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California Emergency Management Agency
Emergency Operations Center Grant
Recipient Subgrant Guide for Local Governments
Fiscal Year 2010
July 29, 2010
Table of Contents
Section One: Subgrant Overview ............................................................................................5
Purpose of this Subgrant……………………………………………………………………..5
What's New?.. ..........................................................................................................................5
Eligible Subgrant Recipients....................................................................................................5
Purpose of this Subgrant Guide ...............................................................................................5
Performance Period ..................................................................................................................5
Matching Requirements ...........................................................................................................6
Allocation .................................................................................................................................6
Subgrantee Responsibilities .....................................................................................................6
Applicable Laws, Regulations, Guidance Documents and Websites ......................................8
Subgrant Timelines ................................................................................................................17
Contact Information ...............................................................................................................17
Section Two: Program Specific Information .......................................................................18
Program Overview .................................................................................................................19
Funding Restrictions ..............................................................................................................19
Management and Administration ....................................................................................19
Eligible Activities ..................................................................................................................19
Planning ..........................................................................................................................19
Equipment .......................................................................................................................20
Construction and Renovation ..........................................................................................21
Subcontracting .......................................................................................................................21
Unallowable Costs .................................................................................................................22
Eligible Costs .........................................................................................................................22
Section Three: Application Requirements and Process ......................................................24
Application Components .......................................................................................................25
Mailing Address .....................................................................................................................25
Application for Assistance .....................................................................................................25
Governing Body Resolution ..................................................................................................25
Grant Assurances ...................................................................................................................25
Application Due Date ............................................................................................................25
Approval of Application ........................................................................................................25
Section Four: Performance Period Activities ......................................................................26
Reimbursement of Eligible Costs ..........................................................................................27
Revision Requests ..................................................................................................................27
Performance Reports ..............................................................................................................28
Interest Earnings ....................................................................................................................28
Monitoring Subgrant Performance ........................................................................................28
Record Retention Requirements ............................................................................................29
Accessibility of Records ........................................................................................................29
Suspension or Termination ....................................................................................................29
Section Five: Subgrant Closeout ...........................................................................................30
Final Subgrant Report ............................................................................................................31
Closeout Review and Notification .........................................................................................31
FY10 EOC Recipient Subgrant Guide for Local Government 2
Table of Contents, continued
Audit Requirements ...............................................................................................................31
Appendices ...............................................................................................................................32
Appendix A – Forms .............................................................................................................33
Appendix B – Acronyms ......................................................................................................50
FY10 EOC Recipient Subgrant Guide for Local Government 3
Section One: Subgrant Overview
Contents This section contains the following:
Purpose of this Grant
What’s New?
Eligible Subgrant Recipients
Purpose of this Subgrant Guide
Performance Period
Matching Requirements
Allocation
Subgrantee Responsibilities
Applicable Laws, Regulations, Guidance Documents and
Websites
Subgrant Timelines
Contact Information
FY10 EOC Recipient Subgrant Guide for Local Government 4
Section One: Subgrant Overview, continued
Purpose of The purpose of the Fiscal Year 2010 Emergency Operations Center Grant
this Grant (FY10 EOC) is to provide funds for construction or renovation of a State, local,
or tribal government’s principal EOC. The EOC Grant Program is authorized by
section 614 of the Robert T. Stafford Disaster Relief and Emergency Assistance
Act (42 U.S.C. §5196c) as amended by the Implementing Recommendations of
the 9/11 Commission Act of 2007 (Public Law 110-53). Funds for the FY10
EOC Grant Program are appropriated under the Department of Homeland
Security Appropriations Act, 2010 (Public Law 111-83). These funds are
granted to the State, which in turn, subgrants to the local jurisdictions. The
jurisdictions are referred to as the “subgrantee.”
What’s Local jurisdictions can use up to 5% of their subgrant for management
New? and administration costs.
Eligible The eligible subgrant recipients are:
Subgrant
Recipients City of Brawley* $ 500,000
City of Commerce* $1,000,000
City of Cupertino* $ 300,000
City of Elk Grove* $ 750,000
City of La Habra* $ 254,500
City of Monterey Park* $ 375,000
City of Moreno Valley* $ 400,000
City of Whittier* $ 500,000
San Francisco Department of Emergency Management $ 800,000
Trinity County $ 117,159
$4,996,659
*Indicates non-competitive subgrant recipients.
Purpose of This Recipient Subgrant Guide will provide the above jurisdictions with
this guidance and forms to apply for, perform, and closeout the FY10 EOC subgrant.
Subgrant This Guide specifies the performance period, allocations, eligible activities, and
Guide other subgrant-related information and requirements.
Performance The FY10 EOC grant performance period is June 1, 2010 to May 31, 2013.
Period
FY10 EOC Recipient Subgrant Guide for Local Government 5
Section One: Subgrant Overview, continued
Matching The FY10 EOC grant requires a 25% local match. This can be cash or in-kind.
Requirements Unless otherwise authorized by law, federal funds cannot be matched with
other federal funds. For information regarding satisfying match requirements,
please refer to 44 Code of Federal Regulations (CFR) Section 13.24 which can
be found at the following link:
http://www.access.gpo.gov/nara/cfr/waisidx_07/44cfrv1_07.html
Allocations FEMA allocated a total of $57,600,000 nationwide for EOC grants. Of this
amount, $47,442,500 in non-competitive funding was appropriated for
designated local EOC projects throughout the Nation. The remaining
$10,157,500 was awarded on a competitive basis to eligible State, local, or tribal
governments to construct or renovate their principal EOCs
The subgrantee responsibilities are to:
Subgrantee
Responsibilities 1. Submit remaining application documents to Cal EMA by
August 31, 2010.
2. Comply with the Grant Assurances and Certifications document.
In addition, if the jurisdictions contract with other entities, their
contracts must also include these same assurances and
certifications along with any local requirements.
3. Prepare performance reports for the duration of the performance
period. More reporting details are included in Part Four,
Performance Period Activities, under “Performance Reports”.
4. Maintain financial management systems that support subgrant
activities in accordance with 44 CFR Section 13.20.
5. If changes are required after the initial subgrant award, submit
revision requests to Cal EMA, prior to incurring any associated
expenditures. Further details are included in Part Four,
Performance Period Activities, under “Revision Requests”.
6. Remit unexpended subgrant funds to Cal EMA after all work has
been completed and reimbursements have been disbursed.
FY10 EOC Recipient Subgrant Guide for Local Government 6
Section One: Subgrant Overview, continued
Subgrantee 7. Maintain property, programmatic, and financial records in
Responsibilities, accordance with the grant record retention requirements. Further
continued details on the retention requirement are contained in Part Four,
Performance Period Activities, under “Record Retention
Requirements”.
8. Comply with the audit requirements contained in Office of
Management and Budget (OMB) Circular A-133, and 44 CFR
Section 13.26.
Financial Requirements
The subgrantee shall comply with all applicable laws and regulations.
A non-exclusive list of regulations commonly applicable to grants is
listed below:
Robert T. Stafford Disaster Relief and Emergency Assistance
Act as amended.
Office of Management and Budget (OMB) Circulars A-102,
A-110, and A-133 can be found at the following website:
http://www.whitehouse.gov/omb/circulars/index.html.
