2015 EMPG LOCAL PROGRAMMATIC GUIDANCE REV 3-10-15.DOCX

EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
Emergency Management Performance Grant (EMPG)
Federal Fiscal Year 2015
LOCAL PROGRAMMATIC GUIDANCE
Catalog of Federal Domestic Assistance (CFDA) Number
97.042
CFDA Title
Emergency Management Performance Grants (EMPG) Program
Summary
The Emergency Management Performance Grant (EMPG) Program provides federal funds to assist state, local, tribal and
territorial governments in preparing for all hazards, as authorized by Section 662 of the Post Katrina Emergency
Management Reform Act (6 U.S.C. § 762) and the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as
amended (42 U.S.C. §§ 5121 et seq.). Title VI of the Stafford Act authorizes FEMA to make grants for the purpose of
providing a system of emergency preparedness for the protection of life and property in the United States from hazards
and to vest responsibility for emergency preparedness jointly in the federal government and the states and their
political subdivisions. The FY 2015 EMPG will provide federal funds to assist state, local, tribal, and territorial emergency
management agencies to obtain the resources required to support the National Preparedness Goal’s (the Goal’s)
associated mission areas and core capabilities. The federal government, through the EMPG Program, provides necessary
direction, coordination, and guidance, and provides necessary assistance, as authorized in this title, to support a
comprehensive all hazards emergency preparedness system.
ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFIARS
5636 E. McDowell Road, Building 5101
Phoenix, Arizona 85008
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EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
EMPG 2015 State Requirements
The 2015 EMPG Performance Period ...........................................................................................................3
Program Priorities and Grant Special Conditions/Grant Assurances ...........................................4
Alignment of the EMPG Program to the National Preparedness System (NPS) .........................4
Reporting on the Implementation of the National Preparedness System (NPS)........................4
Building and Sustaining Capabilities ........................................................................................................4
Planning to Deliver Capabilities..................................................................................................................5
Validating Capabilities ...................................................................................................................................5
Strengthening Governance Integration....................................................................................................5
Post Award Requirements and Grant Administration ........................................................................6
Quarterly Reporting Requirements and Demonstrating progress.................................................6
Standards for Financial Management.......................................................................................................7
Source Documentation (travel, personnel, time and effort, contracts, equipment, meeting costs) ............7
Changes/Amendment......................................................................................................................................8
Procurement.......................................................................................................................................................8
Equipment and Supplies Requirements....................................................................................................8
Monitoring, Enforcement, Termination, and Closeout Requirements ............................................9
Public Records Notice, Record Retention, Audits, Appeals.......................................................11- 12
Exercise Participation Report Form...........................................................................................................13
Training Requirements 2013 Acknowledgement .................................................................................14
Meeting Participation Report Form...........................................................................................................15
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EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
The 2015 EMPG Performance Period
Period of Performance Start Date: July 1, 2015 and ending June 30, 2016
The 2015 EMPG State Requirements*
Progress report: Grantees are expected to complete and report on the priorities, initiatives, and grant activities as
outlined in their approved work plan using the standard template provided by ADEM. The report must address activities
for all Performance Standards. The report must have detailed narrative as to what has been accomplished during grant
period in the following areas:
 Reporting maintenance and progress of NIMS adoption and implementation activities
 Grantee complies with SPR/THIRA update requirements
 Content of EMPG Work Plan supports the State/territory advancing “Whole Community” fosters a national
emergency management approach and considers all aspects of a community to effectively prepare for, protect
against, respond to, recover from and mitigate against any terrorist attack or natural disaster
 Develop a local jurisdiction multi–year Training and Exercise Plan (TEP) to be submitted to ADEM’s Training and
Exercise Branch
 Conduct or Participate in All-Hazard Exercises
o Emergency management programs funded through the EMPG should conduct or participate in exercises on
a regular basis. Jurisdictions should coordinate with ADEM prior to conducting an exercise. Following any
local all–hazard exercises the Arizona ADEM Exercise After Action Report-Improvement Plan (AAR-IP) should
be submitted to the ADEM exercise officer with the next quarterly progress report, if not sooner. The
current reporting form is available and may be requested from the ADEM exercise branch manager.
Communities that experience a state or federally declared disaster event during the grant performance period
shall be considered to have satisfied this requirement and an AAR-IP must be submitted for the disaster.
