EMPG Program Guidance

U.S. DEPARTMENT OF HOMELAND SECURITY

FISCAL YEAR 2009
EMERGENCY MANAGEMENT PERFORMANCE
GRANTS
GUIDANCE AND APPLICATION KIT

NOVEMBER 2008

U.S. DEPARTMENT OF HOMELAND SECURITY

Title of Opportunity: Emergency Management Performance Grants
Funding Opportunity Number: DHS-09-GPD-042-1971
Federal Agency Name: FEMA Grant Programs Directorate (GPD)
Announcement Type: Initial
Dates: Completed applications must be submitted no later than 11:59 PM EST,
December 19, 2008.
Additional overview information: For FY 2009 EMPG, construction and renovation
activities for emergency operations centers have been reinstated as allowable costs
(see Part IV.E for additional information).

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CONTENTS
Contents......................................................................................................................... 1
Part I. FUNDING OPPORTUNITY DESCRIPTION......................................................... 2
Part II. AWARD INFORMATION .................................................................................... 6
Part III. ELIGIBILITY INFORMATION ............................................................................ 8
A.
Eligible Applicants................................................................................... 8
B.
Cost Sharing ............................................................................................ 8
C.
Restrictions .............................................................................................. 8
Part IV. APPLICATION AND SUBMISSION INFORMATION ........................................ 9
A.
Address to Request Application Package ............................................. 9
B.
Content and Form of Application ........................................................... 9
C.
Submission Dates and Times ............................................................... 21
D.
Intergovernmental Review .................................................................... 21
E.
Funding Restrictions ............................................................................. 21
Part V. APPLICATION REVIEW INFORMATION ........................................................ 29
A.
Review Criteria....................................................................................... 29
B.
Review and Selection Process ............................................................. 29
C.
Anticipated Announcement and Award Dates .................................... 29
Part VI. AWARD ADMINISTRATION INFORMATION ................................................. 30
A.
Notice of Award ..................................................................................... 30
B.
Administrative and National Policy Requirements ............................. 31
C.
Reporting Requirements ....................................................................... 38
Part VII. FEMA CONTACTS......................................................................................... 42

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PART I.

FUNDING OPPORTUNITY DESCRIPTION
The events surrounding Hurricanes Gustav and Ike highlighted the critical importance of
effective catastrophic all-hazards planning, which includes the spectrum of prevention,
protection, response, and recovery activities. State and local jurisdictions must engage
in comprehensive national and regional planning processes that seek to enhance
emergency management and catastrophic planning capabilities. These processes can
be supported through strengthened national and regional relationships and the
allocation of resources toward all-hazards planning, including updating and maintaining
current hazard mitigation plans.
An all-hazards approach to emergency response, including the development of a
comprehensive program of planning, training, and exercises, provides the foundation for
an effective and consistent response to any threatened or actual disaster or emergency,
regardless of the cause. As appropriated by the Consolidated Security, Disaster
Assistance, and Continuing Appropriations Act, 2009 (Public Law 110-329), the
FY 2009 Emergency Management Performance Grant (EMPG) Program provides
$306,022,500 to assist State and local governments to enhance and sustain all-hazards
emergency management capabilities.
States have the opportunity to use EMPG funds to further strengthen their ability to
support emergency management mission areas while simultaneously addressing issues
of national concern as identified in the National Priorities of the National Preparedness
Guidelines.
A comprehensive State emergency management system must be inclusive of local
programs and input. Local emergency management organizations should remain
informed and have the opportunity to provide input to State planning processes.
Although DHS expects States to include support for their local jurisdictions in the EMPG
programs, each Governor is responsible for determining the appropriate amount of
funding to be passed through to support the development or enhancement of local
emergency management capabilities and to support mitigation activities.
An essential component in meeting emergency management capabilities involves
establishing strong working relationships with neighboring jurisdictions. These
relationships are essential for developing emergency management capabilities that
leverage joint operations, effective mutual aid and support local, regional, tribal, Stateto-State, and nationwide priorities, particularly when responding to a catastrophic event.
States have the flexibility to leverage FY 2009 EMPG funds to develop intra-state and
inter-state emergency management systems that encourage building partnerships

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across all levels of government and with non-governmental1 organizations, including
continued coordination through the Senior Advisory Committee2.
Supporting National Priorities
The National Preparedness Guidelines, issued in September 2007, provide an allhazards preparedness goal as directed by Homeland Security Presidential Directive
(HSPD)-8. The National Preparedness Guidelines reinforce the fact that preparedness
is a shared responsibility and seek to organize and synchronize national (including
Federal, State, local, tribal, and territorial) efforts to strengthen national preparedness.
The National Preparedness Guidelines outline eight national priorities to guide
preparedness efforts and that meet the Nation’s most urgent needs. EMPG directly
supports several of these national priorities, including strengthening planning,
expanding regional collaboration, and implementing the National Incident Management
System (NIMS) and National Response Framework (NRF).
Strengthen Planning. The 2006 Nationwide Plan Review highlighted the critical
importance of effective catastrophic all-hazards planning, which includes pre-disaster
hazard mitigation planning, as well as planning for post-disaster recovery and
reconstruction. State and local jurisdictions must engage in comprehensive national
and regional planning processes that seek to enhance emergency management and
emergency response capabilities. The planning processes can be supported through
strengthened national and regional relationships and the allocation of resources toward
all-hazards planning.
In spring 2007, FEMA initiated the Gap Analysis Program as a pilot with 20 States and
territories in the hurricane-prone regions with a focus on the following critical response
areas: debris removal, interim housing, sheltering, evacuation, commodity distribution,
medical needs, fuel, and communications. The purpose of the FEMA Gap Analysis
Program is to engage State, Federal, and other partners in a process that identifies and
addresses shortfalls in meeting disaster resource and planning requirements. Gaps are
identified by comparing current capabilities to disaster response requirements. These
shortfalls are addressed through collaborative planning by State, Federal, and other
partners. The program has since been expanded to support all-hazards planning within
all States and territories and supports the following objectives through collaborative
planning by State, Federal, and other partners:

1

Nongovernmental entities include private sector, faith-based, community, nonprofit, and volunteer organizations.

2

The membership of the Senior Advisory Committee must, at a minimum, include the following State officials directly responsible for
the administration of FEMA grants and Centers for Disease Control and Prevention (CDC) and Health Resources and Services
Administration (HRSA) cooperative agreements: the State Administrative Agency (SAA), HRSA Bioterrorism Hospital Preparedness
Program Coordinator, and CDC Public Health Emergency Preparedness Program Director. In addition, program representatives
from the following entities should be members of the committee: State Homeland Security Advisor (if this role is not also the SAA);
State Emergency Management Agency Director; State Public Health Officer; State Public Safety Officer (and SAA for Justice
Assistance Grants, if different); State Court Official; State EMS Director; State Trauma System Manager; State Communications
Officer (NECP, etc.); State Citizen Corps POC; Urban Area POC; United States Coast Guard Area Command or Captain of the Port;
Senior Members of the Regional Transit Security Working Group; Senior Security Officials from Major Transportation Systems; and
the Adjutant General.

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•
•
•
•

Engage local and State jurisdictions in a consistent, on-going process of selfassessment to determine requirements and capabilities and mechanisms to meet
those requirements in pre-defined critical areas
Identify State assessed shortfalls in meeting their requirements (“gaps”) and work
with State partners through FEMA Regions to develop solutions to fill gaps
Reduce State reliance on Federal support by working with State partners to
develop and implement strategies to strengthen State capabilities
Build and establish a strong partnership between the Federal government and
State and local disaster response communities by providing a consistent process
for evaluating critical resource needs

Additionally, on December 3, 2007, President Bush issued Annex I to HSPD-8.
This Annex describes the development of a national planning system in which all levels
of government work together in a collaborative fashion to create plans for various
planning scenarios. Comprehensive Preparedness Guide 101, Producing Emergency
Plans: A Guide for All-Hazard Operations Planning for State, Territorial, Local and Tribal
Governments (Interim) provides guidance for the implementation of this effort at the
State and local level. Recipients of EMPG funding are encouraged to apply their
funding toward the development of comprehensive plans that discuss the activities of
the jurisdiction to prevent, protect against, respond to and recover from the specific
threats and hazards faced by the jurisdiction. To assist in planning, a set of specific
priority scenarios of national concern may be found in the NRF or by contacting your
EMPG Program Manager.
State and local emergency management agencies should also continue to focus on
enhancing response planning. Some response planning activities include conducting a
thorough capability assessment of critical response areas, such as commodities
management, debris clearing, fuel and emergency power, shelter (including general
population, special needs, and pets), transportation and evacuation, communications,
and search and rescue. This planning effort should set the baseline of current
resources and identify resources available through various partnerships. After this initial
assessment, stakeholders will have the ability to define various disaster scenarios and
use modeling to project potential needs for any incident which would stretch stakeholder
resources. After determining the potential shortfalls by comparing capabilities and
needs, States and local jurisdictions should focus on actionable strategies to address
identified shortfalls. Examples of strategies supported by EMPG include the
development of new contracts with the private sector, new agreements with
nongovernmental organizations (NGOs), providing additional training, hosting
coordination workshops, or additional reliance on the Emergency Management
Assistance Compact (EMAC) and other interstate agreements.
At least 25 percent of FY 2009 EMPG funds must be allocated to the Strengthen
Planning priority through planning, training and exercise activities.

