EMPG Program Guidance

FY 2012 E MERGENCY MANAGEMENT P ERFORMANCE G RANTS
(EMP G) P ROGRAM
F UNDING O P P ORTUNITY ANNOUNCEMENT (FOA)
O VERVIEW INFORMATION
Issued By
U.S. Department of Homeland Security (DHS): Federal Emergency Management
Agency (FEMA)
Catalog of Federal Domestic Assistance (CFDA) Number
97.042
CFDA Title
Emergency Management Performance Grants
Funding Opportunity Announcement Title
Fiscal Year (FY) 2012 Emergency Management Performance Grants (EMPG) Program
Authorizing Authority for Program
Section 662 of the Post-Katrina Emergency Management Reform Act of 2006
(PKEMRA) (Public Law 109-295), as amended by section 201 of the Implementing
Recommendations of the 9/11 Commission Act of 2007 (hereafter “9/11 Act”) (Public
Law 110-53); and the Robert T. Stafford Disaster Relief and Emergency Assistance Act,
(Public Law 93-288), as amended, 42 U.S.C. 5121-5207, sections 201, 611(j) and 613;
42 U.S.C. 5131, 5196(j), and 5196b, respectively; specifically, the National Flood
Insurance Act of 1968 (42 U.S.C. 4001 et seq.), the Earthquake Hazards Reduction Act
of 1977 (42 U.S.C. 7701 et seq.), and Reorganization Plan No. 3 of 1978 (5 U.S.C.
App.)
Appropriation Authority for Program
The Consolidated Appropriations Act, 2012, Division D (Public Law 112-74)

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FOA Number
Grant Program Name

Opportunity Number

Emergency Management Performance Grants (EMPG) – Region I

DHS-12-GPD-042-001-01

Emergency Management Performance Grants (EMPG) – Region II

DHS-12-GPD-042-002-01

Emergency Management Performance Grants (EMPG) – Region III

DHS-12-GPD-042-003-01

Emergency Management Performance Grants (EMPG) – Region IV

DHS-12-GPD-042-004-01

Emergency Management Performance Grants (EMPG) – Region V

DHS-12-GPD-042-005-01

Emergency Management Performance Grants (EMPG) – Region VI

DHS-12-GPD-042-006-01

Emergency Management Performance Grants (EMPG) – Region VII

DHS-12-GPD-042-007-01

Emergency Management Performance Grants (EMPG) – Region VIII

DHS-12-GPD-042-008-01

Emergency Management Performance Grants (EMPG) – Region IX

DHS-12-GPD-042-009-01

Emergency Management Performance Grants (EMPG) – Region X

DHS-12-GPD-042-010-01

Key Dates and Time
Application Start Date: 02/17/2012
Application Submission Deadline Date: 05/04/2012 at 11:59:59 PM EDT
Anticipated Funding Selection Date: 02/17/2012
Anticipated Award Date: 06/01/2012
Other Key Dates
Applying for FY 2012 EMPG Program funds requires a two-step process. Step One:
initial submission to determine eligibility and Step Two: full application. Applicants are
encouraged to initiate Step One immediately after the FOA is published but no later
than April 27, 2012. This involves submitting a complete Standard Form 424 to
grants.gov Successful completion of this step is necessary for FEMA to determine
eligibility of the applicant. Late submissions of Step One to grants.gov could result in
applicants missing the application deadline in Step Two. Once FEMA has determined
an applicant to be eligible, applicants can proceed to Step Two which involves
submitting the full application package via the Non Disaster (ND) Grants system. The
submission deadline for the full application package is May 4, 2012. For additional
details see Section X of the full FOA.
Intergovernmental Review
Is an intergovernmental review required?
Yes

No

If yes, applicants must contact their State’s Single Point of Contact (SPOC) to
determine if the program has been selected for State review and comply with the State’s
process under Executive Order 12372. Names and addresses of the SPOCs are
maintained at the Office of Management and Budget’s home page at
http://www.whitehouse.gov/omb/grants_spoc.
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FOA E XECUTIVE S UMMARY
Program Type
Select the applicable program type:
New

Continuing

One-time

Date of origin for Program: 11/23/1988
Opportunity Category
Select the applicable opportunity category:
Discretionary

Mandatory

Competitive

Non-competitive

Sole Source

Application Process
DHS makes all funding opportunities available through the common electronic
“storefront” grants.gov, accessible on the Internet at http://www.grants.gov. If you
experience difficulties accessing information or have any questions, please call the
grants.gov customer support hotline at (800) 518-4726.
Application forms and instructions are available at Grants.gov. To access these
materials, go to http://www.grants.gov, 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.”
For additional details on how to apply, please refer to Section X of the full FOA.
Eligible Applicants
The following entities are eligible to apply directly to FEMA under this solicitation:
State governments
For additional information, see the Eligibility Criteria section of this FOA.
Type of Funding Instrument
Select the applicable funding instrument:
Grant

Cooperative Agreement

Cost Share or Match
Select the applicable requirement:
Cost Match

Cost Share

None Required
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In FY 2012, the Federal share of the cost of an activity carried out using funds made
available under the program shall not exceed 50 percent of the total budget. State cost
match (cash or in-kind) requirement, as authorized by the Robert T. Stafford Disaster
Relief and Emergency Assistance Act (Public Law 93-288), as amended, 42 U.S.C.
5121-5207, specifically, Title VI, sections 611(j) and 613. Unless otherwise authorized
by law, Federal funds cannot be matched with other Federal funds.
FEMA administers cost matching requirements in accordance with 44 CFR §13.24
which is located at http://www.access.gpo.gov/nara/cfr/waisidx_07/44cfrv1_07.html or 2
CFR §215.23 which is located at
http://www.access.gpo.gov/nara/cfr/waisidx_07/2cfrv1_07.html. To meet matching
requirements, the grantee contributions must be reasonable, allowable, allocable, and
necessary under the grant program and must comply with all Federal requirements and
regulations. In accordance with 48 U.S.C. 1469a, match requirements are waived for
the insular areas: the U.S. territories of American Samoa, Guam, the U.S. Virgin
Islands, the Trust Territory of the Pacific Island, and the Commonwealth of the Northern
Mariana Islands.
Maintenance of Effort
Is there a Maintenance of Effort (MOE) requirement?
Yes

No

Management and Administration
Management and administration (M&A) activities are those defined as directly relating to
the management and administration of EMPG Program funds, such as financial
management and monitoring. It should be noted that salaries of State and local
emergency managers are not typically categorized as M&A, unless the State or local
EMA chooses to assign personnel to specific M&A activities.
If the SAA is not the EMA, the SAA is not eligible to retain funds for M&A. M&A costs
are allowable for both State and local-level EMAs. The State EMA may use up to five
percent (5%) for M&A purposes. In addition, local EMAs may retain and use up to five
percent (5%) from the State for local M&A purposes.

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F ULL FOA
I.

Fu n d in g Op p o rtu n ity De s c rip tio n
Program Overview and Priorities
The purpose of the EMPG Program is to make grants to States to assist State, local,
and tribal governments in preparing for all hazards, as authorized by the Robert T.
Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.). Title
VI of the Stafford Act authorizes FEMA to make grants for the purpose of providing a
system of emergency preparedness for the protection of life and property in the United
States from hazards and to vest responsibility for emergency preparedness jointly in the
Federal Government, States, and their political subdivisions. The Federal Government,
through the EMPG Program, provides necessary direction, coordination, and guidance,
and provides necessary assistance, as authorized in this title so that a comprehensive
emergency preparedness system exists for all hazards.
Although no longer funded as discrete grant programs, all activities and costs allowed
under the FY 2011 Emergency Operations Center (EOC) Grant Program, and FY 2011
Metropolitan Medical Response System (MMRS) grant program are allowable costs
under the FY 2012 EMPG Program. For additional information on allowable activities
under the aforementioned grant programs, please refer to
http://www.fema.gov/government/grant/nondisaster.shtm.
Program Objectives
The FY 2012 EMPG Program plays an important role in the implementation of
Presidential Policy Directive 8 (PPD-8) by supporting the development and sustainment
of core capabilities. Core capabilities are essential for the execution of each of the five
mission areas outlined in the National Preparedness Goal (NPG). The development
and sustainment of these core capabilities are not exclusive to any single level of
government or organization, but rather require the combined effort of the whole
community. The FY 2012 EMPG Program supports all core capabilities in the
Prevention, Protection, Mitigation, Response, and Recovery mission areas based on
allowable costs.
Examples of tangible outcomes from the EMPG Program include building and
sustaining emergency management capabilities through:
•
•
•
•
•
•

Building and Sustaining core capabilities identified in the NPG
Approved Emergency Plans
Completion of Threat and Hazard Identification Risk Assessment (THIRA)
Development and Maintenance of multi-year Training and Exercise Plans (TEPs)
Targeted Training and Verification of Personnel Capability
Whole Community approach to Security and Emergency Management

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For additional details on priorities for this program please refer to Appendix B – FY 2012
EMPG Program Priorities
II.