 Participation in the state multi–year Training and Exercise Plan Workshop (TEPW)
 Implementation of Presidential Policy Directive (PPD)-8. These activities include continued development and
sustainment of core capabilities needed to close gaps and strengthen the State of Arizona’s preparedness
Submit Quarterly Programmatic Activities Reports to:
Arizona Department of Emergency and Military Affairs
Division of Emergency Management
ATTN: Diane Fernandez, EMPG Program Coordinator
5636 E. McDowell Road, Building 5101
Phoenix, Arizona 85008
Dispatch Phone: 602-244-0504
Programmatic Questions call Diane Fernandez at 602-464-6268 or email diane.fernandez@azdema.gov
Program Priorities and Grant Special Conditions/Grant Assurances
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EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
Jurisdictions receiving EMPG Program funds are required to work towards completion of all tasks identified and
submitted in the Annual Work Plan. In addition, all participants are required to submit quarterly progress reports
describing achievements toward the quarterly goals identified in the Work Plan and any other emergency
management program activities, as well as providing detailed financial accounting of program expenditures.
Failure to comply with EMPG Program requirements may result in reduction of annual funding and possible reduction
in the current year’s award allocation.
Participation in exercises and completing ongoing training are integral components of an emergency management
program.
Reference Appendix A – FY 2015 EMPG Program Priorities for complete details and reporting requirements.
Alignment of the EMPG Program to the National Preparedness System (NPS)
The Nation utilizes the NPS to build, sustain, and deliver core capabilities in order to achieve the National Preparedness
Goal (Goal).
Using the core capabilities, the FY 2015 EMPG Program supports the achievement of the Goal by:
 Preventing a threatened or an actual act of terrorism;
 Protecting our citizens, residents, visitors, and assets against the greatest threats and hazards;
 Mitigating the loss of life and property by lessening the impact of future disasters;
 Responding quickly to save lives, protect property and the environment, and meet basic human needs in the
aftermath of a catastrophic incident; and/or
 Recovering through a focus on the timely restoration, strengthening, and revitalization of infrastructure,
housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of
communities affected by a catastrophic incident.
Reporting on the Implementation of the National Preparedness System (NPS)
Identifying and Assessing Risk and Estimating Capability Requirements
In order to qualify for EMPG Program funding, all grantees shall develop and maintain a Threat and Hazard Identification
and Risk Assessment (THIRA) which informs and supports the State Preparedness Report (SPR). Only one THIRA
submission from each State will be accepted. One comprehensive report will be submitted to FEMA no later than
December 31, 2015.
 * Grant sub-recipients are required to participate in the development of the State’s annual Threat and Hazard
Identification and Risk Assessment (THIRA) and/or Tribal partners can chose to independently develop and
submit a Threat and Hazard Identification and Risk Assessment and submit directly to DHS/FEMA by
December 31, 2015. THIRA workshop
 The THIRA Workshop is conducted in partnership with the Arizona Department of Homeland Security (AZDOHS).
 Contact Layton Dickerson at 602-464-6224 or Layton.dickerson@azdema.gov
Building and Sustaining Capabilities
EMPG Program grantees should ensure that grant funding is utilized to sustain critical core capabilities within the NPS
that were funded by past EMPG Program funding cycles to include training of personnel and lifecycle replacement of
equipment.
 New capabilities should not be built at the expense of maintaining current and critically needed core
capabilities.
 If new core capabilities are being built utilizing EMPG Program funding, grantees must ensure that the
capabilities are able to be deployable outside of their community to support regional and national efforts or
otherwise shareable with regional partners and aligned with a gap identified in the THIRA/SPR. All capabilities
being built or sustained must have a clear linkage to one or more core capabilities in the Goal.
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EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
Planning to Deliver Capabilities
All EMPG Program grantees shall maintain, or revise as necessary, jurisdiction-wide, all threats and hazards emergency
operations plans (EOPs) consistent with the CPG 101 v.2 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/national-preparedness/plan. Grantees
must update their EOP at least once every two years.
Validating Capabilities
Grantees should develop long-term training and exercise priorities that examine, validate and/or address the gaps
identified through their annual THIRA and SPR by developing a multi-year Training and Exercise Plan (TEP). Grantees
should also review and consider areas for improvement identified from real-world events and exercises, and national
areas for improvement identified in the 2013 National Preparedness Report.
