Effective April 4, 2022, the Federal Government transitioned from using the Data Universal Numbering System or DUNS number, to a new, non-proprietary identifier known as a Unique Entity Identifier or UEI. For entities that have an active registration in SAM.gov prior to the April 4 date, the UEI has automatically been assigned and no action is necessary. For all entities filing a new registration in SAM.gov on or after April 4, 2022, the UEI will be assigned to that Entity as part of the SAM.gov registration process.
Unique Entity Identifier registration information is available on GSA.gov at: Unique Entity Identifier Update | GSA.
Grants.gov registration information can be found at: https://www.grants.gov/web/grants/register.html. Detailed information regarding UEI and SAM is also provided in Section D of this funding notice.
Table of Contents
- Issued By
- Assistance Listings Number
- Assistance Listings Title
- Funding Opportunity Title
- Funding Opportunity Number
- Authorizing Authority for Program
- Appropriation Authority for Program
- Announcement Type
- Program Category
- Program Overview, Objectives, and Priorities
- Performance Measures
- Available Funding for the NOFO: $12 million
- Projected Number of Awards: 5-10
- Maximum Award Amount: $3 million
- Period of Performance: 36 months
- Projected Period of Performance Start Date(s): October 1, 2023
- Projected Period of Performance End Date(s): September 30, 2026
- Funding Instrument Type: Grant
- Eligible Applicants
- Applicant Eligibility Criteria
- Other Eligibility Criteria
- Cost Share or Match
- Key Dates and Times
- Agreeing to Terms and Conditions of the Award
- Address to Request Application Package
- Requirements: Obtain a Unique Entity Identifier (UEI) and Register in the System for Award Management (SAM)
- Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application
- Electronic Delivery
- How to Register to Apply through Grants.gov
- How to Submit an Initial Application to FEMA via Grants.gov
- Submitting the Final Application in ND Grants
- Timely Receipt Requirements and Proof of Timely Submission
- Content and Form of Application Submission
- Intergovernmental Review
- Funding Restrictions and Allowable Costs
- Application Evaluation Criteria
- Review and Selection Process
- Notice of Award
- Pass-Through Requirements
- Administrative and National Policy Requirements
- Monitoring and Oversight
- Contact and Resource Information
- Systems Information
- Termination Provisions
- Program Evaluation
- Period of Performance Extensions
- Disability Integration
- Conflicts of Interest in the Administration of Federal Awards or Subawards
- Procurement Integrity
- Record Retention
- Actions to Address Noncompliance
- Payment Information
- Procedures for Establishing Indirect Cost Rates
- Whole Community Preparedness
A. Program Description
1. Issued By
U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA)/Grant Programs Directorate (GPD)
2. Assistance Listings Number
3. Assistance Listings Title
Regional Catastrophic Preparedness Grant Program (RCPGP)
4. Funding Opportunity Title
Fiscal Year 2023 Regional Catastrophic Preparedness Grant Program (RCPGP)
5. Funding Opportunity Number
|Grant Program Title||NOFO Number|
|RCPGP – Region I||DHS-23-GPD-111-01-01|
|RCPGP – Region II||DHS-23-GPD-111-02-01|
|RCPGP – Region III||DHS-23-GPD-111-03-01|
|RCPGP – Region IV||DHS-23-GPD-111-04-01|
|RCPGP – Region V||DHS-23-GPD-111-05-01|
|RCPGP – Region VI||DHS-23-GPD-111-06-01|
|RCPGP – Region VII||DHS-23-GPD-111-07-01|
|RCPGP – Region VIII||DHS-23-GPD-111-08-01|
|RCPGP – Region IX||DHS-23-GPD-111-09-01|
|RCPGP – Region X||DHS-23-GPD-111-10-01|
6. Authorizing Authority for Program
Consolidated Appropriations Act, 2023, Pub. L. No. 117-328, Division F – Department of Homeland Security Appropriations Act, 2023, Title III Protection, Preparedness, Response, and Recovery, Federal Emergency Management Agency, Federal Assistance
7. Appropriation Authority for Program
Consolidated Appropriations Act, 2023, Pub. L. No. 117-328, Division F – Department of Homeland Security Appropriations Act, 2023, Title III Protection, Preparedness, Response, and Recovery, Federal Emergency Management Agency, Federal Assistance
8. Announcement Type
9. Program Category
Preparedness: Emergency Management
10. Program Overview, Objectives and Priorities
Preparedness is a shared responsibility that spans across federal, state, local, tribal and territorial governments; the private sector; non-governmental organizations; and the American people. It requires an approach that engages individuals, families, communities, private and nonprofit sectors, faith-based organizations, and all levels of government across the whole community. The purpose of the RCPGP is to build state and local capacity to manage catastrophic incidents by improving and expanding regional collaboration, across the whole community.
As part of this whole community approach, it is critical that regional catastrophic preparedness investments focus on the needs of underserved communities and vulnerable populations. Natural disasters, worsened by the effects of climate change, often disproportionately affect people in underserved communities where weakened infrastructure, fewer resources, and less support invested in hazard mitigation can compound a disaster’s impact, thus worsening inequalities already present in society. Therefore, to effectively address equity in emergency management, the evolving threats and risks associated with climate change1 and other factors that affect community-level resiliency must also be considered when developing RCPGP investments.
The Fiscal Year (FY) 2023 RCPGP represents one part of a comprehensive set of actions authorized by Congress and implemented by DHS to build preparedness capabilities. The National Preparedness Goal (the Goal) defines what it means to be prepared for a wide range of threats and hazards, including catastrophic incidents. Please see Section 10c of this NOFO with a table of potential RCPGP activities, and Appendix E of this NOFO for a comprehensive list of projects approved in FY 2022.
The National Preparedness System is the instrument the nation employs to build, sustain, and deliver core capabilities needed to achieve the goal of a more secure and resilient nation. Each community contributes to achieving the Goal by addressing the risks that are most relevant and urgent for them individually, which in turn strengthens the collective security and resilience of the nation. They do this through the National Preparedness System components of:
- Identifying and Assessing Risk;
- Estimating Capability Requirements;
- Building and Sustaining Capabilities;
- Planning to Deliver Capabilities;
- Validating Capabilities; and
- Reviewing and Updating.
Of the five basic mission areas in the DHS Strategic Plan for Fiscal Years 2020-2024, the RCPGP supports Goal 5: Strengthen Preparedness and Resilience, which holds that the United States can effectively manage emergencies and mitigate the harm to American communities by thoroughly preparing local communities, rapidly responding during crises, and supporting recovery. The FY 2023 RCPGP also aligns to the 2022–2026 FEMA Strategic Plan, which outlines a bold vision and three ambitious goals designed to address key challenges the agency faces during a pivotal moment in the field of emergency management. Wide-ranging and long-term, the goals defined in the plan respond to the changing landscape in which we find ourselves. The goals to meet this challenge are:
- Goal 1 – Promote and Instill Equity as a Foundation of Emergency Management;
- Goal 2 – Lead Whole of Community in Climate Resilience; and
- Goal 3 – Promote and Sustain a Ready FEMA and Prepared Nation.
These goals position FEMA to address the increasing range and complexity of disasters, support the diversity of communities we serve, and complement the nation’s growing expectations of the emergency management community. FEMA invites all its stakeholders and partners to also adopt these goals and join in building a stronger, more prepared, and resilient nation.
In support of the above goals, the strategic priority for the FY 2023 RCPGP is investing in the following core capabilities: Housing, Community Resilience, and Long-Term Vulnerability Reduction. Community and regional level resilience plans and strategies address the full range of hazards and stressors affecting the ability of communities to survive, adapt, and thrive and enable effective risk reduction. Communities facing severe challenges with affordable housing that is resilient to all hazards, or long-term vulnerability reduction, may use this planning grant to develop specific targeted resilience strategies and plans, or integrate these challenges into broader approaches. Communities may also use this grant to enhance existing plans and strategies to better address the broad range of resilience challenges they may face. These plans and strategies can serve as a tool for leveraging support for federal investments in infrastructure and other community resilience needs.
Furthermore, priority will be given to those planning efforts that address the needs of disadvantaged communities who might be at special risk because of current and/or future hazards, including those associated with climate change. By addressing the needs of disadvantaged communities, the FY 2023 RCPGP aims to ensure consistent and systematic, fair, just, and impartial treatment of all individuals before, during, and after a disaster.
The above priority is guided by the Justice40 Initiative, which commits the federal government to delivering 40% of the overall benefits of climate and other federal investments to disadvantaged communities that have been historically marginalized, underserved, and overburdened by pollution. In support of this priority, recipients are expected to involve representatives of disadvantaged communities in the development of local/community preparedness and readiness plans and integration of those plans into broader whole-of-government efforts. See “Supplemental Equity Guidance” in Section 10.c. Priorities for additional information on this topic.
Additionally, when developing project proposals, FEMA encourages applicants to coordinate the provision of the education, tools, and training for emergency managers and other key stakeholders to:
- Identify and address the emerging risks and future conditions caused by climate change and increase community-level resilience within the identified disadvantaged communities; and,
- Support integration of climate change data into local planning, including hazard mitigation, emergency management, and community planning processes.
FEMA also encourages recipients to plan for and develop research-supported, proactive investments in community resilience.
catastrophic incidents by improving and expanding regional collaboration among emergency managers and other preparedness stakeholders. The National Response Framework (4th Edition or superseding edition) defines a catastrophic incident as any natural or manmade incident, including terrorism, that results in extraordinary levels of mass casualties, damage, or disruption affecting the population, infrastructure, environment, economy, national morale, or government functions. The regional interdependencies of effective prevention, protection, mitigation, response, and recovery activities require a cohesive regional approach to catastrophic planning, to include community-level stakeholder involvement to maximize both regional and community-level resilience.
In addition to the above, the core capability descriptions, and related objectives for each, can help guide development FY 2023 RCPGP project proposals, as explained below.
- FEMA defines the Housing core capability as:
Implement housing solutions that effectively support the needs of the whole community and contribute to its sustainability and resilience.
The Core Capability Development Sheet for Housing includes three specific objectives:
- Establish a resilient and sustainable housing market that meets the needs of the community, including the need for accessible housing within the specified timeframe in the recovery plan.
- Assess preliminary housing impacts and needs, identify currently available options for temporary housing, and plan for permanent housing.
- Ensure community housing recovery plans continue to address interim housing needs, assess options for permanent housing, and define a timeline for achieving a resilient, accessible, and sustainable housing market.
- FEMA defines the Community Resilience core capability as:
Enable the recognition, understanding, communication of, and planning for risk and empower individuals and communities to make informed risk management decisions necessary to adapt to, withstand, and quickly recover from future incidents.
The Core Capability Development Sheet for Community Resilience includes two specific objectives:
- Maximize the coverage of the U.S. population that has a localized, risk-informed mitigation plan developed through partnerships across the entire community.
- Empower individuals and communities to make informed decisions to facilitate actions necessary to adapt to, withstand, and quickly recover from future incidents.
- FEMA defines the Long-term Vulnerability Reduction core capability as:
Build and sustain resilient systems, communities, and critical infrastructure and key resources lifelines so as to reduce their vulnerability to natural, technological, and human-caused threats and hazards by lessening the likelihood, severity, and duration of the adverse consequences.
The Core Capability Development Sheet for Long-Term Vulnerability Reduction includes one specific objective:
- Achieve a measurable decrease in the long-term vulnerability of the Nation against current baselines amid a growing population base, changing climate conditions, increasing reliance upon information technology, and expanding infrastructure base.
In support of the 2022–2026 FEMA Strategic Plan, Equity, Climate Resilience, and Readiness continue to be the strategic priorities of the RCPGP. Also, in addition to being a required focus area, Housing is added as a priority. These priorities can also be viewed as strategic outcomes for RCPGP-funded projects. When developing their RCPGP project proposals, applicants should consider how the proposed project can address these priorities and produce meaningful results, using the 2022–2026 FEMA Strategic Plan as a guide.
Because the purpose of the RCPGP is to build state and local capacity to manage catastrophic incidents by improving and expanding regional collaboration across the whole community for catastrophic incident preparedness, this requires focusing RCPGP-funded projects on developing core capabilities that present persistent preparedness challenges, with specific focus on community-level resilience, and an emphasis on addressing the needs of disadvantaged communities and long-term vulnerability reduction within those communities. Additionally, consistent with previous years, housing remains a key focus area, especially through the lenses of equity, climate resilience, and readiness. Housing is also included as a strategic priority to emphasize its vital importance to the disaster recovery mission.
To accomplish priorities and objective outlined above, the FY 2023 RCPGP requires that applicants develop and deliver one planning project that addresses specific capability gaps based on THIRA/SPR results and focuses on housing, community resilience, AND long-term vulnerability reduction, with an emphasis on disadvantaged communities, within the strategic priorities of equity, climate resilience, readiness, and housing. Furthermore, the project must be regional in nature, meaning that the geographic reach of the project must, at a minimum, span the entire Metropolitan Statistical Area (MSA). Additionally, FY 2023 RCPGP applicants are encouraged to develop projects that build a continuous cycle of planning, organizing, training, and exercising with regional partners across the whole community to improve their collective readiness posture. This includes use of RCPGP funding to: formalize new or sustain existing working groups for effective coordination of planning efforts; ensure synchronization of plans and shared best practices; implement citizen and community preparedness campaigns; and develop plans for pre-positioning of needed commodities and equipment.
|RCPGP Focus Area||Examples of Allowable Activities|
Partner with local community leaders, emergency managers, advocacy groups, and other key stakeholders to develop localized, risk-informed mitigation plans. Identify potential funding sources for essential mitigation activities. Develop a unified, regional mitigation plan that addresses the needs of disadvantaged communities and other socially vulnerable populations and supports the local community mitigation plans.
Develop a plan to provide necessary outreach and training to leaders and other key stakeholders representing disadvantaged communities to enable and empower individuals and communities to make informed decisions to facilitate actions necessary to adapt to, withstand, and quickly recover from disasters.
Conduct outreach and training with local community leaders and partners to identify at-risk, disadvantaged communities, analyze their risks, capabilities, and needs, and address those needs as part of a broader planning project that aims to improve community-level resilience.
Partner with local community leaders, emergency managers, and other key stakeholders to exercise emergency operations plans to identify gaps in preparedness capabilities that affect the resilience of disadvantaged communities.
|Long-Term Vulnerability Reduction|
Conduct a comprehensive regional vulnerability assessment aimed at understanding the needs of disadvantaged communities and other socially vulnerable populations relative to identified capability gaps.
In coordination with local community leaders and other key stakeholders, analyze long-term vulnerabilities, including the predicted effects of ongoing climate change, affecting disadvantaged communities across the region and develop a plan for mitigating those vulnerabilities.
Conduct outreach and training with local community leaders and partners to identify at-risk, disadvantaged communities, analyze their long-term vulnerabilities, current capabilities, and long-term needs, and address those needs as part of a broader project that includes developing a plan for reducing vulnerabilities in affected communities.
Establish a resilient and sustainable housing market that meets the needs of the community, including the need for accessible and affordable housing in coordination with community development/housing entities and other key stakeholders.
Partner with local community leaders, community development officials, emergency managers, and other key stakeholders to integrate efforts and review applicable state and local housing assessments, like the Department of Housing and Urban Development’s Consolidated Plans and Action Plans, which are designed to assess affordable housing and community development needs and market conditions, and to make data-driven, place-based investment decisions.
Conduct assessments of affordable housing stock to determine investment strategies to make existing housing more resilient to all hazards.
Develop a unified, regional housing plan that addresses the needs of disadvantaged communities and other socially vulnerable populations and supports the local community planning goals.
Develop a unified regional plan for upgrading existing housing stock to be more resilient to climate change and all hazards.
Develop a regional housing plan that addresses housing instability caused by changes in the climate and includes solutions to increase communities’ climate resilience.
Design new programs that incentivize and enable investment in resilient and affordable housing.
Develop a regional resilient housing committee that includes subject matter experts on vulnerable populations to support assessment and planning.
Identify and address gaps in resilient housing for communities with disabilities and/or access and functional needs as well as pet/animal sheltering.
Conduct trainings with regional partners on topics related to affordable housing and climate resilience.
Develop a unified regional plan for long-term housing after a catastrophic event that identifies and takes steps to rectify capability gaps related to increasing the number of people able to find and secure affordable and resilient long-term housing after a disaster focusing on populations more impacted by disasters.
In coordination with local community leaders and other key stakeholders, review existing disaster housing plans and update as needed to ensure compliance with the latest planning and disaster housing guidance (see reference links below) with a focus on the needs of disadvantaged communities.
A wealth of guidance is available on the internet that can be leveraged to inform and aid development of RCPGP applications. Applicants are advised to conduct their own research but should consider reviewing the information available through FEMA’s website and other websites such as those listed below, which represent a partial listing of publicly available planning resources.
