exceptions to allow more modifications during a quarter will be made at Cal OES discretion and will be based on exceptional circumstances and /or compelling justification. Failure to submit modifications and receive approval prior to expenditure could result in a reduction or disallowance of that part of the subaward. Instructions on how to submit a Modification Request are available at the link identified in the foomote.15 " The Reimbursement Request instructions can be located at: http•/ /www caloes ca gov/GrantsManaaeinentSite/Pages/Emeri4ency- Managem ent- Performance - Grant. aspx. 15 The Modification Request instructions can be located at: http:/ /www caloes ca gov /GrantsManagementSite /Pages /Emergency- Managem ent- Performance- Grant.aspx. [ 14] 55B -166 Performance Subrecipients must prepare and submit Performance Reports to the State for the duration of the Reports subaward performance period, or until all grant activities are completed and the subaward is formally closed by Cal OES. The reports 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 subaward reduction, termination, or suspension. Subrecipients must also complete a Biannual Strategy Implementation Report (BSIR) using the DHS /FEMA Grants Reporting Tool (GRT). To obtain access to the online GRT, log on to their website at www.reportin2.odo.dhs.gov. To create a new account, follow the instructions that read, "If you need to register for an account, please click here." For additional assistance with the GRT, contact: Gina Avelar at gina.avelarkealoes.ca.aov, (916) 845 -8647. Closeout The State will close a subrecipient subaward after: • Receiving a subrecipient Performance Report indicating that all approved work has been completed, and all 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 subrecipient: • Is owed additional funds, the State will send the final payment automatically to the subrecipient • Did not use all funds received, the State will issue a deobligation 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 completed to deobligate the unspent funds and revert them back to the State Records Specific requirements for record retention can be found in 2 C.F. R. § 200.333. In the Grant Retention Closeout Letter, the State will notify the subrecipient of the start of the record retention period for all programmatic and financial subaward - related records. Final Subaward Cal OES will review the OA's final Performance Report for compliance with all subaward Report conditions. The final Performance Report is due to Cal OES by July 14, 2016, (unless the subaward performance period is extended) and will serve as the final Subaward report. Audit The OAs, and their subrecipients, must comply with the audit requirements contained in Requirements 2 C.F.R. Part 200 Subpart F —Audit Requirements, Monitoring The State may perform periodic reviews of the OA's subaward performance. The Monitoring Subaward Division is actively conducting monitoring visits, both desk review and on -site, among Performance subrecipients. These reviews may include, but are not limited to: • Comparing actual Subaward activities to those approved on the Financial Management Forms Workbook • Confirming compliance with: – Subaward Assurances and Certifications – Information provided on the Performance Reports • Reviewing and monitoring financial and administrative records To provide support and guidance, Grants Management Staff will be intermittently conducting on -site programmatic and financial reviews of OA's EMPG Program - related activities. 558-167 55B -168 FY15 Emergency Management Performance Grant Agreement Articles, Assurances, Certifications, Terms, and Conditions FEDERAL AGREEMENT ARTICLES Article I – Assurances, Administrative Requirements, and Cost Principles Recipients of DHS Federal financial assistance must complete OMB Standard Form 424B Assurances – Non - Construction Programs. Certain assurances in this document may not be applicable to your program, and the awarding agency may require applicants to certify additional assurances. Please contact the program awarding office if you have any questions. The administrative and audit requirements and cost principles that apply to DHS award recipients originate from 2 C.F.R. Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, as adopted by DHS at 2 C.F.R. Part 3002. Article II - DHS Specific Acknowledgements and Assurances All recipients 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. If, during the past three years, the recipient has been accused of discrimination on the grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status, the recipient must provide a list of all such proceedings, pending or completed, including outcome and copies of settlement agreements to the DHS awarding office and the DHS Office of Civil Rights and Civil Liberties. 6. In the event any court or administrative agency makes a finding of discrimination on grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status against the recipient, or the recipient settles a case or matter alleging such discrimination, recipients must forward a copy of the complaint and findings to the DHS Component and /or awarding office. The United States has the right to seek judicial enforcement of these obligations. Initials 55B -169 Article III - Lobbying Prohibitions All recipients must comply with 31 U.S.C. & 1352, which provides that 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. Article IV - Acknowledgement of Federal Funding from DHS All recipients must acknowledge their use of Federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with Federal funds. Article V - Copyright All recipients must affix the applicable copyright notices of 17 U.S.C. §& 401 or 402 and an acknowledgement of Government sponsorship (including award number) to any