FY 2012 EMERGENCY MANAGEMENT PERFORMANCE GRANTS 
(EMPG) PROGRAM 

FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) 


OVERVIEW 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) 

 

 


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. 


FOA EXECUTIVE SUMMARY 

 

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 


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. 

 


FULL FOA 

 

I. Funding Opportunity Description 

 

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 


 

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

 

II. Funding Information 

 

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 


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. Eligibility Information 

 

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. Funding Restrictions 

 

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. Application Review Information and Selection Process 

 

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. 

 


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. Post-Selection and Pre-Award Guidelines 

 

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-policy-
manual.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. 



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_forms/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; 



• 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 Contact Information 

 

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 



11 
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 ASK-GMD@dhs.gov. 
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 gpdehpinfo@fema.gov. 
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 
askcsid@fema.gov 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 ndgrants@fema.gov or (800) 865-4076. 
VIII. Other Critical Information 
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. 

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#item2. 

 

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. How to Apply 

 

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. Application and Submission Information 

 

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.” 

 


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 ndgrants@fema.gov 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 



• 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. 


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 

$15,099,475 

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 

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 

$19,104,010 

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 

 

 

$339,500,000 



 

 


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 


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: 


• 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, 


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. 


 


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 
askcsid@fema.gov and ask for a copy of the “FY11 EMPG Requirements” message 
dated November 11, 2011. 

 


The TEP should be submitted to hseep@dhs.gov 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 12-
month period. Please note that response to any real-world events within a 12-
month 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 hseep@dhs.gov. 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 real-
world 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 full-
scale 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. 


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.


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 



• 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 


 

 

 


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). 

 


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 management-
related training activities to enhance the capabilities of State and local emergency 
management personnel through the establishment, support, conduct, and attendance of 
training. Training activities should align to a current, Multi-Year TEP developed through 
an annual TEPW. Further guidance concerning the Training and Exercise Plan and the 


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 multi-
year 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 



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 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 

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. 



• 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 


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 
gpdehpinfo@fema.gov. 

 

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. 

 


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. 

 


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. 




 

 


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 long-
term 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 





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. 




 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


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