Fu n d in g In fo rm a tio n
Award Amounts, Important Dates, and Extensions
Available Funding for the FOA: $339,500,000.00
Projected number of awards: 58
Projected Award Start Date(s): 06/01/2012
Projected Award End Date(s): 05/31/2014
Period of Performance: 24 months
Grantees must accept their grant awards no later than 90 days from the award date.
The grantee shall notify the awarding agency of its intent to accept and proceed with
work under the award, or provide a written notice of intent to decline. Funds will remain
on hold until the grantee accepts the award through official correspondence, , e.g.,
written, electronic signature, signed letter or fax to the Grant Programs Directorate
(GPD), and all other conditions of award have been satisfied, or the award is otherwise
rescinded. Failure to accept the grant award within the 90 day timeframe may result in
a loss of funds.
For details on funding amounts, please refer to Appendix A – FY 2012 EMPG Program
Allocations.
Period of Performance
Is an extension to the period of performance permitted?
Yes

No

The periods of performance outlined above support the effort to expedite the outlay of
grant funding and provide economic stimulus. Agencies should request waivers
sparingly, and they will be granted only due to compelling legal, policy, or operational
challenges. For example, State Administrative Agencies (SAA’s) may request waivers
from the deadlines outlined above for discretionary grant funds where adjusting the
timeline for spending will constitute a verifiable legal breach of contract by the grantee
with vendors or sub-recipients, or where a specific statute or regulation mandates an
environmental review that cannot be completed within this timeframe or where other
exceptional circumstances warrant a discrete waiver.
Additional Funding Information
In FY 2012, the total amount of funds distributed under this grant will be $339,500,000.
The FY 2012 EMPG Program funds will be allocated based on the Section 662 of the
Post-Katrina Emergency Management Reform Act of 2006, as amended, 6 U.S.C. 762.
All 50 States, the District of Columbia, and Puerto Rico 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
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amount of 0.25 percent of the total available grant funding. The balance of EMPG
Program funds is distributed on a population-share basis. Pursuant to Article X of the
Federal Programs and Services Agreement of the Compact of Free Association Act
(Public Law 108-188), funds are available for the Federated States of Micronesia and
for the Republic of the Marshall Islands.
III.

Elig ib ility In fo rm a tio n
Eligibility Criteria
All 56 States and territories, as well as the Republic of the Marshall Islands and the
Federated States of Micronesia, are eligible to apply for FY 2012 EMPG Program funds.
Either the SAA or the State’s EMA are eligible to apply directly to FEMA for EMPG
Program funds on behalf of State and local emergency management agencies, however
only one application will be accepted from each State or territory.

IV.

Fu n d in g Re s tric tio n s
Restrictions on Use of Award Funds
DHS grant funds may only be used for the purpose set forth in the grant, and must be
consistent with the statutory authority for the award. Grant funds may not be used for
matching funds for other Federal grants/cooperative agreements, lobbying, or
intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal
funds may not be used to sue the Federal government or any other government entity.
Pre-award costs are allowable only with the written consent of DHS and if they are
included in the award agreement.
Federal employees are prohibited from serving in any capacity (paid or unpaid) on any
proposal submitted under this program. Federal employees may not receive funds
under this award.
EMPG Program grantees may only fund projects that were included in the FY 2012
Work Plan that was submitted to and approved by a FEMA Program Analyst.
For additional details on restrictions on the use of funds, please refer to Appendix C Funding Guidelines.

V.

Ap p lic a tio n Re vie w In fo rm a tio n a n d S e le c tio n P ro c e s s
Application Review Information
Submitted applications will undergo a complete content review within their respective
FEMA Region. Each FEMA Region will be responsible for reviewing the FY 2012
EMPG Program Work Plan for their respective States/territories in order to assess their
emergency management sustainment and enhancement efforts, as well as the linkage
to the core capabilities identified in the NPG.

7

For additional details on application review information please refer to Appendix D - FY
2012 EMPG Program Work Plan.
Application Selection Process
All Work Plans will require final approval by the corresponding FEMA Region. Grantees
who have not submitted their Work Plan as part of their application will not be issued an
award until such Work Plan is received, reviewed, and approved by the FEMA Region.
Grantees will be notified by their FEMA Regional Program Analyst should any
component of the EMPG Program application require additional information.
VI.

P o s t-S e le c tio n a n d P re -Awa rd Gu id e lin e s
Notice of Award
All successful applicants for all DHS grant and cooperative agreements are required to
comply with DHS Standard Administrative Terms and Conditions available within
Section 6.1.1 of http://www.dhs.gov/xlibrary/assets/cfo-financial-management-policymanual.pdf .
Upon approval of an application, the award will be made in the form of a grant. The
date the approval of award is entered in the system is the “award date.” Notification of
award approval is made through the ND Grants system through an automatic e-mail to
the grantee point of contact listed in the initial application. Once an award has been
approved and recorded in the system, a notice is sent to the authorized grant official.
Follow the directions in the notification to accept your award documents. The
authorized grant official should carefully read the award package for instructions on
administering the grant and to learn more about the terms and conditions associated
with responsibilities under Federal awards.
Obligation of Funds
Each State shall obligate 100 percent (100%) of its total EMPG Program allocation
amount to the designated State-level EMA. If the SAA is also the EMA, this
requirement is automatically met. If the SAA is a separate agency, or has separate
budget processes, then these funds must be obligated to the EMA within 15 days of the
grant award date.
Administrative and Federal Financial Requirements
Grantees are obligated to submit various financial and programmatic reports as a
condition of their award acceptance. Please see below for a summary of financial
and/or programmatic reports as required. Future awards and fund drawdowns may be
withheld if these reports are delinquent.
1. Federal Financial Report (FFR) – required quarterly. Obligations and
expenditures must be reported on a quarterly basis through the FFR (SF-425). 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.
8

The final FFR is due 90 days after the end date of the performance period. FFRs
must be filed electronically through PARS.
2. Grant Close-Out Process. Within 90 days after the end of the period of
performance, or after a Grant Adjustment Notice (GAN) has been issued to close out
a grant, whichever comes first, grantees must submit a final FFR and final progress
report detailing all accomplishments throughout the period of performance. 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 period of performance
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
FFR. The grantee is responsible for returning any funds that have been drawn down
but remain as unliquidated on grantee financial records.
Programmatic Reporting Requirements
1. State Preparedness Report (SPR) Submittal. Section 652(c) of the Post-Katrina
Emergency Management Reform Act of 2006 (Public Law 109-295), 6 U.S.C.
§752(c), requires any State that receives Federal preparedness assistance to submit
an SPR to FEMA. States submitted their most recent State Preparedness Reports
in December 2011 thus satisfying this requirement to receive funding under the FY
2012 EMPG Program.
2. Quarterly Performance Progress Reports (SF-PPR). EMPG Program Quarterly
Performance Progress Reports must be submitted to the EMPG Program Regional
Program Analyst located at the FEMA regional office on a quarterly basis through
the ND Grants System. The Quarterly Performance Progress Reports must be
based on the approved EMPG Program Work Plan. The Quarterly Performance
Progress Report should be completed using the SF-Performance Progress Report
(SF-PPR), available at
http://www.whitehouse.gov/sites/default/files/omb/assets/omb/grants/approved_form
s/sf-ppr.pdf. If other formats are used at least equivalent information to that
contained in the SF-Performance Progress Report has to be submitted. See
Appendix B – FY 2012 EMPG Program Priorities and Appendix D - FY 2012 EMPG
Program Work Plan.
Grantees are required to report on progress towards implementing plans described
in their application. Additionally, as part of the SF-PPR, grantees are required to
report on progress made towards implementing the following performance measures
as described in Appendix B – FY 2012 EMPG Program Priorities:
•
•
•

Percentage completion towards CPG 101 v.2 compliance;
Percent completion of the progressive exercise series to include percent
completion of personnel participation;
Any After Action Reports/Improvements Plans (AAR/IP) that relate to the four
quarterly exercises and one full-scale exercise;
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•
•

A list of EMPG Program funded personnel along with the training completed
together with the Personnel Data Table Template in Appendix D - FY 2012
EMPG Program Work Plan; and
Percent of the Training and Exercise Plan (TEP) completed that was outlined in
the FY 2012 EMPG Program Work Plan together with the Training and Exercise
Data Tables Template in Appendix D - FY 2012 EMPG Program Work Plan.