work first produced under Federal financial assistance awards, unless the work includes any information that is otherwise controlled by the Government (e.g., classified information or other information subject to national security or export control laws or regulations). Article VI - Use of DHS Seal, Logo and Flags All recipients must obtain DHS's approval prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials. Article VH - Activities Conducted Abroad All recipients 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 must comply with Preference for U.S. Flag Air Carriers: (air carriers holding certificates under 49 U.S.C. 4� 1102) 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 B- 138942. Article IX - Drug -Free Workplace Regulations All recipients must comply with the Drug -Free Workplace Act of 1988 (41 U.S.C. & 701 et sea.), which requires that all organizations receiving grants from any Federal agency agree to maintain a drug -free workplace. DHS has adopted the Act's implementing regulations at 2 C.F.R. Part 3001. Article X - Trafficking Victims Protection Act of 2000 All recipients must comply with the requirements of the government -wide award term which implements Section 106(g) of the Trafficldng Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. & 7104). This is implemented in accordance with OMB Interim Final Guidance, Federal Register, Volume 72, No. 218, November 13, 2007. Full text of the award term is located at 2 C.F.R. 6 175.15. Article XI — Title VI of the Civil Rights Act of 1964 All recipients must comply with the requirements of Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et leg.), 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 Initials 55B -170 activity receiving Federal financial assistance. hmplementing regulations for the Act are found at 6 C.F.R. Part 21 and 44 C.F.R. Part 7. Article XII - Civil Right Act of 1968 All recipients 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 seg.), as implemented by the Department of Housing and Urban Development at 24 C.F.R. Part 100. The prohibition on disability discrimination includes the requirement that new multifamily housing 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 C.F.R. & 100.201). Article XIII - Americans with Disabilities Act of 1990 All recipients 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 must comply with the requirements of the Age Discrimination Act of 1975 (42 U.S.C. & 6101 et ,sea.), which prohibits discrimination on the basis of age in any program or activity receiving Federal financial assistance. Article XV - Title IX of the Education Amendments of 1972 (Equal Opportunity in Education Act) All recipients must comply with the requirements of Title IX of the Education Amendments of 1972 (20 U.S.C. & 1681 et sea.), which provides that no person in the United States will, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any educational program or activity receiving Federal financial assistance. Implementing regulations are codified at 6 C.F.R. Part 17 and 44 C.F.R. Part 19. Article XVI - Rehabilitation Act of 1973 All recipients must comply with the requirements of Section 504 of the 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. Article XVII - Limited English Proficiency (Civil Rights Act of 1964, Title VI) All recipients roust comply with Title VI of the Civil Right Act of 1964 prohibition against discrimination on the basis of national origin, which requires that recipients of Federal financial assistance take reasonable steps to provide meaningful access to persons with limited English proficiency (LEP) to their programs and services. Providing meaningful access for persons with LEP may entail providing language assistance services, including oral interpretation and written translation. hi 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, DI-IS Guidance to Federal Financial Assistance Recipients Regarding Title V1 Initials 55B -171 Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons, 76 Fed. Reg. 21755- 21768, (April 18, 2011). The Guidance provides helpful information such as how a recipient can determine the extent of its obligation to provide language services; selecting language services; and elements of an effective plan on language assistance for LEP persons. For additional assistance and information regarding language access obligations, please refer to the DHS Recipient Guidance https: / /www.dhs gov/iuidance- published -help- deuarhnent- supported- organizations- provide - meaningful- access - people- limited and additional resources on htlp: / /www.lep.gov. Article XVIII - Animal Welfare Act of 1966 All recipients of financial assistance will comply with the requirements of the Animal Welfare Act, as amended (7 U.S.C. &2131 et seq.), which requires that minimum standards of care and treatment be provided for vertebrate animals bred for commercial sale, used in research, transported commercially, or exhibited to the public. Recipients must establish appropriate policies and procedures for the humane care and use of animals based on the Guide for the Care and Use of Laboratory Animals and comply with the Public Health Service Policy and Government Principles Regarding the Care and Use of Animals. All recipients of financial assistance will comply with the requirements of 42 U.S.C. 57401 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 C.F.R. 