 * Develop a multi-year Training and Exercise Plan (TEP) and/or participate in the state multi-year Training and
Exercise Plan Workshop (TEPW).
o Copies of the completed TEP should be mailed to Jan Lindner, Exercise Branch Manager.
 This workshop is conducted in partnership with the Arizona Department of Health Services (ADHS). Tentative
dates will be end of 1st quarter or early 2nd quarter.
 Contact Jan Lindner, Exercise Branch Manager at 602-464-6218 or jan.lindner@azdema.gov
In addition to training activities aligned to and addressed in the TEP, all EMPG Program funded personnel shall
complete the following training requirements and record proof of completion: National Incident Management System
(NIMS) Training, IS 100, IS 200, IS 700, and IS 800, and other Independent Study courses identified in FEMA
Professional Development Series. Previous versions of the IS courses meet the NIMS training requirement. A
complete list of the Independent Study Program Courses may be found at http://training.fema.gov/is.
All grantees will develop and maintain a progressive exercise program consistent with Homeland Security Exercise and
Evaluation Program (HSEEP) (https:www.llis.dhs.gov/hseep). Grantees shall conduct no less than four quarterly
exercise (i.e., one exercise per quarter) of any type (i.e., discussion-based or operations-based) and one full-scale
exercise within a 12-month period. All EMPG funded personnel shall participate in no fewer than three exercises in a
12-month period
 For information and/or support with training, please contact the ADEM Training Branch at (602) 464-6210.
 * Establish and maintain compliance with the National Incident Management System (NIMS)
o Copies of EMPG funded personal training certificates/transcripts should be mailed to Ron Kopcik,
Training Branch Manager.
On a recurring basis, capabilities, resources, and plans should be reviewed to determine if they remain relevant or need
to be updated as it relates to the EMPG Program. This review should be based on a current risk assessment and utilize
information gathered during the validation process. These reviews will provide a means to examine preparedness
analyses; determine priorities; direct preparedness actions; and calibrate goals and objectives.
Strengthening Governance Integration
DHS preparedness grant programs are intended to support the core capabilities across the five mission areas of
Prevention, Protection, Mitigation, Response, and Recovery that are necessary to prepare for incidents that pose the
greatest risk to the Nation’s security. Each program reflects the Department’s intent to build and sustain an integrated
network of national capabilities across all levels of government and the whole community. Disparate governance
structures must be integrated and refined to ensure resources are targeted to support the most critical needs of a
community based on risk driven, capabilities-based planning. Strong and inclusive governance systems better ensure
that disparate funding streams are coordinated and applied for maximum impact.
DHS requires that all governance processes that guide the allocation of preparedness grant funds adhere to the
following guiding principles:
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EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
 Coordination of Investments – resources must be allocated to address the most critical capability needs as
identified in their SPR and coordinated among affected preparedness stakeholders.
 Transparency – stakeholders must be provided visibility on how preparedness grant funds are allocated and
distributed, and for what purpose.
 Substantive Local Involvement – the tools and processes that are used to inform the critical priorities which DHS
grants support must include local government representatives. At the State and regional level, local risk
assessments must be included in the overarching analysis to ensure that all threats and hazards are accounted
for.
 Flexibility with Accountability – recognition of unique preparedness gaps at the local level, as well as maintaining
and sustaining existing capabilities.
 Support of Regional Coordination – recognition of inter/intra-State partnerships and dependencies at the State
and regional level, and within metropolitan areas.
Post Award Requirements and Grant Administration
Issuance of Grant Agreement
Upon final review and approval of the grant sub-recipients FY2015 application, a grant agreement will be generated and
sent to the grant sub-recipients along with any special conditions. When the grant agreement has been signed and
returned, and pending EHP approval, the grant agreement will be signed and dated by the ADEM Director and a copy
forwarded to the grant sub-recipients for their records. Receipt of the signed grant agreement is the authorization of the
grant sub-recipients to initiate their project as well as obligate grant funds. Any costs incurred prior to issuance of the
grant agreement may not be reimbursed.
Grant Performance Period
The performance period for the FY2015 EMPG sub-grants can be found on the grant agreement for each grant sub-
recipients’ specific award. Note that all costs must be incurred within the period of performance to include receipt and
installation of all equipment. No funds may be spent on activities or costs that occur outside of the defined grant
performance period.