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Expand Regional Collaboration. Standardized structures and processes for regional
collaboration enable entities to collectively manage and coordinate activities for
operations and preparedness consistently and effectively. In FY 2009, FEMA regional
offices will be working closely with State and local jurisdictions to enhance planning
capabilities, to include assisting States in completing the FEMA Gap Analysis Program
and addressing various preparedness assessment findings, such as the FEMA Gap
Analysis Program and the Nationwide Plan Review. States must work closely with
FEMA regional offices in developing their EMPG Work Plans to address critical
assessment findings and ensure appropriate regional coordination and collaboration.
Implement NIMS and NRF. NIMS, released in March 2004, provides a consistent
framework for government entities at all levels to work together to manage domestic
incidents, regardless of cause, size, or complexity. NIMS includes a core set of
guidelines, standards, and protocols for incident command and management,
preparedness, resource management, communications and information management,
supporting technologies, and coordination and maintenance to promote interoperability
and compatibility among Federal, State, local, tribal, and territorial capabilities. Meeting
NIMS compliance requirements remains necessary for States to receive Federal
preparedness funding. The NRF, released in draft in September 2007 and approved in
its final version on January 22, 2008, establishes a comprehensive, national, all-hazards
approach to domestic incident response. Replacing the former National Response
Plan, the NRF presents an overview of key response principles, roles and structures
that guide the national response. Emergency managers at all levels of government
should strive to ensure that emergency management plans and operations are
conducted in alignment with the NIMS and NRF.

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PART II.

AWARD INFORMATION
This section summarizes the award period of performance and the total amount of
funding available under the FY 2009 EMPG, describes the basic distribution method
used to determine final grants awards, and identifies all eligible applicants for FY 2009
funding.
Award Period of Performance
The period of performance of this grant is 24 months, beginning October 1, 2008.
Extensions to the period of performance will be considered only through formal requests
to FEMA with specific and compelling justifications why an extension is required.
Available Funding
In FY 2009, the total amount of funds distributed under the FY 2009 EMPG will be
$306,022,500. FY 2009 EMPG allocations are determined as authorized by the
Implementing Recommendations of the 9/11 Commission Act of 2007 (Public Law 11053). All 50 States, the District of Columbia, and Puerto Rico will receive a base amount
of 0.75 percent of the total available grant funding. Four Territories (American Samoa,
Guam, Northern Mariana Islands, and the U.S. Virgin Islands) will receive a base
amount of 0.25 percent of the total available grant funding. The balance of EMPG funds
is distributed on a population-share basis. Pursuant to the Compact of Free
Association, funds are available for the Federated States of Micronesia and for the
Republic of the Marshall Islands. Table 1 provides a breakdown by State of FY 2009
EMPG funding allocations.

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Table 1. FY 2009 EMPG Funding Allocations
State/Territory
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana

Allocation
$5,070,565
$2,705,062
$6,096,622
$3,995,242
$24,216,716
$5,210,697
$4,395,560
$2,813,782
$2,647,977
$13,240,731
$8,019,308
$3,064,837
$3,194,384
$10,003,047
$6,100,540
$4,087,148
$3,959,979
$4,838,849
$4,869,872
$3,085,119
$5,664,580
$6,163,190
$8,335,401
$5,412,265
$4,045,611
$5,820,548
$2,869,601

Nebraska

$3,359,408

Nevada
Total

$3,833,670

State/Territory
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
Puerto Rico
U.S. Virgin Islands
American Samoa
Guam
Northern Mariana Islands
Republic of the Marshall
Islands
Federated States of
Micronesia

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Allocation
$3,084,292
$7,504,254
$3,476,558
$13,868,325
$7,729,215
$2,678,816
$9,172,062
$4,464,531
$4,542,578
$9,751,313
$2,929,568
$4,938,542
$2,772,671
$5,987,452
$16,631,007
$3,881,616
$2,667,745
$6,920,233
$6,174,386
$3,381,875
$5,654,562
$2,608,718
$4,659,474
$830,929
$803,934
$870,532
$817,001
$50,000
$50,000
$306,022,500

PART III.

ELIGIBILITY INFORMATION
A. Eligible Applicants
The Governor of each State and territory is required to designate a State Administrative
Agency (SAA) to apply for and administer the funds awarded under EMPG. The SAA
is the only entity eligible to apply to FEMA for EMPG funds on behalf of State and
local emergency management agencies.
To be eligible to receive FY 2009 EMPG funding, applicants must meet NIMS
compliance requirements. The NIMSCAST will be the required means to report FY
2008 NIMS compliance for FY 2009 preparedness award eligibility. All State and
territory grantees were required to submit their compliance assessment via the
NIMSCAST by September 30, 2008 in order to be eligible for FY 2009 preparedness
programs. The State or territory department/agency grantee reserves the right to
determine compliance reporting requirements of their sub-awardees (locals) in order to
disperse funds at the local level.
For FY 2009 there are no new NIMS compliance objectives. If FY 2008 NIMS
compliance was reported using NIMSCAST and the grantee has met all NIMS
compliance requirements, then NIMSCAST will only require an update in FY 2009.
Additional information on achieving compliance is available through the FEMA National
Integration Center (NIC) at http://www.fema.gov/emergency/nims/.
B. Cost Sharing
In FY 2009, EMPG has a 50 percent Federal and 50 percent State cost share, cash- or
in-kind, match requirement. Unless otherwise authorized by law, Federal funds cannot
be matched with other Federal funds. In accordance with 48 U.S.C. 1469a, match
requirements are waived for the U.S. Territories of American Samoa, Guam, the U.S.
Virgin Islands, and the Commonwealth of the Northern Mariana Islands. FEMA
administers cost sharing requirements in accordance with 44 CFR §13.24, which is
located at http://www.access.gpo.gov/nara/cfr/waisidx_07/44cfrv1_07.html.
C. Restrictions
Please see Part IV.E. for Management & Administration (M&A) limits and
allowable/unallowable costs guidance.

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PART IV.

APPLICATION AND SUBMISSION
INFORMATION
A. Address to Request Application Package
DHS participates in the Administration’s e-government initiative. As part of that
initiative, all applications must be filed using the Administration’s common electronic
“storefront” -- grants.gov. Eligible SAAs must apply for funding through this portal,
accessible on the Internet at http://www.grants.gov. To access application forms and
instructions, select “Apply for Grants,” and then select “Download Application Package.”
Enter the CFDA and/or the funding opportunity number located on the cover of this
announcement. Select “Download Application Package,” and then follow the prompts to
download the application package. To download the instructions, go to “Download
Application Package” and select “Instructions.” If you experience difficulties or have any
questions, please call the grants.gov customer support hotline at (800) 518-4726.
B. Content and Form of Application
1. On-line application. The on-line application must be completed and submitted
using grants.gov after Central Contractor Registry (CCR) registration is confirmed.
The on-line application includes required forms and submissions:
•
•
•
•
•
•
•

EMPG Work Plan
Standard Form 424, Application for Federal Assistance
Standard Form 424A, Budget Information
Standard Form 424B Assurances
Standard Form 424C, Budget Information – Construction Programs, if
applicable
Standard Form 424D, Assurances – Construction Programs, if applicable
Standard Form LLL, Disclosure of Lobbying Activities

The program title listed in the Catalog of Federal Domestic Assistance (CFDA) is
“Emergency Management Performance Grants.” The CFDA number is 97.042.
2. Application via grants.gov. FEMA participates in the Administration’s egovernment initiative. As part of that initiative, all applicants must file their
applications using the Administration’s common electronic “storefront” -- grants.gov.
Eligible SAAs must apply for funding through this portal, accessible on the Internet at
http://www.grants.gov.

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3. DUNS number. The applicant must provide a Dun and Bradstreet Data Universal
Numbering System (DUNS) number with their application. This number is a required
field within grants.gov and for CCR Registration. Organizations should verify that
they have a DUNS number, or take the steps necessary to obtain one, as soon as
possible. Applicants can receive a DUNS number at no cost by calling the dedicated
toll-free DUNS Number request line at (866) 705-5711.
4. Valid Central Contractor Registry (CCR) Registration. The application process
also involves an updated and current registration by the applicant. Eligible
applicants must confirm CCR registration at http://www.ccr.gov, as well as apply for
funding through grants.gov.
5. EMPG Work Plan (Program Narrative, Budget Narrative, and Project Outline).
All EMPG applicants must submit a Work Plan that outlines the State’s emergency
management sustainment and enhancement efforts, including projects, proposed for
the FY 2009 EMPG period of performance. In addition, the Work Plan must include
a detailed budget-build (within the Budget Narrative section) that enumerates all
expenses associated with project execution; including management and
administration costs. FEMA regional offices will work closely with States to assist,
as needed, and monitor Work Plans during the performance period to ensure
regional coordination and collaboration. In addition, FEMA regional offices must
concur on final Work Plans before States may draw down EMPG funds. Grant funds
will be released on a rolling basis upon approval of the State’s final Work Plan.
The EMPG Work Plan must be included as an attachment to the Standard Form 424
Mandatory Form to fulfill the “Consolidated Application/Plan/Funding Request
Explanation” response on page four of the form, which is found at
http://www.grants.gov/techlib/SF424_Mandatory.pdf.
In order to address national preparedness issues while also providing the flexibility
to manage State and local preparedness issues, States are strongly encouraged to
draw upon the following criteria as a basis for developing FY 2009 EMPG Work
Plans:
•
•
•
•
•

Emergency Management Standard by the Emergency Management
Accreditation Program (EMAP) (September 2007)
National Preparedness Guidelines, Target Capabilities List, and National
Planning Scenarios
FEMA Gap Analysis Program
Nationwide Plan Review
National Disaster Housing Strategy (new in FY 2009)

Specifically, States must focus FY 2009 EMPG program activities on addressing
shortfalls and sustaining capabilities in their emergency management program, as
identified through either the FEMA Gap Analysis Program, Nationwide Plan Review,
the EMAP process, or other emergency management assessment process, with a

10

specific focus on planning for catastrophic events and to reduce loss of life and
property through mitigation activities. States can use the Work Plan to demonstrate
how they have already addressed existing shortfalls and how they plan to further
enhance or sustain those capabilities. Results from other assessments can also
serve as a reference, and can include specific targeting of the EMPG funding to
those areas identified as needing improvement or sustainment.
Additionally, FY 2009 EMPG places a high priority in developing scenario-specific
plans that incorporate the findings of the Gap Analysis Program and the Nationwide
Plan Review, consistent with Annex I to HSPD-8.
•