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 C.F.R. Part 46, research means a systematic investigation, including research, development, testing, and evaluation, designed to develop or contribute to general knowledge. Activities that meet this definition constitute research for purposes of this policy, whether or not they are conducted or supported under a program that is considered research for other purposes. The regulations specify additional protections for research involving human fetuses, pregnant women, and neonates (Subpart B); prisoners (Subpart C); and children (Subpart D). The use of autopsy materials is governed by applicable State and local law and is not directly regulated by 45 C.F.R. Part 46. Article XXI - National Environmental Poliev Act (NEPA) of 1969 All recipients of financial assistance will comply with the requirements of the National Environmental Policy Act (NEPA), as amended, 42 U.S.C._§4111 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 C.F.R. Part 63. Initials 55B -172 Article XXIII - Flood Disaster Protection Act of 1973 All recipients of financial assistance will comply with the requirements of the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. § 4001 et sec . , which provides that no Federal financial assistance to acquire, modernize, or construct property may be provided in identified flood -prone communities in the United States, unless the community participates in the National Flood Insurance Program and flood insurance is purchased within one year of the identification. The flood insurance purchase requirement applies to both public and private applicants for DHS support. Lists of flood -prone areas that are eligible for flood insurance are published in the Federal Register by FEMA. Article XXIV - Coastal Wetlands Planning, Protection, and Restoration Act of 1990 All recipients of financial assistance will comply with the requirements of Executive Order 11990, which provides that federally funded construction and improvements minimize the destruction, loss, or degradation of wetlands. The Executive Order provides that, in furtherance of Section 101(b)(3) ofNEPA (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 making 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 C.F.R. Part 9. Article XXV - USA Patriot Act of 2001 All recipients must comply with the requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175 -175c. Among other things, the USA PATRIOT Act prescribes criminal penalties for possession of any biological agent, toxin, or delivery system of a type or in a quantity that is not reasonably justified by a prophylactic, 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. Article XXVI — Best Practices for Collection and Use of Personally Identifiable Information (PII) All recipients who collect PII are required to have a publically- available privacy policy that describes what PII they collect, how they use the PII, whether they share PII with third parties, and how individuals may have their PII corrected where appropriate. Award recipients may also find as a useful resource the DHS Privacy Impact Assessments: Privacy Guidance and Privacy template respectively. Article XXVII — Duplication of Benefits Any cost allocable to a particular Federal award provided for in 2 C.F.R. Part 200, Subpart E may not be charged to other Federal awards to overcome fund deficiencies, to avoid restrictions imposed by Federal statutes, regulations, or terms and conditions of the Federal awards, or for other reasons. However, this prohibition would not preclude the non - Federal entity from shifting costs that are allowable under two or more Federal awards in accordance with existing Federal statutes, regulations, or the terms and conditions of the Federal awards. Article XXVIII — False Claims Act and Program Fraud Civil Remedies All recipients must comply with the requirements of 31 U.S.0 § 3729 which set forth that no recipient of Federal payments shall submit a false claim for payment. See also 38 U.S.0 §§ 3801 -3812 which details the administrative remedies for false claims and statements made. Initials 55B -173 Article XXIX — Federal Debt Status All recipients are required to be non - delinquent in their repayment of any Federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit disallowance, and benefit overpayments. See OMB Circular A- 129 and form SF -42413, item number 17 for additional information and guidance. Article XXX— Hotel and Motel Fire Safety Act of 1990 In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. § 2225(a), all recipients must ensure that all conference, meeting, convention, or training space funded in whole or in part with Federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, as amended, 15 U.S.C. X2225. Article XXXI — Non - 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 through non - Federal sources. Where Federal statues for a particular program prohibits supplanting, applicants or recipients may be required to demonstrate and document that a reduction in non - Federal resources occurred for reasons other than the receipt or expected receipt of Federal funds. Article XXXII — Debarment and 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. H1 LHAC 11AA111 — L' d1V11 U1l1LLGLL 6A1 81{alllaall$ [luu aimLVa n a a cJCa Yauma aiui , �.vaaapaanaaa.r. 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 funds are released to carry out the proposed project. EHP Policy Guidance can be found in FP 108 - 023 -01, Environmental Planning and Historic Preservation Policy Guidance, at httn://www.fema.pov/media-library/assets/doemnent/85376. Article XXXIV — SAFECOM 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. Article XXXV — Energy Policv and Conservation Act All recipients must comply with the requirements of 42 U.S.C. & 6201 which contain policies relating to energy efficiency that are defined in the state energy conservation plan issues in compliance with this Act. Article XXXVI — Reporting Subawards and Executive Compensation a. Reporting of first -tier subawards. 1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section Initials 55B -174 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. i. You must report each obligating action described in paragraph a.l. of this award term to http://www fsrs.gov. ii. 