3. Biannual Strategy Implementation Reports (BSIR). Grantees are responsible for
completing and submitting the BSIR reports, as a compliment to the Quarterly
Progress Report (programmatic performance report/SF-PPR). 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
through December 31). Updated obligations and expenditure information must be
provided within the BSIR to show progress made toward meeting strategic goals and
objectives. The first BSIR is not due until at least six months after the award notice
has been received by the grantee.
4. Exercise Evaluation and Improvement. Exercises implemented with grant funds
should evaluate performance of the capabilities required to respond to the exercise
scenario. Guidance related to exercise evaluation and the implementation of
improvements is defined in the Homeland Security Exercise and Evaluation Program
located at https://hseep.dhs.gov.
5. 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.
Monitoring may be accomplished through either a desk-based review or on-site
monitoring visits, or both. Monitoring will involve the review and analysis of the
financial, programmatic, performance, compliance and administrative processes,
policies, activities, and other attributes of each Federal assistance award and will
identify areas where technical assistance, corrective actions and other support may
be needed.
VII.

DHS FEMA Co n ta c t In fo rm a tio n
Contact and Resource Information
This section describes several resources that may help applicants in completing a
FEMA grant application. These points of contact are also available for successful
applicants who may require assistance during execution of their award.
Financial and Administrative Information
1. Grant Programs Directorate (GPD). FEMA GPD’s Grant Operations Division
Business Office will provide fiscal support, including pre- and post-award
10

administration and technical assistance, to the grant programs included in this
solicitation. Callers will be directed to a point of contact who will be able to assist
with their financial or administrative question. Additional guidance and information
can be obtained by contacting the FEMA Call Center at (866) 927-5646 or via e-mail
to [email protected].
2. FEMA Regions. FEMA Regions may also provide fiscal support, including pre- and
post-award administration and technical assistance, to the grant programs included
in this solicitation. For a list of contacts, please go to
http://www.fema.gov/about/contact/regions.shtm.
3. GPD Environmental Planning and Historic Preservation (GPD-EHP). The FEMA
GPD-EHP Team provides guidance and information to grantees and subgrantees
related to submission of materials for EHP review. All EHP Review Packets should
be sent to [email protected].
Programmatic Information
1. Centralized Scheduling and Information Desk (CSID). CSID is a non-emergency
comprehensive management and information resource developed by DHS for grants
stakeholders. CSID provides general information on all FEMA grant programs and
maintains a comprehensive database containing key personnel contact information
at the Federal, State, and local levels. When necessary, grantees will be directed to
a Federal point of contact who can answer specific programmatic questions or
concerns. CSID can be reached by phone at (800) 368-6498 or by e-mail at
[email protected] Monday through Friday, 9:00 a.m. – 5:30 p.m. (EST).
Systems Information
1. Grants.gov. For technical assistance with grants.gov, please call the grants.gov
customer support hotline at (800) 518-4726.
Non Disaster (ND) Grants. For technical assistance with the ND Grants system,
please contact [email protected] or (800) 865-4076.
VIII.

Oth e r Critic a l In fo rm a tio n
Emergency Management Assistance Compact (EMAC) Membership
In support of the NPG, EMPG Program recipients must belong to or be located in
member States of EMAC, except for American Samoa and the Commonwealth of the
Northern Mariana Islands, which are not required to belong to EMAC at this time.
National Incident Management System (NIMS) Implementation
In accordance with Homeland Security Presidential Directive (HSPD)-5, Management of
Domestic Incidents, the adoption of NIMS is a requirement to receive Federal
preparedness assistance, through grants, contracts, and other activities.
11

Prior to allocation of any Federal preparedness awards in FY 2012, grantee must
ensure compliance and/or alignment with FY 2011 NIMS implementation plan. The list
of objectives against which progress and achievement are assessed and reported can
be found at
http://www.fema.gov/emergency/nims/ImplementationGuidanceStakeholders.shtm#item
2.
The primary grantee/administrator of FY 2012 EMPG Program award funds is
responsible for determining if sub-awardees have demonstrated sufficient progress in
NIMS implementation to disburse awards.
Grantees must update their EOP’s at least once every two years. An evaluation matrix
to describe and calculate the percentage towards the completion towards complying
with CPG 101 v.2 will be published at http://www.fema.gov/prepared/plan.shtm.
FEMA will disseminate guidance during FY 2012 on how to complete a Threats and
Hazards Identification and Risk Assessment (THIRA).
IX.

Ho w to Ap p ly
Application Instructions
All EMPG Program applicants are encouraged to use the template provided by FEMA to
submit a required Work Plan that outlines the State’s emergency management
sustainment and enhancement efforts, including new and ongoing projects, proposed
for the FY 2012 EMPG Program period of performance. The Work Plan consists of a
Program and Budget Narrative, Personnel Data Table, Training Data Table, Exercise
Data Table, and Grant Activities Outline.
For additional details on Application instructions please refer to Appendix D - FY 2012
EMPG Program Work Plan.

X.

Ap p lic a tio n a n d S u b m is s io n In fo rm a tio n
Address to Request Application Package
FEMA makes all funding opportunities available on the Internet at
http://www.grants.gov. If you experience difficulties accessing information or have any
questions please call the Grants.gov customer support hotline at (800) 518-4726.
Application forms and instructions are available at Grants.gov. To access these
materials, go to http://www.grants.gov, select “Apply for Grants,” enter the CFDA
number (97.042) or the Region-specific FOA Number noted in the Overview Information
section of the FOA and then select “Download Application Package.” 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.”

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Content and Form of Application
1. Application via Grants.gov. All applicants must file their applications using the
Administration’s common electronic “storefront” – http://www.grants.gov. Eligible
grantees must apply for funding through this portal, accessible on the Internet at
http://www.grants.gov.
The application must be started and submitted using grants.gov after Central
Contractor Registration (CCR) is confirmed. The on-line application includes the
following required form:
•

Standard Form 424, Application for Federal Assistance

Applying for FY 2012 EMPG Program funds requires a two-step process. Step One:
initial submission to determine eligibility and Step Two: full application. Applicants
are encouraged to initiate Step One as soon after the FOA is published but no later
than April 27, 2012. This involves submitting a complete Standard Form 424 to
www.grants.gov. The Standard Form 424 will be retrieved by ND Grants and the
system will automatically populate the relevant data fields in the application.
Successful completion of this step is necessary for FEMA to determine eligibility of
the applicant. Late submissions to grants.gov to complete Step One could result in
applicants missing the application deadline in Step Two. Once FEMA has
determined an applicant to be eligible, applicants can proceed to Step Two which
involves submitting the full application package via the ND Grants system. The
submission deadline for the full application package is May 4, 2012.
The application must be completed and final submission made through the ND
Grants system located at https://portal.fema.gov. If you need assistance registering
for the ND Grants system, please contact [email protected] or (800) 865-4076.
Applicants are encouraged to begin their ND Grants registration at the time of
solicitation to ensure they have adequate time to start and complete their application
submission. Unless otherwise referenced, the ND Grants system includes the
following required forms and submissions:
•
•
•
•
•
•
•

