WELCOME to Cal EMA’s FY11 Emergency Management Performance Grant Application Workshop

1. WELCOME to Cal EMA’s FY11 Emergency Management Performance Grant Application Workshop Homeland Security, Prop 1B, and Emergency Management Branch

2. Training Topics to Include: • Overview of FY11 Emergency Management Performance Grant Recipient Subgrant Guide for Local Governments • Overview of Financial Management Forms Workbook v1.11(a) • Cash Reimbursement • Modification Requests • Closeout • Demonstration of Financial Management Forms Workbook

3. FY11 EMPG Recipient Subgrant Guide for Local Governments

4. The Financial Management Forms Workbook (FMFW) will now be used for the application process, revision requests, and reimbursement requests. • The FY11 EMPG performance period for local governments will be July 1, 2011 through June 30, 2012. • Submit all grant application components to Cal EMA Regions by September 16, 2011. • Regional Offices will complete a thorough review of applications and forward to the Office of Grants Management to by September 30, 2011.

5. Required Application Components: The application must include the following components: • Financial Management Forms Workbook • Project Contact Information Sheet • FY11 Emergency Management Program Grant Application Checklist • Governing Body Resolution • Grant Assurances • NIMS Compliance Certification The Forms can be accessed from Appendix D of the Recipient Subgrant Guide for Local Governments or located on the Cal EMA website.

6. Financial Management Forms Workbook (FMFW) V 1.11 will now be used for the application process, revision requests, and reimbursement requests. • The Project Contact Information Sheet will need to be submitted to provide a list of contacts for FY11 EMPG. • A new Grant Application Checklist has been created for the FY11 EMPG program and is a required element of the application packet. Cal EMA Regional Offices will complete the checklist and submit it with the Operational Area’s application. The Operational Areas are encouraged to utilize this checklist as a reference to ensure all elements are completed before submitting the application. • The Governing Body Resolution appoints agents authorized to execute grant activities. The grant cannot be placed into award until a Resolution is completed and submitted. Ideally, this should be included when submitting the FY11 EMPG application packet. • The Grant Assurances Form lists the requirements to which the OA will be held accountable. OAs are required to file a new Grant Assurances form with the FY11 EMPG application. • The NIMS Certification form must be signed by the authorized agent and submitted with the application.

7. Optional Application Components: • Excess Funds Statement Form: While developing an application, any excess funds should be identified and returned to Cal EMA so the funds can be reallocated to other Operational Areas. In this case, it will be necessary to complete and submit the Excess Funds Statement Form to your Regional Office by the application due date. • Additional Project Using Excess Funds Form & Additional Project Using Excess Funds Detailed Budget: These documents are used to reallocate the returned funds. We are asking the OAs to submit one-time projects they would like to accomplish. Having these projects submitted during the application process will allow Cal EMA’s Office of Grants Management to add the funds to your annual EMPG award, should they become available.

8. The completed original hard copy of the FMFW V1.11 and all required application forms must be mailed in to the Cal EMA Regional Office by the Application Due Date. Signatures must be in blue inkonly. In order to streamline the process, Operational Areas will need to electronically submit the completed FMFW to the EMPG Regional lead prior to signing and submitting a hard copy, in order to identify any corrections that may need to be addressed. • Cal EMA Regional Leads are responsible for maintaining a hard copy file of all completed FY11 EMPG application documents for each OA for tracking and monitoring purposes. • Cal EMA will notify the OA, in writing, of the approved application, award amount, and performance period. Please note that subgrantee reimbursements will not be made until all required application components have been approved by the state and all conditional holds removed.

9. Environmental Planning and Historic Preservation (EHP): • Any project with the potential to impact natural or biological resources or historic properties or involves Emergency Operation Center construction and renovation cannot be initiated until FEMA has completed the required Environmental Planning and Historic Preservation (EHP) review. • Subgrantees should submit the FEMA EHP Screening Form to the appropriate Cal EMA Regional Office for each project as soon as possible upon receiving their grant award. Refer to IBs 329, 345, and 356 (located at http://www.fema.gov/government/grant/bulletins/index.shtm) and Section II, Part I.B.5.5.6 for further details on EHP requirements.

10. The priority for FY11 EMPG programs are to advance “Whole Community” Security and Emergency Management. • To address the priority, four Federally Mandated Objectives have been identified and each is given a performance measure and reporting requirements which have been added to the Performance Report.