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, 2010, the obligation must be reported by no later than December 31, 2010.) 3. not to report. You must report the information about each obligating action that the submission instructions posted at http: / /Www.fvrs.gov specify. b. Reporting Total Compensation of Recipient Executives. 1. Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if- i. the total Federal funding authorized to date under this award is $25,000 or more; ii. in the preceding fiscal year, you received— A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 C.F.R. § 170.320 (and subawards); and B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 C.F.R. § 170.320 (and subawards); and iii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http:// www .see.gov /answerslexecomp.htm.) 2. Where and when to report. You must report executive total compensation described in paragraph b. I. of this award terns: i. As part of your registration profile at https: //www.sam. eov. ii. By the end of the month following the month in which this award is made, and annually thereafter. c. Reporting of Total Compensation of Subrecipient Executives. 1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for 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- i. in the subrecipient's preceding fiscal year, the subrecipient received— Initials 55B -175 A) 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 C.F.R. § 170.320 (and subawards); and B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act (and subawards); and ii. 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 http: / /Www.sec.gov /answers /execomp. him.) 2. Where and when to report. You must report subrecipient executive total compensation described in paragraph c.1. of this award term: i. To the recipient. ii. By the end of the month following the month during which you 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 If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report: i. Subawards, and ii. The total compensation of the five most highly compensated executives of any subrecipient. e. Definitions. For purposes of this award term: 1. Entity means all of the following, as defined in 2 C.F.R. Part 25: i. A Governmental organization, which is a State, local government, or Indian Tribe; ii. A foreign public entity; iii. A domestic or foreign nonprofit organization; iv. A domestic or foreign for - profit organization; v. A Federal agency, but only as a subrecipient under an award or subaward to a non - Federal entity. 2. Executive means officers, managing partners, or any other employees in management positions. 3. Subawadd: i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. ii. The term does not include your procurement of property and services needed to carry out the projector program (for further explanation, see 2 C.F.R. § 200.330 — Subrecipient and Contractor Determinations). Initials 55B -176 iii. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract. 4. Subrecipient means an entity that: i. Receives a subaward from you (the recipient) under this award; and ii. Is accountable to you for the use of the Federal funds provided by the subaward. 5. Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 C.F.R.§ 229.402(c)(2)): i. Salary and bonus. ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments. iii. 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. iv. Change in pension value. This is the change in present value of defined benefit and actuarial pension plans. v. Above - market earning on deferred compensation which is not tax - qualified. vi. 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. Article XXXVII — Patents and Intellectual Propertv Rights Unless otherwise provided by law, recipients are subject to the Bayh -Dole Act, Pub. L. No. 96 -517, as amended, and codified in 35 U.S.C. § 200 et seq. All recipients are subject to the specific requirements governing the development, reporting, and disposition of rights to inventions and patents resulting from financial assistance awards in 37 C.F.R. Part 401 and the standard patent rights clause in 37 C.F.R. § 401.14. Article XXXVIII — Procurement of Recovered Materials All recipients must comply with section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 C.F.R. Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired by the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines. Article XXXIX — Contract Provisions for Non - Federal Entity Contracts Under Federal Awards; Appendix II to C.F.R. Part 200 In addition to other provisions required by the Federal agency or non - Federal entity, all contracts made by the non- Federal entity under the Federal award must contain provisions covering the following, as applicable. (A) Contracts for more than the simplified acquisition threshold currently set at $150,000, which is the inflation adjusted amount determined by the Civilian Agency Acquisition Council and the Defense Acquisition Regulations Council (Councils) as authorized by 41 U.S.C. 1908, must address administrative, contractual, or legal remedies in Initials 55B -177 instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as appropriate. (B) All contracts in excess of $10,000 must address termination for cause and for convenience by the non - Federal entity including the manner by which it will be effected and the basis for settlement. (C) Equal Employment Opportunity. Except as otherwise provided under 41 C.F.R. Part 60, all contracts that meet the definition of "federally assisted construction contract" in 41 C.F.R. Part 60 -1.3 must include the equal opportunity clause provided under 41 C.F.R. Part 60- 1.4(b), in accordance with Executive Order 11246, "Equal Employment Opportunity" (30 FR 12319, 