Quarterly Reporting Requirements and Demonstrating Progress
In accordance with pass-through requirements with the EMPG, ADEM is required to track quarterly progress of the
grant. Grant recipients will be monitored periodically by ADEM both programmatically and financially, to ensure that the
project goals, objectives, timelines, budgets and other related program criteria are being met. The Work Plans that are
created and submitted with your application are the mechanism that allows this tracking. As such, regardless of whether
you are requesting quarterly funds, you are required to submit your work plan updates quarterly to indicate the
progress that has been made during the quarter. This process shall be repeated until either the project is complete or
EMPG funds have been exhausted.
Updated Activities Reports must file a two-part quarterly progress report for each reporting period. These two reports
are a quarterly activities performance report to document grant related activities undertaken by the jurisdiction during
the reporting period, and a quarterly financial report that documents requests for reimbursement and the expenditure
of grant funds. Mail the quarterly progress reports to AZDEMA in time to arrive by the due date as indicated below. Post
marked packets sent by the due date are accepted.
Do not email your financial reports, jurisdictions must send signed original reports.
Use the designated activities report forms to document all EMPG program activities for each reporting period.
Jurisdictions are expected to complete and report progress of the overall set of tasks, priorities, and initiatives outlined
in their approved Annual Work Plan during each quarter of the fiscal year.
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EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
 July 1st – September 30th due October 15, 2015
 October 1st – December 31st due January 15, 2015
 January 1st – March 31st due April 15, 2016
 April 1st – June 30th due July 15, 2016
Failure to update programmatic activities/work plans for each quarter will result in delayed reimbursement of cash
requests. Additionally, egregious or repetitive lack of progress towards completion of grant funded activities will result
in de-obligation of funds. Any de-obligated funds will be reprogrammed by the state to projects that can be completed
within the period of performance. In the event that a “supplemental” funding opportunity through the FY2015 EMPG is
made available, only grant sub-recipients that have met the quarterly report requirements of this section will be eligible
to apply for supplemental funds.
Standards for Financial Management
Grant sub-recipients are required by 44 CFR, Part 13 to have in place an accounting system that maintains records which
adequately identify the source and application of funds provided for grant funded projects. The accounting system must
include information pertaining to sub-grant awards, obligations, un-obligated balances, assets, liabilities, outlays or
expenditures and income. AZDEMA requirements for grant Sub-recipients accounting include the ability to track
expenditures by grant program and by federal fiscal of the award (i.e. FY2010 EMPG, FY2011 EMPG, etc.).
Source Documentation
44 CFR Part 13 also requires that accounting records be supported by such source documentation as cancelled checks,
paid bills, payrolls, time and attendance records, contract and sub-grant award documents, etc. As such, AZDEMA
requires that grant Sub-recipients have source documentation available prior to requesting cash reimbursement. Proper
documentation for select items is as follows:
 Travel costs
o Copy of the government unit travel policy
o Receipts/documentation as required by travel policy
o Justification and/or approval from government entity for overage in per diem rates, etc.
 Personnel costs/Time and Effort documentation
o Time and effort personnel documentation for all individuals reimbursed under the award must submit a
statistical sampling reports reflecting allowable work.
 These samplings are required once per quarter as requested by the Pass-through Entity.
 These samplings must be signed by the employee as certification that the report is accurate and
an after the fact determination of the total activity for the reporting period being sampled.
o Proof of payment
 Contract costs
o Copy of draft contract for eligibility review prior to contract award
o Copy of awarded contract for grant file
o Deliverables listed in contract
o Terms of payment outlined in contract
o For contracts to an individual, a signature of the “contractor” is required.
 Equipment costs
o Invoice (not quote) for equipment purchased
o Documentation that equipment is received on site and installed as necessary
 Meeting costs
o Agenda/Course Description
o Attendance roster
Changes/Amendment
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EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
Per 44 CFR Part 13, grant sub-recipients must obtain the prior approval of the awarding agency in any case where a
change is to be made to the scope of the project, regardless of budget impact. AZDEMA will require all grant sub-
recipients to request a budget modification and approval, to include EHP approval prior to costs being incurred for the
item(s) to be changed. Costs incurred prior to appropriate actions being taken to modify and approve the budget may
result in costs being denied for reimbursement. If adjustments, corrections or revisions need to be made to a work plan,
please contact your Grants Specialist for assistance.