Several other circulars have been codified as follows:
A-21 = 2 CFR Section 220
A-87 = 2 CFR Section 225
A-122 = 2 CRF Section 230
California Emergency Services Act, Chapter 7 of Division 1
of Title 2 of the Government Code - Provides the legal basis
for emergency management activities in California.
Government Code Section 8607 describes the Standardized
Emergency Management System.
Recipient Subgrant Guide for Local Governments provided by
Cal EMA.
44 CFR Part 13, Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local
Governments.
Federal Acquisition Regulations (FAR), Part 31.2 Contract
Cost Principles and Procedures, Contracts with Commercial
Organizations.
FY10 EOC Recipient Subgrant Guide for Local Government 7
Section One: Subgrant Overview, continued
Subgrantee Duplication of Benefits
Responsibilities, There may not be a duplication of any Federal assistance, per OMB
continued Circular A-87, Basic Guidelines Section C.3 (c), which states: Any
cost allocable to a particular Federal award or cost objective under the
principles provided for in this Circular may not be charged to other
Federal awards to overcome fund deficiencies, to avoid restrictions
imposed by law or terms of the Federal awards, or for other reasons.
However, this prohibition would not preclude governmental units
from shifting costs that are allowable under two or more awards in
accordance with existing program agreements.
Non-supplanting Requirement
Grant funds will be used to supplement existing funds, and will not
replace (supplant) funds that have been appropriated for the same
purpose. Applicants or grantees may be required to supply
documentation certifying that a reduction in non-Federal resources
occurred for reasons other than the receipt or expected receipt of
Federal funds.
Applicable Technology Requirements
Laws, National Information Exchange Model (NIEM). FEMA requires all
Regulations, grantees to use the latest NIEM specifications and guidelines regarding
Guidance the use of Extensible Markup Language (XML) for all grant awards.
Documents Further information about the required use of NIEM specifications and
and Websites guidelines is available at http://www.niem.gov.
Geospatial Guidance. Geospatial technologies capture, store, analyze,
transmit, and/or display location-based information (i.e., information
that can be linked to a latitude and longitude). FEMA encourages
grantees to align any geospatial activities with the guidance available
on the FEMA website at http://www.fema.gov/grants.
28 CFR Part 23 Guidance. FEMA requires that any information
technology system funded or supported by these funds comply with 28
CFR Part 23, Criminal Intelligence Systems Operating Policies, if this
regulation is determined to be applicable.
Best Practices for Government Use of Closed Circuit Television
(CCTV). DHS recommends that grantees seeking funds to purchase
and install CCTV systems, or funds to provide support for operational
CCTV systems, review and utilize the guidance in Best Practices for
Governmental Use of CCTV; Implementing the Fair Information
Practice Principles available on the DHS Privacy Office website at
http://www.dhs.gov/xlibrary/assets/privacy/privacy_rpt_cctv_2007.pdf.
FY10 EOC Recipient Subgrant Guide for Local Government 8
Section One: Subgrant Overview, continued
Applicable Administrative Requirements
Laws, Freedom of Information Act (FOIA). FEMA recognizes that much
Regulations, of the information submitted in the course of applying for funding
Guidance under this program or provided in the course of its grant management
Documents activities may be considered law enforcement sensitive or otherwise
and Websites important to national security interests. While this information under
continued Federal control is subject to requests made pursuant to the Freedom of
Information Act (FOIA), 5 U.S.C. §552, all determinations concerning
the release of information of this nature are made on a case-by-case
basis by the FEMA FOIA Office, and may likely fall within one or
more of the available exemptions under the Act. The applicant is
encouraged to consult its own State and local laws and regulations
regarding the release of information, which should be considered when
reporting sensitive matters in the grant application, needs assessment
and strategic planning process. The applicant may also consult FEMA
regarding concerns or questions about the release of information under
State and local laws. The grantee should be familiar with the
regulations governing Sensitive Security Information (49 CFR Part
1520), as it may provide additional protection to certain classes of
homeland security information.
Protected Critical Infrastructure Information (PCII). The PCII Program,
established pursuant to the Critical Infrastructure Information Act of 2002
(Public Law 107-296) (CII Act), created a framework, which enables members
of the private sector, States local jurisdictions and tribal nations to voluntarily
submit sensitive information regarding critical infrastructure to DHS. The Act
provides statutory protection from public disclosure and civil litigation for CII
that is validated as PCII. If validated as PCII, these documents can only be
shared with authorized users who agree to safeguard the information. This
includes government employees who complete the training requirement, who
have homeland security duties and a need to know.
PCII accreditation is a formal recognition that the covered government
entity has the capacity and capability to receive and store PCII
appropriately. DHS encourages all SAAs to pursue PCII accreditation
to cover their State government and attending local government
agencies. Accreditation activities include signing a memorandum of
agreement (MOA) with DHS, appointing a PCII Officer, developing a
standard operating procedure for handling PCII and implementing a
self-inspection program. For additional information about PCII or the
accreditation process, please contact the DHS PCII Program Office at
pcii-info@dhs.gov
FY10 EOC Recipient Subgrant Guide for Local Government 9
Section One: Subgrant Overview, continued
Applicable Compliance with Federal civil rights laws and regulations. The
Laws, grantee is required to comply with Federal civil rights laws and
Regulations, regulations. Specifically, the grantee is required to provide assurances
Guidance as a condition for receipt of Federal funds that its programs and
Documents activities comply with the following:
and Websites
continued • Title VI of the Civil Rights Act of 1964, as amended, 42. U.S.C. §2000
et. seq. – Provides that no person on the grounds of race, color, or
national origin be excluded from participation in, be denied the benefits
of, or be otherwise subjected to discrimination in any program or
activity receiving Federal financial assistance. Title VI also extends
protection to persons with Limited English Proficiency (LEP). (42
U.S.C. §2000d et seq.)
• Title IX of the Education Amendments of 1972, as amended, 20 U.S.C.
§1681 et. seq. – Provides that no person, on the basis of sex, be
excluded from participation in, be the denied the benefits of, or be
subject to discrimination under any education program or activity
receiving Federal financial assistance.
• Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C.
§794 – Provides that no otherwise qualified individual with a disability
in the United States, shall, solely by reason of his or her disability, be
excluded from the participation in, be denied the benefits of, or subject
to discrimination in any program or activity receiving Federal financial
assistance.
• The Age Discrimination Act of 1975, as amended, 20 U.S.C. §6101 et.
seq. – Provides that no person in the United States shall, on the basis of
age, be excluded from participation in, be denied the benefits of or be
subject to discrimination under any program or activity receiving
Federal financial assistance.
Grantees must comply with all regulations, guidelines, and standards
adopted under the above statutes. The grantee is also required to
submit information, as required, to the DHS Office for Civil Rights and
Civil Liberties concerning its compliance with these laws and their
implementing regulations.
FY10 EOC Recipient Subgrant Guide for Local Government 10
Section One: Subgrant Overview, continued
Applicable Services to Limited English Proficient (LEP) persons. Recipients of
Laws, FEMA financial assistance are required to comply with several Federal
Regulations, civil rights laws, including Title VI of the Civil Rights Act of 1964, as
Guidance amended.
Documents
and Websites These laws prohibit discrimination on the basis of race, color, religion,
continued natural origin, and sex in the delivery of services. National origin
discrimination includes discrimination on the basis of limited English
proficiency. To ensure compliance with Title VI, recipients are
required to take reasonable steps to ensure that LEP persons have
meaningful access to their programs. Meaningful access may entail
providing language assistance services, including oral and written
translation, where necessary.