Emergency Management Standard. The Emergency Management
Standard by the Emergency Management Accreditation Program (EMAP)
(September 2007) is based on the National Fire Protection Association
(NFPA) 1600 Standard on Disaster/Emergency Preparedness and Business
Continuity Programs, 2004 edition, with language added to provide standards
for public sector emergency management accreditation purposes.
States are not required to pursue accreditation under EMAP, but as an
existing national standard, it is being considered for use with the National
Preparedness Guidelines and its supporting materials as the basis for future
national assessments.
Additional information on the EMAP Standard is available at
http://www.emaponline.org/index.cfm. Using the EMAP Standard, the
National Emergency Management Baseline – Capability Assessment
Program (NEMB-CAP) was an effort sponsored by FEMA that analyzed
existing State and territory emergency management programs. Concluding
on June 30, 2006 and encompassing 52 States and territories, findings from
the NEMB-CAP process revealed weaknesses in key operational areas and
catastrophic planning efforts that reinforce and correspond with findings from
the Nationwide Plan Review. These findings include:
•
•
•

Incident management
Planning, including continuity of operations and recovery strategies
Hazard identification, risk assessment, and impact analysis
• Pre-disaster resource management, including identification of resource
objectives by hazard
•

FEMA Gap Analysis Program. State and local jurisdictions should leverage
EMPG funds to engage in a process that identifies and addresses shortfalls
utilizing a scenario that may stretch State capabilities. In FY 2009, FEMA
regional leadership will continue to work closely with State and local
jurisdictions to determine requirements and capabilities to meet those
requirements in pre-defined critical areas.

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•

Nationwide Plan Review. States should focus on developing scenariospecific plans that incorporate findings identified through the 2006 Nationwide
Plan Review. Of particular importance are the areas of evacuation and reentry planning, long-term housing, and continuity of operations. These focus
areas target large-scale or catastrophic incidents, however they involve
capabilities that will also support common scenarios described in local hazard
mitigation plans.
Evacuation Planning
Evacuation planning encompasses not only the movement of people, but also
alert/warnings and crisis communications, the ability to care for those people
and the ability to plan for re-entry. Given these needs, it is important that
overall planning for evacuation issues within a jurisdiction must consider the
safety of the proposed shelter, evacuation routes that are pre-identified prior
to a hurricane event, public information concerning safety and evacuation
routing, communications to the public, traffic management, special needs
populations, mass care and sheltering, alternative means of transportation,
and when necessary, isolation and quarantine. While levels of planning for
this focus area will vary greatly depending on the jurisdiction, it should be
noted that urban areas should have detailed plans to address issues
associated with this focus area and States should have plans in place that
identify how the State will support the local effort.
Continuity of Operations / Continuity of Government Planning
(COOP/COG)
COOP/COG planning is the fundamental responsibility of every government
agency that performs an essential function at the State and local level. In
order to conduct necessary emergency operations, recovery actions, and
other key essential functions during a large-scale or catastrophic event, the
agency must have effective COOP plans in place to support continued
operations. COOP efforts also provide the foundational basis for COG
programs, such as succession planning, which are designed to ensure the
survival of not only leadership at the State and local level, but also an
enduring constitutional government. State and local plans to address
COOP/COG issues should be consistent with HSPD-20, National Continuity
Policy, which provides guidance for State, local, territorial, and tribal
governments, and private sector organizations to ensure a comprehensive
and integrated national continuity program, and DHS COOP Planning
Guidance. Issues to address include, but are not limited to:
•
•

Delineate essential functions and activities, agency interdependencies,
and the resources needed to perform them
Establish orders of succession and delegations of authority to key
agency positions and establish and maintain current roster(s) of fully
equipped and trained COOP personnel with the authority to perform
essential functions

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•
•
•

Provide for the identification and preparation of alternate operating
facilities for relocated operations
Provide for the regular training, testing, and exercising of COOP
personnel, systems, and facilities
Provide for reconstitution of agency capabilities, and transition from
continuity operations to normal operations

EMPG Work Plan
The EMPG Work Plan must provide a detailed description of the State’s planned use
for FY 2009 EMPG funds, including sustaining or enhancing emergency
management capabilities through personnel and activities. The EMPG Work Plan
must include a Program and Budget Narrative. In addition, EMPG projects must be
outlined using the Project Outline template. FEMA regional offices will work closely
with States to assist in the development of EMPG Work Plans, as needed, to ensure
regional coordination and collaboration. In addition, FEMA regional offices must
concur on final Work Plans before States may draw down EMPG funds.
Program Narrative
Provide a brief description of the State emergency management priorities and
initiatives that will be addressed with FY 2009 EMPG funds. In addition, the
narrative must address, if applicable, the following:
•
•
•
•
•
•
•

•

•

Overview of the State’s risk profile (natural, technological, man-made)
Baseline inventory of where States are now relative to achieving target
capabilities
State emergency management priorities and planning focus for FY 2009
Relationship of those priorities to the State’s Homeland Security Strategy
Relationship of those priorities to the four Homeland Security mission areas:
Prevent, Protect, Respond, and Recover
Relationship of those priorities to targeted capabilities found within the target
capabilities list (TCL)
Relationship with the objectives of the FEMA Gap Analysis Program to
support a consistent, ongoing process of self-assessment to determine
requirements and capabilities to meet those requirements in pre-defined
critical areas and develop solutions to fill gaps
Areas of need identified through Nationwide Plan Review, EMAP process,
Statewide Communications Interoperability Plan, Tactical Interoperable
Communications Plan3, or other emergency management assessment
process
Number of State and/or local emergency management personnel in total and
the number of State and/or local emergency management personnel either
fully or partially supported by EMPG funds

3

All EMPG projects associated with interoperable communications capabilities must be referenced in
existing Tactical Interoperable Communications Plans or emerging Statewide Interoperable
Communications Plans.

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•
•
•

State and/or local equipment acquisition
Type and number of State and/or local training sessions to be conducted or
developed, including the estimated number of emergency responders to be
trained in each training
Type and number of State and/or local exercises, including the number of
emergency responders to participate in each exercise

Consistent with the emergency management function chosen, the State may propose
activities at a local level, as well as activities that have statewide application. For
example, a State’s program objective for exercises may include those conducted by
counties or municipalities, as well as those conducted by the State.
Budget Narrative
Provide a budget detail worksheet outlining allowable cost categories and description
breakdowns of projected expenditures within each category for all FY 2009 funds;
including management and administration costs. In addition, the State must outline how
it intends to meet the cash or in-kind match requirement. Funds will not be available until
a budget is approved by the Grants Management Division.

14

Sample Budget Detail Worksheet
Budget Detail Worksheet Purpose
The Budget Detail Worksheet may be used as a guide to assist applicants in the
preparation of the budget and budget narrative. You may submit the budget and budget
narrative using this form or in the format of your choice (plain sheets, your own form, or
a variation of this form). However, all required information (including the budget
narrative) must be provided. Any category of expense not applicable to your budget
may be deleted.
A. Personnel. List each position by title and name of employee, if available. Show the annual
salary rate and the percentage of time to be devoted to the project. Compensation paid for
employees engaged in grant activities must be consistent with that paid for similar work within
the applicant organization.
Name/Position

Computation

Cost

Note: Personnel costs are only allowable for direct management and administration of the
grant award, i.e., preparation of mandatory post-award reports.
TOTAL _________

B. Fringe Benefits. Fringe benefits should be based on actual known costs or an established
formula. Fringe benefits are for the personnel listed in budget category (A) and only for the
percentage of time devoted to the project. Fringe benefits on overtime hours are limited to
FICA, Workman’s Compensation and Unemployment Compensation.
Name/Position

Computation

TOTAL

_________

Total Personnel & Fringe Benefits

_________

Cost

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

Location

Item

Computation Cost

TOTAL _________
D. Equipment. List non-expendable items that are to be purchased. Non-expendable
equipment is tangible property having a useful life of more than two years. (Note:
Organization’s own capitalization policy and threshold amount for classification of equipment

15

may be used). Expendable items should be included either in the “Supplies” category or in the
“Other” category. Applicants should analyze the cost benefits of purchasing versus leasing
equipment, especially high cost items and those subject to rapid technical advances. Rented or
leased equipment costs should be listed in the “Contractual” category. Explain how the
equipment is necessary for the success of the project. Attach a narrative describing the
procurement method to be used.
Item

Computation

Cost

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

E. Supplies. List items by type (office supplies, postage, training materials, copying paper, and
other expendable items such as books, hand held tape recorders) and show the basis for
computation. (Note: Organization’s own capitalization policy and threshold amount for
classification of supplies may be used). Generally, supplies include any materials that are
expendable or consumed during the course of the project. These costs will contribute to the 3
percent M&A cap.
Supply Items

Computation

Cost

TOTAL _________

F. Consultants/Contracts. Indicate whether applicant’s formal, written Procurement Policy or
the Federal Acquisition Regulations are followed.
Consultant Fees: For each consultant enter the name, if known, service to be provided, hourly
or daily fee (8-hour day), and estimated time on the project.
Name of Consultant

Service Provided

Computation

Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal ___________
Consultant Expenses: List all expenses to be paid from the grant to the individual consultant in
addition to their fees (i.e., travel, meals, lodging, etc.)
Item

Location

Computation

Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal __________
Contracts: Provide a description of the product or services to be procured by contract and an
estimate of the cost. Applicants are encouraged to promote free and open competition in

16

awarding contracts. A separate justification must be provided for sole source contracts in
excess of $100,000.
Item

Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Subtotal ________
TOTAL __________

G. Other Costs. List items (e.g., rent, reproduction, telephone, security services, and
investigative or confidential funds) by major type and the basis of the computation. For
example, provide the square footage and the cost per square foot for rent, and provide a
monthly rental cost and how many months to rent.
Description

Computation

Cost

Budget Narrative: Provide a narrative budget justification for each of the budget items
identified.
Important Note: If applicable to the project, construction costs should be included in this
section of the Budget Detail Worksheet.
TOTAL _________

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

Computation

TOTAL _________

17

Cost

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

Federal Amount

Non-Federal Amount

A. Personnel

__________

__________

B. Fringe Benefits

__________

__________

C. Travel

__________

__________

D. Equipment

__________

__________

E. Supplies

__________

__________

F. Consultants/Contracts

__________

__________

G. Other

__________

__________

__________

__________

__________

__________

__________

__________

Total Direct Costs
H. Indirect Costs
* TOTAL PROJECT COSTS
Federal Request

__________

Non-Federal Amount

__________

18

EMPG Project Outline
To facilitate performance measures and focus on outcomes, a Project Outline must be
completed for each project supported, including construction and renovation projects,
with FY 2009 EMPG funds. “Project” is defined here, for example, as developing or
updating a plan, implementing an interoperable communications network, launching a
training initiative. Although a Project Outline can be completed for describing staffing for
day-to-day operations, it is not necessary.
For each project, complete a template as shown on the next page and address the
following areas:
•

EMF: Identify how the project relates to the Emergency Management Functions
identified through the EMAP Standard (e.g., Resource Management,
Communications and Warning, etc.).