11. Objective One : Approved Emergency Plans: • EMPG subgrantees shall maintain, or revise as necessary, jurisdiction wide all hazard emergency operations plans consistent with the CPG 101 v.2 September 2010 which serves as the foundation for State, local, Tribal, and territory emergency planning. CPG 101 v.2 can be found at http://www.fema.gov/pdf/about/divisions/npd/CPG_101_V2.pdf • Subgrantees are strongly encouraged to update their EOPs at least once every two years. Additional information on planning guidance can be found on FEMA’s website at http://www.fema.gov/prepared/plan.shtm. • Subgrantees will report progress toward making their EOPs compliant with CPG 101 v.2 by completing the Evaluation Matrix for Compliance with CPG 101 v.2 available at http://www.fema.gov/prepared/plan.shtm. • Subgrantees are required to submit the above referenced evaluation matrix annually and also to include quarterly updates on the percentage completed in the Performance Report. • Subgrantees are required to submit their existing EOPs to their respective Regional Offices.

12. Objective Two: Completion of Threat and Hazard Identification and Risk Assessment (THIRA): • THIRA processes at all levels of government establish a foundation to justify and guide preparedness activities and investments. • All subgrantees shall develop and maintain a THIRA. • THIRA findings should be incorporated into each applicant’s preparedness strategy, planning, investment justification, and assessment documentation – addressing capability gaps identified during the THIRA process. • Existing guidance on the development of a Hazard Mitigation Plan which includes references to guidance for the integration of man-made disasters into planning can be found in the State Multi-Hazard Mitigation Planning Guidance (Mitigation Planning "Blue Book"): http://www.fema.gov/library/viewRecord.do?id=3115. • Subgrantees are required to submit their County Mitigation Plan that includes the County’s THIRA to their respective Cal EMA Regional Offices: Coastal, Inland, or Southern.

13. Objective Three: Develop and Maintain Multi-Year Training and Exercise Plans (TEPs): • Subgrantees are required to conduct an annual Training and Exercise Plan Workshop (TEPW). • Subgrantees are required to develop a Multi-Year TEP and update it annually. The TEP should be submitted to hseep@dhs.gov at https://hseep.dhs.gov/DHS_SSO/?ReturnUrl=%2fhseep_em%2fToolkitHome.aspx. • Subgrantees are encouraged to post their schedules to the National Exercise Scheduling System (NEXS). The instructions for data submission can be located at: https://hseep.dhs.gov/pages/Using_the_Scheduling_Standard_Worksheet.aspx. • A summary of all collected corrective action items and a tracking of their implementation shall be reported as part of the EMPG Program quarterly reporting.

14. Objective Three: Develop and Maintain Multi-Year Training and Exercise Plans (TEPs) continued: • All EMPG Program subgrantees will develop and maintain a progressive exercise program consistent with the National Exercise Program base plan: To include no less than four quarterly exercises (i.e., one exercise per quarter) of any type (e.g. Drills, Tabletop Exercises, Functional), And one full-scale exercise within a 12-month period. • All EMPG Program funded personnel shall participate in no less than three exercises in a 12-month period. • An After Action Report/Improvement Plan (AAR/IP) shall be completed for each exercise and submitted to FEMA. • The AAR/IP should be encrypted (password protected) and emailed to hseep@dhs.gov with the password e-mailed separately. The AAR/IP shall also be posted to the Corrective Action Program (CAP) website. To register, go to https://hseep.dhs.gov/caps/userRegistration.do.

15. Objective Three: Develop and Maintain Multi-Year Training and Exercise Plans (TEPs) continued: • Subgrantees must report quarterly in the EMPG Program Performance Report the percent completion of the progressive exercise series to include percent completion of personnel participation. • Subgrantees must submit AAR/IPs for each of the four quarterly exercises and one full-scale exercise to include corrective actions in the EMPG Program quarterly reporting. • TEPs should be Emailed to Cal EMA Exercise Division POCs no later than August 31st each year (this gives us time to roll it into our State TEP). • Southern region OAs and UASIs – Rich Mifsud: richard.mifsud@calema.ca.gov • Coastal region OAs and UASIs – Kevin Leisher: kevin.leisher@calema.ca.gov • Inland region OAs and UASIs – Sharon Avery: sharon.avery@calema.ca.gov • State Agencies/Departments: - Lt Col Chuck Pratt: charles.pratt@calema.ca.gov • Email encrypted(password protected) to hseep@dhs.gov with password emailed separately