The grantee is encouraged to consider the need for language services
for LEP persons served or encountered both in developing their
proposals and budgets and in conducting their programs and activities.
Reasonable costs associated with providing meaningful access for LEP
individuals are considered allowable program costs. For additional
information, see http://www.lep.gov.
Integrating individuals with disabilities into emergency planning.
Section 504 of the Rehabilitation Act of 1973, as amended, prohibits
discrimination against people with disabilities in all aspects of
emergency mitigation, planning, response, and recovery by entities
receiving financial funding from FEMA. In addition, Executive Order
13347, Individuals with Disabilities in Emergency Preparedness signed
in July 2004, requires the Federal Government to support safety and
security for individuals with disabilities in situations involving
disasters, including earthquakes, tornadoes, fires, floods, hurricanes,
and acts of terrorism. Executive Order 13347 requires the Federal
government to encourage consideration of the needs of individuals with
disabilities served by State, local, and tribal governments in emergency
preparedness planning.
FEMA has several resources available to assist emergency managers in
planning and response efforts related to people with disabilities and to
ensure compliance with Federal civil rights laws:
FY10 EOC Recipient Subgrant Guide for Local Government 11
Section One: Subgrant Overview, continued
Applicable • Comprehensive Preparedness Guide 301 (CPG-301): Interim
Laws, Emergency Management Planning Guide for Special Needs
Regulations, Populations. CPG-301 is designed to aid tribal, State, territorial, and
Guidance local governments in planning for individuals with special needs. CPG-
Documents 301 outlines special needs considerations for: Developing Informed
and Websites Plans; Assessments and Registries; Emergency Public
continued Information/Communication; Sheltering and Mass Care; Evacuation;
Transportation; Human Services/Medical Management; Congregate
Settings; Recovery; and Training and Exercises. CPG-301 is available
at http://www.fema.gov/pdf/media/2008/301.pdf.
• Guidelines for Accommodating Individuals with Disabilities in
Disaster. The Guidelines synthesize the array of existing accessibility
requirements into a user friendly tool for use by response and recovery
personnel in the field. The Guidelines are available at
http://www.fema.gov/oer/reference/.
• Disability and Emergency Preparedness Resource Center. A
web-based “Resource Center” that includes dozens of technical
assistance materials to assist emergency managers in planning and
response efforts related to people with disabilities. The “Resource
Center” is available at http://www.disabilitypreparedness.gov.
• Lessons Learned Information Sharing (LLIS) resource page on
Emergency Planning for Persons with Disabilities and Special
Needs. A true one-stop resource shop for planners at all levels of
government, non-governmental organizations, and private sector entities, the
resource page provides more than 250 documents, including lessons learned,
plans, procedures, policies, and guidance, on how to include citizens with
disabilities and other special needs in all phases of the emergency
management cycle.
LLIS.gov is available to emergency response providers and homeland
security officials from the Federal, State, and local levels. To access the
resource page, log onto http://www.LLIS.gov and click on Emergency
Planning for Persons with Disabilities and Special Needs under Featured
Topics. If you meet the eligibility requirements for accessing Lessons
Learned Information Sharing, you can request membership by registering
online.
FY10 EOC Recipient Subgrant Guide for Local Government 12
Section One: Subgrant Overview, continued
Applicable • Environmental Planning and Historic Preservation (EHP)
Laws, Compliance. FEMA is required to consider the potential impacts to
Regulations, the human and natural environment of projects proposed for FEMA
Guidance grant funding. FEMA, through its EHP Program, engages in a review
Documents process to ensure that FEMA-funded activities comply with various
and Websites Federal laws including: National Environmental Policy Act, National
continued Historic Preservation Act, Endangered Species Act, and Executive
Orders on Floodplains (11988), Wetlands (11990) and Environmental
Justice (12898). The goal of these compliance requirements is to
protect our Nation’s water, air, coastal, wildlife, agricultural, historical,
and cultural resources, as well as to minimize potential adverse effects
to children and low-income and minority populations.
The grantee shall provide all relevant information to FEMA’s Grant
Programs Directorate (GPD) to ensure compliance with applicable
Federal EHP requirements. Any project with the potential to impact
natural or biological resources or historic properties cannot be initiated
until FEMA has completed the required EHP review. In addition, to a
detailed project description that describes what is to be done with the
grant funds, how it will be done and where it will be done, grantees
shall provide detailed information about the project (where applicable),
including, but not limited to the following:
Project location (i.e., exact street address or map coordinates)
Total extent of ground disturbance and vegetation clearing,
Extent of modification of existing structures
Construction equipment to be used, staging areas, access roads,
etc.
Year that any affected buildings or structures were built
FY10 EOC Recipient Subgrant Guide for Local Government 13
Section One: Subgrant Overview, continued
Applicable Natural, biological, and/or cultural resources present within the
Laws, project area and vicinity, including wetlands, floodplains,
Regulations, geologic resources, threatened or endangered species, or
Guidance National Register of Historic Places listed or eligible properties,
Documents etc.
and Websites Visual documentation, such as good quality, color and labeled
continued site and facility photographs, project plans, aerial photos, maps,
etc
Alternate ways considered to implement the project (not applicable to
procurement of mobile and portable equipment)
For projects that have the potential to impact sensitive resources, FEMA must
consult with other Federal, State, and tribal agencies such as the U.S. Fish and
Wildlife Service, State Historic Preservation Offices, and the U.S. Army Corps
of Engineers, as well as other agencies and organizations responsible for the
protection and/or management of natural and cultural resources, including
Federally-recognized Indian tribes, Tribal Historic Preservation Offices, and
the Department of the Interior, Bureau of Indian Affairs. For projects with the
potential to have adverse effects on the environment and/or historic properties,
FEMA’s EHP review process and consultation may result in a substantive
agreement between the involved parties outlining how the grantee will avoid
the effects, minimize the effects, or, if necessary, compensate for the effects.
Grantees who are proposing communication tower projects are encouraged to
complete their Federal Communications Commission (FCC) EHP process prior
to preparing their EHP review materials for GPD, and to include their FCC
EHP materials with their submission to GPD. Completing the FCC process
first and submitting all relevant EHP documentation to GPD will help expedite
FEMA’s review.
Because of the potential for adverse effects to EHP resources or public
controversy, some projects may require an additional assessment or report,
such as an Environmental Assessment, Biological Assessment, archaeological
survey, cultural resources report, wetlands delineation, or other document, as
well as a public comment period. Grantees are responsible for the preparation
of such documents, as well as for the implementation of any treatment or
mitigation measures identified during the EHP review that are necessary to
address potential adverse impacts. Grantees may use grant funds toward the
costs of preparing such documents. The use of grant funds for mitigation or
treatment measures that are not typically allowable expenses will be
considered on a case by-case basis. Failure of the grantee to meet Federal,
State, local, and territorial EHP requirements, obtain required permits, and
comply with any conditions that may be placed on the project as the result of
FEMA’s EHP review may jeopardize Federal funding.
FY10 EOC Recipient Subgrant Guide for Local Government 14
Section One: Subgrant Overview, continued
Applicable For more information on FEMA’s EHP requirements, SAAs should refer to
Laws, FEMA’s Information Bulletin #329, Environmental Planning and Historic
Regulations, Preservation Requirements for Grants, available at
Guidance http://www.fema.gov/pdf/government/grant/bulletins/info329.pdf.