- National Preparedness | FEMA.gov
- Planning Guides | FEMA.gov
- Planning Considerations: Disaster Housing (fema.gov)
- Equity | FEMA.gov
- Climate and Economic Justice Screening Tool (CEJST)
- Resilience Analysis and Planning Tool (RAPT) | FEMA.gov
- CDC/ATSDR Social Vulnerability Index (SVI)
- Community Resilience Estimates (census.gov)
- EJScreen: Environmental Justice Screening and Mapping Tool | US EPA
- Recovery and Resilience Resource Library | FEMA.gov
- Roadmap to Federal Resources for Disaster Recovery | FEMA.gov
- Individuals and Communities | FEMA.gov
- Risk Management | FEMA.gov
- Mitigation Best Practices | FEMA.gov
- Hazard Mitigation Planning | FEMA.gov
- Building Science | FEMA.gov
- Tools for Practitioners | FEMA.gov
- Preparedness Toolkit (fema.gov)
- FEMA Case Study Library | FEMA.gov
- PrepTalks | FEMA.gov
- National Low Income Housing Coalition (nlihc.org)
- Disaster Housing Recovery | National Low Income Housing Coalition (nlihc.org)
- Disaster Housing Recovery Federal Resources | National Low Income Housing Coalition (nlihc.org)
Supplemental Equity Guidance
Underserved and/or disadvantaged communities suffer disproportionately from disasters. Disasters compound the challenges faced by these communities and increase their risk to future disasters. By instilling equity as a foundation of emergency management and striving to meet the unique needs of underserved and/or disadvantaged communities, the emergency management community can work to break this cycle of compounding risks and build a more resilient nation.
Executive Order (EO) 13985 Advancing Racial Equity and Support for Underserved Communities Throughout the Federal Government (Jan. 20, 2021) defines equity as “the consistent and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that have been denied such treatment,” and further defines underserved communities as “populations sharing a particular characteristic, as well as geographic communities, who have been systematically denied a full opportunity to participate in aspects of economic, social, and civic life… such as Black and African American, Hispanic and Latino, Native American, Alaska Native and Indigenous, Asian American, Native Hawaiian and Pacific Islanders, Middle Eastern, and North African persons. It also includes individuals who belong to communities that face discrimination… (including lesbian, gay, bisexual, transgender, and queer persons) …” The EO definition of underserved communities also includes members of religious minorities, persons with disabilities, persons who live in rural areas, and persons otherwise adversely affected by persistent poverty or inequality.
In addition, EO 14008, Tackling the Climate Crisis at Home and Abroad (Jan. 27, 2021) established the Justice40 Initiative, which sets a goal of 40% of overall benefits from certain federal investments flow to disadvantaged communities. Disadvantaged communities, defined via Interim Guidance, may be characterized by variables including, but not limited to: low income; high and/or persistent poverty; high unemployment and underemployment; racial and ethnic segregation, particularly where the segregation stems from discrimination by government entities; linguistic isolation; high housing cost burden and substandard housing; distressed neighborhoods; high transportation cost burden and/or low transportation access; disproportionate environmental stressor burden and high cumulative impacts; limited water and sanitation access and affordability; disproportionate impacts from climate; high energy cost burden and low energy access; jobs lost through the energy transition; access to health care; and all geographic areas within tribal jurisdictions.
Executive Order 14008 also directed the CEQ to create a geospatial tool and annually publish interactive maps highlighting disadvantaged communities. This tool is called the Climate and Economic Justice Screening Tool (CEJST). On Jan. 27, 2023, CEQ issued a memorandum requiring federal agencies to use of CEJST to “identify geographically defined disadvantaged communities for any covered program under the Justice40 Initiative and for programs where a statute directs resources to disadvantaged communities, to the maximum extent possible and permitted by law.” The tool has an interactive map and uses datasets that are indicators of burdens in eight categories: climate change, energy, health, housing, legacy pollution, transportation, water and wastewater, and workforce development. The tool uses this information to identify communities that are experiencing these burdens. These are the communities that are disadvantaged because they are overburdened and underserved. Since the RCPGP is now included as a covered program under the Justice40 Initiative, applicants are directed to use the CEJST to identify disadvantaged communities that will be involved and will directly benefit from the proposed RCPGP project. See Section D.11.b. Program-Specific Required Forms and Information, for additional information relating to use of the CEJST.
The focus on equity and investing in strategies that meet the needs of underserved and/or disadvantaged communities will strengthen the whole of community system of emergency management. FEMA as a whole prioritizes the needs of underserved and/or disadvantaged communities through implementation of Goal 1 - Instill Equity as a Foundation of Emergency Management of the 2022–2026 FEMA Strategic Plan. Substantial and ongoing prioritization of, and investment in, underserved and/or disadvantaged communities is essential for the entire system to be effective and efficient. Engaging the whole community requires all members of the community to be part of the emergency management team, including representatives of underserved and/or disadvantaged communities, diverse community members, social and community service groups and institutions, faith-based and disability advocacy groups, academia, professional associations, the private and nonprofit sectors, and government agencies that may not traditionally have been directly involved in emergency management. The whole community includes children; older adults; individuals with disabilities and others with access and functional needs; those from religious, racial, and ethnically diverse backgrounds; people with limited English proficiency; and owners of animals including household pets and service animals.
Supplemental Climate Resilience Guidance
Climate change is one of the greatest challenges facing emergency managers today, and it will continue to shape the field of emergency management for the next several decades. To meet this challenge, the emergency management field needs to anticipate the increasing demands generated by more extreme and frequent disasters, from wildfires and coastal storms to inland flooding. Additionally, emergency managers must learn to manage and support climate-related emergencies such as drought and extreme heat. Natural disasters, worsened by the effects of climate change, often disproportionately affect people in underserved communities where weakened infrastructure, fewer resources, and less support invested in hazard mitigation can compound a disaster’s impact. Therefore, FEMA recommends that climate change and resilience considerations be cornerstones of how the nation builds resilient communities. Emergency managers at all levels of government need to make targeted efforts to increase resilience, including climate resilience, for underserved individuals and communities.
Climate change has both acute and chronic impacts; communities must be resilient against threats as varied as extreme flooding, drought, hurricanes, and wildfires. Many communities are also faced with aging infrastructure, which can increase the risk of major disasters. As the frequency of these disasters accelerates, FEMA must increase climate adaptation investments across the nation. To have the greatest impact, FEMA encourages smart investments in system-based, community-wide projects to protect those with the most severe and persistent risk: communities can better target investments to the most transformational projects when they better understand the unique risks posed by climate change.
The future disaster environment will not resemble that of the past, or even what is experienced today. To build long-term resilience, communities must understand their future risk and have the resources and capacity to reduce that risk. Even within the same geographic area, different communities will face differing levels of risk due to their unique demographic, economic, and physical characteristics. It is important for the emergency management community to develop capacity to access and interpret accurate information about this localized risk, specifically in light of potential future conditions. This information will help communities better understand their own risks and identify the most appropriate resilience actions. See Goal 2 - Lead Whole of Community in Climate Resilience of the 2022–2026 FEMA Strategic Plan for additional information on this topic.
Supplemental Housing Guidance
Housing and tenancy status is a critical factor in determining social vulnerability. As highlighted in the 2022 National Preparedness Report, investigations of the 2016 flooding incident in Lumberton, NC, conducted by National Institute of Standards and Technology (NIST) and the NIST Center of Excellence for Risk-Based Community Resilience Planning, found a quantitative linkage between flood damage and socio-economics. The initial findings showed housing displacement to be higher for Black and Native American households than for white households. These findings were primarily because households of color were much more likely to be residing in housing located in flood zones. Subsequent reports found connections between populations and their rate of recovery, namely that social vulnerabilities related to race, ethnicity, income, tenancy status, and education levels had the largest impact on recovery rates. Additionally, across all communities, Housing is identified as one of the lowest achieving capabilities (bottom 5) across all the capability targets. It is also one of the least funded.
From a catastrophic risk and national gaps perspective, some of the key capability gap themes that were identified by emergency management experts relating to housing/population resettlement gaps include:
- There’s a need for plans to address population and commodity movements across borders, as well as the cascading impact of surrounding states receiving overwhelming populations
- In terms of capacity/funding there are significant pre-existing economic challenges, including the ongoing housing crisis, that would worsen the impacts of a catastrophic event and require more resources to address housing and resettlement
- There’s a need for exercises to better address the complications of en masse population movements across borders
11. Performance Measures
Communities provide data on their proficiency across 32 core capabilities through the THIRA/SPR, after-action reports, and other preparedness data. FEMA’s evaluation of FY 2023 project proposals will be measured against core capability gaps identified through relevant THIRA/SPR reports and the potential impact the proposed project will have on improving those capabilities.
a. Performance Measures
- FEMA will measure the percent change in targeted capability gaps and percent improvement in the Housing, Community Resilience and Long-Term Vulnerability Reduction core capabilities, as reported through the required THIRA/SPR covering the community.
B. Performance Criteria:
I. FEMA will compare the current baseline capability level of the Housing, Community Resilience and Long-Term Vulnerability Reduction core capabilities against the community’s capability level as reported at the end of the grant. Baseline capability assessments will be taken from the calendar year 2020 THIRA/SPR data; end of the grant performance data will be drawn from the calendar year 2024 THIRA/SPR data.
The specific capability assessments FEMA will use in the RCPGP performance measure analysis include the following:
- Housing: Within (#) (time) of an incident, (#) people requiring long-term housing, including (#) people with access and functional needs requiring accessible long-term housing, find and secure long-term housing.
- Community Resilience: Within (#) (time), (#) households are covered by risk-appropriate insurance, including homeowners, flood, windstorm, and seismic. Every (#) (time), conduct (#) outreach events or activities to increase awareness of locally significant threats and hazards to help the residents be more prepared to prevent, protect against, mitigate, respond to, and recover from those events.
- Long Term Vulnerability Reduction: Every (#) (time), (#) jurisdictions review their building codes, and, if necessary, enact or update risk-appropriate, disaster resilient building codes.
Note: the applicant will provide the (#) and (time) based on their current level of capability and desired/target level of capability that will be achieved with RCPGP grant funds.
B. Federal Award Information
1. Available Funding for the NOFO:
2. Projected Number of Awards:
3. Maximum Award Amount:
4. Period of Performance:
Extensions to the period of performance are allowed. For additional information on period of performance extensions, please refer to Section H of this funding notice.
FEMA awards under most programs, including this program, only include one budget period, so it will be same as the period of performance. See 2 C.F.R. § 200.1 for definitions of “budget period” and “period of performance.”
5. Projected Period of Performance Start Date(s):
October 1, 2023
6. Projected Period of Performance End Date(s):
September 30, 2026
7. Funding Instrument Type:
C. Eligibility Information
1. Eligible Applicants
The following are eligible applicants for this funding opportunity:
- States as defined by eCFR: 2 CFR 200.1 -- Definitions. This definition includes the District of Columbia and territories); and
- Local governments as defined by eCFR: 2 CFR 200.1 -- Definitions.
The following eligibility restrictions for these groups apply:
- A state or territory is eligible to apply if one or more of the 100 most populous Metropolitan Statistical Areas (MSAs) per the Census Bureau’s 2021 Population Estimates (as listed in Appendix A: 100 Most Populous Metropolitan Statistical Areas ) is located within the state or territory. Additionally, the state or territory must obtain the support of the relevant MSA to apply on its behalf. See Section D.10.b Program-Specific Required Forms and Information for additional details on this requirement.
- Local governments must be located within one of the 100 most populous MSAs. DHS/FEMA will accept no more than one application per MSA.
The application may be submitted by either:
- The State Administrative Agency (SAA);
- The first principal city, as indicated in Appendix A: 100 Most Populous Metropolitan Statistical Areas  in bold; or,
- A different local government located within the MSA, only if the application includes a signed letter of support from the office of the chief executive (e.g., mayor or city manager) of the first principal city, as indicated in Appendix A: 100 Most Populous Metropolitan Statistical Areas .
2. Applicant Eligibility Criteria
Applications must conform to the guidance provided in Appendix B: Project Narrative Template of this funding notice. Applicants that do not meet eligibility and application submission requirements will not be evaluated and scored by the review panel.
3. Other Eligibility Criteria
a. National Incident Management System (NIMS) Implementation
Prior to allocation of any federal preparedness awards, recipients must ensure and maintain adoption and implementation of NIMS. The list of objectives used for progress and achievement reporting is on FEMA’s website at https://www.fema.gov/emergency-managers/nims/implementation-training.
Emergency management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment, and/or supplies) to meet incident needs. Utilization of the standardized resource management concepts such as typing, credentialing, and inventorying, promote a strong national mutual aid capability needed to support delivery of core capabilities. Additional information on resource management, NIMS resource typing definitions, job titles, and position qualifications is on FEMA’s website at https://www.fema.gov/emergency-managers/nims/components.
FEMA developed the National Incident Management System Guideline for the National Qualification System to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes and identifies tools that Federal Emergency Response Officials and emergency managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses.
Although state (including territorial), local, tribal, and private sector partners (including nongovernmental organizations) are not required to credential their personnel in accordance with these guidelines, FEMA strongly encourages them to do so to leverage the federal investment in the Federal Information Processing Standards 201 infrastructure and to facilitate interoperability for personnel deployed outside their home jurisdiction.
Additional information about NIMS in general is available on FEMA’s website at https://www.fema.gov/emergency-managers/nims.
b. Project Eligibility Requirements
Project submissions must also meet the requirements outlined in Section D.10. Content and Form of Application Submission and Appendix B: Project Narrative Template of this funding notice.
4. Cost Share or Match
There is no mandatory cost share requirement and no additional points for project scoring will be given for voluntary cost share.
D. Application and Submission Information
1. Key Dates and Times
a. Application Start Date:
May 23, 2023
b. Application Submission Deadline:
July 24, 2023 at 5 p.m. ET
All applications must be received by the established deadline.
The Non-Disaster (ND) Grants System has a date stamp that indicates when an application is submitted. Applicants will receive an electronic message confirming receipt of their submission. For additional information on how an applicant will be notified of application receipt, see the subsection titled “Timely Receipt Requirements and Proof of Timely Submission” in Section D of this NOFO.
FEMA will not review applications that are received after the deadline or consider these late applications for funding. FEMA may, however, extend the application deadline on request for any applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may include technical problems outside of the applicant’s control that prevent submission of the application by the deadline, other exigent or emergency circumstances, or statutory requirements for FEMA to make an award.
Applicants experiencing technical problems outside of their control must notify FEMA as soon as possible and before the application deadline. Failure to timely notify FEMA of the issue that prevented the timely filing of the application may preclude consideration of the award. “Timely notification” of FEMA means: prior to the application deadline and within 48 hours after the applicant became aware of the issue.
A list of FEMA contacts can be found in Section G of this NOFO, “DHS Awarding Agency Contact Information.” For additional assistance using the ND Grants System, please contact the ND Grants Service Desk at (800) 865-4076 or NDGrants@fema.dhs.gov. The ND Grants Service Desk is available Monday through Friday, 9:00 AM – 6:00 PM Eastern Time (ET). For programmatic or grants management questions, please contact your Preparedness Officer or Grants Management Specialist. If applicants do not know who to contact, please contact the FEMA Grants Information Desk by e-mail at email@example.com OR by phone at (800) 368-6498, Monday through Friday, 9 a.m. – 5 p.m. ET.
c. Anticipated Funding Selection Date:
No later than September 08, 2023
d. Anticipated Award Date:
No later than September 29, 2023
e. Other Key Dates:
|Event||Suggested Deadline for Completion|
|Initial registration in SAM.gov (includes UEI issuance)||Four weeks before actual submission deadline|
|Obtaining a valid Employer Identification Number (EIN)||Four weeks before actual submission deadline|
|Creating an account with login.gov||Four weeks before actual submission deadline|
|Registering in SAM or Updating SAM registration||Four weeks before actual submission deadline|
|Registering in Grants.gov||Four weeks before actual submission deadline|
|Registering in SAM or Updating SAM registration||Four weeks before actual submission deadline|
|Registering in ND Grants||Four weeks before actual submission deadline|
|Submitting the application in Grants.gov||Three days before actual submission deadline|
|Starting application in Grants.gov||One week before actual submission deadline|
|Submitting the final application in ND Grants||By the submission deadline|
2. Agreeing to Terms and Conditions of the Award
By submitting an application, applicants agree to comply with the requirements of this NOFO and the terms and conditions of the award, should they receive an award.
3. Address to Request Application Package
Initial applications are processed through the Grants.gov portal. Final applications are completed and submitted through FEMA’s Non-Disaster Grants (ND Grants) System. Application forms and instructions are available at Grants.gov. To access these materials, go to Home | Grants.gov.
4. Requirements: Obtain a Unique Entity Identifier (UEI) and Register in the System for Award Management (SAM)
Each applicant, unless they have a valid exception under 2 CFR 25.110, must:
1) Be registered in Sam.Gov before application submission;
2) Provide a valid Unique Entity Identifier (UEI) in its application; and
3) Continue to always maintain an active System for Award Management (SAM) registration with current information during the Federal Award process.
5. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application
Applying for an award under this program is a multi-step process and requires time to complete. Applicants are encouraged to register early as the registration process can take four weeks or more to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines.
Please review the table above for estimated deadlines to complete each of the steps listed. Failure of an applicant to comply with any of the required steps before the deadline for submitting an application may disqualify that application from funding.
To apply for an award under this program, all applicants must:
- Apply for, update, or verify their Unique Entity Identifier (UEI) number from SAM.gov and Employer Identification Number (EIN) from the Internal Revenue Service;
- In the application, provide an UEI number;
- Have an account with login.gov;
- Register for, update, or verify their SAM account and ensure the account is active before submitting the application;
- Create a Grants.gov account;
- Add a profile to a Grants.gov account;
- Establish an Authorized Organizational Representative (AOR) in Grants.gov;
- Register in ND Grants;
- Submit an initial application in Grants.gov;
- Submit the final application in ND Grants, including electronically signing applicable forms; and
- Continue to maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency. As part of this, applicants must also provide information on an applicant’s immediate and highest-level owner and subsidiaries, as well as on all predecessors that have been awarded federal contracts or federal financial assistance within the last three years, if applicable.
Specific instructions on how to apply for, update, or verify an UEI number or SAM registration or establish an AOR are included below in the steps for applying through Grants.gov.