12935, 3 C.F.R. Part, 1964 -1965 Comp., p. 339), as amended by Executive Order 11375, "Amending Executive Order 11246 Relating to Equal Employment Opportunity," and implementing regulations at 41 C.F.R. Part 60, "Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor." (D) Davis -Bacon Act, as amended (40 U.S.C. 3141 - 3148). When required by Federal program legislation, all prime construction contracts in excess of $2,000 awarded by non - Federal entities must include a provision for compliance with the Davis -Bacon Act (40 U.S.C. 3141 -3144, and 3146 -3148) as supplemented by Department of Labor regulations (29 C.F.R. Part 5, "Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction "). In accordance with the statute, contractors must be required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. In addition, contractors must be required to pay wages not less than once a week. The non- Federal entity must place a copy of the current prevailing wage determination issued by the Department of Labor in each solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of the wage determination. The non - Federal entity must report all suspected or reported violations to the Federal awarding agency. The contracts must also include a provision for compliance with the Copeland "Anti- Kickback" Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 C.F.R. Part 3, "Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States "). The Act provides that each contractor or subrecipient must be prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The non - Federal entity must report all suspected or reported violations to the Federal awarding agency. (E) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701 - 3708). Where applicable, all contracts awarded by the non - Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 C.F.R. Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence. (F) Rights to Inventions Made Under a Contract or Agreement. If the Federal award meets the definition of "funding agreement" under 37 C.F.R. §401.2 (a) and the recipient or subrecipient wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that "funding agreement," the recipient or subrecipient must comply with the requirements of 37 C.F.R. Part 401, "Rights to Inventions Made by Nonprofit Initials 55B -178 Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements," and any implementing regulations issued by the awarding agency. (G) Clean Air Act (42 U.S.C. 7401- 7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251- 1387), as amended— Contracts and subawards of amounts in excess of $150,000 must contain a provision that requires the non - Federal award to agree to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401- 7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251- 1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA). (H) Debarment and Suspension (Executive Orders 12549 and 12689) —A contract award (see 2 C.F.R. § 180.220) must not be made to parties listed on the government wide exclusions in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 C.F.R Part 180 that implement Executive Orders 12549 (3 C.F.R. Part 1986 Comp., p. 189) and 12689 (3 C.F.R. Part 1989 Comp., p. 235), "Debarment and Suspension." SAM Exclusions contain the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549. (I) Byrd Anti- Lobbying Amendment (31 U.S.C. 1352) — Contractors that apply or bid for an award exceeding $100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U. S.C. 1352. Each tier must also disclose any lobbying with non - Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the non - Federal award. (J) A non - Federal entity that is a state agency or agency of a political subdivision of a state and its contractors must comply with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 C.F.R. Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines. Article XL – Terrorist Financing E.O. 13224 All recipients must comply with U.S. Executive Order 13224 and U.S. law that prohibit transactions with, and the provisions of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of recipients to ensure compliance with the E.O. and laws. Article XLI – System for Award Management and Universal Identifier Requirements A. Requirement for System for Award Management (SAM) Unless you are exempted from this requirement under 2 C.F.R. § 25.110, you as the recipient must maintain the currency of your information in the SAM until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term. Initials 55B -179 B. Requirement for unique entity identifier If you are authorized to make subawards under this award, you: 1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award term) may receive a subaward from you unless the entity has provided its unique entity identifier to you. 2. May not make a subaward to an entity unless the entity has provided its unique entity identifier to you. C. Definitions For purposes of this award term: 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 ht( • / /www.sam.2ov). 2. Unique entity identifier means the identifier required for SAM registration to uniquely identify business entities. 3. Entity, as it is used in the award term, means all of the following as defined at 2 C.F.R. Part 25, Subpart C: a. A Governmental organization, which is a State, local government, or Indian Tribe; b. A foreign public entity; c. A domestic or foreign nonprofit organization; d. A domestic or foreign for -profit organization; and e. A Federal agency, but only as a subrecipient under an award or subaward to a non - Federal entity. 4. Subaward: a. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. b. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see 2 C.F.R. § 200.330). c. A subaward may be provided through any legal agreement, including an agreement that you consider a contract. 