Documents Additional information and resources can also be found at
and Websites http://www.fema.gov/plan/ehp/ehp-applicant-help.shtm.
continued
• Robert T. Stafford Disaster Relief and Emergency Assistance Act, Public
Law 93-288, as amended, 42 U.S.C. §5121-5206, and Related Authorities.
Awards of funding under this program are subject to the Robert T. Stafford
Disaster Relief and Emergency Assistance Act (Public Law 93-288), as
amended. Specifically, 42 U.S.C. §5196, Subtitle A, Powers and Duties,
Section 611, Detailed Functions of Administration, Subsection (j)(9), Financial
Contributions, requires recipients of funds under Title VI of the Stafford Act
for construction projects to comply with the Davis-Bacon Act. Additionally, 42
U.S.C. §5206 requires all recipients of funds under the Stafford Act to comply
with the Buy American Act (41 U.S.C. §10a et seq.).
• Royalty-free License. Applicants are advised that FEMA reserves a
royalty-free, non-exclusive, and irrevocable license to reproduce, publish, or
otherwise use, and authorize others to use, for Federal government purposes:
(a) the copyright in any work developed under an award or sub-award; and
(b) any rights of copyright to which an award recipient or sub-recipient
purchases ownership with Federal support. Award recipients must agree to
consult with FEMA regarding the allocation of any patent rights that arise
from, or are purchased with, this funding.
FY10 EOC Recipient Subgrant Guide for Local Government 15
Section One: Subgrant Overview, continued
Applicable • FEMA GPD Publications Statement. Applicants are advised that all
Laws, publications created with funding under any grant award shall prominently
Regulations, contain the following statement: "This document was prepared under a grant
Guidance from FEMA’s Grant Programs Directorate (FEMA/GPD) within the U.S.
Documents Department of Homeland Security. Points of view or opinions expressed in
and Websites this document are those of the authors and do not necessarily represent the
continued official position or policies of FEMA/GPD or the U.S. Department of
Homeland Security."
• Equipment Marking. Applicants are advised that, when practicable, any
equipment purchased with grant funding shall be prominently marked as
follows: "Purchased with funds provided by the U.S. Department of
Homeland Security,” in order to facilitate their own audit processes, as well
as Federal audits and monitoring visits, which may result from receiving
Federal funding. Equipment maintenance requirements are outlined in 44
CFR Part 13.32.
• Disadvantaged Business Requirement. Applicants are advised that, to the
extent that recipients of a grant use contractors or subcontractors, such
recipients shall use small, minority, women-owned or disadvantaged business
concerns and contractors or subcontractors to the extent practicable.
• National Preparedness Reporting Compliance. The Government
Performance and Results Act (Public Law 103-62) (GPRA) requires that the
Department collect and report performance information on all programs. For
grant programs, the prioritized Investment Justifications and their associated
milestones provide an important tool for assessing grant performance and
complying with these national preparedness reporting requirements. FEMA
will work with grantees to develop tools and processes to support this
requirement. FEMA anticipates using this information to inform future-year
grant program funding decisions. Award recipients must agree to cooperate
with any assessments, national evaluation efforts, or information or data
collection requests, including, but not limited to, the provision of any
information required for the assessment or evaluation of any activities within
their grant agreement. This includes any assessments, audits, or
investigations conducted by the Department of Homeland Security, Office of
the Inspector General, or the U.S. Government Accountability Office (GAO).
FY10 EOC Recipient Subgrant Guide for Local Government 16
Section One: Subgrant Overview, continued
Subgrant
Timelines August 31, 2010 Submit remaining application documents to Cal EMA.
Applications will be reviewed, approved by Executive
September 17, 2010 staff, and processed.
Subgrantees will be notified of application approval
September 30, 2010 and award in writing.
January 14, 2011
April 15, 2011 A performance report is due for the preceding quarter.
July 15, 2011
October 14, 2011
January 13, 2012
April 13, 2012
July 13, 2012
October 12, 2012
January 14, 2013
April 12, 2013
All subgrant activities must be completed and all funds
May 31, 2013 disbursed.
A final performance report is due.
June 30, 2013
A final Reimbursement Request is due.
Technical assistance is available throughout the application and subgrant
performance process. Contact Yvonne Cantrell by email at
Contact
yvonne.cantrell@calema.ca.gov or by phone at (916) 845-8139 or
Information
John Thomas by e-mail at john.thomas@calema.ca.gov or by phone at
(916) 322-9235.
FY10 EOC Recipient Subgrant Guide for Local Government 17
Section Two: Program Specific Information
Contents
This section contains the following:
Program Overview
Funding Restrictions
Management and Administration
Eligible Activities
Planning
Equipment
Construction and Renovation
Subcontracting
Unallowable Costs
Eligible Costs
FY10 EOC Recipient Subgrant Guide for Local Government 18
Section Two: Program Specific Information
Program The purpose of the FY10 EOC Grant is to provide funds for the construction or
Overview renovation of a State, local, or tribal government’s principal EOC.
Funding FY 2010 EOC Grant Program funds may only be expended for EOC
Restrictions construction or renovation costs and Management and Administration
(M&A) costs to support the project. Allowable costs include EOC
design, construction, and renovation costs including, but not limited to,
hardening of the structure and building envelope to resist natural and
man-made hazards (requirements above code minimums are allowable)
and the hardening of systems to better resist damage and contamination
from natural and man-made events. Funds must be spent in compliance
with rules and regulations noted in the federal EOC Grant Program
Guidance and Application Kit. In addition, planning costs to support
the EOC construction or renovation activities are allowable.
Management and Administrative (M&A) Costs Guidance
M&A activities are those defined as directly relating to the management and
administration of EOC Grant Program funds, such as financial management
and monitoring. A maximum of up to five percent (5%) of FY 2010 EOC
Grant award may be retained by the State and any funds retained are to be used
solely for management and administrative purposes associated with the award.
Subgrantees may also use up to five percent (5%) of the FY 2010 EOC Grant
Program funds awarded to them by the State to be used solely for management
and administrative purposes associated with the award.
Eligible EOC Grant Program funds may only be expended for EOC construction or
Activities renovation activities.
Planning
Planning costs to support the EOC construction or renovation activities are
allowable. These planning activities include the following:
• Developing plans, protocols, or procedures for the operation and use
related to new capabilities as a result of the construction or renovation.
• Conducting physical security assessments.
• Ensuring EOC continuity of operations.
• Analyzing constructed or renovated space to support the design
and implementation of protection systems (e.g., fire protection and
suppression, atmospheric filtration, explosives mitigation).
FY10 EOC Recipient Subgrant Guide for Local Government 19
Section Two: Program Specific Information, continued
Eligible Equipment
Activities, Only equipment integral to EOC construction and renovation activities is
continued allowable. The allowable equipment categories for FY10 EOC Grant
Program are listed on the web-based version of the Authorized Equipment
List (AEL) on the Responder Knowledge Base (RKB), which is sponsored by
FEMA at https://www.rkb.us.