Applicants are advised that FEMA may not make a federal award until the applicant has complied with all applicable SAM requirements. Therefore, an applicant’s SAM registration must be active not only at the time of application, but also during the application review period and when FEMA is ready to make a federal award. Further, as noted above, an applicant’s or recipient’s SAM registration must remain active for the duration of an active federal award. If an applicant’s SAM registration is expired at the time of application, expires during application review, or expires any other time before award, FEMA may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.
Per 2 C.F.R. § 25.110(c)(2)(iii), if an applicant is experiencing exigent circumstances that prevents it from obtaining an UEI number and completing SAM registration prior to receiving a federal award, the applicant must notify FEMA as soon as possible by contacting firstname.lastname@example.org and providing the details of the circumstances that prevent completion of these requirements. If FEMA determines that there are exigent circumstances and FEMA has decided to make an award, the applicant will be required to obtain an UEI number, if applicable, and complete SAM registration within 30 days of the federal award date.
6. Electronic Delivery
DHS is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. DHS encourages or requires applicants to submit their applications online through Grants.gov, depending on the funding opportunity.
For this funding opportunity, FEMA requires applicants to submit initial applications through Grants.gov and a final application through ND Grants.
7. How to Register to Apply through Grants.gov
a. General Instructions:
Registering and applying for an award under this program is a multi-step process and requires time to complete. Read the instructions below about registering to apply for FEMA funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.
The registration process can take up to four weeks to complete. To ensure an application meets the deadline, applicants are advised to start the required steps well in advance of their submission.
Organizations must also have a Grants.gov account to apply for an award under this program. Creating a Grants.gov account can be completed online in minutes, but UEI and SAM registrations may take several weeks. Therefore, an organization's registration should be done in sufficient time to ensure it does not impact the entity's ability to meet required application submission deadlines. Complete organization instructions can be found on Grants.gov here:
Organization Registration | Grants.gov.
If individual applicants are eligible to apply for this grant funding opportunity, refer to the Applicant Registration Page on Grants.gov.
b. Obtain an UEI Number:
All entities applying for funding, including renewal funding, prior to April 4, 2022, must have a UEI number. Applicants must enter the UEI number in the applicable data entry field on the SF-424 form.
For more detailed instructions for obtaining a UEI number, refer to Sam.gov.
c. Obtain Employer Identification Number
All entities applying for funding must provide an Employer Identification Number (EIN). The EIN can be obtained from the IRS by visiting: Apply for an Employer Identification Number (EIN) Online | Internal Revenue Service (irs.gov).
d. Create a login.gov account:
Applicants only have to create a login.gov account once. For applicants that are existing SAM users, use the same email address for the login.gov account as with SAM.gov so that the two accounts can be linked.
For more information on the login.gov requirements for SAM registration, refer to the Frequently Asked Questions page on Sam.gov.
e. Register with SAM:
All organizations applying online through Grants.gov must register with SAM. Failure to register with SAM will prevent your organization from applying through Grants.gov. SAM registration must be renewed annually. Organizations will be issued a UEI number with the completed SAM registration.
For more detailed instructions for registering with SAM, refer to the Register with SAM page on Grants.gov.
Note: As a new requirement per 2 C.F.R. § 25.200, applicants must also provide the applicant’s immediate and highest-level owner, subsidiaries, and predecessors that have been awarded federal contracts or federal financial assistance within the last three years, if applicable.
i. Additional SAM Reminders
Existing SAM.gov account holders should check their account to make sure it is “ACTIVE.” SAM registration should be completed at the very beginning of the application period and should be renewed annually to avoid being “INACTIVE.” Please allow plenty of time before the grant application submission deadline to obtain an UEI number and then to register in SAM. It may be four weeks or more after an applicant submits the SAM registration before the registration is active in SAM, and then it may be an additional 24 hours before FEMA’s system recognizes the information.
It is imperative that the information applicants provide is correct and current. Please ensure that your organization’s name, address, and EIN are up to date in SAM and that the UEI number used in SAM is the same one used to apply for all other FEMA awards. Payment under any FEMA award is contingent on the recipient’s having a current SAM registration.
ii. Help with SAM
The SAM quick start guide for new recipient registration and SAM video tutorial for new applicants are tools created by the General Services Administration (GSA) to assist those registering with SAM. If applicants have questions or concerns about a SAM registration, please contact the Federal Support Desk or call toll free (866) 606-8220.
f. Create a Grants.gov Account:
The next step in the registration process is to create an account with Grants.gov. If applicable, applicants must know their organization’s UEI number to complete this process.
For more information, follow the on-screen instructions or refer to the Applicant Registration page on Grants.gov.
See also Section D.8 in this NOFO, “Submitting the Final Application in ND Grants,” for instructions on how to register early in ND Grants.
g. Add a Profile to a Grants.gov Account:
A profile in Grants.gov corresponds to a single applicant organization the user represents (i.e., an applicant) or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to one Grants.gov account to access all of your grant applications. To add an organizational profile to your Grants.gov account, if applicable, enter the UEI number for the organization in the UEI field while adding a profile.
For more detailed instructions about creating a profile on Grants.gov, refer to the Add Profile page on Grants.gov.
h. EBiz POC Authorized Profile Roles:
After you register with Grants.gov and create an Organization Applicant Profile, the organization applicant's request for Grants.gov roles and access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the Authorized Organization Representative (AOR) role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role.
For more detailed instructions about creating a profile on Grants.gov, refer to the EBiz POC Authorizes Profile Roles page on Grants.gov. .
i. Track Role Status:
To track your role request, refer to the Track Profile Role Status page on Grants.gov.
j. Electronic Signature:
When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize individuals who are able to make legally binding commitments on behalf of the organization as an AOR; this step is often missed, and it is crucial for valid and timely submissions.
8. How to Submit an Initial Application to FEMA via Grants.gov
Standard Form 424 (SF-424) is the initial application for this NOFO.
Grants.gov applicants can apply online using a workspace. A workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each Notice of Funding Opportunity, you can create individual instances of a workspace. Applicants are encouraged to submit their initial applications in Grants.gov at least seven days before the application deadline.
In Grants.gov, applicants need to submit the following forms:
- SF-424, Application for Federal Assistance; and
- Grants.gov Lobbying Form, Certification Regarding Lobbying
Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities using Workspace, refer to the Workspace Overview page on Grants.gov.
a. Create a Workspace:
Creating a workspace allows you to complete it online and route it through your organization for review before submitting.
b. Complete a Workspace:
Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission.
c. Adobe Reader:
If you decide not to apply by filling out webforms you can download individual PDF forms in Workspace so that they will appear similar to other Standard or DHS forms. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.
NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software.
d. Mandatory Fields in Forms:
In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.
e. Complete SF-424 Fields First:
The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and UEI number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms.
f. Submit a Workspace:
An application may be submitted through workspace by clicking the “Sign and Submit” button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.
g. Track a Workspace:
After successfully submitting a workspace package, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the confirmation page that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace.
h. Additional Training and Applicant Support:
For additional training resources, including video tutorials, refer to the Applicant Training page on Grants.gov.
Grants.gov provides applicants 24/7 (except federal holidays) support via the toll-free number (800) 518-4726, email at email@example.com and the Support Center page on Grants.gov. For questions related to the specific grant opportunity, contact the number listed in the application package of the grant you are applying for.
If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist FEMA with tracking your issue and understanding background information on the issue.
9. Submitting the Final Application in ND Grants
After submitting the initial application in Grants.gov, eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement or, at the latest, seven days before the application deadline. Early registration will allow applicants to have adequate time to start and complete their applications.
Applicants needing assistance registering for the ND Grants system should contact firstname.lastname@example.org or (800) 865-4076. For step-by-step directions on using the ND Grants system and other guides, please see the ND Grants System page on FEMA’s website.
In ND Grants, applicants will be prompted to submit the standard application information and any program-specific information required as described in Section D.10 of this NOFO, “Content and Form of Application Submission.” The Standard Forms (SF) are auto generated in ND Grants, but applicants may access these forms in advance through the Forms tab under the SF-424 family on Grants.gov. Applicants should review these forms before applying to ensure they have all the information required.
For additional application submission requirements, including program-specific requirements, please refer to the subsection titled “Content and Form of Application Submission” under Section D of this NOFO.
10. Timely Receipt Requirements and Proof of Timely Submission
As application submission is a two-step process, the applicant with the AOR role who submitted the application in Grants.gov will receive an acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of its initial application. This notification does not serve as proof of timely submission, as the application is not complete until it is submitted in ND Grants. Applicants can also view the ND Grants Agency Tracking Number by accessing the Details tab in the submitted workspace section in Grants.gov, under the Agency Tracking Number column. Should the Agency Tracking Number not appear, the application has not yet migrated from Grants.gov into the ND Grants System. Please allow 24 hours for your ND Grants application tracking number to migrate.
All applications must be received in ND Grants by 5:00 PM ET on the application deadline. Proof of timely submission is automatically recorded by ND Grants. An electronic date/time stamp is generated within the system when the application is successfully received by ND Grants. Additionally, the applicant(s) listed as contacts on the application will receive a system-generated email to confirm receipt.
11. Content and Form of Application Submission
a. Standard Required Application Forms and Information
The following forms or information are required to be submitted in either Grants.gov or ND Grants. The Standard Forms (SF) are submitted either through Grants.gov, through forms generated in ND Grants, or as an attachment in ND Grants. Applicants may also access the SFs at the SF-424 Family page on Grants.gov.
- SF-424, Application for Federal Assistance, initial application submitted through Grants.gov
- Grants.gov Lobbying Form, Certification Regarding Lobbying, submitted through Grants.gov
II. ND Grants
- SF-424A, Budget Information (Non-Construction), submitted via the forms generated by ND Grants
- For construction under an award, submit SF-424C, Budget Information (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424A
- SF-424B, Standard Assurances (Non-Construction), submitted via the forms generated by ND Grants
- For construction under an award, submit SF-424D, Standard Assurances (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424B
- SF-LLL, Disclosure of Lobbying Activities, submitted via the forms generated by ND Grants
- Indirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. If the applicant does not have or is not required to have an indirect cost rate agreement or proposal, please see Section D.13 of this NOFO, “Funding Restrictions and Allowable Costs,” for further information regarding allowability of indirect costs and whether alternatives to an indirect cost rate agreement or proposal might be available, or contact the relevant FEMA staff identified in Section G of this NOFO, “DHS Awarding Agency Contact Information” for further instructions.
b. Program-Specific Required Forms and Information
RCPGP-specific submission requirements include a project narrative, a budget worksheet and budget narrative (see Appendix E for a Budget and Budget Narrative template that applicants may use), and information regarding regional preparedness partners, as described below. All project narratives must conform with the guidance provided in Appendix B: Project Narrative Template.
The following program-specific forms or information for FY 2023 RCPGP applications are required to be submitted in ND Grants:
- For States and Territories Only: A written, signed statement explaining the statewide or multi-state impact of the proposed investment and attesting to the advance coordination and support of at least one of the 100 most populous MSAs within the state or territory. Applications submitted without the required evidence of support from the applicable MSA will be deemed ineligible.
- For Local Governments Only: A written, signed statement certifying that the applicant’s chief executive (e.g., mayor, city manager, or county executive) and, as applicable, the chief executive of the first principal city of the MSA, supports the application as the local government’s single application being submitted for consideration by FEMA. FEMA reserves the right to exclude multiple applications submitted from the same jurisdiction or to exclude multiple applications from multiple jurisdictions located within the same MSA.
- All Applicants:
- Names of all entities partnering on the project, including but not limited to states, territories, local or tribal governments, nonprofit organizations, and other non-governmental entities. Partner entities can extend beyond the boundaries of the state/territory or MSA and can be located in other states/territories or MSAs, for the purposes of regional collaboration.
- Letters of support from partner entities or a written, signed statement certifying the involvement and support of all partner entities that will participate in the proposed project and, if applicable, information on the relationship between the applicant and partnering entities, e.g., existing letters of cooperation/support or administrative agreements, such as a signed Memorandum of Understanding.
- A list of all counties and disadvantaged communities that will be involved in the project and will directly benefit from the project, including the Census tract numbers associated with each disadvantaged community based on the CEJST.
The involvement of regional preparedness partners is critical to the success of this program. Therefore, DHS/FEMA will take necessary actions to verify the accuracy of written statements that are submitted to satisfy the requirements outlined above. Applications found to contain false or inaccurate information will be rejected. In addition, FEMA will conduct post-award monitoring activities to verify that RCPGP-funded projects are carried out in accordance with the terms and conditions of the award, to include verifying the involvement of committed partner entities and other project details as indicated in the application. Failure to comply the terms and conditions of the award is addressed in the Actions to Address Noncompliance section of this funding notice.
Applicants not familiar with conducting their own THIRA/SPR should consult with their SSAA to utilize the SAA’s THIRA/SPR information or for help developing capability assessments as part of their application. For additional information on the THIRA/SPR, also refer to the Comprehensive Preparedness Guide (CPG) 201, Third Edition.
RCPGP recipients should include their community’s capability levels and target statements for all core capabilities identified as priorities under the FY 2023 RCPGP (i.e., Community Resilience, Long-Term Vulnerability Reduction, and Housing) into their own THIRA/SPR, and/or incorporate their results of those capability assessments into their SAA’s THIRA/SPR.
The following eligibility criteria apply for projects submitted as part of this application:
- Proposed capability-building projects must be regional (spanning at least the entire MSA) and benefit multi-state or intrastate regions.
- Applicants need to propose a capability-building project that is replicable and/or sustainable after the grant period of performance ends.
- Recipients should plan to sustain these new capabilities in subsequent years with non- federal resources.
- Applications will be evaluated using the scoring rubric described in Appendix C: Evaluation Criteria and Scoring.
Each project can address more than one of the Planning, Organization, Training, or Exercise solution areas. Investing in these areas will promote the creation of new capabilities among recipients. Equipment purchases are not allowed under RCPGP.
For more information on the Planning, Organization, Training, or Exercise solution areas, refer to the CPG 201, Third Edition. For further information on application forms or information to submit, see Section D.10, Content and Form of Application Submission. For further information on funding restrictions and allowable costs, see Section D.12, Funding Restrictions and Allowable Costs.
12. Intergovernmental Review
An intergovernmental review may be required. Applicants must contact their state’s Single Point of Contact (SPOC) to comply with the state’s process under Executive Order 12372
(SeeExecutive Orders | National Archives; Intergovernmental Review (SPOC List) (whitehouse.gov).
13. Funding Restrictions and Allowable Costs
All costs charged to awards covered by this NOFO must comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated in the NOFO, or the terms and conditions of the award. This includes, among other requirements, that costs must be incurred, and products and services must be delivered, within the period of performance of the award. See 2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA awards is the same as the period of performance).
In general, the Cost Principles establish standards for the allowability of costs, provide detailed guidance on the cost accounting treatment of costs as direct or administrative costs, and set forth allowability principles for selected items of cost. More specifically, except as otherwise stated in this NOFO, the terms and condition of an award, or other program materials, costs charged to awards covered by this NOFO must be consistent with the Cost Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. In order to be allowable, all costs charged to a FEMA award or applied to the cost share must be reasonable in nature and amount and allocable to the particular FEMA award. Additionally, all costs charged to awards must comply with the grant program’s applicable statutes, policies, requirements in this NOFO as well as with the terms and conditions of the award. If FEMA staff identify costs that are inconsistent with any of these requirements, these costs may be disallowed, and FEMA may recover funds as appropriate, consistent with applicable laws, regulations, and policies.
As part of those requirements, grant recipients and subrecipients may only use federal funds or funds applied to a cost share for the purposes set forth in this NOFO and the terms and conditions of the award, and those costs 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.
a. Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services
Recipients and subrecipients of FEMA federal financial assistance are subject to the prohibitions described in section 889 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (FY 2019 NDAA), Pub. L. No. 115-232 (2018) and 2 C.F.R. §§ 200.216, 200.327, 200.471, and Appendix II to 2 C.F.R. Part 200. Beginning August 13, 2020, the statute – as it applies to FEMA recipients, subrecipients, and their contractors and subcontractors – prohibits obligating or expending federal award funds on certain telecommunications and video surveillance products and contracting with certain entities for national security reasons.
Guidance is available at Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services FEMA Policy #405-143-1, or superseding document.
Additional guidance is available at Contract Provisions Guide: Navigating Appendix II to Part 200 – Contract Provisions for Non-Federal Entity Contracts Under Federal Awards (fema.gov).
Effective August 13, 2020, FEMA recipients and subrecipients may not use any FEMA funds under open or new awards to:
- Procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system;
- Enter into, extend, or renew a contract to procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system; or
- Enter into, extend, or renew contracts with entities that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system.
Per section 889(f)(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered telecommunications equipment or services means:
i. Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation, (or any subsidiary or affiliate of such entities);
ii. For the purpose of public safety, security of Government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities);
iii. Telecommunications or video surveillance services provided by such entities or using such equipment; or
iv. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the People’s Republic of China.
b. Pre-Award Costs
Pre-award costs are allowable only with the prior written approval of DHS/FEMA and as included in the award agreement. To request pre-award costs, a written request must be included with the application, signed by the Authorized Representative of the entity. The letter must outline what the pre-award costs are for, including a detailed budget break-out of pre-award costs from the post-award costs, and a justification for approval.
c. Management and Administration (M&A) Costs
Award recipients may use up to 5% of the RCPGP federal award amount for M&A purposes.