•

Standard Form 424A, Budget Information (Non-construction)
Standard Form 424B, Standard Assurances (Non-construction)
Standard Form 424C, Budget Information (Construction)
Standard Form 424D, Standard Assurances (Construction)
Standard Form LLL, Disclosure of Lobbying Activities (if the grantee has
engaged or intends to engage in lobbying activities)
Grants.gov (GG) Lobbying Form, Certification Regarding Lobbying
FEMA Form 20-16C, Certifications Regarding Lobbying; Debarment,
Suspension and Other Responsibility Matters; and Drug-Free Workplace
Requirements (available at:
http://www.fema.gov/library/viewRecord.do?id=2628)
EMPG Program Work Plan
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•

Detailed budget (see Appendix D – FY 2012 EMPG Program Workplan)

The program title listed in the CFDA is “Emergency Management Performance Grant
Program”. The CFDA number is 97.042.
2. Dun and Bradstreet Data Universal Numbering System (DUNS) Number. The
applicant must provide a DUNS number with their application. This number is a
required field within http://www.grants.gov and for CCR. 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.
3. Valid CCR. The application process also involves an updated and current
registration by the applicant, which must be confirmed at http://www.ccr.gov.
Applicants will obtain FOA Overviews and Full Announcement information from the
grants.gov website where the full FOA is posted.
In addition, the following Telephone Device for the Deaf (TDD) and/or Federal
Information Relay Service (FIRS) number available for this Announcement is: (800)
462-7585.
Applications will be processed through the grants.gov portal or the ND Grants
system.
Hard copies of the application will not be accepted.

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Appendix A - FY 2012 EMPG Program Allocations
State/Territory

Allocation

State/Territory

Allocation

Alabama

$5,643,567

New Hampshire

$3,396,361

Alaska

$3,012,335

New Jersey

$8,235,067

Arizona

$6,726,857

New Mexico

$3,889,089

Arkansas

$4,440,971

New York

California

$26,853,993

North Carolina

$8,773,722

Colorado

$5,846,103

North Dakota

$2,987,322

Connecticut

$4,855,471

Ohio

$9,991,660

Delaware

$3,131,267

Oklahoma

$4,991,417

District of Columbia

$2,944,799

Oregon

$5,043,236

$15,099,475

Florida

$14,836,576

Pennsylvania

$10,764,216

Georgia

$8,876,139

Rhode Island

$3,224,241

Hawaii

$3,432,873

South Carolina

$5,563,914

Idaho

$3,568,417

South Dakota

$3,077,706

Illinois

$10,845,713

Tennessee

$6,675,812

Indiana

$6,749,053

Texas

Iowa

$4,521,152

Utah

$4,363,094

Kansas

$4,397,929

Vermont

$2,950,239

Kentucky

$5,364,075

Virginia

$7,767,800

Louisiana

$5,496,590

Washington

$6,950,984

Maine

$3,402,807

West Virginia

$3,742,786

Maryland

$6,304,949

Wisconsin

$6,229,804

Massachusetts

$6,794,592

Wyoming

$2,912,659

Michigan

$8,915,464

Puerto Rico

$4,936,717

Minnesota

$5,993,184

U.S. Virgin Islands

$919,474

Mississippi

$4,467,111

American Samoa

$892,115

Missouri

$6,422,580

Guam

$966,952

Montana

$3,189,995

Northern Mariana Islands

$878,448

Nebraska

$3,734,581

Republic of the Marshall Islands

$50,000

Nevada

$4,302,537

Federated States of Micronesia

$50,000

Total

$19,104,010

$339,500,000

15
Appendix A – FY 2012 EMPG Program Allocations

Appendix B - FY 2012 EMPG Program Priorities
Presidential Policy Directive 8: National Preparedness
Presidential Policy Directive 8: National Preparedness (PPD-8), signed on March 30,
2011, describes the Nation’s approach to preparing for the threats and hazards that
pose the greatest risk to the security of the United States. National preparedness is the
shared responsibility of our whole community. Every member contributes, including
individuals, communities, the private and nonprofit sectors, faith-based organizations,
and Federal, State, and local governments. We describe our security and resilience
posture through the core capabilities that are necessary to address risks, and we will
use an integrated, layered, and all-of-Nation approach as our foundation. We define
success as a secure and resilient Nation with the capabilities required across the whole
community to prevent, protect against, mitigate, respond to, and recover from the
threats and hazards that pose the greatest risk.
National preparedness is the shared responsibility of all levels of government, the
private and nonprofit sectors, and individual citizens. The objective of PPD-8 is to
facilitate an integrated, all-of-Nation, risk informed, capabilities-based approach to
preparedness.
Using the core capabilities, we achieve the NPG by:
•
•
•
•
•

Preventing, avoiding, or stopping a threatened or an actual act of terrorism.
Protecting our citizens, residents, visitors, and assets against the greatest threats
and hazards in a manner that allows our interests, aspirations, and way of life to
thrive.
Mitigating the loss of life and property by lessening the impact of future disasters.
Responding quickly to save lives, protect property and the environment, and
meet basic human needs in the aftermath of a catastrophic incident.
Recovering through a focus on the timely restoration, strengthening, and
revitalization of infrastructure, housing, and a sustainable economy, as well as
the health, social, cultural, historic, and environmental fabric of communities
affected by a catastrophic incident.

The core capabilities contained in the NPG are the distinct critical elements necessary
for our success. They are highly interdependent and will require us to use existing
preparedness networks and activities, improve training and exercise programs, promote
innovation, and ensure that the administrative, finance, and logistics systems are in
place to support these capabilities. The core capabilities represent an evolution from
the Target Capabilities List (TCL). The transition from TCLs to core capabilities
expands the focus to include mitigation and allows greater focus on prevention and
protection activities.
To support building, sustaining, and delivering these core capabilities grantees will use
elements of the National Preparedness System (NPS). The NPS is to be an integrated

16
Appendix B – FY 2012 EMPG Program Priorities

set of guidance, programs, and processes that can be implemented and measured at all
levels of government, thereby enabling the Nation to achieve the Goal.
Building and Sustaining Core Capabilities
Capabilities are the means to accomplish a mission, function, or objective based on the
performance of related tasks, under specified conditions, to target levels of
performance. The most essential of these capabilities are the core capabilities
identified in the NPG. Complex and far-reaching threats and hazards require the whole
community to integrate preparedness efforts in order to build, sustain, and deliver the
core capabilities and achieve the desired outcomes identified in the NPG.
Working together, subject matter experts, government officials, and elected leaders can
develop strategies to allocate resources effectively, as well as leverage available
assistance to reduce risk. These strategies consider both how to sustain current levels
of capability and address gaps in order to achieve the NPG. Achieving the NPG will
require participation and resource support from all levels of government. Not all
capabilities can be addressed in a given funding cycle, nor can funding be expected to
flow from any one source. Officials must prioritize the achievement of capabilities to
most effectively ensure security and resilience while understanding the effects of not
addressing identified gaps. Building and sustaining capabilities will include a
combination of organizational resources, equipment, training, and education. Grants
and technical assistance may also be available to support building and sustaining
capabilities. Consideration must also be given to finding, connecting to, and
strengthening community resources by leveraging the expertise and capacity of
individuals, communities, private and nonprofit sectors, faith-based organizations, and
all levels of government. Jurisdictions may also choose to use mutual aid agreements
to fill gaps or work with partners to develop regional capabilities. Ultimately, a
jurisdiction may need to rely on other levels of government to address a gap in
capability. This expectation should be communicated well before the time arises when
the capabilities are most urgently needed.
As these issues are considered in light of the eligible activities, an effective risk
assessment must guide jurisdictions’ efforts. This risk picture will cover the range of
threats and hazards, from a community faces daily to those infrequent events that would
stress the core capabilities of a jurisdiction. Coupled with the desired outcomes
established by a community, this combined perspective is crucial to enabling all levels
of government to effectively estimate the level of capabilities required to address it’s
risks. Grantees will be required to develop a THIRA component of the State Mitigation
Plan and provide a copy to their EMPG Program Analyst no later than December 31,
2012. See Page 20 for more information.
Files and information on PPD-8 can be found at http://www.fema.gov/ppd8.
The President’s FY 2013 budget has proposed substantial changes to DHS grant
programs. FY 2012 grant programs will prepare grantees for the transition to new
requirements in FY 2013 in the following ways:
17
Appendix B – FY 2012 EMPG Program Priorities