16. Objective Four - Target Training and Verify Capability of Personnel: • Training activities supported with EMPG Program funds should strategically align to a target capability identified in the Multi-Year TEP. • To ensure the development of a professional emergency management workforce all EMPG Program funded personnel shall complete eleven (11) training requirements and record proof of completion: National Incident Management System (NIMS) Training: IS 100, IS 200, IS 700, IS 800 FEMA Professional Development Series:  IS 139, IS 230.a, IS 235.a, IS 240.a, IS 241.a, IS 242.a, IS 244.a

17. Objective Four - Target Training and Verify Capability of Personnel continued: • Subgrantees are required to share with Cal EMA a TEP that includes a progressive exercise plan and schedule and a plan for training personnel. Information related to TEPs and TEPWs can be found on the HSEEP website at https://hseep.dhs.gov. • Submission of a list of EMPG funded personnel along with the training completed to be included in the EMPG Program quarterly reporting. • Quarterly reporting of implementation of TEP, including percent addressed in the FY 2011 EMPG Performance Report.

18. Eligible Activities - Management and Administrative Costs: • M&A costs are allowable for Operational Areas. OAs may retain and use up to 5% of their subawardfrom the State for OA M&A purposes. • M&A activities are those defined as directly relating to the management and administration of EMPG funds, such as financial management and monitoring. It should be noted that salaries of local emergency managers are not typically categorized as M&A, unless the OA chooses to assign personnel to specific M&A activities.

19. Eligible Activities - Planning: • FY 2011 EMPG funds may be used for a range of emergency management planning activities. Planning provides a methodical way to engage the whole community in thinking through the life cycle of potential crises, determining required capabilities, and establishing a framework for roles and responsibilities. Planning must include participation from all stakeholders in the community who are able to contribute critical perspectives and may have a role in executing the plan. Planning should be flexible enough to address incidents of varying types and magnitudes.

20. Eligible Activities – Organization: • Per the Robert T. Stafford Disaster Relief and Emergency Assistance Act, (Public Law 93-288), as amended, 42 U.S.C. 5121-5207, EMPG funds may be used for all-hazards emergency management operations, staffing, and other day-to-day activities in support of emergency management. Proposed staffing activities should be linked to achieving goals outlined in the EMPG FMFW. To ensure adequate resources are dedicated to the critical components of preparedness, subgrantees are encouraged to fund at least one dedicated Planner, Training Officer, and Exercise Officer. Personnel costs, including salary, overtime, compensatory time off, and associated fringe benefits, are allowable costs with FY 2011 EMPG funds. These costs must comply with 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal Governments (OMB Circular A-87). Proposed personnel costs should be linked to achieving objectives outlined in your FMFW.

21. Eligible Activities – Equipment: • Allowable equipment categories for FY 2011 EMPG are listed on the web-based version of the Authorized Equipment List (AEL) on the Responder Knowledge Base (RKB), which is sponsored by FEMA at http://www.rkb.us. Unless otherwise stated, equipment must meet all mandatory regulatory and/or FEMA-adopted standards to be eligible for purchase using these funds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. • OAs should consider taking advantage of the 1033 and/or the 1122 Procurement Programs available through Cal EMA for equipment needs. These programs offer significant savings and access to free Federal surplus for public safety agencies.

22. Eligible Activities – Equipment continued: 1122 Program: The 1122 Program is a federal program authorized through the National Defense Authorization Act which allows state and local governmental agencies to purchase equipment and supplies suitable for Counter Drug, Homeland Security and Emergency Response activities from three separate federal sources. They are the Defense Logistics Agency, the Department of the Army, and the General Services Administration. This program affords state and local agencies the opportunity to take advantage of discounts available to the Federal Government due to its large volume purchases. By using this system, agencies are able to maximize their budget/grant dollars. Contact: Cathy Vigil (916) 324-8578 Cathy.Vigil@calema.ca.gov or Barrett Benson (916) 324-9161 Barrett.Benson@calema.ca.gov for more information. 1033 Program: The National Defense Authorization Act authorizes the Secretary of Defense to transfer excess Department of Defense personal property to federal, state, and local Law Enforcement Agencies at no cost other than shipping. Contact: Russ Gibson, Stephene Carrington, or Christlene Villefranche (916) 323-1453, for more information about the procurement process. Please call the above referenced contacts to find out if your agency is already participating. Visit us on the Cal EMA Website under the Public Safety Procurement Branch.