M&A activities are those defined as directly relating to the management and administration of RCPGP funds, such as financial management, reporting, and program and financial monitoring. Some examples of M&A costs include grants management training for M&A staff, equipment and supplies for M&A staff to administer the RCPGP grant, travel costs for M&A staff to attend conferences or training related to the RCPGP, contractual services to support the M&A staff with M&A activities, and auditing costs related to the grant award to the extent required or permitted by statute or 2 C.F.R. Part 200. Characteristics of M&A expenses can include the following: 1) direct costs that are incurred to administer a particular federal award; 2) identifiable and unique to each federal award; 3) charged based on the activity performed for that particular federal award; and 4) not duplicative of the same costs that are included in the approved Indirect Cost Rate Agreement, if applicable. It should be noted that salaries of state and local emergency managers are not typically categorized as M&A, unless the state or local Emergency Management Agency (EMA) chooses to assign personnel to specific M&A activities. In this case, personnel and fringe benefits for M&A is allowable.
d. Indirect Facilities & Administrative (F&A) Costs
Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement. Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist or other relevant FEMA position for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the FEMA Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable. See Section H.11 of this NOFO for additional information on the procedures for establishing an indirect cost rate.
e. Other Direct Costs
- Planning: Planning costs are allowed under this program only as described in this funding notice.
- Organization: Organization costs are allowed under this program only as described in this funding notice.
- Equipment: Equipment costs are NOT allowed under this program.
- Training: Training costs are allowed under this program only as described in this funding notice.
- Exercises: Exercise costs are allowed under this program only as described in this funding notice.
- Personnel: Personnel hiring, overtime, and backfill expenses, including related fringe benefits, are allowed under this program to perform allowable assessment, planning, training, and exercise activities. Overtime costs for backfill and overtime to enable personnel to train or participate in exercises are allowed under this program only as described in this funding notice.
- Consultants/Contractors: Hiring of full-time or part-time contract planners or consultants to assist with identifying gaps, planning, training, and exercise activities are allowed under this program and must be procured in compliance with 2 C.F.R. §§ 200.317 – 200.327. Hiring public safety personnel fulfilling traditional public safety duties is NOT an allowable cost under this program.
- Travel: Domestic travel costs are allowed under this program, as provided for in this funding notice. International travel is not an allowed cost under this program unless approved in advance by DHS/FEMA.
- Conferences: Rental of space/locations for conferences, meetings, workshops, and webinars are allowed under this program to perform assessments, planning, training, and exercise activities in a manner consistent with 2 C.F.R. § 200.432. Recipients are encouraged to use free public space/locations, whenever available, prior to the rental of space/locations.
- Supplies: Materials or supplies are allowed under this program only to support gap identification, planning, training, and exercise activities.
- Construction and Renovation: Construction and renovation costs are NOT allowed under this program.
E. Application Review Information
1. Application Evaluation Criteria
a. Programmatic Criteria
In support of the FY 2023 RCPGP priorities, FEMA’s evaluation of project proposals will be measured against core capability gaps identified through relevant THIRA/SPR reports and the potential impact the proposed project will have on improving those capabilities. Additionally, the scoring rubric that FEMA uses to evaluate project proposals includes various qualitative and quantitative criteria relating to equity and climate resilience. This scoring approach is guided by the Justice40 Initiative.
In general, the highest scoring RCPGP projects will clearly explain:
- Which disadvantaged communities will be involved in the project and will benefit from the project, along with an explanation of the risk factors that make those communities vulnerable;
- How representatives of those disadvantaged communities will participate or otherwise be involved in the project;
- How the project will clearly benefit the affected communities, including the anticipated impact described in both qualitative and quantitative terms; and
- How the proposed project will advance the goal of equity in regional emergency management.
To advance considerations of equity in awarding RCPGP grant funding, FEMA will add additional points to the scores of projects that will benefit disadvantaged communities. Applicants must include the following information to obtain additional points:
- Evidence in the form of letters of support or a written attestation that they coordinated in advance with representatives of the disadvantaged communities that will be directly involved and will benefit from the proposed project; and
- A list of the census tract numbers associated with each disadvantaged community that will be directly involved and will benefit from the proposed project.
Additional points will also be applied to applications that demonstrate use of the Climate and Economic Justice Screening Tool (CEJST) and other appropriate analytical tools to identify specific risks and vulnerabilities in disadvantaged communities and reference those analytics to help justify their proposed project. In addition to the CEJST, other useful analytic tools include:
- Resilience Analysis and Planning Tool (RAPT)
- CDC/ATSDR Social Vulnerability Index (SVI)
- Community Resilience Estimates (census.gov)
See Appendix B: Project Narrative Template for the requirements for addressing these equity and climate resilience-related considerations and other guidance for completing the narrative portion of the application.
See Appendix C: Evaluation Criteria and Scoring for additional details on how equity and climate resilience-related considerations and other criteria are factored into the competitive review and scoring process.
Applications must conform with the guidance provided in Appendix B: Project Narrative Template. FY 2023 RCPGP applications will be evaluated for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed Project Narrative template. Below is a summary of the evaluation criteria. The full criteria can be found in Appendix C: Evaluation Criteria and Scoring, which details the specific criteria aligned to each of the Project Narrative requirements and the maximum number of points an application can receive for each criterion. The five (5) base criteria earn up to 100 total possible points; the bonus criteria bring the total to 130 possible points.
- Need: The applicant demonstrates need for grant funds, including identifying their current capabilities (as applicable) and associated gaps/needs for a project to build beyond current capabilities within the core capabilities of interest. Possible Points: 0–20.
- Project Design: The applicant demonstrates an effective and sustainable project approach for building their current capability within the 36-month period of performance, including the specific project implementation, project management, and regional collaboration approaches. Possible Points: 0–35.
- Impact: The applicant demonstrates the proposed project’s regional impact, including how the project will build the applicant’s capabilities, performance measures the project is expected to achieve, and how the project can be scaled or replicated to benefit national preparedness. Possible Points: 0–25.
- Budget: The applicant demonstrates a reasonable and cost-effective budget (based on the Budget Detail Worksheet and Project Narrative), including explanation of reasonable project costs across the requested categories, the project’s relative cost effectiveness and sustainability, and the applicant’s ability to manage federal grants. Possible Points: 0–20.
- Bonus: Up to 30 bonus points will be applied to applications/project proposals that:
- Provide education, tools, and training for emergency managers and other key stakeholders to identify and address the emerging risks and future conditions caused by climate change and increase community-level resilience within the identified disadvantaged communities;
- Provide education, tools, and training for emergency managers and other key stakeholders to support integration of climate change data into local planning, including hazard mitigation, emergency management, and community planning processes;
- Plan for and develop research-supported, proactive investments in community resilience;
- Support a relatively large number of disadvantaged communities based on CEJST data;
- Benefit multiple states or more than one of the top 100 most-populous MSAs; and/or
- Are submitted by a new or previously unsuccessful RCPGP applicant.
See Appendix C: Evaluation Criteria and Scoring for additional details on how bonus points will be applied.
b. Financial Integrity Criteria
Prior to making a federal award, FEMA is required by 31 U.S.C. § 3354, as enacted by the Payment Integrity Information Act of 2019, Pub. L. No. 116-117 (2020); 41 U.S.C. § 2313; and 2 C.F.R. § 200.206 to review information available through any Office of Management and Budget (OMB)-designated repositories of governmentwide eligibility qualification or financial integrity information, including whether the applicant is suspended or debarred. FEMA may also pose additional questions to the applicant to aid in conducting the pre-award risk review. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant:
i. Financial stability;
ii. Quality of management systems and ability to meet management standards;
iii. History of performance in managing federal award;
iv. Reports and findings from audits; and
v. Ability to effectively implement statutory, regulatory, or other requirements.
c. Supplemental Financial Integrity Criteria and Review
Prior to making a federal award where the anticipated total federal share will be greater than the simplified acquisition threshold, currently $250,000:
i. FEMA is required to review and consider any information about the applicant, including information on the applicant’s immediate and highest-level owner, subsidiaries, and predecessors, if applicable, that is in the designated integrity and performance system accessible through the System for Award Management (SAM), which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS).
ii. An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a federal awarding agency previously entered.
iii. FEMA will consider any comments by the applicant, in addition to the other information in FAPIIS, in making a judgment about the applicant’s integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 C.F.R. § 200.206.
2. Review and Selection Process
a. Initial Review
Eligibility Screening: FEMA will conduct an initial review of all FY 2023 RCPGP applications to verify applicant eligibility and ensure each application is complete. All eligible and complete applications will progress to the review panel phase for further review. FEMA will not process incomplete applications for further review and will not consider them for funding.
FEMA staff will review the following during the eligibility screening:
- Applicant is an eligible jurisdiction as defined under the Eligible Applicants header of Section C of this funding notice.
- Applicant has conformed to the Eligibility Criteria in Section C of this funding notice.
- Applicant has submitted all required assurances and standard forms.
- Applicants from states or territories have submitted a signed letter or statement from the applicable MSAs involved in the project.
- Application includes a Project Narrative that aligns with the format requirements specified in Appendix B: Project Narrative Template.
- Application includes a Budget Detail Worksheet and Budget Narrative (Appendix D: Budget Detail Worksheet Template).
b. Application Review Process
Review Panel: Applications that pass the initial eligibility review will be reviewed and scored by a review panel comprised of personnel from FEMA headquarters and regional offices. Applicants that do not meet eligibility and application submission requirements will not be evaluated and scored by the review panel. The review panel will score applications based on specific criteria aligned to the requirements outlined in Appendix B: Project Narrative Template. Each application will be reviewed by no less than two reviewers. The review panel will score applications based on the evaluation criteria described in Section E of this funding notice and Appendix C: Evaluation Criteria and Scoring, taking into consideration completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed project.
c. Application Selection Process
All final scores will be sorted in descending order and applicants will be selected for recommendation from the highest score to lowest score until available FY 2023 RCPGP funding has been exhausted.
FEMA senior leadership will review all ranked scoring results to prioritize the top-scoring applications. Final funding determinations will be made by the Administrator of FEMA.
F. Federal Award Administration Information
1. Notice of Award
Before accepting the award, the AOR and recipient should carefully read the award package. The award package includes instructions on administering the grant award and the terms and conditions associated with responsibilities under federal awards. Recipients must accept all conditions in this NOFO as well as any specific terms and conditions in the Notice of Award to receive an award under this program.
Notification of award approval is made through the ND Grants system through an automatic electronic mail to the recipient’s authorized official listed in the initial application. The recipient should follow the directions in the notification to confirm acceptance of the award.
Recipients must accept their awards no later than 60 days from the award date. The recipient shall notify FEMA of its intent to accept and proceed with work under the award or provide a notice of intent to decline through the ND Grants system. For instructions on how to accept or decline an award in the ND Grants system, please see the ND Grants Grant Recipient User Guide, which is available with other ND Grants materials on the ND Grants System page on FEMA’s website.
Funds will remain on hold until the recipient accepts the award through the ND Grants system and all other conditions of the award have been satisfied or until the award is otherwise rescinded. Failure to accept a grant award within the 60-day timeframe may result in a loss of funds.
2. Administrative and National Policy Requirements
In addition to the requirements of in this section and in this NOFO, FEMA may place specific terms and conditions on individual awards in accordance with 2 C.F.R. Part 200.
- DHS Standard Terms and Conditions
All successful applicants for DHS grant and cooperative agreements are required to comply with DHS Standard Terms and Conditions, which are available online at DHS Standard Terms and Conditions.
The applicable DHS Standard Terms and Conditions will be those in effect at the time the award was made. What terms and conditions will apply for the award will be clearly stated in the award package at the time of award.
- Ensuring the Protection of Civil Rights
As the Nation works towards achieving the National Preparedness Goal, it is important to continue to protect the civil rights of individuals. Recipients and subrecipients must carry out their programs and activities, including those related to the building, sustainment, and delivery of core capabilities, in a manner that respects and ensures the protection of civil rights for protected populations.
Federal civil rights statutes, such as Section 504 of the Rehabilitation Act of 1973 and Title VI of the Civil Rights Act of 1964, along with DHS and FEMA regulations, prohibit discrimination on the basis of race, color, national origin, sex, religion, age, disability, limited English proficiency, or economic status in connection with programs and activities receiving federal financial assistance from FEMA.
The DHS Standard Terms and Conditions include a fuller list of the civil rights provisions that apply to recipients. These terms and conditions can be found in the DHS Standard Terms and Conditions. Additional information on civil rights provisions is available at the External Civil Rights Division page on FEMA’s website.
Monitoring and oversight requirements in connection with recipient compliance with federal civil rights laws are also authorized pursuant to 44 C.F.R. Part 7.
In accordance with civil rights laws and regulations, recipients and subrecipients must ensure the consistent and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that have been denied such treatment.
- Environmental Planning and Historic Preservation (EHP) Compliance
As a federal agency, FEMA is required to consider the effects of its actions on the environment and historic properties to ensure that all activities and programs funded by FEMA, including grant-funded projects, comply with federal EHP laws, Executive Orders, regulations, and policies, as applicable.
All non-critical new construction or substantial improvement of structures in a Special Flood Hazard Area must, at a minimum, apply the flood elevations of the Federal Flood Risk Management Standard’s Freeboard Value Approach unless doing so would cause the project to be unable to meet applicable program cost-effectiveness requirements. All other types of projects may choose to apply the flood elevations of the Federal Flood Risk Management Standard’s Freeboard Value Approach. See Executive Order (EO) 14030, Climate-Related Financial Risk and FEMA Policy #-206-21-0003, Partial Implementation of the Federal Flood Risk Management Standard for Hazard Mitigation Assistance Programs (Interim) (fema.gov).
Recipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures, and facilities, or new construction including replacement of facilities, must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description along with any supporting documentation requested by FEMA to determine whether the proposed project has the potential to impact environmental resources or historic properties.
In some cases, FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. Federal law requires EHP review to be completed before federal funds are released to carry out proposed projects. FEMA may not be able to fund projects that are not incompliance with applicable EHP laws, Executive Orders, regulations, and policies.
DHS and FEMA EHP policy is found in directives and instructions available on the FEMA.gov EHP page, the FEMA website page that includes documents regarding EHP responsibilities and program requirements, including implementation of the National Environmental Policy Act and other EHP regulations and Executive Orders.
The GPD EHP screening form is located at on the FEMA website. Additionally, all recipients under this funding opportunity are required to comply with the FEMA GPD EHP Policy Guidance, FEMA Policy #108-023-1, available at FEMA Policy Grant Programs Directorate Environmental Planning and Historic Preservation Policy Guidance FEMA Policy # 108-023-1
- National Incident Management System (NIMS) Implementation
In expending funds under this program, recipients that are state, local, tribal, or territorial governments must ensure and maintain adoption and implementation of NIMS. The state, local, tribal, or territorial government must show adoption of NIMS during any point of the period of performance. The list of objectives used for progress and achievement reporting is at NIMS Implementation and Training | FEMA.gov.
Emergency management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment, and/or supplies) to meet incident needs. Using standardized resource management concepts such as typing, credentialing, and inventorying, promote a strong national mutual aid capability needed to support delivery of core capabilities. Additional information on resource management, NIMS resource typing definitions, job titles, and position qualifications is on FEMA’s website at NIMS Components - Guidance and Tools | FEMA.gov.
FEMA developed the National Incident Management System Guideline for the National Qualification System to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes and identifies tools which Federal Emergency Response Officials and emergency managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses.
Although state, local, tribal, and private sector partners (including nongovernmental organizations) are not required to credential their personnel in accordance with these guidelines, FEMA strongly encourages them to do so to leverage the federal investment in the Federal Information Processing Standards 201 infrastructure and to facilitate interoperability for personnel deployed outside their home jurisdiction.
Additional information about NIMS in general is available at National Incident Management System | FEMA.gov.
Recipients are required to submit various financial and programmatic reports as a condition of award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent.
a. Financial Reporting Requirements
i. Federal Financial Report (FFR)
Recipients may review the Federal Financial Reporting Form (FFR) (SF-425) at the Post-Award Reporting Forms page on the Grants.gov website.
Recipients must file the FFR electronically using the Payment and Reporting Systems (PARS).
ii. FFR Reporting Periods and Due Dates
An FFR must be submitted quarterly throughout the Period of Performance (POP), including partial calendar quarters, as well as in periods where no grant award activity occurs. The final FFR is due within 120 calendar days after the end of the POP. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate lack of progress, or are insufficient in detail.
Except for the final FFR due at 120 days after the end of the POP for purposes of closeout, the following reporting periods and due dates apply for the FFR:
|Reporting Period||Report Due Date|
|October 1 – December 31||January 30|
|January 1 – March 31||April 30|
|April 1 – June 30||July 30|
|July 1 – September 30||October 30|
b. Programmatic Performance Reporting Requirements
i. Performance Progress Report (PPR)
Recipients are responsible for providing updated performance reports to FEMA Regions using a Microsoft Word document summary attached in ND Grants on a semiannual basis. The PPRs must be based on the approved RCPGP Project Narrative.
The PPR must include the following in the status summary:
- Provide a brief narrative of the overall project status;
- Identify accomplishments and milestones achieved as they related to building the approved project by Planning, Organization, Training, and Exercises;
- Summarize build expenditures by Planning, Organization, Training, and Exercises;
- Explain how your project addresses equity considerations (if applicable), including the tasks associated with the project that directly addresses equity;
- Explain how your project addresses the impacts of climate change (if applicable), including the tasks associated with the project that directly addresses the impact of climate change;
- Explain how your project addresses readiness (if applicable), including the tasks associated with the project that directly addresses readiness;
- Describe any potential issues that may affect project completion; and
- Describe any potential changes to the selected performance measures for the project.