•

EMPG Objective: Briefly explain the major objective of the project.

•

Preparedness Strategy Objective: Please identify the objective in the State
Homeland Security Strategy and/or the State’s all-hazard strategic plan that this
project will support.

•

National Priority/Target Capability: Identify the National Priority this project
supports and the target capability this project supports, if applicable.

•

Area of Need Addressed: Identify the emergency management shortfall that
this project will address and whether this shortfall was identified through the
FEMA Gap Analysis Program, Nationwide Plan Review, EMAP process, or other
relevant emergency management assessment; or, whether this project
addresses the NRF or NIMS implementation.

•

Performance Measure and Basis of Evaluation: Indicate the performance
measure(s) that will be used to evaluate this project and the basis for developing
the measure(s), including linkage to National Priority and target capability.

•

Challenges/Risks: Identify any challenges to implementing this project.

•

Budget: This section must: (1) explain how the costs were estimated; (2) justify
the need for all costs; and, (3) outline how the cash or in-kind match requirement
of the grant program will be met. For clarification purposes, this information may
be cross-referenced with the Budget Detail Worksheet.

•

Quarterly Activity: For each quarter, briefly identify the expected outcome. This
information will provide the foundation for the Quarterly Progress Report.

19

FY 2009 EMPG, Sample Project Outline Template
EMF #:
EMPG Objective:
Preparedness Strategy Objective:
National Priority/Target Capability:
Area of Need Addressed:

Performance Measure(s) and Basis of Evaluation:

Challenges/risks:

Budget

Expected Outcome:
1st Quarter
Activity
Expected Outcome:
2nd Quarter
Activity
Expected Outcome:
3rd Quarter
Activity
Expected Outcome:
4th Quarter
Activity

20

C. Submission Dates and Times
Completed applications must be submitted electronically through www.grants.gov no
later than 11:59 PM EST, December 19, 2008. Late applications will neither be
considered nor reviewed. Upon successful submission, a confirmation e-mail message
will be sent with a grants.gov tracking number, which is needed to track the status of the
application.
D. Intergovernmental Review
Executive Order 12372 requires applicants from State and local units of government or
other organizations providing services within a State to submit a copy of the application
to the State Single Point of Contact (SPOC), if one exists, and if this program has been
selected for review by the State. Applicants must contact their State SPOC to
determine if the program has been selected for State review. Executive Order 12372
can be referenced at http://www.archives.gov/federal-register/codification/executiveorder/12372.html. The names and addresses of the SPOCs are listed on OMB’s home
page available at: http://www.whitehouse.gov/omb/grants/spoc.html.
E. Funding Restrictions
The following pages outline general allowable and unallowable EMPG costs guidance.
1. Management and Administrative (M&A) Costs Guidance
M&A activities are those defined as directly relating to the management and
administration of EMPG 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.
M&A costs are allowable for both State and local-level EMAs. The State EMA may
use up to three percent (3%) of the total amount for M&A purposes. If the SAA is
not the EMA, the SAA is not eligible to retain funds for M&A. In addition, local EMAs
may retain and use up to 3% of their subaward from the State for local M&A
purposes.
M&A costs include the following categories of activities:
•

•

Hiring of full-time or part-time staff or contractors/consultants:
o To assist with the management of FY 2009 EMPG funds
o To assist with design, requirements, and implementation of the FY
2009 EMPG Program
Hiring of full-time or part-time staff or contractors/consultants and expenses
related to:
o FY 2009 EMPG pre-application submission management activities and
application requirements

21

•
•
•
•

•

o Meeting compliance with reporting/data collection requirements,
including data calls
Development of operating plans for information collection and processing
necessary to respond to FEMA data calls
Travel expenses directly related to management and administration of EMPG
grant funds
Meeting-related expenses directly related to management and administration
of EMPG grant funds
Acquisition of authorized office equipment, including personal computers,
laptop computers, printers, LCD projectors, and other equipment or software
which are used primarily in support the implementation of EMPG-related
activities
The following are allowable only within the period of performance of the grant
program:
o Recurring fees/charges associated with certain equipment, such as cell
phones, faxes, etc. which are directly related to management and
administration of FY 2009 EMPG grant funds
o Leasing and/or renting of space for newly hired personnel to administer
FY 2009 EMPG grant funds

2. Allowable Costs
Planning
FY 2009 EMPG funds may be used for a range of emergency management planning
activities, including activities and costs related to the FEMA Gap Analysis Program
and EMAP accreditation process (State and/or local). As indicated, grant recipients
should place a high priority on developing/enhancing scenario specific plans that
incorporate activities across the pillars of prevention, protection, and response and
recovery. These plans may include aspects of the following, but are not limited to:
•
•
•
•
•
•
•
•
•
•
•

Disaster housing planning
Planning for NIMS implementation
Modifying existing incident management and emergency operations plans to
ensure proper alignment with the NIMS and NRF coordinating structures,
processes, and protocols
Developing/enhancing comprehensive emergency management plans
Conducting a hazard analysis and risk assessment prior to mitigation plan
development
Developing/enhancing all-hazards mitigation plans
Developing/enhancing catastrophic incident plans
Developing/enhancing COOP/COG plans
Developing/enhancing logistics and resource management plans
Developing/enhancing evacuation plans, including alerts/warning, crisis
communications, sheltering, and re-entry
Developing/enhancing mass casualty and mass fatality plans

22

•
•
•
•
•

Developing/enhancing financial and administrative procedures for use before,
during, and after disaster events in support of a comprehensive emergency
management program
Public education and awareness
Updating the State and/or Urban Area Homeland Security Strategy to address
all hazards
Developing/enhancing other response and recovery plans
Developing/enhancing emergency management and operations plans to
integrate citizen/volunteer and other non-governmental organization
resources and participation

In support of efforts by State and local governments to improve their preparedness
programs, program evaluations are now allowable planning costs. Program
evaluations provide valuable information regarding a program’s outcomes,
efficiency, and effectiveness. Beyond financial audits and program monitoring,
evaluations can help managers track progress and demonstrate performance by
quantitatively measuring the results of programs.
Organization
Per the Robert T. Stafford Disaster Relief and Emergency Assistance Act,
(Public Law 93-288), as amended, 42 U.S.C. 5121-5207, EMPG 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. Proposed staffing activities
should be linked to achieving goals outlined in the EMPG Work Plan.
Personnel costs, including salary, overtime, compensatory time off, and associated
fringe benefits, are allowable costs with FY 2009 EMPG funds. These costs must
comply with 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal
Governments (OMB Circular A-87). Proposed personnel costs should be linked to
achieving objectives outlined in the EMPG Work Plan.
Equipment
Allowable equipment categories for FY 2009 EMPG are listed on the web-based
version of the Authorized Equipment List (AEL) on the Responder Knowledge Base
(RKB), which is sponsored by FEMA at http://www.rkb.us.
The Standardized Equipment List (SEL) is located at this site as well. In some
cases, items on the SEL are not allowable under EMPG or will not be eligible for
purchase unless specific conditions are met. 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.

23

The select 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)
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)

If State agencies and/or local governments have questions concerning the eligibility
of equipment not specifically addressed in the AEL, they should contact their EMPG
Program Manager for clarification.
States that are using EMPG funds to purchase Interoperable Communications
Equipment (Category 6) must consult SAFECOM’s coordinated grant guidance
which outlines standards and equipment information to enhance interoperable
communications. This guidance can be found at http://www.safecomprogram.gov.
Additionally, grantees are encouraged to coordinate with other State and local
partners in integrating their interoperable communications plans and projects as
outlined in each State’s State Communication Interoperability Plan (SCIP), which
were submitted to DHS in December 2007 as part of the DHS/Department of
Commerce’s Public Safety Interoperable Communications (PSIC) Grant Program.
Training
EMPG 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.
Types of training include, but are not limited to, the following:
•
•
•
•

Developing/enhancing systems to monitor training programs
Conducting all hazards emergency management training, including NIMS
training requirements
Attending Emergency Management Institute (EMI) training or delivering EMI
train-the-trainer courses, not limited to terrorism-related courses
Attending other FEMA-approved emergency management training

Allowable training-related costs include the following:
•

Funds used to develop, deliver, and evaluate training – Includes costs
related to administering the training: planning, scheduling, facilities, materials
and supplies, reproduction of materials, and equipment.
24

•

•
•

•

Overtime and Backfill – Overtime costs which are the direct result of
attendance at FEMA and/or approved training courses and programs are
allowable. Overtime payments related to backfilling personnel who have
been sent to training are also allowable, but only for the marginal added cost
to the grantee of having to pay overtime instead of regular time. The grantee
must maintain financial responsibility for the regular time portion of backfill
costs. These costs are allowed only to the extent the payment for such
services is in accordance with the policies of the State or unit(s) of local
government and has the approval of the State or the awarding agency,
whichever is applicable. In no case is dual compensation allowable. That is,
an employee of a unit of government may not receive compensation from
their unit or agency of government AND from an award for a single period of
time (e.g., 1:00 pm to 5:00 pm), even though such work may benefit both
activities.
Travel – Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as
expenses by employees who are on travel status for official business related
to approved training.
Hiring of Full or Part-Time Staff or Contractors/Consultants – Full- or
part-time staff may be hired to support direct training-related activities.
Payment of salaries and fringe benefits must be in accordance with the
policies of the State or unit(s) of local government and have the approval of
the State or awarding agency, whichever is applicable.
Certification/Recertification of Instructors – Costs associated with the
certification and re-certification of instructors are allowed. States are
encouraged to follow the FEMA Instructor Quality Assurance Program to
ensure a minimum level of competency and corresponding levels of
evaluation of student learning. This is particularly important for those courses
which involve training of trainers.