23. Homeland Defense Equipment Reuse (HDER) Program: The Homeland Defense Equipment Reuse (HDER) program is a partnership between the U.S. Department of Homeland Security and the U.S. Department of Energy, serving state and local emergency responder communities. The mission of the HDER Program is to provide emergency responder agencies nationwide access to an inventory of items that are no longer needed by the Federal Government. Items are refurbished and provided at no cost to the recipient. Provision of items helps ensure that emergency responders are equipped to properly detect, prevent, respond, and recover from a national security threat. For further information or to sign up for this program, go to http://hder.oro.doe.gov/.

24. Eligible Activities – Equipment continued: Allowable equipment includes equipment from the following AEL categories: • Information Technology (Category 4) • Cyber-Security Enhancement Equipment (Category 5) • Interoperable Communications Equipment (Category 6) • Detection Equipment (Category 7) • Power Equipment (Category 10) • Chemical, Biological, Radiological, Nuclear, Explosive Reference Materials (Category 11) • CBRNE Incident Response Vehicles (Category 12) • Physical Security Enhancement Equipment (Category 14) • CBRNE Logistical Support Equipment (Category 19) • Other Authorized Equipment (Category 21)

25. Eligible Activities – Training: Allowable training-related costs include the following: • Training and Exercise Planning developed through an annual Training Exercise Planning Workshop. Further guidance concerning the Training and Exercise Plan and the Training and Exercise Plan Workshop can be found at https://hseep.dhs.gov. Training should foster the development of a community oriented approach to emergency management that emphasizes engagement at the community level, strengthens best practices, and provides a path toward building sustainable resilience. All EMPG Program funded personnel shall participate in no less than three exercises in a 12 month period and should complete the training requirements listed on Federally Mandated Objective #4 and record proof of completion.

26. Eligible Activities – Exercises: • Exercises implemented with grant funds should evaluate performance of the capabilities required to respond to the exercise scenario. Exercise activities should align to a current, Multi-Year TEP developed through an annual Training and Exercise Plans Workshop. Further guidance concerning the Training and Exercise Plan and the Training and Exercise Plan Workshop can be found at https://hseep.dhs.gov. Subgrantees are encouraged to develop exercises that test their Emergency Operations Plans in accordance with the following allowable exercise-related costs: Implementation of Homeland Security Exercise and Evaluation Program (HSEEP), Funds used to design, develop, conduct and evaluate an exercise, hiring or full or part time staff or contractors/consultants, overtime and backfill, travel, and supplies.

27. Eligible Activities – Exercise continued: Unauthorized exercise-related costs include: • Reimbursement for the maintenance and/or wear and tear costs of general use vehicles (e.g., construction vehicles) and emergency response apparatus (e.g., fire trucks, ambulances). • Equipment that is purchased for permanent installation and/or use, beyond the scope of exercise conduct (e.g., electronic messaging signs). • Durable and non-durable goods purchased for installation and/or use beyond the scope of exercise conduct.

28. Unallowable Costs • Expenditures for weapons systems and ammunition. • Expenditures for items such as general-use software (word processing, spreadsheet, graphics, etc), general-use computers and related equipment (other than for allowable M&A activities, or otherwise associated preparedness or response functions), general-use vehicles, and licensing fees. • Personnel costs (except for costs as detailed above). Costs to support the hiring of sworn public safety officers for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities. • Activities unrelated to the completion and implementation of the EMPG. • Other items not in accordance with the portions of the AEL and allowable cost listed in “Eligible Activities” section. • Indirect Overhead costs charged to grant. • Supplanting

29. Performance Reports Why do we ask for this information? The purpose of progress reports is to collect data asked of us by the Federal Government and the Governor’s Office.

30. Performance Report Due Dates: • October 17, 2011 • January 15, 2012 • April 16, 2012 • July 31, 2012 (Final) • FY11 EMPG Performance Reports have been updated to reflect the Federally Mandated Objectives.

31. Subgrantees must prepare and submit performance reports to the State for the duration of the grant performance period, or until all grant activities are completed and the grant is formally closed by Cal EMA. The report must include the progress made on identified activities, as well as other requested information and data. • Subgrantees must also complete a Biannual Strategy Implementation Report (BSIR) using the DHS/FEMA Grants Reporting Tool (GRT). To obtain access to the online GRT, please log on to their website at www.reporting.odp.dhs.gov. To create a new account, follow the instructions that read, “If you need to register for an account, please click here.” For additional assistance with the GRT, please contact: Wilda Benamati at wilda.benamati@calema.ca.gov or (916) 324-6054. • The Final Performance Report is due to Cal EMA by July 31, 2012 (unless extended).