The following reporting periods and due dates apply for the PPRs:
|Reporting Period||Report Due Date|
|January 1 – June 30||July 30|
|July 1 – December 31||January 30|
Grant recipients will be required to submit an application, annual SPR submission, and final narrative report. If the grant recipient is not otherwise required to complete an annual SPR they must either partner with their state and use the state’s annual SPR submission to meet this requirement or work with their SAA to develop the THIRA/SPR capability assessment as part of their grant application and again at the end of the period of performance.
ii. After-Action Reports/Improvement Plans
For FY 2023 RCPGP funded projects that include exercise activities, recipients must submit an After-Action Report/Improvement Plan (AAR/IP) to email@example.com and copy their Regional RCPGP Program Manager. Submission of AAR/IPs must take place within 90 days following completion of the single exercise or progressive series. Recipients can access a sample AAR/IP template at Preparedness Toolkit Improvement Planning Templates.
c. Closeout Reporting Requirements
i. Closeout Reporting
Within 120 calendar days after the end of the period of performance for the prime award or after an amendment has been issued to close out an award before the original POP ends, recipients must liquidate all financial obligations and must submit the following:
i. The final request for payment, if applicable;
ii. The final FFR (SF-425);
iii. The final progress report detailing all accomplishments, including a narrative summary of the impact of those accomplishments throughout the period of performance;
v. Other documents required by this NOFO, terms and conditions of the award, or other FEMA guidance.
In addition, pass-through entities are responsible for closing out their subawards as described in 2 C.F.R. § 200.344; subrecipients are still required to submit closeout materials within 90 calendar days of the period of performance end date. When a subrecipient completes all closeout requirements, pass-through entities must promptly complete all closeout actions for subawards in time for the recipient to submit all necessary documentation and information to FEMA during the closeout of the prime award.
After the prime award closeout reports have been reviewed and approved by FEMA, a closeout 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 at least three years from the date of the final FFR. The record retention period may be longer, such as due to an audit or litigation, for equipment or real property used beyond the period of performance, or due to other circumstances outlined in 2 C.F.R. § 200.334.
The recipient is responsible for refunding to FEMA any balances of unobligated cash that FEMA paid that are not authorized to be retained per 2 C.F.R. § 200.344(d).
II. Administrative Closeout
Administrative closeout is a mechanism for FEMA to unilaterally move forward with closeout of an award using available award information in lieu of final reports from the recipient per 2 C.F.R. § 200.344(h)-(i). It is a last resort available to FEMA, and if FEMA needs to administratively close an award, this may negatively impact a recipient’s ability to obtain future funding. This mechanism can also require FEMA to make cash or cost adjustments and ineligible cost determinations based on the information it has, which may result in identifying a debt owed to FEMA by the recipient.
When a recipient is not responsive to FEMA’s reasonable efforts to collect required reports needed to complete the standard closeout process, FEMA is required under 2 C.F.R. § 200.344(h) to start the administrative closeout process within the regulatory timeframe. FEMA will make at least three written attempts to collect required reports before initiating administrative closeout. If the recipient does not submit all required reports in accordance with 2 C.F.R. § 200.344, this NOFO, and the terms and conditions of the award, FEMA must proceed to administratively close the award with the information available within one year of the period of performance end date. Additionally, if the recipient does not submit all required reports within one year of the period of performance end date, per 2 C.F.R. § 200.344(i), FEMA must report in FAPIIS the recipient’s material failure to comply with the terms and conditions of the award.
If FEMA administratively closes an award where no final FFR has been submitted, FEMA uses that administrative closeout date in lieu of the final FFR submission date as the start of the record retention period under 2 C.F.R. § 200.334.
In addition, if an award is administratively closed, FEMA may decide to impose remedies for noncompliance per 2 C.F.R. § 200.339, consider this information in reviewing future award applications, or apply special conditions to existing or future awards.
d. Additional Reporting Requirements
i. Disclosing Information per 2 C.F.R. § 180.335
This reporting requirement pertains to disclosing information related to government-wide suspension and debarment requirements. Before a recipient enters into a grant award with FEMA, the recipient must notify FEMA if it knows if it or any of the recipient’s principals under the award fall under one or more of the four criteria listed at 2 C.F.R. § 180.335:
i. Are presently excluded or disqualified;
ii. Have been convicted within the preceding three years of any of the offenses listed in 2 C.F.R. § 180.800(a) or had a civil judgment rendered against it or any of the recipient’s principals for one of those offenses within that time period;
iii. Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state or local) with commission of any of the offenses listed in 2 C.F.R. § 180.800(a); or
iv. Have had one or more public transactions (federal, state, or local) terminated within the preceding three years for cause or default.
At any time after accepting the award, if the recipient learns that it or any of its principals falls under one or more of the criteria listed at 2 C.F.R. § 180.335, the recipient must provide immediate written notice to FEMA in accordance with 2 C.F.R. § 180.350.
ii. Reporting of Matters Related to Recipient Integrity and Performance
Per 2 C.F.R. Part 200, Appendix I § F.3, the additional post-award reporting requirements in 2 C.F.R. Part 200, Appendix XII may apply to applicants who, if upon becoming recipients, have a total value of currently active grants, cooperative agreements, and procurement contracts from all federal awarding agencies that exceeds $10,000,000 for any period of time during the period of performance of an award under this funding opportunity.
Recipients that meet these criteria must maintain current information reported in FAPIIS about civil, criminal, or administrative proceedings described in paragraph 2 of Appendix XII at the reporting frequency described in paragraph 4 of Appendix XII.
iii. Single Audit Report
For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000 or more from all federal funding sources during their fiscal year are required to submit an organization-wide financial and compliance audit report, also known as the single audit report.
The audit must be performed in accordance with the requirements of U.S. Government Accountability Office’s (GAO) Government Auditing Standards, located at the Yellow Book page of the GAO website, and the Audit Requirements of Subpart F of 2 C.F.R. Part 200.
IV. Monitoring and Oversight
Per 2 C.F.R. § 200.337, FEMA, through its authorized representatives, has the right, at all reasonable times, to make site visits or conduct desk reviews to review project accomplishments and management control systems to review award progress and to provide any required technical assistance. During site visits or desk reviews, FEMA will review recipients’ files related to the award. As part of any monitoring and program evaluation activities, recipients must permit FEMA, upon reasonable notice, to review grant-related records and to interview the organization’s staff and contractors regarding the program. Recipients must respond in a timely and accurate manner to FEMA requests for information relating to the award.
Effective monitoring and oversight help FEMA ensure that recipients use grant funds for their intended purpose(s); verify that projects undertaken are consistent with approved plans; and ensure that recipients make adequate progress toward stated goals and objectives. Additionally, monitoring serves as the primary mechanism to ensure that recipients comply with applicable laws, rules, regulations, program guidance, and requirements. FEMA regularly monitors all grant programs both financially and programmatically in accordance with federal laws, regulations (including 2 C.F.R. Part 200), program guidance, and the terms and conditions of the award. All monitoring efforts ultimately serve to evaluate progress towards grant goals and proactively target and address issues that may threaten grant success during the period of performance.
FEMA staff will periodically monitor recipients to ensure that administrative processes, policies and procedures, budgets, and other related award criteria are meeting Federal Government-wide and FEMA regulations. Aside from reviewing quarterly financial and programmatic reports, FEMA may also conduct enhanced monitoring through either desk-based reviews, onsite monitoring visits, or both. Enhanced monitoring will involve the review and analysis of the financial compliance and administrative processes, policies, activities, and other attributes of each federal assistance award, and it will identify areas where the recipient may need technical assistance, corrective actions, or other support.
Financial and programmatic monitoring are complementary processes within FEMA’s overarching monitoring strategy that function together to ensure effective grants management, accountability, and transparency; validate progress against grant and program goals; and safeguard federal funds against fraud, waste, and abuse. Financial monitoring primarily focuses on statutory and regulatory compliance with administrative grant requirements, while programmatic monitoring seeks to validate and assist in grant progress, targeting issues that may be hindering achievement of project goals and ensuring compliance with the purpose of the grant and grant program. Both monitoring processes are similar in that they feature initial reviews of all open awards, and additional, in-depth monitoring of grants requiring additional attention.
Recipients and subrecipients who are pass-through entities are responsible for monitoring their subrecipients in a manner consistent with the terms of the federal award at 2 C.F.R. Part 200, including 2 C.F.R. § 200.332. This includes the pass-through entity’s responsibility to monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, in compliance with federal statutes, regulations, and the terms and conditions of the subaward; and that subaward performance goals are achieved.
In terms of overall award management, recipient and subrecipient responsibilities include, but are not limited to: accounting of receipts and expenditures, cash management, maintaining adequate financial records, reporting and refunding expenditures disallowed by audits, monitoring if acting as a pass-through entity, or other assessments and reviews, and ensuring overall compliance with the terms and conditions of the award or subaward, as applicable, including the terms of 2 C.F.R. Part 200.
G. DHS Awarding Agency Contact Information
1. Contact and Resource Information
a. Program Office Contact
GPD’s Program Office coordinates the RCPGP application review and selection process, initiates the issuance of awards, and provides support in addressing specific programmatic questions regarding the FY 2023 RCPGP. The Program Office can be reached by e- mail at FEMA-RCPGP@fema.dhs.gov.
B. FEMA Regional Offices
Following award selection and announcement, FEMA Regional Offices manage, administer, and conduct the application budget review, create the award package, approve, amend, and close out awards, as well as conduct cash analysis, financial and programmatic monitoring, and audit resolution for RCPGP. The Regions also provide technical assistance to RCPGP recipients. FEMA Regional Office contact information is available at www.fema.gov/fema-regional-contacts.
c. FEMA Grants News
FEMA Grants News is a non-emergency comprehensive management and information resource developed by FEMA for grants stakeholders. This channel provides general information on all FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the federal, state, and local levels. When necessary, recipients will be directed to a federal point of contact who can answer specific programmatic questions or concerns. FEMA Grants Information Desk can be reached by e-mail at firstname.lastname@example.org OR by phone at (800) 368-6498, Monday through Friday, 9 a.m. – 5 p.m. ET.
D. Equal Rights
The FEMA Office of Equal Rights (OER) is responsible for compliance with and enforcement of federal civil rights obligations in connection with programs and services conducted by FEMA and recipients of FEMA financial assistance. All inquiries and communications about federal civil rights compliance for FEMA grants under this NOFO should be sent to FEMA-CivilRightsOffice@fema.dhs.gov.
E. Environmental Planning and Historic Preservation
GPD’s EHP Team provides guidance and information about the EHP review process to recipients and subrecipients. All inquiries and communications about GPD projects under this NOFO or the EHP review process, including the submittal of EHP review materials, should be sent to email@example.com.
2. Systems Information
b. Non-Disaster (ND) Grants
For technical assistance with the ND Grants system, please contact the ND Grants Helpdesk at firstname.lastname@example.org or (800) 865-4076, Monday through Friday, 9:00 AM – 6:00 PM ET. ND Grants User Resources are available on FEMA’s website.
c. Payment and Reporting System (PARS)
FEMA uses the Payment and Reporting System (PARS)Payment and Reporting System (PARS) for financial reporting, invoicing, and tracking payments. FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. If you have questions about the online system, please call the Customer Service Center at (866) 927-5646 or email ask-GMD@fema.dhs.gov.
H. Additional Information
1. Termination Provisions
FEMA may terminate a federal award in whole or in part for one of the following reasons. FEMA and the recipient must still comply with closeout requirements at 2 C.F.R. §§ 200.344-200.345 even if an award is terminated in whole or in part. To the extent that subawards are permitted under this NOFO, pass-through entities should refer to 2 C.F.R. § 200.340 for additional information on termination regarding subawards.
If a recipient fails to comply with the terms and conditions of a federal award, FEMA may terminate the award in whole or in part. If the noncompliance can be corrected, FEMA may first attempt to direct the recipient to correct the noncompliance. This may take the form of a Compliance Notification. If the noncompliance cannot be corrected or the recipient is non-responsive, FEMA may proceed with a Remedy Notification, which could impose a remedy for noncompliance per 2 C.F.R. § 200.339, including termination. Any action to terminate based on noncompliance will follow the requirements of 2 C.F.R. §§ 200.341-200.342 as well as the requirement of 2 C.F.R. § 200.340(c) to report in FAPIIS the recipient’s material failure to comply with the award terms and conditions. See also the section on Actions to Address Noncompliance in this NOFO.
b. With the Consent of the Recipient
FEMA may also terminate an award in whole or in part with the consent of the recipient, in which case the parties must agree upon the termination conditions, including the effective date, and in the case of partial termination, the portion to be terminated.
c. Notification by the Recipient
The recipient may terminate the award, in whole or in part, by sending written notification to FEMA setting forth the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. In the case of partial termination, FEMA may determine that a partially terminated award will not accomplish the purpose of the federal award, so FEMA may terminate the award in its entirety. If that occurs, FEMA will follow the requirements of 2 C.F.R. §§ 200.341-200.342 in deciding to fully terminate the award.
2. Program Evaluation
Recipients and subrecipients are encouraged to incorporate program evaluation activities from the outset of their program design and implementation to meaningfully document and measure their progress towards meeting an agency priority goal(s). Title I of the Foundations for Evidence-Based Policymaking Act of 2018 (Evidence Act), Pub. L. No. 115-435 (2019) urges federal awarding agencies and federal assistance recipients and subrecipients to use program evaluation as a critical tool to learn, to improve equitable delivery, and to elevate program service and delivery across the program lifecycle. Evaluation means “an assessment using systematic data collection and analysis of one or more programs, policies, and organizations intended to assess their effectiveness and efficiency.” Evidence Act § 101 (codified at 5 U.S.C. § 311). Evaluation costs are allowable costs (either as direct or indirect), unless prohibited by statute or regulation.
In addition, recipients are required to participate in a DHS-led evaluation if selected, which may be carried out by a third-party on behalf of the Program Office or DHS. By accepting grant funds, recipients agree to participate in the evaluation, which may include analysis of individuals who benefit from the grant, and provide access to program operating personnel and participants, as specified by the evaluator(s) during the award.
3. Period of Performance Extensions
Extensions to the period of performance (POP) for this program are allowed. Extensions to the POP identified in the award will only be considered through formal, written requests to the recipient’s FEMA Preparedness Officer and must contain specific and compelling justifications as to why an extension is required. Recipients are advised to coordinate with the FEMA Preparedness Officer as needed when preparing an extension request.
All extension requests must address the following:
a. The grant program, fiscal year, and award number;
b. Reason for the delay –including details of the legal, policy, or operational challenges that prevent the final outlay of awarded funds by the deadline;
c. Current status of the activity(ies);
d. Approved POP termination date and new project completion date;
e. Amount of funds drawn down to date;
f. Remaining available funds, both federal and, if applicable, non-federal;
g. Budget outlining how remaining federal and, if applicable, non-federal funds will be expended;
h. Plan for completion, including milestones and timeframes for achieving each milestone and the position or person responsible for implementing the plan for completion; and
i. Certification that the activity(ies) will be completed within the extended POP without any modification to the original statement of work, as described in the justification and as approved by FEMA.
Extension requests will be granted only due to compelling legal, policy, or operational challenges. Extension requests will only be considered for the following reasons:
- ·Contractual commitments by the recipient or subrecipient with vendors prevent completion of the project, including delivery of equipment or services, within the existing POP;
- ·The project must undergo a complex environmental review that cannot be completed within the existing POP;
- Projects are long-term by design, and therefore acceleration would compromise core programmatic goals; or
- Where other special or extenuating circumstances exist.
Recipients should submit all proposed extension requests to FEMA for review and approval at least 120 days prior to the end of the POP to allow sufficient processing time. Extensions are typically granted for no more than a six-month period.
4. Disability Integration
Pursuant to Section 504 of the Rehabilitation Act of 1973, recipients of FEMA financial assistance must ensure that their programs and activities do not discriminate against other qualified individuals with disabilities.
Grant recipients should engage with the whole community to advance individual and community preparedness and to work as a nation to build and sustain resilience. In doing so, recipients are encouraged to consider the needs of individuals with disabilities into the activities and projects funded by the grant.
FEMA expects that the integration of the needs of people with disabilities will occur at all levels, including planning; alerting, notification, and public outreach; training; purchasing of equipment and supplies; protective action implementation; and exercises/drills.
The following are examples that demonstrate the integration of the needs of people with disabilities in carrying out FEMA awards:
- Include representatives of organizations that work with/for people with disabilities on planning committees, work groups and other bodies engaged in development and implementation of the grant programs and activities.
- Hold all activities related to the grant in locations that are accessible to persons with physical disabilities to the extent practicable.
- Acquire language translation services, including American Sign Language, that provide public information across the community and in shelters.
- Ensure shelter-specific grant funds are in alignment with FEMA’s Guidance on Planning for Integration of Functional Needs Support Services in General Population Shelters.
- If making alterations to an existing building to a primary function area utilizing federal funds, complying with the most recent codes and standards and making path of travel to the primary function area accessible to the greatest extent possible.
- Implement specific procedures used by public transportation agencies that include evacuation and passenger communication plans and measures for individuals with disabilities.
- Identify, create, and deliver training to address any training gaps specifically aimed toward whole-community preparedness. Include and interact with individuals with disabilities, aligning with the designated program capability.
- Establish best practices in inclusive planning and preparedness that consider physical access, language access, and information access. Examples of effective communication access include providing auxiliary aids and services such as sign language interpreters, Computer Aided Real-time Translation (CART), and materials in Braille or alternate formats.