5. Subrecipient means an entity that: a. Receives a subaward from you under this award; and b. Is accountable to you for the Federal funds provided by the subaward. Article XLII — Whistleblower Protection Act All recipients must comply with the statutory requirements for whistleblower protections (if applicable) at 10 U.S.0 § 2409, 41 U.S.C. & 4712, and 10 U.S.C. § 2324, 41 U.S.C. && 4304 and 4310. Lit LlL.1G ALlll -1JlJV VJlL1V1l Vl l'iV µd�l1ll61lL AL.N U116µ Vl {µL.P L When original or replacement equipment acquired under this award by the recipient or its subrecipients is no longer needed for the original project or program or for other activities currently or previously supported by DHS /FEMA, you must request instructions from DHS /FEMA to make proper disposition of the equipment pursuant to 2 C.F.R. § 200.313. 'Al Ilmle A{.1y —r11V1 APJJIVy[ll LVl 1L'1Vull mauun V1 Hppl Vy6u 11µµ$6L Before making any change to the DHS /FEMA approved budget for this award, you must request prior written approval from DHS/FEMA where required by 2 C.F.R. § 200.308. For awards with an approved budget greater than $150,000, you may not transfer fiords among direct cost categories, programs, functions, or activities without Initials 55B -180 prior written approval from DHS /FEMA where the cumulative amount of such transfers exceeds or is expected to exceed ten percent (10 %) of the total budget DHS/ FEMA last approved. You must report any deviations from your DHS /FEMA approved budget in the first Federal Financial Report (SF -425) you submit following any budget deviation, regardless of whether the budget deviation requires prior written approval. ASSURANCES The applicant hereby assures and certifies compliance with all applicable Federal statutes, regulations, policies, guidelines, and requirements. See Article I above. The applicant also specifically assures and certifies that it: 1. Has the legal authority to apply for Federal assistance, and the institutional, managerial, and financial capability (including funds sufficient to pay the non - Federal share of project costs) to ensure proper planning, management, and completion of the project described in this application. 2. Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the assistance or award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. See Article II above. 3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§ 4728 -4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of Office of Personnel Management's (OPM) Standards for a Merit System of Personnel Administration (5 C.F.R. § 900, Subpart F). 6. Will comply with all Federal 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 -255), as amended, relating to nondiscrimination on the basis of ding abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91 -616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism;(g) §§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd -3 and 290 ee -3), as amended, relating to confidentiality of alcohol and drug 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, 0) the requirements of any other nondiscrimination statute(s) which may apply to the application. See Articles XI, XII, XIII, XIV, XV, XVI, and XVII. Initials 55B -181 7. 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. S. 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 construction and acquisition is $10,000 or more; and the National Flood Insurance Act of 1968. See Articles XXII and XXIII. 11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental 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. §§ 1451 et seq.); (f) conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§ 7401 et seq.); (g) protection of underground sources of drinking water under the Safe Dririlcing Water Act of 1974, as amended, (P.L. 93 -523); and (h) protection of endangered species under the Endangered Species Act of 1973, as amended, (P.L. 93 -205). See Articles XIX, XXI, and XXIV. 12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. 13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§ 469a -1 et seq.). All proposed 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. 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. Initials 55B -182 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 U.S. Government Accountability Office's (GAO) Government Auditing Standards, and the requirements of 2 C.F.R. Part 200, Subpart F. 18. Will comply with all applicable requirements of all other Federal 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 2015 Emergency Management Performance Grant (EMPG) Program - California Supplement to the Federal Program Notice of Funding Opportunity; or, The State Guidance. 19. Will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104) which prohibits grant award recipients or a subrecipient 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, nongovermnental 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 construction site to ensure that the complete work conforms with the approved plans and specifications and will furnish progress reports and such other information as may be required by the assistance awarding agency or State. 24. Will comply with Public Law (PL) 109 -282 (Federal Funding Accountability and Transparency Act of 2006), as amended by Section 6202(a) of the Government Funding Transparency Act of 2008 (PL 110 -252), which is outlined in FEMA GPD Information Bulletin No. 350. If the subrecipient 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 subrecipient is not subject to the FFATA Financial Disclosure requirements. See Article XXXVI. 