•
•
•

Begin the process of transitioning from separate preparedness grant programs in
FY 2011 to a more streamlined model within the construct of the FY 2012
appropriations
Continue the transition to address the core capabilities outlined in the NPG
Implement a two year period of performance with very limited extensions

Grantees are encouraged to familiarize themselves with the grant proposals in the
President’s FY 2013 budget.
FY 2012 EMPG Program and Alignment to PPD-8
The FY 2012 EMPG Program plays an important role in the implementation of
Presidential Policy Directive 8 (PPD-8) by supporting the development and sustainment
of core capabilities. Core capabilities are essential for the execution of each of the five
mission areas outlined in the National Preparedness Goal (NPG). The development
and sustainment of these core capabilities are not exclusive to any single level of
government or organization, but rather require the combined effort of the whole
community. The FY 2012 EMPG Program supports all core capabilities in the
Prevention, Protection, Mitigation, Response, and Recovery mission areas based on
allowable costs.
Priority for FY 2012
Implementation of PPD-8. FEMA’s preparedness grant programs like the EMPG
Program, are just one resource for State, local, tribal, and regional partners to support
activities described within PPD-8 and the NPG. These activities include continued
development and sustainment of core capabilities needed to close gaps and strengthen
the Nation’s preparedness. Throughout this guidance, applicable EMPG Program
activities will be presented in relation to the five mission areas and core capabilities to
demonstrate and provide examples of the linkage between PPD-8, the NPG, and the
EMPG Program.
Advancing “Whole Community” Security and Emergency Management. Engaging the
Whole Community in security and emergency management is critical approach to the
implementation of PPD-8 and to achieving the NPG. Communities are challenged to
develop collective, local abilities to withstand the potential impacts of natural disasters
and terrorist threats, respond quickly, and recover in a way that sustains or improves
the community’s overall well-being. Achieving this collective capacity calls for
innovative approaches across the community, including emergency management to
build up existing practices, institutions, and organizations that help make local
communities successful, and that can leverage this infrastructure if and when an
incident occurs. For more information on the “Whole Community Approach to
Emergency Management” see http://www.fema.gov/library/viewRecord.do?id=4941.
A comprehensive State emergency management system must engage stakeholders at
all levels. Local emergency management organizations should remain informed and
have the opportunity to provide input to State planning processes. Although FEMA
expects States to include support for their local jurisdictions in the EMPG Program,
18
Appendix B – FY 2012 EMPG Program Priorities

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 performance capabilities. In support of engaging stakeholders at all
levels, EMPG Program funds may be sub-granted to non-governmental emergency
management stakeholder entities such as non-profits, public and private universities,
hospitals, faith-based entities.
Whole Community Approach to Security and Emergency Management Priority
Objectives and Performance Measures
To address this priority, four objectives have been identified and each is given a
performance measure and associated reporting requirement to determine how effective
grantees are in utilizing EMPG Program funding to prepare for all hazards and advance
a whole community approach. With these measures, grantees must evaluate their
progress toward achieving the stated objective in the Quarterly Performance Progress
Report and in compliance with the below reporting requirements.
Objective One: Approved Emergency Plans. The Comprehensive Preparedness
Guide (CPG) 101 v.2 September 2010, helps planners at all levels of government in
their efforts to develop and maintain viable all-hazards, all-threats Emergency
Operations Plans (EOPs) by engaging the whole community in thinking through the life
cycle of a potential crisis, determining required capabilities that support the NPG, and
establishing a framework for roles and responsibilities. All EMPG Program grantees
shall maintain, or revise as necessary, jurisdiction wide all hazard emergency
operations plans consistent with the CPG 101 v.2 September 2010 which serves as the
foundation for State, local, tribal, and territory emergency planning. CPG 101 v.2 can
be found at http://www.fema.gov/pdf/about/divisions/npd/CPG_101_V2.pdf. Grantees
must update their EOPs at least once every two years. A Plan Analysis Tool to
describe progress towards complying with CPG 101 v.2 is published and available at
http://www.fema.gov/prepared/plan.shtm.
Measurement Method
•

Grantees will report progress toward making their EOPs compliant with CPG 101
v.2 by completing the Plan Analysis Tool for Compliance with CPG 101 v.2
available at http://www.fema.gov/prepared/plan.shtm.

Reporting
To be eligible for full FY 2012 EMPG Program funds grantees are required to submit:
•

•

The above referenced Plan Analysis Tool at least once per year throughout the
period of performance of the award as well as include in the Quarterly
Performance Progress Report the percentage completion towards CPG 101 v.2
compliance.
Their existing EOPs to their respective Regional Program Analyst.

19
Appendix B – FY 2012 EMPG Program Priorities

Objective Two: Completion of Threat and Hazard Identification and Risk
Assessment (THIRA). THIRA processes at all levels of government establish a
foundation to justify and guide preparedness activities and investments. A common
approach to that process will enable the whole community to maintain a baseline
understanding of the risks that they face, facilitating efforts to identify capability and
resource gaps, focus capability improvements, and inform the community of actions
they can take to manage their risks. In order to qualify for full FY 2012 funding, all
grantees shall develop and maintain a THIRA.
THIRAs should include the range of threats and hazards faced by an applicant. The
assessment should be based on analysis of the relative consequences of the various
threats and hazards with consideration of empirical data to the maximum degree
possible. THIRA findings should be incorporated into each applicant’s preparedness
strategy, planning, Investment Justification, and assessment documentation–addressing
capability gaps identified during the THIRA process.
An intergovernmental THIRA system is envisioned in the NPS in which jurisdictions'
respective THIRAs can inform one another using a common methodological framework.
FEMA will continue to refine the process and disseminate guidance throughout FY
2012. Grantees should work with FEMA to incorporate additional guidance into their
THIRA as it becomes available.
Measurement Methods
•

An approved THIRA that addresses the risks and hazards faced by a grantee.

Reporting
•

Grantees will be required to develop a THIRA component of the State Mitigation
Plan and provide a copy to their EMPG Program Analyst no later than December
31, 2012. The THIRA must be updated annually. Grantees must also submit the
THIRA to the Regional Federal Preparedness Coordinator.

Objective Three: Develop and Maintain Multi-Year TEPs. The Multi-Year TEP
provides a roadmap to accomplish the priorities described in the Homeland Security
Strategy. Engaging the whole community in training and exercises allows all partners to
evaluate and improve upon their level of preparedness. States and Urban Areas are
required to conduct an annual Training and Exercise Plan Workshop (TEPW). All
grantees and sub-grantees are required to develop a Multi-Year TEP that incorporate
linkages to the NPG core capabilities and update it annually. Refer to Information
Bulletin #366 Clarification of FY 2011 Exercise Guidance for additional clarification. For
a copy of the Frequently Asked Questions (FAQs) on TEPs, please e-mail
[email protected] and ask for a copy of the “FY11 EMPG Requirements” message
dated November 11, 2011.

20
Appendix B – FY 2012 EMPG Program Priorities

The TEP should be submitted to [email protected] and the Regional Exercise Officer;
States are encouraged to post their schedules to the National Exercise Scheduling
System (NEXS) at
https://hseep.dhs.gov/DHS_SSO/?ReturnUrl=%2fhseep_em%2fToolkitHome.aspx.
Specifically, TEPs should include the following requirements:
•

All EMPG Program grantees will develop and maintain a progressive exercise
program consistent with the National Exercise Program base plan, to include no
less than four quarterly exercises (i.e., one exercise per quarter) of any type (e.g.
Drills, Tabletop Exercises, Functional), and one full-scale exercise within a 12month period. Please note that response to any real-world events within a 12month period may fulfill a single, quarterly exercise requirement. In addition, all
EMPG program funded personnel shall participate in no less than three exercises
in a 12-month period. An After Action Report/Improvement Plan (AAR/IP) shall
be completed for each exercise and submitted to FEMA. The AAR/IP should be
encrypted (password protected) and emailed to [email protected]. A summary of
all collected corrective action items and a tracking of their implementation shall
be reported as part of the Quarterly Performance Progress Report. The
Homeland Security Exercise and Evaluation Program (HSEEP) constitutes a
national standard for all exercises. FEMA encourages the use of the Homeland
Security Exercise and Evaluation Program (HSEEP) (https://hseep.dhs.gov).