FEMA grant recipients can fund projects towards the resiliency of the whole community, including people with disabilities, such as training, outreach and safety campaigns, provided that the project aligns with this NOFO and the terms and conditions of the award.
5. Conflicts of Interest in the Administration of Federal Awards or Subawards
For conflicts of interest under grant-funded procurements and contracts, refer to the section on Procurement Integrity in this NOFO and 2 C.F.R. §§ 200.317 – 200.327.
To eliminate and reduce the impact of conflicts of interest in the subaward process, recipients and pass-through entities must follow their own policies and procedures regarding the elimination or reduction of conflicts of interest when making subawards. Recipients and pass-through entities are also required to follow any applicable federal and state, local, tribal, or territorial (SLTT) statutes or regulations governing conflicts of interest in the making of subawards.
The recipient or pass-through entity must disclose to the respective Preparedness Officer or Program Manager, in writing, any real or potential conflict of interest that may arise during the administration of the federal award, as defined by the federal or SLTT statutes or regulations or their own existing policies, within five days of learning of the conflict of interest. Similarly, subrecipients, whether acting as subrecipients or as pass-through entities, must disclose any real or potential conflict of interest to the recipient or next-level pass-through entity as required by the recipient or pass-through entity’s conflict of interest policies, or any applicable federal or SLTT statutes or regulations.
Conflicts of interest may arise during the process of FEMA making a federal award in situations where an employee, officer, or agent, any members of his or her immediate family, his or her partner has a close personal relationship, a business relationship, or a professional relationship, with an applicant, subapplicant, recipient, subrecipient, or FEMA employees.
6. Procurement Integrity
Through audits conducted by the DHS Office of Inspector General (OIG) and FEMA grant monitoring, findings have shown that some FEMA recipients have not fully adhered to the proper procurement requirements at 2 C.F.R. §§ 200.317 – 200.327 when spending grant funds. Anything less than full compliance with federal procurement requirements jeopardizes the integrity of the grant as well as the grant program. To assist with determining whether an action is a procurement or instead a subaward, please consult 2 C.F.R. § 200.331. For detailed guidance on the federal procurement standards, recipients and subrecipients should refer to various materials issued by FEMA’s Procurement Disaster Assistance Team (PDAT), such as the PDAT Field Manual and Contract Provisions Guide. Additional resources, including an upcoming trainings schedule can be found on the PDAT Website.
The below highlights the federal procurement requirements for FEMA recipients when procuring goods and services with federal grant funds. FEMA will include a review of recipients’ procurement practices as part of the normal monitoring activities. All procurement activity must be conducted in accordance with federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. Select requirements under these standards are listed below. The recipient and any of its subrecipients must comply with all requirements, even if they are not listed below.
Under 2 C.F.R. § 200.317, when procuring property and services under a federal award, states (including territories) must follow the same policies and procedures they use for procurements from their non-federal funds; additionally, states must now follow 2 C.F.R. § 200.321 regarding socioeconomic steps, 200.322 regarding domestic preferences for procurements, 200.323 regarding procurement of recovered materials, and 2 C.F.R. § 200.327 regarding required contract provisions.
All other non-federal entities, such as tribes (collectively, non-state entities), must have and use their own documented procurement procedures that reflect applicable SLTT laws and regulations, provided that the procurements conform to applicable federal law and the standards identified in 2 C.F.R. Part 200. These standards include, but are not limited to, providing for full and open competition consistent with the standards of 2 C.F.R. § 200.319 and the required procurement methods at § 200.320.
a. Important Changes to Procurement Standards in 2 C.F.R. Part 200
OMB recently updated various parts of Title 2 of the Code of Federal Regulations, among them, the procurement standards. States are now required to follow the socioeconomic steps in soliciting small and minority businesses, women’s business enterprises, and labor surplus area firms per 2 C.F.R. § 200.321. All non-federal entities should also, to the greatest extent practicable under a federal award, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States per 2 C.F.R. § 200.322. More information on OMB’s revisions to the federal procurement standards can be found in Purchasing Under a FEMA Award: OMB Revisions Fact Sheet.
The recognized procurement methods in 2 C.F.R. § 200.320 have been reorganized into informal procurement methods, which include micro-purchases and small purchases; formal procurement methods, which include sealed bidding and competitive proposals; and noncompetitive procurements. The federal micro-purchase threshold is currently $10,000, and non-state entities may use a lower threshold when using micro-purchase procedures under a FEMA award. If a non-state entity wants to use a micro-purchase threshold higher than the federal threshold, it must follow the requirements of 2 C.F.R. § 200.320(a)(1)(iii)-(v). The federal simplified acquisition threshold is currently $250,000, and a non-state entity may use a lower threshold but may not exceed the federal threshold when using small purchase procedures under a FEMA award. See 2 C.F.R. § 200.1 (citing the definition of simplified acquisition threshold from 48 C.F.R. Part 2, Subpart 2.1).
See 2 C.F.R. §§ 200.216, 200.471, and Appendix II as well as section D.13.a of the NOFO regarding prohibitions on covered telecommunications equipment or services.
b. Competition and Conflicts of Interest
Among the requirements of 2 C.F.R. § 200.319(b) applicable to all non-federal entities other than states, in order to ensure objective contractor performance and eliminate unfair competitive advantage, contractors that develop or draft specifications, requirements, statements of work, or invitations for bids or requests for proposals must be excluded from competing for such procurements. FEMA considers these actions to be an organizational conflict of interest and interprets this restriction as applying to contractors that help a non-federal entity develop its grant application, project plans, or project budget. This prohibition also applies to the use of former employees to manage the grant or carry out a contract when those former employees worked on such activities while they were employees of the non-federal entity.
Under this prohibition, unless the non-federal entity solicits for and awards a contract covering both development and execution of specifications (or similar elements as described above), and this contract was procured in compliance with 2 C.F.R. §§ 200.317 – 200.327, federal funds cannot be used to pay a contractor to carry out the work if that contractor also worked on the development of those specifications. This rule applies to all contracts funded with federal grant funds, including pre-award costs, such as grant writer fees, as well as post-award costs, such as grant management fees.
Additionally, some of the situations considered to be restrictive of competition include, but are not limited to:
- Placing unreasonable requirements on firms for them to qualify to do business;
- Requiring unnecessary experience and excessive bonding;
- Noncompetitive pricing practices between firms or between affiliated companies;
- Noncompetitive contracts to consultants that are on retainer contracts;
- Organizational conflicts of interest;
- Specifying only a “brand name” product instead of allowing “an equal” product to be offered and describing the performance or other relevant requirements of the procurement; and
- Any arbitrary action in the procurement process.
Per 2 C.F.R. § 200.319(c), non-federal entities other than states must conduct procurements in a manner that prohibits the use of statutorily or administratively imposed SLTT geographical preferences in the evaluation of bids or proposals, except in those cases where applicable federal statutes expressly mandate or encourage geographic preference. Nothing in this section preempts state licensing laws. When contracting for architectural and engineering services, geographic location may be a selection criterion provided its application leaves an appropriate number of qualified firms, given the nature and size of the project, to compete for the contract.
Under 2 C.F.R. § 200.318(c)(1), non-federal entities other than states are required to maintain written standards of conduct covering conflicts of interest and governing the actions of their employees engaged in the selection, award, and administration of contracts. No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a federal award if he or she has a real or apparent conflict of interest. Such conflicts of interest would arise when the employee, officer or agent, any member of his or her immediate family, his or her partner, or an organization that employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract. The officers, employees, and agents of the non-federal entity may neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. However, non-federal entities may set standards for situations in which the financial interest is not substantial, or the gift is an unsolicited item of nominal value. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the non-federal entity.
Under 2 C.F.R. 200.318(c)(2), if the recipient or subrecipient (other than states) has a parent, affiliate, or subsidiary organization that is not a state, local, tribal, or territorial government, the non-federal entity must also maintain written standards of conduct covering organizational conflicts of interest. In this context, organizational conflict of interest means that because of a relationship with a parent company, affiliate, or subsidiary organization, the non-federal entity is unable or appears to be unable to be impartial in conducting a procurement action involving a related organization. The non-federal entity must disclose in writing any potential conflicts of interest to FEMA or the pass-through entity in accordance with applicable FEMA policy.
c. Supply Schedules and Purchasing Programs
Generally, a non-federal entity may seek to procure goods or services from a federal supply schedule, state supply schedule, or group purchasing agreement.
i. General Services Administration Schedules
States, tribes, and local governments, and any instrumentality thereof (such as local education agencies or institutions of higher education) may procure goods and services from a General Services Administration (GSA) schedule. GSA offers multiple efficient and effective procurement programs for state, tribal, and local governments, and instrumentalities thereof, to purchase products and services directly from pre-vetted contractors. The GSA Schedules (also referred to as the Multiple Award Schedules and the Federal Supply Schedules) are long-term government-wide contracts with commercial firms that provide access to millions of commercial products and services at volume discount pricing.
Information about GSA programs for states, tribes, and local governments, and instrumentalities thereof, can be found at the GSA Programs for State and Local Governments website and the GSA procurement guidance for states and local governments website.
For tribes, local governments, and their instrumentalities that purchase off of a GSA schedule, this will satisfy the federal requirements for full and open competition provided that the recipient follows the GSA ordering procedures; however, tribes, local governments, and their instrumentalities will still need to follow the other rules under 2 C.F.R. §§ 200.317 – 200.327, such as solicitation of minority businesses, women’s business enterprises, small businesses, or labor surplus area firms (§ 200.321), domestic preferences (§ 200.322), contract cost and price (§ 200.324), and required contract provisions (§ 200.327 and Appendix II).
ii. Other Supply Schedules and Programs
For non-federal entities other than states, such as tribes, local governments, and nonprofits, that want to procure goods or services from a state supply schedule, cooperative purchasing program, or other similar program, in order for such procurements to be permissible under federal requirements, the following must be true:
- The procurement of the original contract or purchasing schedule and its use by the non-federal entity complies with state and local law, regulations, and written procurement procedures;
- The state or other entity that originally procured the original contract or purchasing schedule entered into the contract or schedule with the express purpose of making it available to the non-federal entity and other similar types of entities;
- The contract or purchasing schedule specifically allows for such use, and the work to be performed for the non-federal entity falls within the scope of work under the contract as to type, amount, and geography;
- The procurement of the original contract or purchasing schedule complied with all the procurement standards applicable to a non-federal entity other than states under at 2 C.F.R. §§ 200.317 – 200.327; and
- With respect to the use of a purchasing schedule, the non-federal entity must follow ordering procedures that adhere to applicable state, tribal, and local laws and regulations and the minimum requirements of full and open competition under 2 C.F.R. Part 200.
If a non-federal entity other than a state seeks to use a state supply schedule, cooperative purchasing program, or other similar type of arrangement, FEMA recommends the recipient discuss the procurement plans with its FEMA Regional Office.
d. Procurement Documentation
Per 2 C.F.R. § 200.318(i), non-federal entities other than states and territories are required to maintain and retain records sufficient to detail the history of procurement covering at least the rationale for the procurement method, selection of contract type, contractor selection or rejection, and the basis for the contract price. States and territories are encouraged to maintain and retain this information as well and are reminded that in order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g).
- Solicitation documentation, such as requests for quotes, invitations for bids, or requests for proposals;
- Responses to solicitations, such as quotes, bids, or proposals;
- Pre-solicitation independent cost estimates and post-solicitation cost/price analyses on file for review by federal personnel, if applicable;
- Contract documents and amendments, including required contract provisions; and
- Other documents required by federal regulations applicable at the time a grant is awarded to a recipient.
Additional information on required procurement records can be found on pages 24–26 of the PDAT Field Manual.
7. Record Retention
a. Record Retention Period
Financial records, supporting documents, statistical records, and all other non-Federal entity records pertinent to a Federal award generally must be maintained for at least three years from the date the final FFR is submitted. See 2 C.F.R. § 200.334. Further, if the recipient does not submit a final FFR and the award is administratively closed, FEMA uses the date of administrative closeout as the start of the general record retention period.
The record retention period may be longer than three years or have a different start date in certain cases. These include:
- Records for real property and equipment acquired with Federal funds must be retained for three years after final disposition of the property. See 2 C.F.R. § 200.334(c).
- If any litigation, claim, or audit is started before the expiration of the three-year period, the records must be retained until all litigation, claims, or audit findings involving the records have been resolved and final action taken. See 2 C.F.R. § 200.334(a).
- The record retention period will be extended if the non-federal entity is notified in writing of the extension by FEMA, the cognizant or oversight agency for audit, or the cognizant agency for indirect costs, or pass-through entity. See 2 C.F.R. § 200.334(b).
- Where FEMA requires recipients to report program income after the period of performance ends, the program income record retention period begins at the end of the recipient’s fiscal year in which program income is earned. See 2 C.F.R. § 200.334(e).
- For indirect cost rate computations and proposals, cost allocation plans, or any similar accounting computations of the rate at which a particular group of costs is chargeable (such as computer usage chargeback rates or composite fringe benefit rates), the start of the record retention period depends on whether the indirect cost rate documents were submitted for negotiation. If the indirect cost rate documents were submitted for negotiation, the record retention period begins from the date those documents were submitted for negotiation. If indirect cost rate documents were not submitted for negotiation, the record retention period begins at the end of the recipient’s fiscal year or other accounting period covered by that indirect cost rate. See 2 C.F.R. § 200.334(f).
b. Types of Records to Retain
FEMA requires that non-federal entities maintain the following documentation for federally funded purchases:
- Competitive quotes or proposals;
- Basis for selection decisions;
- Purchase orders;
- Invoices; and
- Cancelled checks.
Non-federal entities should keep detailed records of all transactions involving the grant. FEMA may at any time request copies of any relevant documentation and records, including purchasing documentation along with copies of cancelled checks for verification. See, e.g., 2 C.F.R. §§ 200.318(i), 200.334, 200.337.
In order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g). Non-federal entities who fail to fully document all purchases may find their expenditures questioned and subsequently disallowed.
8. Actions to Address Noncompliance
Non-federal entities receiving financial assistance funding from FEMA are required to comply with requirements in the terms and conditions of their awards or subawards, including the terms set forth in applicable federal statutes, regulations, NOFOs, and policies. Throughout the award lifecycle or even after an award has been closed, FEMA or the pass-through entity may discover potential or actual noncompliance on the part of a recipient or subrecipient. This potential or actual noncompliance may be discovered through routine monitoring, audits, closeout, or reporting from various sources.
In the case of any potential or actual noncompliance, FEMA may place special conditions on an award per 2 C.F.R. §§ 200.208 and 200.339, FEMA may place a hold on funds until the matter is corrected, or additional information is provided per 2 C.F.R. § 200.339, or it may do both. Similar remedies for noncompliance with certain federal civil rights laws are authorized pursuant to 44 C.F.R. Parts 7 and 19.
In the event the noncompliance is not able to be corrected by imposing additional conditions or the recipient or subrecipient refuses to correct the matter, FEMA might take other remedies allowed under 2 C.F.R. § 200.339. These remedies include actions to disallow costs, recover funds, wholly or partly suspend or terminate the award, initiate suspension and debarment proceedings, withhold further federal awards, or take other remedies that may be legally available. For further information on termination due to noncompliance, see the section on Termination Provisions in the NOFO.
FEMA may discover and take action on noncompliance even after an award has been closed. The closeout of an award does not affect FEMA’s right to disallow costs and recover funds as long the action to disallow costs takes place during the record retention period. See 2 C.F.R. §§ 200.334, 200.345(a). Closeout also does not affect the obligation of the non-federal entity to return any funds due as a result of later refunds, corrections, or other transactions. 2 C.F.R. § 200.345(a)(2).
The types of funds FEMA might attempt to recover include, but are not limited to, improper payments, cost share reimbursements, program income, interest earned on advance payments, or equipment disposition amounts.
FEMA may seek to recover disallowed costs through a Notice of Potential Debt Letter, a Remedy Notification, or other letter. The document will describe the potential amount owed, the reason why FEMA is recovering the funds, the recipient’s appeal rights, how the amount can be paid, and the consequences for not appealing or paying the amount by the deadline.
If the recipient neither appeals nor pays the amount by the deadline, the amount owed will become final. Potential consequences if the debt is not paid in full or otherwise resolved by the deadline include the assessment of interest, administrative fees, and penalty charges; administratively offsetting the debt against other payable federal funds; and transferring the debt to the U.S. Department of the Treasury for collection.
FEMA notes the following common areas of noncompliance for FEMA’s grant programs:
- Insufficient documentation and lack of record retention;
- Failure to follow the procurement under grants requirements;
- Failure to submit closeout documents in a timely manner;
- Failure to follow EHP requirements; and
- ·Failure to comply with the POP deadline.
FEMA grant recipients are subject to audit oversight from multiple entities including the DHS OIG, the GAO, the pass-through entity, or independent auditing firms for single audits, and may cover activities and costs incurred under the award. Auditing agencies such as the DHS OIG, the GAO, and the pass-through entity (if applicable), and FEMA in its oversight capacity, must have access to records pertaining to the FEMA award. Recipients and subrecipients must retain award documents for at least three years from the date the final FFR is submitted, and even longer in many cases subject to the requirements of 2 C.F.R. § 200.334. In the case of administrative closeout, documents must be retained for at least three years from the date of closeout, or longer subject to the requirements of 2 C.F.R. § 200.334. If documents are retained longer than the required retention period, the DHS OIG, the GAO, and the pass-through entity, as well as FEMA in its oversight capacity, have the right to access these records as well. See 2 C.F.R. §§ 200.334, 200.337.