25. Will comply with the following: (a) All recipients of financial assistance must acknowledge and agree —and require any subrecipients, contractors, successors, transferees, and assignees acknowledge and agree —to Initials 55B -183 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 - funded personnel from being eligible for reimbursement and/or result in the subrecipient's repayment of already disbursed grant funding associated with the non - compliant 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 funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Initials 55B -184 Statement for Loan Guarantees and Loan Insurance The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form -LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who 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 C.F.R., Part 17 (See Article XXXII): A. The applicant certifies that it and its principals: (1) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency; (2) Have not within a three -year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or Local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, malting false statements, or receiving stolen property; (3) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or Local) with commission of any of the offenses enumerated in paragraph (A)(2) of this certification; and (4) Have not within a three -year period preceding this application had one or more public transactions (Federal, State, or Local) terminated for cause or default; and B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 3. CERTIFICATIONS REGARDING DRUG -FREE WORKPLACE REQUIREMENTS: This certification commits the applicant to compliance with the certification requirements under 44 C.F.R., Part 17 Government - wide Requirements for Drug -Free Worlgnace (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; Initials 55B -185 (b) Establishing an ongoing drug -free awareness program to inform employees about— (1) The dangers of drug abuse in the workplace; (2) The grantee's policy of maintaining a drug -free workplace; (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) Malting 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 working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant; (f) Taping 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) Tatting appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Malting a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e), and (f). 4. SWEATFREE CODE OF CONDUCT: a. All applicants contracting for the procurement or laundering of apparel, garments or corresponding accessories, or the procurement of equipment, materials, or supplies, other than procurement related to a public works contract, declare under penalty of perjury that no apparel, garments or corresponding accessories, equipment, materials, or supplies furnished to the state pursuant to the subaward have been laundered or produced in whole or in part by sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor, or with the benefit of sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor. The applicant further declares under penalty of perjury that they adhere to the Sweatfree Code of Conduct as set forth on the California Department of Industrial Relations website located at www.dir.ca.gov, and Public Contract Code Section 6108. Initials 55B -186 b. The applicant agrees to cooperate fully in providing reasonable access to the applicant's records, documents, agents or employees, or premises if reasonably required by authorized officials of the contracting agency, the Department of Industrial Relations, or the Department of Justice to determine the contractor's compliance with the requirements under paragraph (a). 5. DOMESTIC PARTNERS: For subawards executed or amended after July 1, 2004, the applicant may elect to offer domestic partner benefits to the applicant's employees in accordance with Public Contract Code section 10295.3. However, the applicant cannot require an employee to cover the costs 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 subrecipient has any questions on the status of any person rendering services or involved with the Agreement, the awarding agency must be contacted immediately for clarification. Current State Employees (Public Contract Code § 10410): 1) No officer or employee shall engage in any employment, activity or enterprise from which the officer or employee receives compensation or has a financial interest and which is sponsored or funded by any state agency, unless the employment, activity or enterprise is required as a condition of regular state employment. 2) No officer or employee shall contract on his or her own behalf as an independent contractor with any state agency to provide goods or services. Former State Employees (Public Contract Code § 10411): 1) For the two -year period from the date he or she left state employment, no former state officer or employee may enter into a contract in which he or she engaged in any of the negotiations, transactions, planning, arrangements or any part of the decision - making process relevant to the contract while employed in any capacity by any state agency. 2) For the twelve -month period from the date he or she left state employment, no former state officer or employee may enter into a contract with any state agency if he or she was employed by that state agency in a policy - making position in the same general subject area as the proposed contract within the 12 -month period prior to his or her leaving state service. If applicant violates any provisions of above paragraphs, such action by applicant shall render this Agreement void. (Pub. Contract Code § 10420) Members of boards and commissions are exempt from this section if they do not receive payment other than payment of each meeting of the board or commission, payment for preparatory time and payment for per diem. (Pub. Contract Code § 10430 (e)) 2. LABOR CODE /WORKERS' 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 Initials 55B -187 accordance with the provisions, and applicant affirms to comply with such provisions before commencing the performance of the work of this Agreement. (Labor Code Section 3700) 3. AMERICANS WITH DISABILITIES ACT: Applicant assures the State that it complies with the Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability, as well as all applicable regulations and guidelines issued pursuant to the ADA. (42 U.S.C. § 12101 et seq.) 4. APPLICANT 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 C.F.R. § 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 subrecipients that no entity (see definition in paragraph C of this award tern) 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 wiless 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 http://www.sam.go ). 