32. Closeout Procedures

33. GRANT CLOSE OUT PROCEDURES End of the Grant Cycle A process which CalEMA uses to determine all applicable administrative actions and required work have been completed.

34. GRANT CLOSE OUT PROCEDURES Can you tell me what I do when the grant is ending? Sure thing!

35. GRANT CLOSE OUT PROCEDURES Step 1-Final Performance Report This report is due no later than 30 calendar days after the conclusion of the grant’s performance period. We can’t approve the final payment until this is submitted!

36. GRANT CLOSE OUT PROCEDURES Step 2 – Final Request for Reimbursement Make sure all funds expended are reported. This is your last chance to get funds from this grant cycle. All expenses must have been encumbered prior to the grant award end date and expended prior to the liquidation end date.

37. Final Reimbursement; things to remember • You only have 30 days from the end of the liquidation period to submit the Reimbursement Request. • Liquidation period is 90 calendar days after the grant performance period. • If you don’t submit a final Reimbursement - Accounting will consider the last Reimbursement as the final. • Once the Accounting unit processes the final Reimbursement, no further payment activities against the grant are permitted.

38. GRANT CLOSE OUT PROCEDURES Step 3 – Retention of Records You mean we have to keep this stuff!! How long? Record keeping is VERY important

39. Source Documentation / Record Retention • In the Grant Closeout Letter, the State will notify the subgrantee of the start of the record retention period for all programmatic and financial grant related records. • All grant records must be retained for at least three (3) years, unless there is an ongoing audit or other related matter that needs to be resolved. • Required to maintain an accurate Document Retrieval System. ** ** This system may be automated or manual.

40. GRANT CLOSE OUT PROCEDURES Notice of Final Project Closure This letter is generated upon Cal EMA’s closure of the Grant Award. This letter is your final notice that your Grant has been closed and any unspent funds have been de-obligated.

41. GRANT CLOSEOUT PROCEDURES That about covers Grant Closeout procedures. Does anyone have any

42. Financial Management Forms Workbook v1.11(a)

43. Instructions to retrieve Financial Management Forms Workbook v1.11(a) • www.calema.ca.gov • Click on the “Grants & Funding” link (top of the page). • Select the “Emergency Management, Homeland Security, and Proposition 1B” link (from the Grants & Funding list option box on the right hand side). • Select the “Homeland Security Grants Processing Section” link (from the EM, HS & Prop 1B option list box under Homeland Security Programs). • Under the Homeland Security Grants Processing Section, there are two versions of the Financial Management Forms Workbook, v1.10 for FY2010 Applications and v1.11 for FY2011 Applications. • Right-click on the FMFW link and “Save Target As” to your desktop. • Save FMFW as “Excel 97-2003” format.

44. Instructions to enable macros for Excel 2003 • Click on “Tools” • “Macros” • “Security” • Set to “Medium” • Save / Close/ Reopen the FMFW • Click on “Enable Macros”

45. Instructions to enable macros for Excel 2007 • Click on the round “Office” button in the top left • Click on “Excel Options” in the lower right of the drop-down box • Select “Popular” module along the left side • Check the “Show Developer tab in the Ribbon” option • Hit OK • Click on the round “Office” button in the top left (again) • Click on “Excel Options” in the lower right of the drop-down box • Select “Trust Center” module along the left side • Click on the “Trust Center Settings” tab • Select the “Macros Settings” module along the left • Set the “Macros Settings” to “Enable all macros” • Check the “Trust access to the VBA project object model” option • Hit OK

46. FMFW v1.11(a): Revised Instructions Page This Instructions Page reflects the new updates for FY11 EMPG

47. FMFW v1.11(a): New Grant Award Face Sheet New Grant Award Face Sheet for FY11. Replaces previous Cover Sheet

48. FMFW v1.11(a): New Authorized Body of 5 Signature and Contact Information Page Provide Authorized Body of 5 and Contact Info. (if applicable) List any additional Authorized Agents

49. FMFW v1.11(a): Grant Management Roster List any other individuals who may be managing the grant(s)

50. FMFW v1.11(a): Project Ledger List all projects in alphabetical order (A-T) New Solution Area Sub-Category “S”(Show) & “H”(Hide) buttons for EMPG/EOC