The select allowable equipment includes equipment from the following
AEL categories:
• Explosive Device Mitigation and Remediation (Category 2)
• Information Technology (Category 4)
• Cyber-Security Enhancement Equipment (Category 5)
• Interoperable Communications Equipment (Category 6)
• Power Equipment (Category 10)
• CBRNE Reference Materials (Category 11)
• Physical Security Enhancement Equipment (Category 14)
• CBRNE Logistical Support Equipment (Category 19)
• Other Authorized Equipment (Category 21)
All other equipment categories are not eligible. If subgrantees
have questions concerning the eligibility of equipment not specifically
addressed in the AEL, they should contact their State Grant Administrator at
(916) 845-8139 for clarification. The list of equipment to be purchased
must include the AEL number and be approved by the State Grant
Administrator prior to purchasing.
Agencies that are using FY10 EOC Grant Program funds to purchase
Interoperable Communications Equipment (Category 6) must consult
SAFECOM’s coordinated grant guidance which outlines standards and
equipment information to enhance interoperable communications. This
guidance can be found at http://www.safecomprogram.gov.
FY10 EOC Recipient Subgrant Guide for Local Government 20
Section Two: Program Specific Information, continued
Eligible Additionally, grantees are encouraged to coordinate with other State and
Activities, local partners in integrating their interoperable communications plans and
continued projects as outlined in each State’s Interoperable Communications Plan.
Construction and Renovation
“Construction,” as defined in this program, refers to building a new
facility or any changes to the footprint of an existing facility, while
“renovation” refers to internal improvements to an existing facility.
Non-competitive EOCs have been allocated a designated amount of
funding, which may be applied entirely towards construction or
renovation projects without the cap noted above.
FY10 EOC grantees using funds for construction projects must comply with
the Davis-Bacon Act (40 U.S.C. §3141 et seq.). Grant recipients must ensure
that their contractors or subcontractors for construction projects pay workers
employed directly at the worksite no less than the prevailing wages and fringe
benefits paid on projects of a similar character. Additional information,
including Department of Labor wage determinations, is available from the
following website: http://www.gpo.gov/davisbacon/
Prior to undertaking any action related to the project, all proposed
construction and renovation activities must undergo an Environmental and
Historic Preservation (EHP) review, including approval of the review from
FEMA. Any applicant that is proposing a construction or renovation project
under the FY 2010 EOC should pay special attention to the EHP requirements
contained in Part VI (B, 5.7) of the Federal Guidance. Failure of a grant
recipient to meet these requirements may jeopardize Federal funding.
Sub- Anytime funds are given to a contractor, the local jurisdiction must ensure
Contracting that the Assurances and Certifications of this subgrant are included as part
of the contractual agreement with the contractor. It is the subrecipient’s
responsibility to monitor and ensure the contractors are adhering to all
applicable federal and state laws.
FY10 EOC Recipient Subgrant Guide for Local Government 21
Section Two: Program Specific Information, continued
Unallowable FY10 EOC Grant Program funds may not be spent towards organization,
Costs training, or exercises costs. In addition, FY10 EOC Grant Program funds
may not be spent towards:
• 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, licensing fees,
weapons systems and ammunition.
• Costs to support the hiring of emergency managers or 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 EOC
construction or renovation.
• Other items not in accordance with the portions of the AEL and allowable
costs listed above.
Eligible Costs To be allowable under federal awards, costs must meet the criteria as stated in
OMB Circular No. A-87 or 2 CFR Section 225.
FY10 EOC Recipient Subgrant Guide for Local Government 22
Section Two: Program Specific Information, continued
Eligible Eligible cost categories are as follows:
Costs,
continued Personnel Services This includes salary, overtime, compensating time
off and associated fringe benefits.
Equipment This is defined as property having a useful life of
more than one year and an acquisition cost of
$5,000 or more per unit. Allowable equipment
categories for FY 2010 EOC are listed on the web-
based Authorized Equipment List (AEL) on the
Responder Knowledge Base (RKB), at
http://www.rkb.mipt.org. The FY 2010 EOC AEL
is housed on the RKB and relies heavily on the
Standardized Equipment List (SEL) developed by
the Inter-Agency Board (IAB) for Equipment
Standardization and Interoperability. The AEL
maintains the cross-referencing to the SEL in an
effort to eliminate redundancy. Both the AEL and
SEL are available on the RKB, which also offers
an interactive version that provides links to
corresponding SEL items and commercial
products.
Operating Expenses This includes all items not defined as equipment
such as printing, postage, communications, data
processing, supplies, etc.
Management and This includes such things as a grant
Administration costs administrator, monitoring staff, and other costs
directly associated with the management and
administration of this grant.
Another useful Financial Guide for determining eligible costs can be found at:
http://www.dhs.gov/xlibrary/assets/Grants_FinancialManagementGuide.pdf
FY10 EOC Recipient Subgrant Guide for Local Government 23
Section Three: Application Requirements and Process
Contents
This section contains the following:
Application Components
Mailing Address
Application for Assistance
Governing Body Resolution
Grant Assurances
Application Due Date
Approval of Application
FY10 EOC Recipient Subgrant Guide for Local Government 24
Section Three: Application Requirements and Process
Application The application must include the following forms. These forms can be
Components found in Appendix A.
Application for Assistance
Governing Body Resolution
Grant Assurances and Certifications
Mailing The application must be mailed to Cal EMA:
Address
Yvonne Cantrell
California Emergency Management Agency
Emergency Management Grants Branch
3650 Schriever Avenue
Mather, CA 95655
Application The Application for Assistance form is the coversheet for the application and
for serves as the contractual basis for the award. It identifies the applicant; the
Assistance authorized agent; the contact person for the subgrant and their contact
information; the approved subgrant award amount; and the performance period.
It must be signed by an authorized agent of the local jurisdiction and Cal EMA.
Governing The Governing Body Resolution appoints agents authorized to prepare and sign
Body any documents necessary under this subgrant.
Resolution
Grant The Assurances, Certifications, Terms and Conditions form lists the federal and
Assurances state requirements to which the local jurisdiction, and any subcontractors it
hires, will be held accountable.
Application The application package must be submitted to Cal EMA by August 31, 2010.
Due Date
Approval of Cal EMA will notify the local jurisdiction, in writing, of the approved
Application application.
FY10 EOC Recipient Subgrant Guide for Local Government 25
Section Four: Performance Period Activities
Contents
This section contains the following:
Reimbursement of Eligible Costs
Revision Requests
Performance Report
Interest Earnings
Monitoring Subgrant Performance
Record Retention Requirements
Accessibility of Records
Suspension or Termination
FY10 EOC Recipient Subgrant Guide for Local Government 26
Section Four: Performance Period Activities
Reimbursement The FY10 EOC funds will be disbursed on a reimbursement basis, using
of Eligible Costs the Reimbursement Request form included in Appendix A. For the
purposes of this grant, the cost of employee labor and expenses is
considered to be incurred as soon as the time has been worked or the
expense has been paid. Vendor costs are considered incurred when the
purchasing jurisdiction has paid the vendor's invoice. Encumbrances,
purchase orders or signed contracts do not qualify as incurred costs.
The subgrantees are required to submit reimbursement requests quarterly;
on the same schedule as the quarterly reports (see page 17).
NOTE: Payments can only be made if the local jurisdiction has an:
Approved Application
Valid Governing Body Resolution
Valid Grant Assurance and Certifications document
It is recommended that when reimbursement requests are submitted, local
jurisdictions keep copies of all backup documents with the reimbursement
request in the files to make verification by monitors and/or auditors easier.
Revision All changes to the local jurisdiction’s approved Program Narrative and
Requests Budget Worksheet must be submitted to Cal EMA in writing and approved
prior to initiating any revised scope of work or incurring the associated
expenditures. The local jurisdictions may submit revision requests to
Cal EMA at any time during the performance period.