2. Data Universal Numbering System (DUNS) number means the nine digit number established and assigned by Dun and Bradstreet, Inc. (D &B) to uniquely identify business entities. A DUNS number may be obtained from D &B by telephone (currently 866 - 705 -5711) or the Internet (currently at http: / /fedov.dnb.com webfonn). 3. Entity, as it is used in this award term, means all of the following, as defined at 2 C.F.R. § 25.320, Subpart C: a. A Governmental organization, which is a State, Local government, or Indian Tribe; b. A foreign public entity; c. A domestic or foreign nonprofit organization; Initials 55B -188 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 - Federal entity. 4. Subaward, as defined in 2 C.F.R. § 170.325: a. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. b. The term does not include your procurement of property and services needed to carry out the project or program. c. A subaward may be provided through any legal agreement, including an agreement that you consider a contract. 5. Subrecipient, as defined in 2 C.F.R. § 25.360, means an entity that: a. Receives a subaward from you under this award; and b. Is accountable to you for the use of the Federal 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. 2 C.F.R. Part 200 — Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, Subparts B through D 2. 44 C.F.R. Part 10, Environmental Considerations B. Cost Principles 1. 2 C.F.R. Part 200 — Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, Subpart E —Cost Principles 2. 48 C.F.R.§ 31.2, Federal Acquisition Regulations (FAR), Contracts with Commercial Organizations C. Audit Requirements 1. 2 C.F.R. Part 200 — Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, Subpart F —Audit Requirements 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 DHS FY 2015 EMPG Program Notice of Funding Opportunity (NOFO). 11. CLASSIFIED SECURITY CONDITION: A. Classified national security information, as defined in Executive Order (EO) 12958, as amended, means information that has been detennined pursuant to ED 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. Initials 55B -189 C. Where an award recipient has been approved for and has access to classified national security information, no funding under this award shall be used to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information by the contractor, subawardee, or other entity without prior written approval from the DHS Office of Security, Industrial Security Program Branch (ISPB), or an appropriate official within the Federal department or agency with whom the classified effort will be performed. D. Such contracts, subawards, or other agreements shall be processed and administered in accordance with the DHS "Standard Operating Procedures, Classified Contracting by States and Local Entities," dated July 7, 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: htto: / /www.dhs.gov /xoonbiz/arants /index.shtm 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. DHS Office of Security ISPB contact information: Telephone: 202- 447 -5346 Email: DD254AdministrativeSecurity &dhs.gov Mail: Department of Homeland Security Office of the Chief Security Officer ATTN: ASD /Industrial Security Program Branch Washington, D.C. 20528 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) .�,. ��.__.._- ... - -- -per— Printed Name and Title ofPerson Signing Date Executed Initials 55B -190 LR 2/18/16 RESOLUTION NO.2016 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER, AND THE CHIEF OF POLICE OR HIS DESIGNEE(S) TO OBTAIN 2015 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 as a subgrantee of the 2015 EMPG funds and will provide funds to local governments for implementation of countywide emergency management capabilities. C. The City of Santa Ana as a subrecipient of the EMPG funds has been allocated $49,665.00 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 agreement (also called a transfer agreement) with the County of Orange and /or Orange County Sheriff's Department in an amount not to exceed $49, 665.00 Section 3. The City Council of the City of Santa Ana hereby authorizes and directs the Chief of Police and /or his designee, on terms acceptable to the City Attorney, to prepare reimbursement agreements for salary costs, 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. Section 4. The City Council of the City of Santa Ana hereby approves an Appropriation Adjustment recognizing the FY 2014 Emergency Management Exhibit 2 Resolution No. 2016 -XXX 55B -191 Page 1 of 2 55B -192 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 $49,665.00 and appropriates same in the FY 2015 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 March, 2016, Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By:g-awia, A Laura A. Rossini Senior Assistant City Attorney AYES: Councilmembers NOES: Councilmembers NOT PRESENT: 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. 2016 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Clerk of the Council City of Santa Ana Resolution No. 2016 -XXX 55B -193 Page 2 of 2 55B -194