Additionally, non-federal entities must comply with the single audit requirements at 2 C.F.R. Part 200, Subpart F. Specifically, non-federal entities, other than for-profit subrecipients, that expend $750,000 or more in federal awards during their fiscal year must have a single or program-specific audit conducted for that year in accordance with Subpart F. 2 C.F.R. § 200.501. A single audit covers all federal funds expended during a fiscal year, not just FEMA funds. The cost of audit services may be allowable per 2 C.F.R. § 200.425, but non-federal entities must select auditors in accordance with 2 C.F.R. § 200.509, including following the proper procurement procedures. For additional information on single audit reporting requirements, see Section F of this NOFO under the header “Single Audit Report” within the subsection “Additional Reporting Requirements.”
The objectives of single audits are to:
- Determine whether financial statements conform to generally accepted accounting principles (GAAP);
- ·Determine whether the schedule of expenditures of federal awards is presented fairly;
- Understand, assess, and test the adequacy of internal controls for compliance with major programs; and
- Determine whether the entity complied with applicable laws, regulations, and contracts or grants.
For single audits, the auditee is required to prepare financial statements reflecting its financial position, a schedule of federal award expenditures, and a summary of the status of prior audit findings and questioned costs. The auditee also is required to follow up and take appropriate corrective actions on new and previously issued but not yet addressed audit findings. The auditee must prepare a corrective action plan to address the new audit findings. 2 C.F.R. §§ 200.508, 200.510, 200.511.
Non-federal entities must have an audit conducted, either single or program-specific, of their financial statements and federal expenditures annually or biennially pursuant to 2 C.F.R. § 200.504. Non-federal entities must also follow the information submission requirements of 2 C.F.R. § 200.512, including submitting the audit information to the Federal Audit Clearinghouse within the earlier of 30 calendar days after receipt of the auditor’s report(s) or nine months after the end of the audit period. The audit information to be submitted include the data collection form described at 2 C.F.R. § 200.512(c) and Appendix X to 2 C.F.R. Part 200 as well as the reporting package described at 2 C.F.R. § 200.512(b).
The non-federal entity must retain one copy of the data collection form and one copy of the reporting package for three years from the date of submission to the Federal Audit Clearinghouse. 2 C.F.R. § 200.512; see also 2 C.F.R. § 200.517 (setting requirements for retention of documents by the auditor and access to audit records in the auditor’s possession).
FEMA, the DHS OIG, the GAO, and the pass-through entity (if applicable), as part of monitoring or as part of an audit, may review a non-federal entity’s compliance with the single audit requirements. In cases of continued inability or unwillingness to have an audit conducted in compliance with 2 C.F.R. Part 200, Subpart F, FEMA and the pass-through entity, if applicable, are required to take appropriate remedial action under 2 C.F.R. § 200.339 for noncompliance, pursuant to 2 C.F.R. § 200.505.
10. Payment Information
FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients.
FEMA utilizes the Payment and Reporting System (PARS) for financial reporting, invoicing and tracking payments.
11. Procedures for Establishing Indirect Cost Rates
The process for establishing the indirect cost rate varies based on the type of entity and the amount of funding they receive:
- If the entity is a non-governmental entity, and is a subrecipient, indirect cost rate procedures are outlined in 2 CFR 200.332(a)(4). These types of entities may either use the de minimis rate or negotiate a rate with the pass-through entity.
- If the subrecipient is a state or local governmental entity, indirect cost rate procedures are established in 2 CFR 200, Appendix VII.
- Per Paragraph D.1.b. of Appendix VII, state or local governmental entities receiving grant funds must develop an indirect cost rate proposal.
- If the state or local entity receives more than $35 million in grant funding, the proposal must be approved by the cognizant agency.
- If a state or local entity receives $35 million or less in grant funding, they have to develop an indirect cost rate proposal, but that indirect cost rate proposal does not need to be approved by the cognizant agency unless specifically requested.
- Per Paragraph D.1.b. of Appendix VII, state or local governmental entities receiving grant funds must develop an indirect cost rate proposal.
- If a state or local governmental entity wants to use the de minimis rate (instead of developing an indirect cost rate proposal), they can request a case-by-case exception from FEMA (per 2 CFR 200.102(b)).
12. Whole Community Preparedness
Preparedness is a shared responsibility that calls for the involvement of everyone—not just the government—in preparedness efforts. By working together, everyone can help keep the nation safe from harm and help keep it resilient when struck by hazards, such as natural disasters, acts of terrorism, and pandemics.
Whole Community includes:
- Individuals and families, including those with access and functional needs;
- Faith-based and community organizations;
- Nonprofit groups;
- Schools and academia;
- Media outlets; and
- All levels of government, including state, local, tribal, territorial, and federal partners
- Involving people in the development of national preparedness documents and
- Ensuring their roles and responsibilities are reflected in the content of the materials.
- 100 Most Populous Metropolitan Statistical Areas
- Project Narrative Template
- Evaluation Criteria and Scoring
- Budget Detail Worksheet and Budget Narrative Template
- FY 2022 RCPGP Project Summaries
Appendix A: 100 Most Populous Metropolitan Statistical Areas (2021)
The following list of the 100 most populous MSAs is taken from Census Bureau’s 2021 Population Estimates. Bolding indicates the first principal city for each MSA.
- New York-Newark-Jersey City, NY-NJ-PA Metro Area
- Los Angeles-Long Beach-Anaheim, CA Metro Area
- Chicago-Naperville-Elgin, IL-IN-WI Metro Area
- Dallas-Fort Worth-Arlington, TX Metro Area
- Houston-The Woodlands-Sugar Land, TX Metro Area
- Washington-Arlington-Alexandria, DC-VA-MD-WV Metro Area
- Philadelphia-Camden-Wilmington, PA-NJ-PA-MD Metro Area
- Atlanta-Sandy Springs-Alpharetta, GA Metro Area
- Miami-Fort Lauderdale-Pompano Beach, FL Metro Area
- Phoenix-Mesa-Chandler, AZ Metro Area
- Boston-Cambridge-Newton, MA-NH Metro Area
- Riverside-San Bernadino-Ontario, CA Metro Area
- San Francisco-Oakland-Berkely, CA Metro Area
- Detroit-Warren-Dearborn, MI Metro Area
- Seattle-Tacoma-Bellevue, WA Metro Area
- Minneapolis-St. Paul- Bloomington, MN-WI Metro Area
- San Diego-Chula Vista-Carlsbad, CA Metro Area
- Tampa-St. Petersburg-Clearwater, FL Metro Area
- Denver-Aurora-Lakewood, CO Metro Area
- Baltimore-Columbia-Towson, MD Metro Area
- St. Louis, MD-IL Metro Area
- Charlotte-Concord-Gastonia, NC-SC Metro Area
- Orlando-Kissimmee-Sanford, FL Metro Area
- San Antonio-New Braunfels, TX Metro Area
- Portland-Vancouver-Hillsboro, OR-WA Metro Area
- Sacramento-Roseville-Folsom, CA Metro Area
- Pittsburgh, PA Metro Area
- Austin-Round Rock-Georgetown, TX Metro Area
- Las Vegas-Henderson-Paradise, NV Metro Area
- Cincinnati, OH-KY-IN Metro Area
- Kansas City, MO-KS Metro Area
- Columbus, OH Metro Area
- Indianapolis-Carmel-Anderson, IN Metro Area
- Cleveland-Elyria, OH Metro Area
- San Juan-Bayamón-Caguas, PR Metro Area
- Nashville-Davidson-Murfreesboro-Franklin, TN Metro Area
- San Jose-Sunnydale-Santa Clara, CA Metro Area
- Virginia Beach-Norfolk-Newport News, VA-NC Metro Area
- Providence-Warwick, RI-MA Metro Area
- Jacksonville, FL Metro Area
- Milwaukee-Waukesha, WI Metro Area
- Raleigh-Cary, NC Metro Area
- Oklahoma City, OK Metro Area
- Memphis, TN-MS-AR Metro Area
- Richmond, VA Metro Area
- Louisville/Jefferson County, KY-IN Metro Area
- Salt Lake City, UT Metro Area
- New Orleans-Metairie, LA Metro Area
- Hartford-East Hartford-Middletown, CT Metro Area
- Buffalo-Cheektowaga, NY Metro Area
- Birmingham-Hoover, AL Metro Area
- Grand Rapids- Kentwood, MI Metro Area
- Rochester, NY Metro Area
- Tucson, AZ Metro Area
- Tulsa, OK Metro Area
- Fresno, CA Metro Area
- Urban Honolulu, HI Metro Area
- Worcester, MA-CT Metro Area
- Omaha-Council Bluffs, NE-IA Metro Area
- Bridgeport-Stamford-Norwalk, CT Metro Area
- Greenville-Anderson, SC Metro Area
- Albuquerque, NM Metro Area
- Bakersfield, CA Metro Area
- Albany-Schenectady-Troy, NY Metro Area
- Knoxville, TN Metro Area
- McAllen-Edinburg-Mission, TX Metro Area
- Baton Rouge, LA Metro Area
- El Paso, TX Metro Area
- Allentown-Bethlehem-Easton, PA-NJ Metro Area
- New Haven-Milford, CT Metro Area
- North Port-Sarasota-Bradenton, FL Metro Area
- Oxnard-Thousand Oaks-Ventura, CA Metro Area
- Columbia, SC Metro Area
- Dayton-Kettering, OH Metro Area
- Charleston-North Charleston, SC Metro Area
- Boise City, ID Metro Area
- Stockton, CA Metro Area
- Cape Coral-Fort Myers, FL Metro Area
- Greensboro-High Point, NC Metro Area
- Colorado Springs, CO Metro Area
- Lakeland-Winter Haven, FL Metro Area
- Little Rock-North Little Rock-Conway, AR Metro Area
- Des Moines-West Des Moines, IA Metro Area
- Ogden-Clearfield, UT Metro Area
- Poughkeepsie-Newburgh-Middletown, NY Metro Area
- Akron, OH Metro Area
- Provo-Orem, UT Metro Area
- Springfield, MA Metro Area
- Deltona-Daytona Beach-Ormond Beach, FL Metro Area
- Madison, WI Metro Area
- Winston-Salem, NC Metro Area
- Syracuse, NY Metro Area
- Durham-Chapel Hill, NC Metro Area
- Wichita, KS Metro Area
- Toledo, OH Metro Area
- Palm Bay-Melbourne-Titusville, FL Metro Area
- Augusta-Richmond County, CA-SC Metro Area
- Harrisburg-Carlisle, PA Metro Area
- Spokane-Spokane Valley, WA Metro Area
- Jackson, MS Metro Area
Appendix B: Project Narrative Template5
GENERAL: This information is being collected for the primary purpose of determining eligibility and administration of FEMA Preparedness Grant Programs and to ensure compliance with existing laws and regulations regarding FEMA Preparedness Grant Programs.
AUTHORITY: The collection of this information is authorized by 2 CFR Part 200 in addition to the following program-specific rules and regulations:
- U. S. Code Title 6 Domestic Security, Section 112(b)(c) Department of Homeland Security
- Title III of the Consolidated Security, Disaster Assistance, and Continuing Appropriations Act (Public Law 110-329)
- Presidential Policy Directive, PPD-8 on National Preparedness
USES AND SHARING: FEMA will not share the information collected from POCs, including personally identifiable information, outside of the collecting agency. Further information regarding FEMA’s use and sharing of information can be found within the DHS/FEMA/PIA-013 Grant Management Programs Privacy Impact Assessment. The Department’s list of Privacy Impact Assessments can be found on the Department’s website at https://www.dhs.gov/privacy-impact-assessments.
EFFECTS OF NONDISCLOSURE: The disclosure of information on this form is voluntary; however, failure to
A. Required Format
Applicants must format the application according to the following guidance:
- Document Type: The Project Narrative must be submitted in Microsoft Word or Adobe PDF
- Spacing: Single
- Narrative: Times New Roman, Arial, Calibri, or Cambria; 12 pt. font size
- Citations (in-text, endnote/footnote): Times New Roman, Arial, Calibri, or Cambria; 10, 11, or 12 pt. font sizes
- Spreadsheet or Table Data Figures, Notes, and Titles: Times New Roman, Arial, Calibri, or Cambria; 10, 11, or 12 pt. font sizes
- Graphics (such as pictures, models, charts, and graphs): Times New Roman, Arial, Calibri, or Cambria; 10, 11, or 12 pt. font sizes
- Margins: One inch
- Indentation/Tabs: Applicant’s discretion
- Page Orientation: Portrait; exception: landscape may be used for spreadsheets and tables
- Maximum number of pages, not including cover sheet and supplemental information, such as: lists of project partners/subrecipients, disadvantaged communities, census tract numbers; letters of support; Memorandums of Understanding; budget spreadsheet; etc.: (see the Project Narrative below for the maximum number of pages for each section)
- Graphics (e.g., pictures, models, charts, and graphs) will be accepted but are not required
- Primary font color will be black; however, other colors such as red and blue may be used for emphasis as appropriate
- Bold or italicized font may be used but is not required
- Spreadsheet or table format is acceptable where appropriate (e.g., timelines and matrices) but not mandatory
FEMA will not review or consider for funding any application that does not conform to the above specifications.
B. Required Application Contents
Applicants must present the contents of the application using the following arrangement.
Applications must not include any classified information and should not include any Law Enforcement Sensitive information.
FEMA will not consider any letters of endorsement or support submitted separately from an application. If statements of endorsement or support testimony are provided, they must be included in the Project Narrative.
|Background||Does not count toward the total page count limitation.||N/A|
|Need||Three (3) pages maximum||0-20|
|Project Design||Seven (7) pages maximum||0-35|
|Impact||Three (3) pages maximum||0-25|
|Budget||Two (2) pages maximum||0-20|
Appendix C: Evaluation Criteria and Scoring
The review panel will score applications based on specific criteria aligned to the Project Narrative requirements. The table below details the specific criteria aligned to each of the Project Narrative requirements, and the maximum number of points an application can receive for each criterion. Each question will be scored based on the complexity within the requirement and priority to the program.
|Project Narrative Requirement||Evaluation Criteria||Possible Points|
|Need (0-20 Points)|
|Does the capability assessment align with the stated gaps/needs of the applicant?||0-3|
|How well does the applicant complete the capability assessment for the core capability focus area(s)?||0-3|
|How well does the applicant describe existing capability levels?||0-4|
|How well does the applicant describe current gaps or needs within the focus area(s) of interest?||0-5|
|How well does the applicant explain the inequities, risk factors, and needs of disadvantaged communities within the region who will benefit from the project?||0-5|
|Project Narrative Requirement||Evaluation Criteria||Possible Points|
|Project Design (0-35 Points)|
|Are the proposed project activities clear, logical, and realistic?||0-5|
|How well does the applicant describe why they selected the project to build the identified core capabilities?||0-5|
|How well does the applicant describe how the project was selected and designed to maximize positive impacts to disadvantaged communities?||0-5|
|How well does the applicant describe roles between partners that are clear, logical, and realistic?||0-5|
|How well does the applicant describe how the partnerships will ensure the project meets regional needs, including the needs of disadvantaged communities, and explain the anticipated outcomes of the partnerships?||0-5|
|How well does the applicant describe a project plan that includes a clear timeline and milestones?||0-5|
|Project Narrative Requirement||Evaluation Criteria||Possible Points|
|How well do the performance measures align to the project, clearly contribute to building the capabilities of interest, and are realistic to achieve?||0-5|
|How well does the applicant explain the anticipated impact of the project relative to the needs of disadvantaged communities?||0-7|
|Is a benefit percentage and explanation provided? Is the explanation well-reasoned and supported by analytics? Is the percentage 40% or greater?||0-5|
|How well does the applicant explain how the project will achieve the Equity goal?||0-5|
How well does the applicant describe how the project can benefit the nation?
|Project Narrative Requirement||Evaluation Criteria||Possible Points|
|Budget (0-20 Points)|
|Did the applicant provide a budget narrative and detailed budget worksheet that are clear, logical, and identify reasonable items?||0-10|
|How well does the applicant describe a specific plan and the resources necessary to sustain the built capabilities developed through this effort?||0-5|
|How well does the applicant describe their capacity and ability to manage federal grants?||0-5|
|BONUS (0- 30 Points)|
|Project will provide education, tools, and training for emergency managers and other key stakeholders to identify and address the emerging risks and future conditions caused by climate change and increase community-level resilience within the identified disadvantaged communities.||The project addresses emerging climate change risks and will provide education, tools, and training to stakeholders to increase the resilience of disadvantaged communities.||0-5|
|Project will provide education, tools, and training for emergency managers and other key stakeholders to support integration of climate change data into local planning, including hazard mitigation, emergency management, and community planning processes.||The project will provide emergency managers with education, tools, and training to support integration of climate change data into local plans.||0-5|
|Project will plan for and develop research-supported, proactive investments in community resilience.||The project will plan for and develop research-supported community resilience investments.||0-5|
|The applicant proposes a project that benefits a relatively large number of census tracts that are identified as a disadvantaged community.||Total number of Census tracts supported by the project exceeds the average CEJST rank of all RCPGP project submissions.||0 or 5|
|The applicant proposes a project that benefits multiple states or more than one of the top 100 most-populous MSAs.||The project benefits multiple states/MSAs.||0-5|
|BONUS – New or previously unsuccessful applicant||The applicant has not been awarded RCPGP funding within the past three years.||0 or 5|
Appendix D: Budget Detail Worksheet and Budget Narrative Template
The Budget Detail Worksheet Template may be used as a guide to assist applicants in the preparation of their Budget Detail Worksheet and Budget Narrative. Applicants may submit the Budget Detail Worksheet and Budget Narrative using this template or in the format of their choosing (plain sheets, spreadsheets, independently created forms, or a variation of this form). However, applicants must provide all the requested information identified in the general instructions for the worksheet and budget narrative, as well as the instructions for each section, and categorize it by activity and allowable cost.