Failure to submit revision requests and receive approval prior to expenditure
could result in a reduction or disallowance of that part of the subgrant.
FY10 EOC Recipient Subgrant Guide for Local Government 27
Section Four: Performance Period Activities, continued
Performance The local jurisdictions must submit performance reports as required. The
Report report must include the progress made on identified activities, as well as other
requested information and data.
The final performance report (See Appendix A for the Form) is due to Cal
EMA by June 30, 2013 (unless extended), and will serve as the final subgrant
report.
Failure to submit a performance report could result in subgrant reduction,
termination or suspension.
Interest In accordance with 44 CFR Section 13.21, any interest earned, in excess of
Earnings $100 per federal fiscal year, must be remitted quarterly to:
United States Department of Health and Human Services
Division of Payment Management Services
Post Office Box 6021
Rockville, MD 20852
NOTE: The transmittal letter included with the check should indicate that the
local jurisdiction is returning interest earned on FY10 EOC funds.
A copy of the transmittal letter should be sent to the Cal EMA Accounting
Office at:
California Emergency Management Agency
Accounting Office
3650 Schriever Avenue
Mather, CA 95655
Monitoring The State may perform periodic reviews of the local jurisdictions’
Subgrant subgrant performance. These reviews may include, but are not limited
Performance to:
Comparing actual subgrant activities to those approved on the
Program Narrative and Budget Worksheet.
Confirming compliance with:
Grant Assurances.
Information provided on the performance reports.
Reviewing and monitoring financial and administrative records.
FY10 EOC Recipient Subgrant Guide for Local Government 28
Section Four: Performance Period Activities, continued
Record Specific requirements for record retention can be found in 44 CFR
Retention Section 13.42.
Requirements
In the Subgrant Closeout letter, Cal EMA will notify the local jurisdiction of
the start of the record retention period for programmatic and financial records.
Accessibility The federal Department of Homeland Security, the DHS Office of Inspector
of Records General, the Comptroller General of the United States, Cal EMA, and any of
their authorized representatives, shall have the right of access to any books,
documents, papers, or other records which are pertinent to the subgrant, in order
to make audits, monitoring reviews, examinations, excerpts, and transcripts.
The right of access is not limited to the required retention period but shall last
as long as the records are retained. Refer to 44 CFR Section 13.42 for more
information about accessibility of records.
Suspension Should a jurisdiction materially fail to comply with any term of an
or award, whether stated in a Federal statute or regulation, an assurance, in
Termination a state plan or application, a notice of award, or elsewhere, Cal EMA
may take one or more of the following actions:
Temporarily withhold cash reimbursements pending correction
of the deficiency by the jurisdiction;
Disallow 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
jurisdiction’s program;
Withhold further awards for the program; or
Take other remedies that may be legally available.
Before taking action, the State will provide the jurisdiction reasonable notice of
intent to impose measures and will make efforts to resolve the problem
informally. For more details on enforcement, see 44 CFR Section13.43.
FY10 EOC Recipient Subgrant Guide for Local Government 29
Section Five: Subgrant Closeout
Contents
This section contains the following:
Final Subgrant Report
Closeout Review and Notification
Audit Requirements
FY10 EOC Recipient Subgrant Guide for Local Government 30
Section Five: Subgrant Closeout, continued
Final The final performance report is due to Cal EMA by June 30, 2013 (unless
Subgrant extended).
Report
Closeout Cal EMA will review the local jurisdiction’s Final Performance Report for
Review and compliance with all subgrant conditions. After compliance has been verified,
Notification Cal EMA will notify the local jurisdiction, in writing, of the subgrant closure
and record retention requirements.
Audit The local jurisdictions, and their sub-recipients, must comply with the audit
Requirements requirements contained in OMB Circular A-133 and 44 CFR Section 13.26
FY10 EOC Recipient Subgrant Guide for Local Government 31
Appendices
List of A: Forms
Appendices B: Acronyms
FY10 EOC Recipient Subgrant Guide for Local Government 32
Appendix A: Forms
Forms The forms required to be used for this subgrant include the following:
Application for Assistance
Governing Body Resolution
Grant Assurances and Certifications
Performance Report
Reimbursement Request
Final Performance Report
FY10 EOC Recipient Subgrant Guide for Local Government 33
FY10 Emergency Operations Center Grant
Application for Assistance
Applicant:
(Local Jurisdiction Name)
Contact Information:
Authorized Agent Name
_
Mailing Address Address
City, State, Zip Code Phone & E-Mail
Grant Award $
Application Checklist – The following items must be included with this subgrant application package:
Application for Assistance
Governing Body Resolution
_____ Grant Assurances
Certification and Signature of Authorized Agent
I hereby certify I am vested with the authority to enter into this subgrant award agreement; and all funds
received pursuant to this agreement will be spent exclusively on the purposes specified. The grant recipient
signifies acceptance of this grant award and agrees to administer the subgrant in accordance with the
laws, regulations, guidance documents that apply to this grant program; the Cal EMA Recipient Subgrant
Guide for Local Governments; and the Cal EMA audit requirements.
Signature of Authorized Agent Printed Name
Title Date
For Cal EMA USE ONLY
I hereby certify upon my own personal knowledge that budgeted funds are available for the period and purposes of
this expenditure stated above and that this Subgrant award is approved.
________________________________ __________________________
Cal EMA Fiscal Officer Date
_______________________________________ _______________________________
Cal EMA Secretary (or designee) Date
Subgrant Performance Period: June 1, 2010 to May 31, 2013
Cal EMA ID # CFDA # 97.052 Award # 2010-EO-MX-0016
FY10 EOC Recipient Subgrant Guide for Local Government 34
Governing Body Resolution
BE IT RESOLVED BY THE
(Governing Body)
OF THE THAT
(Name of Applicant)
OR
(Name or Title of Authorized Agent)
OR
(Name or Title of Authorized Agent)
,
(Name or Title of Authorized Agent)
is hereby authorized to execute for and on behalf of the named applicant, a public entity
established under the laws of the State of California, any actions necessary for the
purpose of obtaining federal financial assistance provided by the federal Department of
Homeland Security and subgranted through the State of California.
Passed and approved this day of , 20
Certification
I, , duly
appointed and
(Name)
of the
(Title) (Governing Body)
do hereby certify that the above is a true and correct copy of a resolution passed and
approved by
the of the on the
(Governing body) (Name of Applicant)
day of ,
20__________
(Official Position)
(Signature)
(Date)
FY10 EOC Recipient Subgrant Guide for Local Government 35
Instruction Sheet for the Governing Body Resolution
Purpose The purpose of the Governing Body Resolution is to ensure the
governing body of the jurisdiction appoints individuals to act on
behalf of the governing body when dealing with this grant. They
become known as Authorized Agents.
Authorized The Governing Body Resolution allows for the appointment of
Agent(s) individuals or positions. For each person or position appointed by
the governing body, submit the following information, with the
resolution, to Cal EMA on the applicant's letterhead:
Jurisdiction Telephone
Grant Program Fax #
Name Cell Phone #
Title E-Mail Address
Address
City
Zip Code
Authorized If the Governing Body Resolution identified Authorized
Agent Changes Agents by position and/or title, changes can be made by
submitting new Authorized Agent information to Cal EMA, as
indicated above.