Procurement
The procurement process is one of, if not the most, scrutinized aspect of the federal grant programs. The emphasis on
how procurements are made is based from the 44 CFR Part 13 requirements that “all procurement transactions be
conducted in a manner providing full and open competition with the standards of section 13.36”. Additionally, grant
sub-recipients must ensure that they meet the procurement requirements of the Arizona Revised Code and local
procurement regulations. All grant sub-recipients are strongly urged to seek out their procurement
department/individual to seek guidance on implementing the grant requirements into the procurement of any grant
funded item or service.
Grant Sub-recipients will maintain a contract administration system which ensures that contractors perform in
accordance with the terms, conditions, and specifications of their contracts or purchase order.
Grant sub-recipients should note that the following situations are considered to be restrictive of competition and should
be avoided:
 Placing unreasonable requirements on firms in order for them to qualify to do business,
 Requiring unnecessary experience and excessive bonding,
 Noncompetitive pricing practices between firms or between affiliated companies,
 Noncompetitive awards 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 of other relevant requirements of the procurement, and
 Any arbitrary action in the procurement process.
Grant sub-recipients will maintain records sufficient to detail the significant history of any procurement. These records
will include, but are not necessarily limited to the following: rationale for the method of procurement, selection of
contract type, contractor selection or rejection, and the basis for the contract price. Grant sub-recipients alone will be
responsible, in accordance with good administrative practice and sound business judgment, for the settlement of all
contractual and administrative issues arising out of procurements.
Equipment and Supplies Requirements
Utilization of EMPG funds for equipment purchases requires that grant sub-recipients maintain specific documentation
on each item through its useful life until final disposition occurs. Per 44 CFR Part 13, procedures for managing
equipment (including replacement equipment), whether 25 acquired in whole or in part with grant funds, until
disposition takes place will, as a minimum, meet the following requirements:
 Property records must be maintained that include:
o A description of the property,
o A serial number or other identification number,
o The source of property,
o Who holds title,
o The acquisition date, and cost of the property,
o Percentage of Federal participation in the cost of the property,
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EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
o The location, use and condition of the property, and
o Any ultimate disposition data including the date of disposal and sale price of the
o property.
 A physical inventory of the property must be taken and the results reconciled with the property records at least
once every two years.
 A control system must be developed to ensure adequate safeguards to prevent loss, damage, or theft of the
property. Any loss, damage, or theft shall be investigated.
 Adequate maintenance procedures must be developed to keep the property in good condition.
 If the grant sub-recipients is authorized or required to sell the property, proper sales procedures must be
established to ensure the highest possible return.
When the equipment is no longer needed for the original project and/or has outlasted its useful life, 44 CFR Part 13
prescribes the following requirements for final disposition:
 Items of equipment with a current per-unit fair market value of less than $5,000 may be retained, sold or
otherwise disposed of with no further obligation to the awarding agency.
 Items of equipment with a current per unit fair market value in excess of $5,000 may be retained or sold and the
awarding agency (FEMA through DEMA) shall have a right to an amount calculated by multiplying the current
market value or proceeds from sale by the awarding agency's share of the equipment.
 In cases where a grantee or grant sub-recipients fails to take appropriate disposition actions, the awarding
agency may direct the grantee or grant sub-recipients to take excess and disposition actions.
Supplies as defined as tangible personal property other than “equipment” for used in this guidance have a disposition
requirement when the residual value of the combined unused inventory exceeds $5,000. In cases where this may occur,
the awarding agency is entitled to its share of the value of the remaining inventory.
EMPG Grant: Monitoring, Enforcement, Termination, and Closeout Requirements
Monitoring
Per 44 CFR Part 13, ADEM is responsible for managing the day-to-day operations of grant and sub-grant supported
activities and must monitor grant and sub-grant supported activities to assure compliance with applicable Federal
requirements. The monitoring process is a tool that ultimately ensures a strong grant administration and management
structure. ADEM utilizes a monitoring program that includes a desk review process and on site monitoring visits. Desk
reviews are conducted through the budget and reimbursement approval processes. The review will evaluate specific
costs and fiscal/grant activities, to include programmatic achievements, within any open or recently closed grant. The
review may also include the inspection of Equipment purchased with grant funds, review of grant files and
administrative processes.
All on site monitoring of this grant will be coordinated with the grant sub-recipients with ample advance notification.
 ADEM will schedule visits in advance with each grant sub-recipient.
 One or more ADEM EMPG Grant/Program and Fiscal Staff will conduct site visits.