Measurement Method
•
•
•

Percent completion in a progressive exercise series of four quarterly exercises
and one full-scale exercise in a 12 month period (to include response to any realworld events)
Percent completion of personnel participation in no less than three exercises
within a 12 month period
Submission of an AAR/IP for each of the four quarterly exercises and one fullscale exercise that includes a list of corrective actions and lessons learned

Reporting
•
•

Grantees must report quarterly in the Quarterly Performance Progress Report the
percent completion of the progressive exercise series to include percent
completion of personnel participation
Grantees must submit AAR/IPs for each of the four quarterly exercises and one
full-scale exercise to include corrective actions in the Quarterly Performance
Progress Report.

Objective Four: Target Training and Verify Capability of Personnel. Training
activities supported with EMPG Program funds should strategically align to the NPG
core capabilities identified in the Multi-Year TEP. To ensure the development of a
professional emergency management workforce all EMPG Program funded personnel
shall complete the following training requirements and record proof of completion.
21
Appendix B – FY 2012 EMPG Program Priorities

NIMS Training: IS 100; IS 200; IS 700; and IS 800; FEMA Professional Development
Series: IS 120; IS 230; IS 235; IS 240; IS 241; IS 242; and IS 244. Previous versions of
the IS courses meet the NIMS training requirement. A complete list of Independent
Study Program Courses may be found at http://training.fema.gov/is.
Measurement Method
•
•

Submission of an updated Multi-Year TEP to address the above requirements
(see https://hseep.dhs.gov)
Percent of EMPG Program funded personnel completing the required courses
listed above

Reporting
•

•
•

In each year of the period of performance of the award grantees are required to
share with their respective Regional Program Analyst a TEP that includes a
progressive exercise plan and schedule and a plan for training personnel. The
Regional Program Analyst shall confer the TEP with the Regional Exercise
Officer. Information related to TEPs and TEPWs can be found on the HSEEP
website at https://hseep.dhs.gov.
Submission of a list of EMPG Program funded personnel along with the training
completed to be included in the Quarterly Performance Progress Report.
Quarterly reporting of implementation of TEP, including percent addressed in the
FY 2012 EMPG Program Work Plan Exercise Data Table Template in Appendix
D - FY 2012 EMPG Program Work Plan.

Standardized Reporting through the Work Plan Template: The Work Plan Template
has been modified to standardize data collection for improved analysis and reporting.
The Work Plan Template includes four components: a Personnel Data Table, a Training
Data Table, an Exercise Data Table, and a Grant Activities Outline. The Personnel
Data Table and the Grant Activities Outline will form the basis of the Quarterly
Performance Progress Report. The Grant Activities Outline is structured to enable
reporting of quarterly activities according to Emergency Management Function (EMF)
projects, as well as standardized reporting of activity completion status. Quarterly
training and exercise activities will be reported in the Grant Activities Outline under EMF
number 13 and number 14.

22
Appendix B – FY 2012 EMPG Program Priorities

Appendix C - Funding Guidelines
The EMPG Program grant recipients and sub-recipients may only use EMPG Program
grant funds for the purpose set forth in the grant, and must be consistent with the
statutory authority for the award. Grant funds must support the development or
sustainment of core capabilities identified in the NPG. Grant funds may not be used for
matching funds for other Federal grants/cooperative agreements, lobbying, or
intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal
funds may not be used to sue the Federal government or any other government entity.
Pre-award costs are allowable only with the written consent of DHS and if they are
included in the award agreement.
Federal employees are prohibited from serving in any capacity (paid or unpaid) on any
proposal submitted under this program. Federal employees may not receive funds
under this award.
1. Management and Administration
M&A activities are those defined as directly relating to the management and
administration of EMPG Program funds, such as financial management and monitoring.
It should be noted that salaries of State and local emergency managers are not typically
categorized as M&A, unless the State or local EMA chooses to assign personnel to
specific M&A activities.
If the SAA is not the EMA, the SAA is not eligible to retain funds for M&A. M&A costs
are allowable for both State and local-level EMAs. The State EMA may use up to five
percent (5%) for M&A purposes. In addition, local EMAs may retain and use up to five
percent (5%) from the State for local M&A purposes.
2. Allowable Costs
Planning
Planning spans across all five NPG mission areas and provides a baseline for
determining potential threats and hazards, required capabilities, required resources, and
establishes a framework for roles and responsibilities. Planning provides a methodical
way to engage the whole community in the development of a strategic, operational,
and/or community-based approach to preparedness.
FY 2012 EMPG Program funds may be used to develop or enhance upon emergency
management planning activities, some examples include:
•
•
•

Threat and hazard assessments
Development of THIRA that is representative of the jurisdiction
Hazard analysis and risk assessment
23
Appendix C – Funding Guidelines

•

Development of an all-hazards mitigation plan based on identified risks and
hazards

Emergency management/operation plans
•
•
•
•

Maintaining a current Emergency Operations Plan that is aligned with guidelines
set out in CPG 101v.2
http://www.fema.gov/pdf/about/divisions/npd/CPG_101_V2.pdf
Modifying existing incident management and emergency operations plans
Developing/enhancing comprehensive emergency management plans
Developing/enhancing large-scale and catastrophic event incident plans

Continuity/Administrative Plans
•
•

Developing/enhancing Continuity of Operation (COOP)/Continuity of Government
(COG) plans
Developing/enhancing financial and administrative procedures for use before,
during, and after disaster events in support of a comprehensive emergency
management program

Whole Community engagement/planning
•
•
•
•

Developing/enhancing emergency management and operations plans to
integrate citizen/volunteer and other non-governmental organization resources
and participation
Community-based planning to advance “whole community” security and
emergency management
Public education and awareness on emergency management and preparedness
Planning to foster public-private sector partnerships
Development or enhancement of mutual aid agreements/compacts, including
required membership in EMAC

Resource management planning
•
•
•

•

Developing/enhancing logistics and resource management plans
Developing/enhancing volunteer and/or donations management plans
Acquisition of critical emergency supplies defined as: shelf stable food products,
Water, and/or basic medical supplies. Acquisition of critical emergency supplies
requires each State to have FEMA’s approval of a viable inventory management
plan; an effective distribution strategy; sustainment costs for such an effort; and
logistics expertise to avoid situations where funds are wasted because supplies
are rendered ineffective due to lack of planning.
Supply preparation

24
Appendix C – Funding Guidelines

Evacuation planning
•

Developing/enhancing evacuation plans, including plans for: alerts/warning, crisis
communications, pre-positioning of equipment for areas potentially impacted by
mass evacuations sheltering, and re-entry.

Pre-disaster Recovery planning
•
•
•

Disaster housing planning, such as creating/supporting a State disaster housing
task force and developing/enhancing State disaster housing plans
Pre-event response/recovery/mitigation plans in coordination with State, local,
and tribal governments
Developing/enhancing other response and recovery plans

Recovery planning
•

The National Disaster Recovery Framework (NDRF) sets national policy and
doctrine to define a new era of disaster recovery across Federal, State and local
government. The NDRF aims to achieve a disaster recovery system that is more
responsive to whole-community needs. EMPG Program grantees should, as
feasible, take steps to develop recovery plans and preparedness programs
consistent with the principles and guidance in the NDRF that will provide the
foundation for recovery programs and whole-community partnerships.
Preparedness and pre-disaster planning was given special attention within the
NDRF with specific guidance: Planning for a Successful Disaster Recovery
(pages 63-70). For more information on the NDRF see
http://www.fema.gov/pdf/recoveryframework/ndrf.pdf.

Program evaluations
Organization
Per the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended,
42 U.S.C. 5121-5207, EMPG Program funds may be used for all-hazards emergency
management operations, staffing, and other day-to-day activities in support of
emergency management, including hazard mitigation staffing of the State Hazard
Mitigation Officer (SHMO) position. Proposed staffing activities should be linked to
accomplishing the projects and activities outlined in the EMPG Program Work Plan. To
ensure adequate resources are dedicated to the critical components of preparedness,
grantees are encouraged to fund at least one dedicated Planner, Training Officer, and
Exercise Officer.
Personnel costs, including salary, overtime, compensatory time off, and associated
fringe benefits, are allowable costs with FY 2012 EMPG Program funds. These costs
must comply with 2 CFR Part §225, Cost Principles for State, Local, and Indian Tribal
Governments (Office of Management and Budget [OMB] Circular A-87).