If the Governing Body Resolution identified Authorized
Agents by name, a new Resolution is needed when any
changes are made. The information list above must also be
submitted with the new Resolution.
FY10 EOC Recipient Subgrant Guide for Local Government 36
FY 10 Emergency Operations Center Grant
Assurances, Certifications, Terms, and Conditions
ASSURANCES
The applicant hereby assures and certifies compliance with all applicable Federal statutes,
regulations, policies, guidelines, and requirements, including OMB Circulars A-87, A-102, A-
133; Executive Order 12372 (intergovernmental review of federal programs); and 44 C.F.R.
pt.13 (administrative requirements for grants and cooperative agreements). The applicant also
specifically assures and certifies that:
1. Has the legal authority to apply for Federal assistance, and the institutional, managerial and
financial capability (including funds sufficient to pay the non-Federal share of project
costs) to ensure proper planning, management and completion of the project described in
this application.
2. Will give the awarding agency, the Comptroller General of the United States, and if
appropriate, the State, through any authorized representative, access to and the right to
examine all records, books, papers, or documents related to the award; and will establish a
proper accounting system in accordance with generally accepted accounting standards or
agency directives.
3. Will establish safeguards to prohibit employees from using their positions for a purpose
that constitutes or presents the appearance of personal or organizational conflict of interest,
or personal gain.
4. Will initiate and complete the work within the applicable time frame after receipt of
approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§ 4728-4763)
relating to prescribed standards for merit systems for programs funded under one of the
nineteen statutes or regulations specified in Appendix A of OPM’s Standards for a Merit
System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to nondiscrimination. These include but are
not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C. §§ 1681-1683, and 1685-1686), which
prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of
1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of
handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101-6107),
which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-2S5), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention,
Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or alcoholism; (g) §§ 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as amended, relating
to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil
Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as amended, relating to non-discrimination
in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the
FY10 EOC Recipient Subgrant Guide for Local Government 37
specific statute(s) under which application for Federal assistance is being made; and (j) the
requirements of any other nondiscrimination statute(s) which may apply to the application.
7. Will comply, or has already complied, with the requirements of Titles II and 111 of the
Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L.
91-646) which provide for fair and equitable treatment of persons displaced or whose
property is acquired as a result of Federal or federally assisted programs. These
requirements apply to all interests in real property acquired for project purposes regardless
of Federal participation in purchases.
8. Will comply with the provisions of the Hatch Act (5 U.S.C. §§ 1501-1508 and 7324-7328)
which limit the political activities of employees whose principal employment activities are
funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-Bacon Act (40 U.S.C. §§ 276a
to 276a7), the Copeland Act (40 U.S.C. § 276c and 18 U.S.C. §§ 874), and the Contract
Work Hours and Safety Standards Act (40 U.S.C. §§ 327-33.3), regarding labor standards
for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a)
of the Flood Disaster Protection Act of 1973 (P.L. 93234) which requires recipients in a
special flood hazard area to participate in the program and to purchase flood insurance if
the total cost of insurable construction and acquisition is $10,000 or more.
11. Will comply with environmental standards which may be prescribed pursuant to the
following: (a) institution of environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b)
notification of violating facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with
EO 11988; (e)assurance of project consistency with the approved State management
program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451
et seq.); (f) conformity of Federal actions to State (Clear Air) Implementation Plans under
Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. § 7401 et seq.); (g)
protection of underground sources of drinking water under the Safe Drinking Water Act of
1974, as amended, (P.L. 93-523); and (h) protection of endangered species under the
Endangered Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.)
related to protecting components or potential components of the national wild and scenic
rivers system.
13. Will assist the awarding agency in assuring compliance with Section 106 of the National
Historic Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification
and protection of historic properties), and the Archaeological and Historic Preservation Act
of 1974 (16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of human subjects involved in
research, development, and related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7
U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded
FY10 EOC Recipient Subgrant Guide for Local Government 38
animals held for research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et
seq.) which
prohibits the use of lead based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and compliance audits in accordance with
the Single Audit Act of 1984 or OMB Circular No. A-133, Audits of Institutions of Higher
Learning and other Non-profit
Institutions.
18. Will, in the event that a dispute under this agreement is to be resolved in a state court of
competent jurisdiction, Native American tribes expressly consent to be sued therein and
waive any immunity so that the State may exercise and enforce its rights under the terms of
this Agreement in relation to any transactions reasonably contemplated by this Agreement
and to enforce the State’s rights in law and equity and to recover actual (not punitive)
damages or obtain injunctive relief incident to the Native American Tribe’s material breach
of any term, condition, warranty, representation and covenant of the Native American Tribe
arising under this Agreement.
19. Will comply with all applicable requirements of all other Federal laws, executive orders,
regulations and policies governing this program.
CERTIFICATIONS
Certification for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee
of an agency, a Member of Congress, an officer or employee of Congress, or an employee
of a Member of Congress in connection with the awarding of any Federal contract, the
making of any Federal grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL, ``Disclosure Form to Report
Lobbying,'' in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all subrecipients shall certify and
disclose accordingly. This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into. Submission of this
certification is a prerequisite for making or entering into this transaction imposed by section
FY10 EOC Recipient Subgrant Guide for Local Government 39
1352, title 31, U.S. Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such
failure.
Statement for Loan Guarantees and Loan Insurance
The undersigned states, to the best of his or her knowledge and belief, that:
If any funds have been paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an officer or employee
of Congress, or an employee of a Member of Congress in connection with this commitment
providing for the United States to insure or guarantee a loan, the undersigned shall complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in accordance with its
instructions. Submission of this statement is a prerequisite for making or entering into this
transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the
required statement shall be subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
2. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS
(DIRECT RECIPIENT):
As required by Executive Order 12549, Debarment and Suspension, and implemented
at 44 CFR Part 17:
A. The applicant certifies that it and its principals:
(1) Are not presently debarred, suspended, proposed for debarment, declared ineligible,
sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily
excluded from covered transactions by any Federal department or agency;
(2) Have not within a three-year period preceding this application been convicted of or had
a civil judgment rendered against them for commission of fraud or a criminal offense
in connection with obtaining, attempting to obtain, or performing a public (Federal,
State, or local) transaction or contract under a public transaction; violation of Federal
or State antitrust statutes or commission of embezzlement, theft, forgery, bribery,
falsification or destruction of records, making false statements, or receiving stolen
property;
(3) Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (Federal, State, or local) with commission of any of the offenses
enumerated in paragraph (A)(2) of this certification; and
(4) Have not within a three-year period preceding this application had one or more public
transactions (Federal, State, or local) terminated for cause or default; and
B. Where the applicant is unable to certify to any of the statements in this certification, he or
she shall attach an explanation to this application.
3. CERTIFICATIONS REGARDING DRUG-FREE WORKPLACE REQUIREMENTS: This
certification commits the applicant to compliance with the certification requirements under 44
CFR Part 17 Government-wide Requirements for Drug-Free Workplace (Grants).