 ADEM will provide a pre-site visit checklist.
 ADEM will provide the results with any follow-on actions if required.
 ADEM will provide guidance to support the grant sub-recipients success in all aspects of the program.
 Grant sub-recipients must meet all FEMA monitoring requirements
Elements for Programmatic Review are:
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EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
 Reporting maintenance and progress of NIMS adoption and implementation activities
 Grantee complies with SPR/THIRA update/requirements
 Content of EMPG Work Plan supports the State/territory advancing “Whole Community” fosters a national
emergency management approach and considers all aspects of a community to effectively prepare for, protect
against, respond to, recover from and mitigate against any terrorist attack or natural disaster
 Develop a local jurisdiction multi–year Training and Exercise Plan (TEP) to be submitted to ADEM’s Training and
Exercise Branch
 Participation in the state multi–year Training and Exercise Plan Workshop (TEPW)
 Implementation of Presidential Policy Directive (PPD)-8. These activities include continued development and
sustainment of core capabilities needed to close gaps and strengthen the State of Arizona’s preparedness
 Accomplishments documented in work plan are validated and verified.
Elements for Financial Review are:
 Subgrantee’s processes and procedures meet the requirements of OMB Circular A-133
 Subgrantee maintains a file that includes supporting documentation identified in the Source
Documentation section under Quarterly Reporting Requirements & Demonstrating Progress.
 Sub grantee has source documents demonstrating quarterly Time & Effort reports.
 Review of position description from the sub grantee’s Human Resource office for positions funded by
EMPG.
 Review of documentation accounting for any equipment purchased with EMPG funds.
Enforcement
If a grant sub-recipient materially fails to comply with any term of their award, whether stated in a Federal statute or
regulation, this guidance, an assurance, a notice of award, or elsewhere, ADEM may take one or more of the following
actions, as appropriate in the circumstances:
 Temporarily withhold cash payments pending correction of the deficiency by the grant sub-recipients,
 Disallow (that is, deny both use of funds and matching credit for) all or part of the cost of the activity or action
not in compliance,
 Wholly or partly suspend or terminate the current award for the grant sub-recipients program,
 Withhold further awards for the program,
 Require reimbursement of the costs incurred, or
 Take other remedies that may be legally available.
DEMA, in taking any enforcement action, will provide the grant sub-recipients an opportunity for an appeal or other
administrative proceeding to which the grant sub-recipients is entitled. The process for appealing a decision is outlined
below.
Grant Termination
 ADEM may suspend or terminate funding under this grant, in whole or in part, or other measures may be
imposed for any of the following reasons:
 Agreement between ADEM and the grant sub-recipients to terminate or de-obligate;
 Failing to comply with the requirements or statutory objectives of federal law
 Failing to make satisfactory progress toward the goals or objectives set forth in this application
 Failing to follow grant agreement requirements or the respective grant guidance
 Failing to submit required reports
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EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
 Filing a false certification in this application or other report or document.
Before suspending or terminating funding, ADEM will provide the grant sub-recipients reasonable notice of its intent to
impose any measure and will make efforts to resolve the problem informally.
Closeout
§ 13.50 Closeout. (a) General. The Federal agency will close out the award when it determines that all applicable
administrative actions and all required work of the grant has been completed.
(b) Reports. Within 90 days after the expiration or termination of the grant, the grantee must submit all financial,
performance, and other reports required as a condition of the grant. Upon request by the grantee, Federal agencies may
extend this timeframe. These may include but are not limited to:
(1) Final performance or progress report.
(2) Financial Status Report (SF 269) or Outlay Report and Request for Reimbursement for Construction Programs
(SF–271) (as applicable.)
(3) Final request for payment (SF–270) (if applicable).
(4) Invention disclosure (if applicable).
(5) Federally-owned property report:
In accordance with §13.32(f), a grantee must submit an inventory of all federally owned property (as distinct from
property acquired with grant funds) for which it is accountable and request disposition instructions from the Federal
agency of property no longer needed.
(c) Cost adjustment. The Federal agency will, within 90 days after receipt of reports in paragraph (b) of this section,
make upward or downward adjustments to the allowable costs.
(d) Cash adjustments. (1) The Federal agency will make prompt payment to the grantee for allowable reimbursable
costs. (2) The grantee must immediately refund to the Federal agency any balance of unobligated (unencumbered) cash
advanced that is not authorized to be retained for use on other grants.