25
Appendix C – Funding Guidelines

Equipment
In accordance with 44 CFR 13.32, allowable equipment categories for the FY 2012
EMPG Program are listed on the web-based version of the Authorized Equipment List
(AEL) on the Responder Knowledge Base (RKB), which is sponsored by FEMA at
http://www.rkb.us. 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.
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)
Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Reference
Materials (Category 11)
CBRNE Incident Response Vehicles (Category 12)
Physical Security Enhancement Equipment (Category 14)
CBRNE Logistical Support Equipment (Category 19)
Other Authorized Equipment (Category 21)

In addition to the above, general purpose vehicles (such as sports utility vehicles) are
allowed to be procured in order to carry out the responsibilities of the EMPG Program.
If State agencies and/or local governments have questions concerning the eligibility of
equipment not specifically addressed in the AEL, they should contact their FEMA
Regional Program Analyst for clarification.
Grantees (including sub-grantees) that are using FY 2012 EMPG Program funds to
support emergency communications activities should comply with the FY 2012
SAFECOM Guidance for Emergency Communication Grants, including provisions on
technical standards that ensure and enhance interoperable communications.
Emergency communications activities include the purchase of Interoperable
Communications Equipment and technologies such as voice-over-internet protocol
bridging or gateway devices, or equipment to support the build out of wireless
broadband networks in the 700 MHz public safety band under the Federal
Communications Commission Waiver Order. SAFECOM guidance can be found at
http://www.safecomprogram.gov.
Training
FY 2012 EMPG Program funds may be used for a range of emergency managementrelated training activities to enhance the capabilities of State and local emergency
management personnel through the establishment, support, conduct, and attendance of
training. Training activities should align to a current, Multi-Year TEP developed through
an annual TEPW. Further guidance concerning the Training and Exercise Plan and the
26
Appendix C – Funding Guidelines

Training and Exercise Plan Workshop can be found at https://hseep.dhs.gov. Training
should foster the development of a community oriented approach to emergency
management that emphasizes engagement at the community level, strengthens best
practices, and provides a path toward building sustainable resilience. All EMPG
Program funded personnel shall participate in no less than three exercises in a 12
month period and should complete the following training requirements and record proof
of completion.
EMPG Program funds used for training should support the nationwide implementation of
NIMS. The NIMS Training Program establishes a national curriculum for NIMS and
provides information on NIMS courses; grantees are encouraged to place emphasis on
the core competencies as defined in the NIMS Training Program. The NIMS Training
Program can be found at
http://www.fema.gov/pdf/emergency/nims/nims_training_program.pdf.
The NIMS Guideline for Credentialing of Personnel provides guidance on the national
credentialing standards. The NIMS Guidelines for Credentialing can be found at
http://www.fema.gov/pdf/emergency/nims/nims_cred_guidelines_report.pdf.
To ensure the professional development of the emergency management workforce, the
grantee must ensure a routine capabilities assessment is accomplished and a multiyear training plan is developed and implemented.
Additional types of training include, but are not limited to, the following:
•
•
•
•
•

Developing/enhancing systems to monitor training programs
Conducting all hazards emergency management training
Attending Emergency Management Institute (EMI) training or delivering EMI
train-the-trainer courses
Attending other FEMA-approved emergency management training
Mass evacuation training at local, State, and tribal levels

Allowable training-related costs include the following:
•

•

Funds Used to Develop, Deliver, and Evaluate Training. Includes costs
related to administering the training: planning, scheduling, facilities, materials and
supplies, reproduction of materials, and equipment. Training should provide the
opportunity to demonstrate and validate skills learned, as well as to identify any
gaps in these skills. Any training or training gaps, including those for children
and individuals with disabilities or access and functional needs, should be
identified in the AAR/IP and addressed in the training cycle.
Overtime and Backfill. The entire amount of overtime costs, including
payments related to backfilling personnel, which are the direct result of
attendance at FEMA and/or approved training courses and programs are
allowable. These costs are allowed only to the extent the payment for such
services is in accordance with the policies of the State or unit(s) of local
27
Appendix C – Funding Guidelines

•
•

•

government and has the approval of the State or the awarding agency,
whichever is applicable. In no case is dual compensation allowable. That is, an
employee of a unit of government may not receive compensation from their unit
or agency of government AND from an award for a single period of time (e.g.,
1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities.
Travel. Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as
expenses by employees who are on travel status for official business related to
approved training.
Hiring of Full or Part-Time Staff or Contractors/Consultants. Full- or parttime 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
Exercises implemented with grant funds should evaluate performance of the capabilities
required to achieve exercise objectives. Exercise activities should align to a current,
Multi-Year TEP developed through an annual TEPW. Further guidance concerning the
TEP and the TEPW can be found at https://hseep.dhs.gov. Grantees are encouraged
to develop exercises that test their EOPs in accordance with the FY 2012 Priority
requirements.
Allowable exercise-related costs include:
•

•

Funds Used to Design, Develop, Conduct and Evaluate an Exercise. This
includes costs related to planning, meeting space and other meeting costs,
facilitation costs, materials and supplies, travel, and documentation. Grantees
are encouraged to use free public space/locations/facilities, whenever available,
prior to the rental of space/locations/facilities. Exercises should provide the
opportunity to demonstrate and validate skills learned, as well as to identify any
gaps in these skills. Any exercise or exercise gaps, including those for children
and individuals with disabilities or access and functional needs, should be
identified in the AAR/IP and addressed in the exercise cycle.
Hiring of Full or Part-Time Staff or Contractors/Consultants. Full- or part –
time staff may be hired to support direct exercise activities. Payment of salaries
and fringe benefits must be in accordance with the policies of the State or unit(s)
of local government and have the approval of the State or the awarding agency,
whichever is applicable. The services of contractors/consultants may also be
procured to support the design, development, conduct and evaluation of
exercises.

28
Appendix C – Funding Guidelines

•

•
•
•
•

Overtime and Backfill. The entire amount of overtime costs, including
payments related to backfilling personnel, which are the direct result of time
spent on the design, development and conduct of exercises are allowable
expenses. These costs are allowed only to the extent the payment for such
services is in accordance with the policies of the State or unit(s) of local
government and has the approval of the State or the awarding agency,
whichever is applicable. In no case is dual compensation allowable. That is, an
employee of a unit of government may not receive compensation from their unit
or agency of government AND from an award for a single period of time (e.g.,
1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities.
Travel. Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as
expenses by employees who are on travel status for official business related to
the planning and conduct of the exercise projects
Supplies. Supplies are items that are expended or consumed during the course
of the planning and conduct of the exercise projects (e.g., gloves, non-sterile
masks, and disposable protective equipment)
Implementation of HSEEP. This refers to costs related to developing and
maintaining a self-sustaining State HSEEP which is modeled after the national
HSEEP
Other Items. These costs are limited to items consumed in direct support of
exercise activities such as the rental of space/locations for planning and
conducting an exercise, rental of equipment, and the procurement of other
essential nondurable goods. Grantees are encouraged to use free public
space/locations, whenever available, prior to the rental of space/locations. Costs
associated with inclusive practices and the provision of reasonable
accommodations and modifications that facilitate full access for children and
adults with disabilities.