Exercises
EMPG funds may be used to design, develop, conduct, and evaluate emergency
management related exercises. Exercises must be consistent with the principles
outlined in the Homeland Security Exercise and Evaluation Program (HSEEP), as
well as applicable existing emergency management standards. HSEEP Volumes IIII contains guidance and recommendations for designing, developing, conducting,
and evaluating exercises. HSEEP Volume IV provides sample exercise materials.
All four volumes can be found at the HSEEP website (http://hseep.dhs.gov).
Exercises conducted using EMPG funding must be NIMS compliant.
Types of exercises include, but are not limited to, the following:
•
•
•

Developing/enhancing systems to monitor exercise programs
Conducting all-hazards exercises, based on the likely hazards/scenarios a
jurisdiction may encounter
Conducting emergency management exercises, while incorporating NIMS
exercise requirements

25

Allowable exercise-related costs include:
•
•

•

•
•
•
•

Funds Used to Design, Develop, Conduct and Evaluate an Exercise –
Includes costs related to planning, meeting space and other meeting costs,
facilitation costs, materials and supplies, travel, and documentation.
Hiring of Full or Part-Time Staff or Contractors/Consultants – Full- or
part-time staff may be hired to support direct exercise activities. Payment of
salaries and fringe benefits must be in accordance with the policies of the
State or unit(s) of local government and have the approval of the State or the
awarding agency, whichever is applicable. The services of
contractors/consultants may also be procured to support the design,
development, conduct and evaluation of exercises. The applicant's formal
written procurement policy or the Federal Acquisition Regulations (FAR) must
be followed.
Overtime and Backfill – Overtime costs which are the direct result of time
spent on the design, development and conduct of exercises are allowable
expenses. Overtime payments related to backfilling personnel who have
been sent to exercises are also allowable but only for the marginal added cost
to the grantee of having to pay overtime instead of regular time. The grantee
must maintain financial responsibility for the regular time portion of backfill
costs. These costs are allowed only to the extent the payment for such
services is in accordance with the policies of the State or unit(s) of local
government and has the approval of the State or the awarding agency,
whichever is applicable. In no case is dual compensation allowable. That is,
an employee of a unit of government may not receive compensation from
their unit or agency of government AND from an award for a single period of
time (e.g., 1:00 pm to 5:00 pm), 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 project(s).
Supplies – Supplies are items that are expended or consumed during the
course of the planning and conduct of the exercise project(s) (e.g., copying
paper, gloves, tape, non-sterile masks, and disposable protective equipment).
Implementation of HSEEP – This refers to costs related to developing and
maintaining a self-sustaining State Homeland Security Exercise and
Evaluation Program which is modeled after the national HSEEP.
Other Items – These costs are limited to items consumed in direct support of
exercise activities such as the rental of space/locations for planning and
conducting an exercise, rental of equipment (e.g., portable toilets, tents), and
the procurement of gasoline, exercise signs, badges, and other essential
nondurable goods.

26

Unauthorized exercise-related costs include:
•

•
•

Reimbursement for the maintenance and/or wear and tear costs of general
use vehicles (e.g., construction vehicles) and emergency response apparatus
(e.g., fire trucks, ambulances). The only vehicle costs that are reimbursable
are fuel/gasoline or mileage.
Equipment that is purchased for permanent installation and/or use, beyond
the scope of exercise conduct (e.g., electronic messaging signs).
Durable and non-durable goods purchased for installation and/or use beyond
the scope of exercise conduct.

Construction and Renovation
FEMA recognizes that an updated, functioning emergency operations center (EOC),
accessible to and usable by individuals with disabilities, is a core component of an
effective emergency management system. Therefore, construction and renovation
activities for a State, local, or tribal government’s principal EOC are allowable under
EMPG. Allowable costs for EOC construction and renovation are consistent with the
FY 2008 EOC Grant Program. In addition, EOCs may use up to $1,000,000 for
construction projects or up to $250,000 for renovation projects. However, the match
requirement for EOC construction and renovation with EMPG funding is 50 percent
federal and 50 percent grantee.
FY 2009 EMGP grantees using funds for construction projects must comply with the
Davis-Bacon Act. Grant recipients must ensure that their contractors or
subcontractors for construction projects pay workers employed directly at the worksite no less than the prevailing wages and fringe benefits paid on projects of a
similar character. Additional information, including Department of Labor wage
determinations, is available from the following website:
http://www.dol.gov/esa/programs/dbra/.
ROGRAM GUIDANCE
In order for grantees to drawdown funds for limited EOC construction and renovation
projects under EMPG:
•

Grantee must provide to FEMA:
o Description of the EOC facility, location, and the scope of the
construction or renovation project
o Certification that an assessment has been conducted to identify EOC
needs regarding such issues as the facility, communications capability,
computer systems and network capabilities, survivability, and
sustainability
o How the construction or renovation project will address the needs
identified from the assessment
o Consequences of not implementing the construction or renovation
project
o NEPA Compliance Checklist

27

•

Written approval must be provided by FEMA prior to the use of any EMPG
funds for construction or renovation

All proposed construction and renovation activities must undergo an Environmental
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 under the FY 2009 EMGP should pay special
attention to the EHP requirements contained in Part VI (B, 4.7) of the Guidance.
Failure of a grant recipient to meet these requirements may jeopardize Federal
funding.
3. Unallowable Costs
• Expenditures for items such as general-use software (word processing,
spreadsheet, graphics, etc), general-use computers and related equipment
(other than for allowable M&A activities, or otherwise associated
preparedness or response functions), general-use vehicles, licensing fees,
weapons systems and ammunition.
• Personnel costs (except for costs as detailed above). 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 unrelated to the completion and implementation of the EMPG.
• Other items not in accordance with the portions of the AEL and allowable
costs listed in Part IV.E.

28

PART V.

APPLICATION REVIEW INFORMATION
A. Review Criteria
Immediately following the submission and receipt of State and territory FY 2009 EMPG
grant applications, FEMA headquarters components and regional offices will begin a
thorough review of the grant application components. This includes review of the
EMPG Work Plan, Project Narrative, corresponding budget, and all other applicable
documents for completeness and adherence to program requirements.
B. Review and Selection Process
All Work Plans will require final approval by the corresponding FEMA Regional
Administrator or their designee for each State and territory. Grantees will be notified by
their FEMA regional office should any component of the EMPG application require
corrective action. FEMA regional offices must concur on final Work Plans before States
may draw down the full amount of their FY 2009 EMPG award. The full award will be
released upon the regional office’s approval of the State’s final Work Plan.
C. Anticipated Announcement and Award Dates
FEMA will evaluate and act on applications within 30 days following close of the
application period, consistent with the Consolidated Security, Disaster Assistance, and
Continuing Appropriations Act, 2009 (Public Law 110-329). Awards will be made on or
before September 30, 2009.

29

PART VI.

AWARD ADMINISTRATION INFORMATION
A. Notice of Award
Upon approval of an application, the grant will be awarded to the grant recipient. The
date that this is done is the “award date.” Notification of award approval is made
through the Grants Management System (GMS). Once an award has been approved, a
notice is sent to the authorized grantee official. Follow the directions in the notification
and log into GMS to access the award documents. The authorized grantee official
should carefully read the award and special condition documents. If you do not receive
a notification, please contact your Program Analyst for your award number. Once you
have the award number, contact the GMS Help Desk at (888) 549-9901, option 3, to
obtain the username and password associated with the new award.
Each State shall obligate 100% of its total EMPG allocation amount to the designated
State-level EMA. If the SAA is also the EMA, this requirement is automatically met. If
the SAA is separate, or has separate budget processes, then these funds must be
obligated to the EMA within 15 days of the grant award date. State EMAs are
encouraged to pass EMPG funds through to local EMAs, as determined by the
Governor.
Due to the unique nature of the territorial governments in Guam, American Samoa, the
U.S. Virgin Islands, and the Commonwealth of the Northern Mariana Islands, no passthrough requirements will be applied to these territories. However, these territories are
expected to take into account the needs of local communities.
The State’s obligation period must be met within 15 days of the award date. An
obligation is defined as a definite commitment which creates a legal liability for the
payment of funds for goods and services ordered or received. Four requirements must
be met to obligate grant funds:
•
•
•
•

There must be some action to establish a firm commitment on the part of the
awarding entity.
The condition must be unconditional on the part of the awarding entity.
There must be documentary evidence of the commitment.
The award terms must be communicated to the official grantee.

Within 15 days of the grant award, the SAA will submit a certification to FEMA that
funds have been passed through to the designated State-level EMA.