Availability of Public Records
Arizona’s public records law generally requires disclosure of information.
Applicants are encouraged to consult state and local laws and regulations and discuss these requirements with their
legal counsel. Grantees should be familiar with the regulations governing protected critical infrastructure information (6
C.F.R. Part 29) and sensitive security information (49 C.F.R. Part 1520), as these designations may provide additional
protection to certain classes of homeland security information.
Record Retention
Grant sub-recipients are required to retain all grant-related documentation for three years after the close of the federal
grant program. ADEM will provide notification of grant closure date when it occurs.
Audits
The Grant sub-recipients EMA is accountable for the use of funds under the EMPG program. The Grant sub-recipients
EMA must maintain records that adequately identify the sources and application of funds provided for financially
assisted activities. Actual expenditures or outlays will be compared with budgeted amounts to determine if the
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EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
expenditures qualify as a reimbursable expense under the EMPG. This documentation is subject to review at any given
time through the record retention period by state or federal auditors as well as EMA officials.
Appeals
The Grant sub-recipients may appeal funding decisions of DEMA to the Director of ADEM. Appeals must be received in
writing by the Director within 30 days of the receipt of the decision. The Director will have 60 days in which to review
the decision and supporting materials and will notify the county of the decision in writing.
No appeals or retroactive approval of an item or service already procured will be considered if not sent within 30 days of
the end of the federal fiscal year in which the procurement was made. This will provide sufficient time for review prior
to the end of the fiscal year.
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EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
FY 2015 GRANT SUB-RECIPIENTS EXERCISE PARTICIPATION REPORT FORM
GRANT SUB-
RECIPIENTS:
DATE OF SUBMISSION Click here to enter a date.
Submitted by:
Type of Exercise Name Exercise Location of Exercise AAR/IP Corrective
Exercise Date Completed Actions
(submission date) Identified
Click here
to enter a
date.
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item. to enter a
date.
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item. to enter a
date.
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item. to enter a
date.
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item. to enter a
date.
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date.
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When conducting an exercise include a copy of the sign-in sheets from each exercise with identified roles:
Design: Served as a member of the Exercise Evaluator: Observe and collect exercise data
Design Team
Facilitator/Moderator: Lead group discussion during the exercise Recorder: Recorded & organized exercise
process documentation
Simulator/Controller: Provided injects/messages during the Player: Participated in exercise play
exercise process
13

EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
FY2015 GRANT SUB-RECIPIENTS TRAINING REQUIREMENTS REPORT FORM
GRANT SUB-
RECIPIENTS:
DATE OF SUBMISSION Click here to enter a date.
Submitted by:
Indicate below the training completion date for all personnel assigned to the county emergency management office.
Attach the supporting documentation for each course completion of each staff member using the attached
documentation form. If additional space is needed for personnel, please duplicate the form.
ICS
First & Last Name to ICS Basic Introduction National Exercise Emergency Emergency Leadership Decision Problem Effective Developing
Position Introduction NIIMS Framework Management Fundamentals management Influence & Communications Managing Volunteers
ICS100 ICS200 IS700 to IS800 Response IS139 Design IS230 IS235 Planning IS240 & IS241 Making Solving IS242 IS244 and Other: Other:
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Each Emergency Management Employee must complete and sign this document certifying
the completion of the training or submit copy of FEMA transcripts.
By my signature, I attest that the documents accurately reflect training completed by me during this
reporting period. Attached is the supporting documentation for the completed training courses.
PRINT NAME & POSITION
Signature: Date:
14

EMPG LOCAL PROGRAMMATIC GUIDANCE – ARIZONA DEPARTMENT OF EMERGENCY AND MILITARY AFFAIRS
FY2013 GRANT SUB-RECIPIENTS MEETING PARTICIPATION REPORT FORM
GRANT SUB-
RECIPIENTS:
DATE OF SUBMISSION Click here to enter a date.
Submitted by:
Type of Meeting Name Date Objective of Meeting Core Capability
Meeting Alignment
Choose an Click here to Choose an item.
item. enter a date.
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item. enter a date.
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item. enter a date.
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item. enter a date.
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item. enter a date.
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item. enter a date.
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item. enter a date.
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item. enter a date.
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item. enter a date.
Choose an Click here to Choose an item.
item. enter a date.
15