Unauthorized exercise-related costs include:
•

•
•

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

Construction and Renovation
Construction and renovation activities for a State, local, or tribal government’s principal
EOC as defined by the SAA are allowable under the EMPG Program.
The FY 2012 EMPG Program grantees using funds for construction projects must
comply with the Davis-Bacon Act (40 U.S.C. 3141 et seq.). Grant recipients must
ensure that their contractors or subcontractors for construction projects pay workers
employed directly at the work-site no less than the prevailing wages and fringe benefits
29
Appendix C – Funding Guidelines

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/compliance/laws/comp-dbra.htm.
Written approval must be provided by FEMA prior to the use of any EMPG Program
funds for construction or renovation. Requests for EMPG Program funds for
construction of an EOC must be accompanied by an EOC Investment Justification
(FEMA Form 089-0-0-3; OMB Control Number; 1660-0124 (available through ND
grants) to their Program Analyst for review.
When applying for construction funds, including communications towers, at the time of
application, grantees are highly encouraged to submit evidence of approved zoning
ordinances, architectural plans, any other locally required planning permits and
documents, and to have completed as many steps as possible for a successful EHP
review in support of their proposal for funding (e.g., completing the FCC’s Section 106
review process for tower construction projects; coordination with their State Historic
Preservation Office to identify potential historic preservation issues and to discuss the
potential for project effects). Projects for which the grantee believes an Environmental
Assessment (EA) may be needed, as defined in 44 CFR 10.8 and 10.9, must also be
identified to the FEMA Program Analyst within six (6) months of the award and
completed EHP review packets must be submitted no later than 12 months before the
end of the Period of Performance. EHP review packets should be sent to
[email protected].
When applying for EOC construction funds, at the time of application, grantees are
highly encouraged to submit evidence of approved zoning ordinances, architectural
plans, any other locally required planning permits and documents, and to have
completed all required steps for a successful EHP review in support of their proposal for
funding (e.g., coordination and consultation).
Maintenance and Sustainment
The use of FEMA preparedness grant funds for maintenance contracts, warranties,
repair or replacement costs, upgrades, and user fees are allowable under all active and
future grant awards, unless otherwise noted.
FY 2012 grant funds are intended to support the NPG and fund projects that build and
sustain the capabilities necessary to prevent, protect against, mitigate the effects of,
respond to, and recover from those threats that pose the greatest risk to the security of
the Nation. In order to provide grantees the ability to meet this objective, the policy set
forth in GPD’s Information Bulletin 336 (Maintenance and Sustainment) has been
expanded to allow for the support of equipment that has previously been purchased with
both Federal grant and non-Federal grant funding. The eligible costs for maintenance
and sustainment must be an otherwise allowable expenditure under the applicable
grant programs, and be tied to one of the core capabilities in the five mission areas
contained within the NPG and be deployable through EMAC, where applicable.

30
Appendix C – Funding Guidelines

3. Unallowable Costs
•
•
•

Expenditures for weapons systems and ammunition
Costs to support the hiring of sworn public safety officers for the purposes of
fulfilling traditional public safety duties or to supplant traditional public safety
positions and responsibilities
Activities unrelated to the completion and implementation of the EMPG Program

In general, grantees should consult with their FEMA Regional Program Analyst prior to
making any Investment that does not clearly meet the allowable expense criteria
established in this Guidance.

31
Appendix C – Funding Guidelines

Appendix D - FY 2012 EMPG Program Work Plan
Work Plan Instructions
All EMPG Program applicants are encouraged to use the template to submit a required
Work Plan that outlines the State’s emergency management sustainment and
enhancement efforts, including new and ongoing projects, proposed for the FY 2012
EMPG Program period of performance. The Work Plan consists of a Program and
Budget Narrative, Personnel Data Table, Training Data Table, Exercise Data Table, and
Grant Activities Outline. FEMA regional offices will work closely with States to monitor
Work Plans during the performance period. In addition, FEMA regional offices must
approve final Work Plans before States may draw down EMPG Program funds. Grant
funds will be released on a rolling basis upon approval of the State’s final Work Plan.
Work Plan Template
For a detailed description and examples of the Work plan Template, including the
Program and Budget Narrative, Personnel, Training and Exercise Data Tables and the
EMPG Program Grant Activities Outlines to the FY 2012 EMPG Program Guidance see
http://www.fema.gov/government/grant/empg/.
FY 2012 EMPG Program Work Plan
I. Program and Budget Narrative. Provide a brief description of the State
emergency management priorities and initiatives that will be addressed with FY
2012 EMPG Program funds. In addition, the narrative should address, if
applicable, the following:
•
•

•
•

Overview of the State’s risk profile such as resulting from a THIRA
Areas of need identified through assessment processes such as the State
Preparedness Report, Emergency Management Accreditation Program
Assessment Process, or other Emergency Management assessment
processes.
Baseline inventory of where States are now relative to goals and objectives
identified in relevant strategic plans
State emergency management priorities and planning focus for FY 2012
(including linkage to the core capabilities identified in the NPG)

II. Personnel Data Table. To facilitate consistent data reporting and performance
measures collection, a Personnel Data Table should be completed for
personnel supported with FY 2012 EMPG Program funds. The data requested
will assist in documenting the extent to which EMPG Program funding
contributes to enhancing or sustaining emergency management capacity in
terms of personnel support at the State level. This template will serve as the
first component of the Quarterly Performance Progress Report.

32
Appendix D – FY 2012 EMPG Program Work Plan

FY 2012 Personnel Data Table Template
Personnel Metrics

Data

Funds allocated towards State emergency management personnel
Funds allocated towards State contractors
Non-EMPG Program funds allocated towards State emergency management
personnel
Total Number of State emergency management full-time equivalent (FTE)
personnel (including those supported and not supported by the EMPG Program)
Number of State emergency management full-time equivalent (FTE) personnel
supported by the EMPG Program

III. Training Data Table. To facilitate consistent data reporting and performance
measures collection, a Training Data Table should be completed for training
sessions funded with FY 2012 EMPG Program funds. The data requested will
be used to assess the strategic allocation of training funds according to longterm core capability development. Grantees are encouraged to list the name of
the training course, total the number of personnel trained, number of EMPG
Program supported personnel trained and whether the funded training is
aligned to the State’s Multi-Year TEP. Grantees should report quarterly
completion of planned training activities in the Grant Activities Outline using
EMF #13 (“Training”), and the number of personnel trained should be included
in the “Comments” section. All EMPG Program funded personnel shall
participate in no less than three exercises, have completed the listed training
requirements, and record proof of completion.
FY 2012 Training Data Table Template

Name of Training

Number of
Personnel Trained

Number of EMPG
Program funded
personnel

Number of EMPG
Program
supported
Personnel Trained

Training Aligned
to Multi-Year
Training and
Exercise Plan and
NPG Core
Capabilities?
(Yes/No)

IV. Exercise Data Table. To facilitate consistent data reporting and performance
measures collection, an Exercise Data Table should be completed for
exercises conducted using FY 2012 EMPG Program funds. The data
33
Appendix D – FY 2012 EMPG Program Work Plan

requested will be used to assess the extent to which funded exercises test
jurisdiction-specific capability requirements. Grantees are encouraged to list
the number of discussion-based exercises funded by type, the number of
operations-based exercises funded by type, the name or description of each
exercise, and whether the exercise tests the Emergency Operations Plan.
Grantees should report quarterly completion of planned exercise activities in
the Grant Activities Outline using EMF #14 (“Exercises, Evaluations and
Corrective Actions”), and the number of exercises completed should be
included in the “Comments” section. The table on the following page should be
used to document progress toward FY 2012 Priority requirements.

34
Appendix D – FY 2012 EMPG Program Work Plan

FY 2012 Exercise Data Table Template

Type of Exercise

Number of
Exercises

Number
Counting
Towards
Multi-Year
TEP

Number of
EMPG
Program
Funded
Personnel

Number of EMPG
Program Funded
Personnel
Participating in
Exercise

Name or
Description

Exercise
Aligned to
Emergency
Operations
Plan and NPG
Core
Capabilities?
(Yes/No)

Discussion-Based
Seminar
• AAR complete
• Corrective
Actions identified
Workshop
• AAR complete
• Corrective
Actions identified
Tabletop Exercise
(TTX)
• AAR complete
• Corrective
Actions identified
Game
• AAR complete
• Corrective
Actions identified
Progress made towards addressing Corrective Actions. Please indicate at least the percentage progress made towards the
addressing the findings and recommendations of the AAR. Provide more details if satisfactory progress has not been made.
Operations-Based
Drill
• AAR complete
• Corrective
Actions identified
Functional Exercise
• AAR complete
• Corrective
Actions identified
Full-Scale Exercise
• AAR complete
• Corrective
Actions identified
Progress made towards addressing Corrective Actions. Please indicate at least the percentage progress made towards the
addressing the findings and recommendations of the AAR. Provide more details if satisfactory progress has not been made.
Progress made
towards completing
Multi-Year TEP

35
Appendix D – FY 2012 EMPG Program Work Plan