30

The period of performance is 24 months. Any unobligated funds will be deobligated at
the end of the 90 day close-out period. Extensions to the period of performance will be
considered only through formal requests to FEMA with specific and compelling
justifications why an extension is required.
B. Administrative and National Policy Requirements
1. State Preparedness Report. The Post-Katrina Emergency Management Reform
Act of 2006 (Public Law 109-295) requires any State that receives Federal
preparedness assistance to submit a State Preparedness Report to DHS. FEMA will
provide additional guidance on the requirements for updating State Preparedness
Reports. Receipt of this report is a prerequisite for applicants to receive any
FY 2009 DHS preparedness grant funding.
2. Standard Financial Requirements. The grantee and any subgrantee shall comply
with all applicable laws and regulations. A non-exclusive list of regulations
commonly applicable to DHS grants are listed below:
2.1 -- Administrative Requirements.
• 44 CFR Part 13, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments
• 2 CFR Part 215, Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other
Non-Profit Organizations (OMB Circular A-110)
2.2 -- Cost Principles.
• 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal
Governments (OMB Circular A-87)
• 2 CFR Part 220, Cost Principles for Educational Institutions (OMB Circular
A-21)
• 2 CFR Part 230, Cost Principles for Non-Profit Organizations (OMB
Circular A-122)
• Federal Acquisition Regulations (FAR), Part 31.2 Contract Cost Principles
and Procedures, Contracts with Commercial Organizations
2.3 -- Audit Requirements.
• OMB Circular A-133, Audits of States, Local Governments, and Non-Profit
Organizations
2.4 -- Duplication of Benefits. There may not be a duplication of any federal
assistance, per A-87, Basic Guidelines Section C.3 (c), which states: Any cost
allocable to a particular Federal award or cost objective under the principles
provided for in this Circular may not be charged to other Federal awards to
overcome fund deficiencies, to avoid restrictions imposed by law or terms of the
Federal awards, or for other reasons. However, this prohibition would not

31

preclude governmental units from shifting costs that are allowable under two or
more awards in accordance with existing program agreements.
3. Non-supplanting Requirement. Grant funds will be used to supplement existing
funds, and will not replace (supplant) funds that have been appropriated for the
same purpose. Applicants or grantees may be required to supply documentation
certifying that a reduction in non-Federal resources occurred for reasons other than
the receipt or expected receipt of Federal funds.
4. Technology Requirements.
4.1 -- National Information Exchange Model (NIEM). FEMA requires all
grantees to use the latest NIEM specifications and guidelines regarding the use
of Extensible Markup Language (XML) for all grant awards. Further information
about the required use of NIEM specifications and guidelines is available at
http://www.niem.gov.
4.2 -- Geospatial Guidance. Geospatial technologies capture, store, analyze,
transmit, and/or display location-based information (i.e., information that can be
linked to a latitude and longitude). FEMA encourages grantees to align any
geospatial activities with the guidance available on the FEMA website at
http://www.fema.gov/grants.
4.3 -- 28 CFR Part 23 guidance. FEMA requires that any information
technology system funded or supported by these funds comply with 28 CFR Part
23, Criminal Intelligence Systems Operating Policies, if this regulation is
determined to be applicable.
5. Administrative Requirements.
5.1 -- Freedom of Information Act (FOIA). FEMA recognizes that much of the
information submitted in the course of applying for funding under this program or
provided in the course of its grant management activities may be considered law
enforcement sensitive or otherwise important to national security interests. While
this information under Federal control is subject to requests made pursuant to the
Freedom of Information Act (FOIA), 5 U.S.C. §552, all determinations concerning
the release of information of this nature are made on a case-by-case basis by the
FEMA FOIA Office, and may likely fall within one or more of the available
exemptions under the Act. The applicant is encouraged to consult its own State
and local laws and regulations regarding the release of information, which should
be considered when reporting sensitive matters in the grant application, needs
assessment and strategic planning process. The applicant may also consult
FEMA regarding concerns or questions about the release of information under
State and local laws. The grantee should be familiar with the regulations
governing Sensitive Security Information (49 CFR Part 1520), as it may provide
additional protection to certain classes of homeland security information.

32

5.2 -- Protected Critical Infrastructure Information (PCII). The PCII Program,
established pursuant to the Critical Infrastructure Information Act of 2002 (Public
Law 107-296) (CII Act), created a new framework, which enables State and local
jurisdictions and members of the private sector to voluntarily submit sensitive
information regarding critical infrastructure to DHS. The Act also provides
statutory protection for voluntarily shared CII from public disclosure and civil
litigation. If validated as PCII, these documents can only be shared with
authorized users who agree to safeguard the information.
PCII accreditation is a formal recognition that the covered government entity has
the capacity and capability to receive and store PCII. DHS encourages all SAAs
to pursue PCII accreditation to cover their State government and attending local
government agencies. Accreditation activities include signing a memorandum of
agreement (MOA) with DHS, appointing a PCII Officer, and implementing a selfinspection program. For additional information about PCII or the accreditation
process, please contact the DHS PCII Program Office at [email protected].
5.3 -- Compliance with Federal civil rights laws and regulations. The
grantee is required to comply with Federal civil rights laws and regulations.
Specifically, the grantee is required to provide assurances as a condition for
receipt of Federal funds that its programs and activities comply with the following:
•

Title VI of the Civil Rights Act of 1964, as amended, 42. U.S.C. 2000 et.
seq. – no person on the grounds of race, color, or national origin will be
excluded from participation in, be denied the benefits of, or be otherwise
subjected to discrimination in any program or activity receiving Federal
financial assistance.

•

Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794
– no qualified individual with a disability in the United States, shall, by
reason of his or her disability, be excluded from the participation in, be
denied the benefits of, or otherwise be subjected to discrimination in any
program or activity receiving Federal financial assistance.

•

Title IX of the Education Amendments of 1972, as amended, 20 U.S.C.
1681 et. seq. – discrimination on the basis of sex is eliminated in any
education program or activity receiving Federal financial assistance.

•

The Age Discrimination Act of 1975, as amended, 20 U.S.C. 6101 et. seq.
– no person in the United States shall be, on the basis of age, excluded
from participation in, denied the benefits of or subjected to discrimination
under any program or activity receiving Federal financial assistance.

Grantees must comply with all regulations, guidelines, and standards adopted
under the above statutes. The grantee is also required to submit information, as

33

required, to the DHS Office for Civil Rights and Civil Liberties concerning its
compliance with these laws and their implementing regulations.
5.4 -- Services to limited English proficient (LEP) persons. Recipients of
FEMA financial assistance are required to comply with several Federal civil rights
laws, including Title VI of the Civil Rights Act of 1964, as amended. These laws
prohibit discrimination on the basis of race, color, religion, natural origin, and sex
in the delivery of services. National origin discrimination includes discrimination
on the basis of limited English proficiency. To ensure compliance with Title VI,
recipients are required to take reasonable steps to ensure that LEP persons have
meaningful access to their programs. Meaningful access may entail providing
language assistance services, including oral and written translation, where
necessary. The grantee is encouraged to consider the need for language
services for LEP persons served or encountered both in developing their
proposals and budgets and in conducting their programs and activities.
Reasonable costs associated with providing meaningful access for LEP
individuals are considered allowable program costs. For additional information,
see http://www.lep.gov.
5.5 -- Integrating individuals with disabilities into emergency planning.
Section 504 of the Rehabilitation Act of 1973, as amended, prohibits
discrimination against people with disabilities in all aspects of emergency
mitigation, planning, response, and recovery by entities receiving financial from
FEMA. In addition, Executive Order 13347, Individuals with Disabilities in
Emergency Preparedness signed in July 2004, requires the Federal Government
to support safety and security for individuals with disabilities in situations
involving disasters, including earthquakes, tornadoes, fires, floods, hurricanes,
and acts of terrorism. Executive Order 13347 requires the Federal government
to encourage consideration of the needs of individuals with disabilities served by
State, local, and tribal governments in emergency preparedness planning.
FEMA has several resources available to assist emergency managers in
planning and response efforts related to people with disabilities and to ensure
compliance with Federal civil rights laws:
•

Comprehensive Preparedness Guide 301 (CPG-301): Interim
Emergency Management Planning Guide for Special Needs
Populations: CPG-301 is designed to aid tribal, State, territorial, and
local governments in planning for individuals with special needs. CPG301 outlines special needs considerations for: Developing Informed
Plans; Assessments and Registries; Emergency Public
Information/Communication; Sheltering and Mass Care; Evacuation;
Transportation; Human Services/Medical Management; Congregate
Settings; Recovery; and Training and Exercises. CPG-301 is available
at http://www.fema.gov/pdf/media/2008/301.pdf.

34

•

Guidelines for Accommodating Individuals with Disabilities in
Disaster: The Guidelines synthesize the array of existing accessibility
requirements into a user friendly tool for use by response and recovery
personnel in the field. The Guidelines are available at
http://www.fema.gov/oer/reference/.

•

Disability and Emergency Preparedness Resource Center: A webbased “Resource Center” that includes dozens of technical assistance
materials to assist emergency managers in planning and response efforts
related to people with disabilities. The “Resource Center” is available at
http://www.disabilitypreparedness.gov.

•

Lessons Learned Information Sharing (LLIS) resource page on
Emergency Planning for Persons with Disabilities and Special
Needs: A true one-stop resource shop for planners at all levels of
government, non-governmental organizations, and private sector entities,
the resource page provides more than 250 documents, including lessons
learned, plans, procedures, policies, and guidance, on how to include
citizens with disabilities and other special needs in all phases of the
emergency management cycle.
LLIS.gov is available to emergency response providers and homeland
security officials from the Federal, State, and local levels. To access
the resource page, log onto http://www.LLIS.gov and click on
Emergency Planning for Persons with Disabilities and Special Needs
under Featured Topics. If you meet the eligibility requirements for
accessing Lessons Learned Information Sharing, you can request
membership by registering online.

5.6 -- Compliance with the National Energy Conservation Policy and Energy
Policy Acts. In accordance with the Consolidated Security, Disaster Assistance,
and Continuing Appropriations Act, 2009 (Public Law 110-329), grant funds must
comply with the following two requirements:
•

None of the funds made available shall be used in contravention of the
Federal buildings performance and reporting requirements of
Executive Order 13123, part 3 of title V of the National Energy
Conservation Policy Act (42 USC 8251 et. Seq.), or subtitle A of title I
of the Energy Policy Act of 2005 (including the amendments made
thereby).