The purpose of the Budget Narrative is to provide a detailed description of the budget found in the SF-424A and the Budget Detail Worksheet. The budget narrative must include a detailed discussion of how RCPGP funds will be used. The Budget Narrative should 1) justify the need for each line item and the cost estimates; 2) explain how costs relate to the programmatic goals of the project(s); and 3) supplement other budget information provided on the Budget Worksheet.
- Populate the tables to identify and itemize the costs to implement the proposed project.
- List and describe all activities and associated costs required to implement the project.
- Funds must be aligned to allowable cost categories in the Application for Federal Assistance SF-424a form and those cost categories which are allowable in the FY 2023 RCPGP (e.g., personnel, fringe benefits, travel, supplies, contractual, other direct costs and indirect costs) within each of the four Solution Areas: (1) Planning, (2) Organization, (3) Training, and (4) Exercises.
- Equipment, construction, renovation, maintenance, and sustainment costs are not allowed for FY 2023 RCPGP funding.
- The Budget Narrative should include a description and justification of costs for each item and should align with the Budget portion of the Project Narrative. A budget narrative should be completed for each cost category of the budget.
Cost categories and definitions are listed below:
Personnel: List each position with a brief description of the duties and responsibilities (no personnel names), as well as the salary computation for staff. If a Cost-of-Living Adjustment increase and/or merit pay increase in salary will be provided for the position, include those costs in calculations for personnel and the associated fringe benefits on the applicable Budget Detail Worksheet and the Budget Narrative.
Fringe Benefits: List the computation for fringe benefits for each of the personnel listed in the budget worksheet. Estimated rates for fringe are allowable but provide the basis for that estimation in the budget narrative (e.g., average percent fringe paid for most employees within the agency). If not using an estimate, list fringe benefit and the associated costs for each employee that will be paid by RCPGP funding (e.g., Social Security/FICA, Unemployment Compensation, Medicare, Retirement, Health Insurance, Life Insurance, etc.). Also, in cases where fringe benefits costs are included in an indirect cost rate agreement, the fringe benefits cannot also be charged as a direct cost for reimbursement.
Travel: Specify the mileage, per diem, estimated number of trips in-state and out-of-state, number of travelers, and other costs for each type of travel for staff. Travel may be integral to the purpose of the proposed project (e.g., management, monitoring and/or oversight of grant award and/or subrecipients) or related to propose project activities (e.g., attendance at training or meetings related to management of the RCPGP award). Travel costs identified in this section are for employees of the applicant/recipient only. For travel costs related to staff training, include as many details as possible about each proposed training cost, including the name of the training course(s), training provider, personnel who will attend the training, proposed dates (estimates are accepted), etc. Travel category costs do not include 1) costs for travel of consultants, contractors, consortia members, or other partner organizations, which are included in the “Contractual” category; or 2) travel costs for employees of subrecipient agencies (those should be included in the Contractual category, if applicable).
Supplies: Include all tangible personal property other than those described in the definition of “equipment” as defined by 2 C.F.R. § 200.1. Supplies are also defined in 2 C.F.R. § 200.1. The budget detail should identify categories of supplies to be procured for RCPGP purposes only (e.g., for gap analysis only) and the calculation of those costs (e.g., based on monthly rates or based on an average of previous years’ similar costs). Non-tangible goods and services associated with supplies, such as printing service, photocopy services, and rental costs should be included in the “Other” category. Provide the basis for calculation of supplies including the Line-Item Name and list supplies in the Budget Narrative in the same order as listed on the Budget Detail Worksheet. As noted in the Allowable Costs section, allowable supplies are limited to costs that support gap identification, planning, training, and exercise activities.
Contractual: Identify each proposed contract related to RCPGP purposes only and specify its purpose and estimated cost. Contractual/consultant services are those services to be carried out by an individual or organization (do not include company or individual names in budget narrative), other than the applicant, in the form of a procurement relationship. Leased or rented goods (equipment or supplies) for RCPGP purposes should be included in the “Other” category. The applicant should list the proposed contract activities along with a brief description of the scope of RCPGP work or services to be provided and proposed duration. Include the basis for the calculation of contractual services costs (e.g., contractor training instructor speaking fee, contractor travel costs and contractor instructional materials).
Other: This category should include only those types of direct costs that do not fit in any of the other budget categories and are related to RCPGP purposes only. Include a description of each cost by Line-Item Name and in the same order as listed on the applicable Detailed Budget. Include the basis for calculation of the costs. Examples of costs for RCPGP purposes that may be in this category include the following: insurance, rental/lease of equipment or supplies, equipment service or maintenance contracts, printing, or photocopying rental, etc.
Indirect Costs: If indirect charges are budgeted, indicate the approved rate and base (the cost categories for which this indirect cost percentage rate will be applied.) Indirect costs are those incurred by the recipient for a common or joint purpose that benefit more than one cost objective or project and are not readily assignable to specific cost objectives or projects as a direct cost. Not all applicants are required to have a current negotiated indirect cost rate agreement. Those that are required to have a negotiated indirect cost rate (e.g., fixed, predetermined, final, or provision) must submit their negotiated indirect cost agreement at the time of application. Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist or other relevant FEMA position for further instructions.
Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the FEMA Grants Management Specialist for further instructions.
Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable.
Budget Detail Worksheet (PDF)
Appendix E: FY 2021 RCPGP Project Summaries
Below are project summaries from applications that were awarded FY 2022 RCPGP funding. They are offered as examples to assist potential applicants in identifying competitive projects in the FY 2023 RCPGP.
State of Maryland
The State of Maryland requested funding to develop emergency response and evacuation plans that will support Baltimore and the surrounding tri-state region with focus on community resilience, the projected impact of climate change, and the needs of vulnerable populations. In coordination with regional stakeholders, including leaders of vulnerable population communities, the project team will develop an equity survey to collect data on the needs of vulnerable populations during evacuations and develop plans to ensure equity. An Equity Report and Planning Considerations document will be developed from the consolidated survey data to inform the development of the plans. The project includes a tabletop exercise (TTX) and training program for regional emergency management officials. The TTX scenario will highlight areas that have been prone to climate change impacts and focus on the needs of the vulnerable populations to text current understanding and capabilities. A workshop will also be conducted to de-conflict existing plans and share best practices between regional emergency managers and other stakeholders. Other project deliverables include development of a Regional Evacuation Coordination Supplement; Risk Insurance Public Survey; and a Delmarva Peninsula Response Plan.
City of Washington, District of Columbia
The City of Washington, DC requested funding for their Regional Catastrophic Preparedness Initiative, which will develop and deploy a model community engagement and blue-green infrastructure (BGI) planning framework that can be replicated and scaled across the greater Washington area. Blue-green infrastructure refers to the combination of “blue” hydrological functions with “green” nature-based solutions such as vegetation and parks, which not only provide stormwater and flood management capacity but also ancillary community benefits. The project team will manage consultants) and community-based organizations to design and execute community engagement activities that will inform residents of flood risks in their region and advise on steps to reduce vulnerabilities, including uptake of flood insurance, installing stormwater management features, and fortifying their homes. The engagement process will identify community flood concerns and potential areas for large-scale BGI investments, such as parks and open spaces throughout the project area, that can provide co-benefits to the community. The project will focus on engaging disadvantaged communities in flood prone areas and emphasizing the importance of understanding about how BGI can help adapt to, withstand, and quickly recover from future incidents. Based on the engagement process, the project team will further assess the extent to which local and regional networks of BGI can improve catastrophic flood preparedness in areas that are flood prone and are home to vulnerable populations.
City of Seattle, Washington
The City of Seattle, Washington requested funding for a project that will enhance the core capabilities of Community Resilience, Planning, and Mass Care with specific focus on addressing the needs at at-risk communities. The project aims to build relationships with vulnerable populations and to support their disaster related needs through the development of “Resilience Hubs.” Resilience Hubs are trusted community-centered spaces where those in need can go to find relief from a variety of hazards. The project team will use Centers for Disease Control (CDC) Social Vulnerability Index (SVI) data to identify vulnerable populations to focus their community outreach and coordination efforts. Most of the project activities will focus on partnering with local community organizations to collect and synthesize community input. A series of workshops will be held with community representatives to facilitate the required outreach and information gather. This project will help the City meet the Resilience Hub goal of empowering neighborhoods and residents while providing opportunities to address root causes of disproportionate exposure and sensitivity to climate impacts and enhancing communities’ capacity to adapt.
State of Oklahoma
The State of Oklahoma requested funding for a project that will address the sheltering, mass care, and housing needs of vulnerable populations affected by climate change. The State intends to build a coherent set of data tools to better understand the long-term housing needs of survivors in rural, suburban, and urban environments; to develop analytical data-based products to understand sheltering, short term housing, and long-term housing needs in the aftermath of a disaster event; and to develop processes to target funding and programmatic sequencing and timelines to affect recovery and resiliency across the state. The project team will partner with Tulsa and 14 additional counties chosen by a combination of the above housing analysis and CDC SVI data to recruit facilities, staff, and equipment for shelter operations from local partners. The 15 counties will serve as the regional basis for two Type 1 Shelter Task Forces to support large shelters during catastrophic events necessary to help transition vulnerable populations into long-term housing solutions. The project will also provide training for emergency managers on asset mapping, identifying continuum of care for vulnerable populations, sequence of care delivery, and comprehensive stakeholder analysis. Additional trainings will focus on traditional mass care topics such as EOC operations, shelter operations, shelter transition teams, WebEOC, Lifelines, and financial processes. Participating communities will close out their participation in the program by developing a local shelter plan and conducting an exercise to test the new plans.
Wayne County-Detroit, Michigan
The Wayne County Emergency Management Agency, in partnership with the City of Detroit, requested funding to establish a Resilience Hub Network. During moments of disaster and disruption, resilience hubs are operationalized to act as central locations for assessing impact and are augmented to support residents, provide information, coordinate communication, and distribute resources to affected communities. The Wayne County Resilience Hub Network will consist of between seven and ten physical hubs located in Wayne County’s most disadvantaged communities. The Network will enable the County and its communities to take a unique, collaborative, and regional approach to disaster preparedness. Through this network, the County will equip its trusted institutions, such as local houses of worship, non-profit community agencies, and community centers, with the necessary knowledge and supplies to make their communities resilient in the face of catastrophe. By investing in the resilient social infrastructure established by non-governmental actors throughout the region, the County will empower its local communities to adapt to, withstand, and quickly recover from both man-made and natural disasters. Wayne County will partner with anchor institutions that serve communities with “very high” vulnerability according to the CDC’s SVI data. Project activities will include coordinating with key partners to create community level disaster preparedness plans, developing network wide communications standards, and providing Network partners with baseline emergency preparedness trainings.
City of Tampa, Florida
The City of Tampa, Florida requested funding to develop a regional Post-Disaster Redevelopment Plan (PDRP) to establish local government recovery policies, operational strategies, and roles and responsibilities for implementation that will guide equitable decisions that affect long-term recovery and redevelopment of a community after a disaster. Development of the PDRP will allow Tampa Bay and surrounding communities to reduce vulnerability to disasters and more successfully recover post-disaster with a focus on underrepresented and low-income communities. Representatives of vulnerable communities will be involved in both the planning process and regional redevelopment efforts. The project team will commit to ensuring all services are planned through the lens of equity and social vulnerability. The PDRP will develop whole community plans, integrate continuity plans, and promote collaboration to stabilize community lifelines and restore service. Core capability gaps in the areas of Long-Term Vulnerability Reduction, Community Resilience, and Housing will be addressed through risk analysis and strategy development at the community level, focusing on vulnerable populations and geographical areas to enable informed risk management decisions that will guide the planning process. The PDRP will also include an analysis of the local housing market that meets the needs of the community with a focus on housing recovery plans and permanent housing options that are resilient and sustainable post-disaster.
City of Boston, Massachusetts
The City of Boston, Massachusetts in partnership with Providence, Rhode Island requested funding to develop solutions that address equity and resilience in Southern New England. The grant activities will focus on the most vulnerable neighborhoods and aim to increase their overall resilience to climate and other hazards through data analysis, outreach and education, volunteer coordination, continuity planning, and mitigation efforts. This will put the Boston and Providence metropolitan statistical areas (MSAs) in a better position to respond to and recover from a catastrophic event. The project team will create regional partnerships comprised of Boston and Providence MSA jurisdictions, local small businesses, community stakeholders, and other relevant Federal, state, and non-governmental organization/private sector partners. Project activities will include: utilizing Geographic Information Systems (GIS) and other research tools to analyze and visualize social vulnerability data to better understand the neighborhoods and community makeup within the Boston and Providence MSAs; stakeholder identification, engagement and relationship building in socially vulnerable areas; educating community members on their risks to certain hazards; training community members to establish and maintain volunteer teams to support disaster response; establishment of a housing risk mitigation retrofit and enhancement program; business continuity and contingency planning in partnership with vulnerability communities; establishment of resilience hubs in socially vulnerable neighborhoods; conducting a series of exercises to test and validate plans and other improvements made as part of the project; and development of a sustainment plan to ensure project benefits are maintained.
City of Houston, Texas
The City of Houston, Texas requested funding for a project that will address community resilience and long-term vulnerability by improving the supply chain “last-mile”: getting critical supplies to people or getting people to critical supplies in a disaster. A key part of the project includes identifying socially vulnerable populations by working with local community organizations and non-governmental organizations to identify the impact of depressed census participation in socially vulnerable communities across the region, especially among refugees, immigrants, people with antigovernment stances, and marginalized populations. The regional project team will use this data to conduct a baseline vulnerability and needs assessment which includes forming a working group comprised of community representatives, agencies active in transportation, supply-chain, and resilience, and reviewing relevant studies on transportation and/or emergency management affecting socially vulnerable communities. Other project activities and deliverables include: developing a GIS-based tool to predict catastrophic incident transportation challenges at the community-level to support informed, risk-based decision-making by emergency management officials; conducting a series of seminars for emergency management partners to develop greater awareness of transportation needs, challenges to disadvantage communities, available resources, and emergency management’s role in transportation equity; and holding community-level workshops to help jurisdictions identify catastrophic incident transportation gaps and to support development of an implementation and measurement plan for needed changes.
City of San Francisco, California
The City of San Francisco, California requested funding to build resilience of the whole community with its primary focus on underserved/disadvantaged communities and socially vulnerable populations through a series of planning, organization, training, and exercise activities. The project team will engage local community leaders, emergency managers, urban planners, community groups, and Voluntary Organizations Active in Disasters to conduct a series of comprehensive vulnerability and capacity assessments that better identify and address the underserved/disadvantaged communities. The assessment findings will be used to develop a “Roadmap to Community Resilience Toolkit” which will consist of best practices, lessons-learned, a repository of useful tools, case studies, etc., to support jurisdictions in their efforts to assess and address long-term vulnerability issues facing their underserved/disadvantaged communities and socially vulnerable populations. Additionally, each roadmap will include strategies and anticipated funding requirements to address the unique needs, including specific risks & vulnerabilities to climate change. The project team will review the completed roadmaps and updated plans to inform development of a Regional Vulnerability Report summarizing the most critical disadvantaged communities and strategies for improving community readiness throughout the region. The project team will also explore sustainable solutions to engaging community organizations in ongoing disaster preparedness as well as systematic integration with local emergency response operations to include technology solutions that will empower communities (via public/private partnerships) to make data-driven decisions and enhance coordination with regards to resource sharing.
City of Grand Rapids, Michigan
The City of Grand Rapids, Michigan requested funding for a community resilience and long-term vulnerability reduction project. The project centers on conducting an in-depth Threat and Hazard Identification and Risk Assessment and to use this information to develop a robust Stakeholder Preparedness Review and a Community Preparedness Report which will focus on the impacts to vulnerable populations, impacts of climate change, and to understand the equity challenges within the whole community. This project aims to ensure that the city and regional partners will be able to invest in closing preparedness gaps in an equitable, sustainable, and strategic manner. Project activities will include: identification of key stakeholders, including representatives of socially vulnerable communities, that need to be involved in the project; identification and analysis of natural, technological, and human-made hazards with focus on vulnerable areas/locations for all hazards focused on people, property, the environment and critical infrastructure and key resources; development of maps and geographic information systems to provide visual decision support tools for emergency managers; integration of baseline data to use in predictive models for current and future vulnerability with respect to changing natural and community conditions; developing and implementing public outreach education programs to help close the gaps identified through the Threat and Hazard Identification and Risk Assessment, Stakeholder Preparedness Review, and Community Preparedness Report; and development and delivery of community education sessions that will focus on insurance and financial preparedness.
1. Climate change is defined as “Changes in average weather conditions that persist over multiple decades or longer. Climate change encompasses both increases and decreases in temperature, as well as shifts in precipitation, changing risk of certain types of severe weather events, and changes to other features of the climate system.” (National Climate Assessment)
5. OMB Number: 1660-0156
FEMA Form FF-207-FY-23-105, Expiration Date: 8/31/2023
Public reporting burden for this data collection is estimated to average 160.2 per response. The burden estimate includes the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and submitting this information with your application. You are not required to respond to this collection of information unless a valid OMB control number is displayed with this request for information. Send comments regarding the accuracy of the burden estimate and any suggestions for reducing the burden to: Information Collections Management, Department of Homeland Security, Federal Emergency Management Agency, 500 C Street. SW, Washington, DC 20472-3100, Paperwork Reduction Project (1660-0156) NOTE: Do not send your completed application to this address.