•

None of the funds made available shall be used in contravention of
section 303 of the Energy Policy Act of 1992 (42 USC13212).

5.7 -- Environmental and Historic Preservation Compliance. FEMA is
required to consider the potential impacts to the human and natural environment

35

of projects proposed for FEMA funding. FEMA, through its Environmental and
Historic Preservation (EHP) Program, engages in a review process to ensure that
FEMA-funded activities comply with various Federal laws including: National
Environmental Policy Act, National Historic Preservation Act, Endangered
Species Act, and Executive Orders on Floodplains (11988), Wetlands (11990)
and Environmental Justice (12898). The goal of these compliance requirements
is to protect our nation’s water, air, coastal, wildlife, agricultural, historical, and
cultural resources, as well as to minimize potential adverse effects to children
and low-income and minority populations.
The grantee shall provide any information requested by FEMA to ensure
compliance with applicable Federal EHP requirements. Any project with the
potential to impact EHP resources cannot be initiated until FEMA has completed
its review. Grantees may be required to provide detailed information about the
project, including the following: location (street address or map coordinates);
description of the project including any associated ground disturbance work,
extent of modification of existing structures, construction equipment to be used,
staging areas, access roads, etc.; year the existing facility was built; natural,
biological, and/or cultural resources present in the project vicinity; visual
documentation such as site and facility photographs, project plans, maps, etc;
and possible project alternatives.
For certain types of projects, FEMA must consult with other Federal and State
agencies such as the U.S. Fish and Wildlife Service, State Historic Preservation
Offices, and the U.S. Army Corps of Engineers, as well as other agencies and
organizations responsible for protecting natural and cultural resources. For
projects with the potential to have significant adverse effects on the environment
and/or historic properties, FEMA’s EHP review and consultation may result in a
substantive agreement between the involved parties outlining how the grantee
will avoid the effects, minimize the effects, or, if necessary, compensate for the
effects.
Because of the potential for significant adverse effects to EHP resources or
public controversy, some projects may require an additional assessment or
report, such as an Environmental Assessment, Biological Assessment,
archaeological survey, cultural resources report, wetlands delineation, or other
document, as well as a public comment period. Grantees are responsible for the
preparation of such documents, as well as for the implementation of any
treatment or mitigation measures identified during the EHP review that are
necessary to address potential adverse impacts. Grantees may use these funds
toward the costs of preparing such documents and/or implementing treatment or
mitigation measures. Failure of the grantee to meet Federal, State, and local
EHP requirements, obtain applicable permits, and comply with any conditions
that may be placed on the project as the result of FEMA’s EHP review may
jeopardize Federal funding.

36

Recipient shall not undertake any project having the potential to impact EHP
resources without the prior approval of FEMA, including but not limited to
communications towers, physical security enhancements, new construction, and
modifications to buildings, structures and objects that are 50 years old or
greater. Recipient must comply with all conditions placed on the project as the
result of the EHP review. Any change to the approved project scope of work will
require re-evaluation for compliance with these EHP requirements. If ground
disturbing activities occur during project implementation, the recipient must
ensure monitoring of ground disturbance, and if any potential archeological
resources are discovered, the recipient will immediately cease construction in
that area and notify FEMA and the appropriate State Historic Preservation Office.
Any construction activities that have been initiated without the necessary
EHP review and approval will result in a non-compliance finding and will
not eligible for FEMA funding.
For more information on FEMA’s EHP requirements, SAAs should refer to
FEMA’s Information Bulletin #271, Environmental Planning and Historic
Preservation Requirements for Grants, available at
http://ojp.usdoj.gov/odp/docs/info271.pdf. Additional information and resources
can also be found at http://www.fema.gov/plan/ehp/ehp-applicant-help.shtm.
5.8 -- Royalty-free License. Applicants are advised that FEMA reserves a
royalty-free, non-exclusive, and irrevocable license to reproduce, publish, or
otherwise use, and authorize others to use, for Federal government purposes: (a)
the copyright in any work developed under an award or sub-award; and (b) any
rights of copyright to which an award recipient or sub-recipient purchases
ownership with Federal support. Award recipients must agree to consult with
FEMA regarding the allocation of any patent rights that arise from, or are
purchased with, this funding.
5.9 -- FEMA GPD Publications Statement. Applicants are advised that all
publications created with funding under any grant award shall prominently
contain the following statement: "This document was prepared under a grant
from FEMA’s Grant Programs Directorate, U.S. Department of Homeland
Security. Points of view or opinions expressed in this document are those of the
authors and do not necessarily represent the official position or policies of
FEMA’s Grant Programs Directorate or the U.S. Department of Homeland
Security."
5.10 -- Equipment Marking. Applicants are advised that, when practicable, any
equipment purchased with grant funding shall be prominently marked as follows:
"Purchased with funds provided by the U.S. Department of Homeland Security."
5.11 -- Disadvantaged Business Requirement. Applicants are advised that, to
the extent that recipients of a grant use contractors or subcontractors, such
recipients shall use small, minority, women-owned or disadvantaged business
concerns and contractors or subcontractors to the extent practicable.
37

5.12 -- National Preparedness Reporting Compliance. The Government
Performance and Results Act (Public Law 103-62) (GPRA) requires that the
Department collect and report performance information on all programs. For
grant programs, the prioritized Investment Justifications and their associated
milestones provide an important tool for assessing grant performance and
complying with these national preparedness reporting requirements. FEMA will
work with grantees to develop tools and processes to support this requirement.
FEMA anticipates using this information to inform future-year grant program
funding decisions. Award recipients must agree to cooperate with any
assessments, national evaluation efforts, or information or data collection
requests, including, but not limited to, the provision of any information required
for the assessment or evaluation of any activities within their grant agreement.
This includes any assessments, audits, or investigations conducted by the
Department of Homeland Security, Office of the Inspector General, or the
Government Accountability Office.
C. Reporting Requirements
Reporting requirements must be met throughout the life of the grant (refer to the
program guidance and the special conditions found in the award package for a full
explanation of these requirements). Please note that FEMA Payment and Reporting
System (PARS) contains edits that will prevent access to funds if reporting requirements
are not met on a timely basis.
1. Financial Status (FSR) -- required quarterly. Obligations and expenditures must
be reported on a quarterly basis through the FSR, which is due within 30 days of the
end of each calendar quarter (e.g., for the quarter ending March 31, FSR is due no
later than April 30). A report must be submitted for every quarter of the period of
performance, including partial calendar quarters, as well as for periods where no
grant activity occurs. Future awards and fund draw downs may be withheld if these
reports are delinquent. The final FSR is due 90 days after the end date of the
performance period.
FSRs must be filed online through the PARS.
Reporting periods and due dates:
• October 1 – December 31; Due January 30
• January 1 – March 31; Due April 30
• April 1 – June 30; Due July 30
• July 1 – September 30; Due October 30
2. Categorical Assistance Progress Report (CAPR). Following an award, the
awardees will be responsible for providing updated obligation and expenditure
information on a semi-annual basis. The applicable SAAs are responsible for
completing and submitting the CAPR reports. Awardees should include a statement

38

in the narrative field of the CAPR that reads: See Biannual Strategy Implementation
Report (BSIR).
The CAPR is due within 30 days after the end of the reporting period (July 30 for the
reporting period of January 1 through June 30; and January 30 for the reporting
period of July 1 though December 31). Future awards and fund drawdowns may be
withheld if these reports are delinquent.
CAPRs must be filed online at https://grants.ojp.usdoj.gov. Guidance and
instructions can be found at https://grants.ojp.usdoj.gov/gmsHelp/index.html.
Required submission: CAPR (due semi-annually).
3. Quarterly Progress Reports. EMPG Quarterly Progress Reports must be
submitted to the EMPG Program Manager located at the FEMA regional office on a
quarterly basis. The Quarterly Progress Reports should be based on the objectives,
performance measures and evaluation, activities, and expected outcomes outlined
by the grantee in the EMPG Work Plan. The Quarterly Progress Report should be
completed using the SF-Performance Progress Report, available at
http://www.whitehouse.gov/omb/grants/grants_forms.html. Copies of the Quarterly
Progress Reports will be kept on file with the FEMA regional office EMPG Program
Manager, as well as at FEMA’s Grant Programs Directorate.
Required submission: Project Report (quarterly).
4. Biannual Strategy Implementation Reports (BSIR). Following an award, the
awardees will be responsible for providing updated obligation and expenditure
information on a semi-annual basis. The applicable SAAs are responsible for
completing and submitting the BSIR reports which is a component of the CAPR.
The BSIR submission will satisfy the narrative requirement of the CAPR. SAAs are
still required to submit the CAPR with a statement in the narrative field that reads:
See BSIR.
The BSIR is due within 30 days after the end of the reporting period (July 30 for the
reporting period of January 1 through June 30; and January 30 for the reporting
period of July 1 though December 31). Updated obligations and expenditure
information must be provided with the BSIR to show progress made toward meeting
strategic goals and objectives. Future awards and fund drawdowns may be withheld
if these reports are delinquent.
Required submission: BSIR (due semi-annually).
5. Exercise Evaluation and Improvement. Exercises, implemented with grant funds,
should be threat and performance-based and should evaluate performance of the
targeted capabilities required to respond to the exercise scenario. Guidance related
to the conduct exercise evaluations and the implementation of improvement is

39

defined in the Homeland Security Exercise and Evaluation Program (HSEEP)
Manual located at http://www.fema.gov/government/grant/administration.shtm.
Grant recipients must report on scheduled exercises and ensure that an After Action
Report (AAR) and Improvement Plan (IP) are prepared for each exercise conducted
with FEMA support (grant funds or direct support) and submitted to the FEMA
secure Portal (https://preparednessportal.dhs.gov/) within 60 days following
completion of the exercise.
The AAR documents the demonstrated performance of targeted capabilities and
identifies recommendations for improvements. The IP outlines an exercising
jurisdiction(s) plan to address the recommendations contained in the AAR. At a
minimum, the IP must identify initial action items and be included in the final AAR.
Guidance for the development of AARs and IPs is provided in the HSEEP manual.
Required submissions: AARs and IPs (as applicable).
6. Financial and Compliance Audit Report. Recipients that expend $500,000 or
more of Federal funds during their fiscal year are required to submit an organizationwide financial and compliance audit report. The audit must be performed in
accordance with the U.S. General Accountability Office, Government Auditing
Standards, located at http://www.gao.gov/govaud/ybk01.htm, and OMB Circular A133, Audits of States, Local Governments, and Non-Profit Organizations, located at
http://www.whitehouse.gov/omb/circulars/a133/a133.html. Audit reports are
currently due to the Federal Audit Clearinghouse no later than nine months after the
end of the recipient’s fiscal year. In addition, the Secretary of Homeland Security
and the Comptroller General of the United States shall have access to any books,
documents, and records of recipients of FY 2009 EMPG assistance for audit and
examination purposes, provided that, in the opinion of the Secretary or the
Comptroller, these documents are related to the receipt or use of such assistance.
The grantee will also give the sponsoring agency or the Comptroller, through any
authorized representative, access to, and the right to examine all records, books,
papers or documents related to the grant.
The State shall require that sub-grantees comply with the audit requirements set
forth in OMB Circular A-133. Recipients are responsible for ensuring that subrecipient audit reports are received and for resolving any audit findings.
Monitoring
Grant recipients will be monitored periodically by FEMA staff, both programmatically
and financially, to ensure that the project goals, objectives, performance requirements,
timelines, milestone completion, budgets, and other related program criteria are being
met. Programmatic monitoring may also include the Regional Federal Preparedness
Coordinators, when appropriate, to ensure consistency of project investments with
Regional and National goals and policies, as well as to help synchronize similar
investments ongoing at the Federal, State, and local levels.

40

Monitoring will be accomplished through a combination of office-based reviews and onsite monitoring visits. Monitoring will involve the review and analysis of the financial,
programmatic, performance and administrative issues relative to each program and will
identify areas where technical assistance and other support may be needed.
The recipient is responsible for monitoring award activities, to include sub-awards, to
provide reasonable assurance that the Federal award is administered in compliance
with requirements. Responsibilities include the accounting of receipts and
expenditures, cash management, maintaining of adequate financial records, and
refunding expenditures disallowed by audits.
Grant Close-Out Process
Within 90 days after the end of the period of performance, grantees must submit a final
FSR and final CAPR detailing all accomplishments throughout the project. After these
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 project as closed, list any
remaining funds that will be deobligated, and address the requirement of maintaining
the grant records for three years from the date of the final FSR. The grantee is
responsible for returning any funds that have been drawndown but remain as
unliquidated on grantee financial records.
Required submissions: (1) final SF-269a, due 90 days from end of grant period;
and (2) final CAPR, due 90 days from the end of the grant period.

41

PART VII.

FEMA CONTACTS
This section describes several resources that may help applicants in completing a
FEMA grant application and to help in submission of projects that will have the highest
impact on reducing risks.
1. Centralized Scheduling & Information Desk (CSID) Help Line. CSID is a nonemergency resource for use by emergency responders across the nation. CSID is a
comprehensive coordination, management, information, and scheduling tool
developed by DHS through FEMA for homeland security terrorism preparedness
activities. CSID provides general information on all FEMA grant programs and
information on the characteristics of CBRNE, agro-terrorism, defensive equipment,
mitigation techniques, and available Federal assets and resources.
CSID maintains a comprehensive database containing key personnel contact
information for homeland security terrorism preparedness programs and events.
These contacts include personnel at the Federal, State and local levels. CSID can
be contacted at (800) 368-6498 or [email protected]. CSID hours of operation are
from 8:00 am–6:00 pm (EST), Monday-Friday.
2. Grant Programs Directorate (GPD). FEMA GPD will provide fiscal support,
including pre- and post-award administration and technical assistance, to the grant
programs included in this solicitation. Additional guidance and information can be
obtained by contacting the FEMA Call Center at (866) 927-5646 or via e-mail to
[email protected].
3. GSA’s State and Local Purchasing Programs. The U.S. General Services
Administration (GSA) offers two efficient and effective procurement programs for
State and local governments to purchase products and services to fulfill homeland
security and other technology needs. The GSA Schedules (also referred to as the
Multiple Award Schedules and the Federal Supply Schedules) are long-term,
indefinite delivery, indefinite quantity, government-wide contracts with commercial
firms of all sizes.
•

Cooperative Purchasing Program
Cooperative Purchasing, authorized by statute, allows State and local
governments to purchase a variety of supplies (products) and services under
specific GSA Schedule contracts to save time, money, and meet their
everyday needs and missions.

42

The Cooperative Purchasing program allows State and local governments to
purchase alarm and signal systems, facility management systems, firefighting
and rescue equipment, law enforcement and security equipment, marine craft
and related equipment, special purpose clothing, and related services off of
Schedule 84 and Information Technology products and professional services
off of Schedule 70 and the Consolidated Schedule (containing IT Special Item
Numbers) only. Cooperative Purchasing for these categories is authorized
under Federal law by the Local Preparedness Acquisition Act (Public Law
110-248) and Section 211 of the E-Government Act of 2002 (Public Law 107347).
Under this program, State and local governments have access to GSA
Schedule contractors who have voluntarily modified their contracts to
participate in the Cooperative Purchasing program. The U.S. General
Services Administration provides a definition of State and local governments
as well as other vital information under the frequently asked questions section
on its website at http://www.gsa.gov/cooperativepurchasing.
•

Disaster Recovery Purchasing Program
GSA plays a critical role in providing disaster recovery products and services
to Federal agencies. Now State and Local Governments can also benefit
from the speed and savings of the GSA Federal Supply Schedules. Section
833 of the John Warner National Defense Authorization Act for Fiscal Year
2007 (Public Law 109-364) amends 40 U.S.C. §502 to authorize GSA to
provide State and Local governments the use of ALL GSA Federal Supply
Schedules for purchase of products and services to be used to facilitate
recovery from a major disaster declared by the President under the Robert T.
Stafford Disaster Relief and Emergency Assistance Act or to facilitate
recovery from terrorism or nuclear, biological, chemical, or radiological
attack.

GSA provides additional information on the Disaster Recovery Purchasing Program
website at http://www.gsa.gov/disasterrecovery.
State and local governments can find a list of contractors on GSA’s website,
http://www.gsaelibrary.gsa.gov, denoted with a
or
symbol.
Assistance is available from GSA on the Cooperative Purchasing and Disaster
Purchasing Program at the local and national levels. For assistance at the local
level, visit http://www.gsa.gov/csd to find a local customer service director in your
area. For assistance at the national level, contact Tricia Reed at
[email protected], (571) 259-9921. More information is available on all GSA
State and local programs at: www.gsa.gov/stateandlocal.
4. Exercise Direct Support. FEMA provides support to Regions, States, and local
jurisdictions in accordance with State Homeland Security Strategies and the
Homeland Security Exercise and Evaluation Program (HSEEP). Support is available
43

to conduct a Training and Exercise Plan (TEP) workshop, to develop a Multi-year
TEP, and to build or enhance the capacity of a jurisdiction to design, develop,
conduct, and evaluate effective exercises.
In FY 2009, support for planning and conduct of exercises has shifted in strategy
from a State-focused approach, organized by National Preparedness Directorate
Headquarters, to a regional (multi-State) approach, organized by the FEMA
Regions, to more effectively integrate national, regional, territorial, tribal, State, and
local preparedness exercises. At this time, the Regional Exercise Support Program
will support discussion-based exercises (i.e., seminar, workshop or tabletop),
operations-based exercises (i.e. drills, functional exercises, full scale exercises), and
TEP workshops within each of the 10 FEMA Regions. The Regional Exercise
Support Program support is not limited to new exercise initiatives and can be applied
to ongoing exercises to maintain continuity of existing planning schedules.
Applicants are encouraged to coordinate requests for exercise support through the
appropriate FEMA Regional Exercise Officer. State requests for support will be
considered, however, priority will be given to exercise initiatives that support
collaboration within a Region.
Additional guidance on the Regional Exercise Support Program to include the
application process and information on the HSEEP is available on the HSEEP
website, https://hseep.dhs.gov.
5. Homeland Security Preparedness Technical Assistance Program. The
Homeland Security Preparedness Technical Assistance Program (HSPTAP)
provides direct support assistance on a first-come, first-served basis (and subject to
the availability of funding) to eligible organizations to enhance their capacity and
preparedness to prevent, protect against, respond to, and recover from terrorist and
all hazard threats. In addition to the risk assessment assistance already being
provided, FEMA also offers a variety of other direct support assistance programs.
More information can be found at http://www.fema.gov/about/divisions/pppa_ta.shtm.
6. Lessons Learned Information Sharing (LLIS) System. LLIS is a national, online,
secure website that houses a collection of peer-validated lessons learned, best
practices, AARs from exercises and actual incidents, and other relevant homeland
security documents. LLIS facilitates improved preparedness nationwide by providing
response professionals with access to a wealth of validated front-line expertise on
effective planning, training, equipping, and operational practices for homeland
security.
The LLIS website also includes a national directory of homeland security officials, as
well as an updated list of homeland security exercises, events, and conferences.
Additionally, LLIS includes online collaboration tools, including secure email and
message boards, where users can exchange information. LLIS uses strong

44

encryption and active site monitoring to protect all information housed on the
system. The LLIS website is https://www.llis.gov.
7. Information Sharing Systems. FEMA encourages all State, regional, local, and
Tribal entities using FY 2009 funding in support of information sharing and
intelligence fusion and analysis centers to leverage available Federal information
sharing systems, including Law Enforcement Online (LEO) and the Homeland
Security Information Network (HSIN). For additional information on LEO, contact the
LEO Program Office at [email protected] or (202) 324-8833. For additional
information on HSIN and available technical assistance, contact the HSIN Help Desk
at (703) 674-3003.

45