FY10 EOC Recipient Subgrant Guide for Local Government 40
The grantee certifies that it will or will continue to provide a drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture,
distribution, dispensing, possession, or use of a controlled substance is prohibited in
the grantee's workplace and specifying the actions that will be taken against
employees for violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to inform employees about—
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee assistance programs;
and
(4) The penalties that may be imposed upon employees for drug abuse violations
occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in the performance of the
grant be given a copy of the statement required by paragraph (a);
(d) Notifying the employee in the statement required by paragraph (a) that, as a condition
of employment under the grant, the employee will—
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for a violation of a
criminal drug statute occurring in the workplace no later than five calendar days
after such conviction;
(e) Notifying the agency in writing, within ten calendar days after receiving notice under
subparagraph (d)(2) from an employee or otherwise receiving actual notice of such
conviction. Employers of convicted employees must provide notice, including
position title, to every grant officer or other designee on whose grant activity the
convicted employee was working, unless the Federal agency has designated a central
point for the receipt of such notices. Notice shall include the identification number(s)
of each affected grant;
(f) Taking one of the following actions, within 30 calendar days of receiving notice
under subparagraph (d)(2), with respect to any employee who is so convicted—
(1) Taking appropriate personnel action against such an employee, up to and
including termination, consistent with the requirements of the Rehabilitation Act
of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State, or local
health, law enforcement, or other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-free workplace through
implementation of paragraphs (a), (b), (c), (d), (e) and (f).
FY10 EOC Recipient Subgrant Guide for Local Government 41
4. SWEATFREE CODE OF CONDUCT:
(a). All applicants contracting for the procurement or laundering of apparel, garments or
corresponding accessories, or the procurement of equipment, materials, or supplies, other
than procurement related to a public works contract, declare under penalty of perjury that
no apparel, garments or corresponding accessories, equipment, materials, or supplies
furnished to the state pursuant to the subgrant have been laundered or produced in whole or
in part by sweatshop labor, forced labor, convict labor, indentured labor under penal
sanction, abusive forms of child labor or exploitation of children in sweatshop labor, or
with the benefit of sweatshop labor, forced labor, convict labor, indentured labor under
penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor.
The applicant further declares under penalty of perjury that they adhere to the Sweatfree
Code of Conduct as set forth on the California Department of Industrial Relations website
located at www.dir.ca.gov, and Public Contract Code Section 6108.
(b.) The applicant agrees to cooperate fully in providing reasonable access to the applicant’s
records, documents, agents or employees, or premises if reasonably required by authorized
officials of the contracting agency, the Department of Industrial Relations, or the
Department of Justice to determine the contractor’s compliance with the requirements
under paragraph (a).
5. DOMESTIC PARTNERS: For subgrants executed or amended after July 1, 2004, the
applicant may elect to offer domestic partner benefits to the applicant’s employees in
accordance with Public Contract Code section 10295.3. However, the applicant cannot
require an employee to cover the costs of providing any benefits which have otherwise been
provided to all employees regardless of marital or domestic partner status.
TERMS AND CONDITIONS
The following laws apply to persons or entities doing business with the State of California.
1. CONFLICT OF INTEREST: Applicant needs to be aware of the following provisions
regarding current or former state employees. If subgrantee has any questions on the status of
any person rendering services or involved with the Agreement, the awarding agency must be
contacted immediately for clarification.
Current State Employees (Public Contract Code §10410):
1) No officer or employee shall engage in any employment, activity or enterprise from which
the officer or employee receives compensation or has a financial interest and which is
sponsored or funded by any state agency, unless the employment, activity or enterprise is
required as a condition of regular state employment.
2) No officer or employee shall contract on his or her own behalf as an independent contractor
with any state agency to provide goods or services.
Former State Employees (Public Contract Code §10411):
1) For the two-year period from the date he or she left state employment, no former state
officer or employee may enter into a contract in which he or she engaged in any of the
FY10 EOC Recipient Subgrant Guide for Local Government 42
negotiations, transactions, planning, arrangements or any part of the decision-making
process relevant to the contract while employed in any capacity by any state agency.
2) For the twelve-month period from the date he or she left state employment, no former state
officer or employee may enter into a contract with any state agency if he or she was
employed by that state agency in a policy-making position in the same general subject area
as the proposed contract within the 12-month period prior to his or her leaving state
service.
If applicant violates any provisions of above paragraphs, such action by applicant shall
render this Agreement void. (Pub. Contract Code §10420)
Members of boards and commissions are exempt from this section if they do not receive
payment other than payment of each meeting of the board or commission, payment for
preparatory time and payment for per diem. (Pub. Contract Code §10430 (e))
2. LABOR CODE/WORKERS' COMPENSATION: Applicant needs to be aware of the
provisions which require every employer to be insured against liability for Worker's
Compensation or to undertake self-insurance in accordance with the provisions, and applicant
affirms to comply with such provisions before commencing the performance of the work of
this Agreement. (Labor Code Section 3700)
3. AMERICANS WITH DISABILITIES ACT: Applicant assures the State that it complies with
the Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the
basis of disability, as well as all applicable regulations and guidelines issued pursuant to the
ADA. (42 U.S.C. 12101 et seq.)
4. APPLICANT NAME CHANGE: An amendment is required to change the applicant’s name
as listed on this Agreement. Upon receipt of legal documentation of the name change the
State will process the amendment. Payment of invoices presented with a new name cannot be
paid prior to approval of said amendment.
5. RESOLUTION: A county, city, district, or other local public body must provide the State
with a copy of a resolution, order, motion, or ordinance of the local governing body which by
law has authority to enter into an agreement, authorizing execution of the agreement.
6. AIR OR WATER POLLUTION VIOLATION: Under the State laws, the applicant shall not
be:
(1) in violation of any order or resolution not subject to review promulgated by the State Air
Resources Board or an air pollution control district;
(2) subject to cease and desist order not subject to review issued pursuant to Section 13301 of
the Water Code for violation of waste discharge requirements or discharge prohibitions; or
(3) finally determined to be in violation of provisions of federal law relating to air or water
pollution.
Failure to comply with these requirements may result in suspension of payments under the
Agreement or termination of the Agreement or both and applicant may be ineligible for award of
any future State agreements if the department determines that any of the following has occurred:
the applicant has made false certification, or violated the certification by failing to carry out the
requirements as noted above. (Gov. Code §8350 et seq.)
FY10 EOC Recipient Subgrant Guide for Local Government 43
I, the official named below, CERTIFY UNDER PENALTY OF PERJURY that I am duly
authorized to legally bind the prospective jurisdiction to the assurances and certifications listed
above.
Jurisdiction (Printed)
By (Authorized Signature)
Printed Name and Title of Person Signing
Date Executed
FY10 EOC Recipient Subgrant Guide for Local Government 44
FY10 Emergency Operations Center Grant
Performance Report
Grant # 2010-EO-MX-0016
Jurisdiction Name:
OES ID# Date of Report: Quarter #
This report should include activities to be completed, the status of that activity, and
estimated completion dates.
Estimated
Activity Status Completion
Date
Identify any issues affecting completion or outcome:
Dollars spent to date on project:
I am the duly appointed Authorized Agent and certify that the above activities and expenditures
are true and correct.
Signature of Authorized Agent Printed Name
Title Date
Cal EMA use only
Reviewed by: Date:
Comments:
FY10 EOC Recipient Subgrant Guide for Local Government 45
FY10 Emergency Operations Center Grant
Reimbursement Request
Grant # 2010-EO-MX-0016
Mail Reimbursement Request to: Subgrantee Name:
Cal EMA Cal EMA ID #:
Grants Processing Section
3650 Schriever Avenue
Mather, CA 95655
1. Which state fiscal year were activities performed? (Check only one box per Reimbursement Request.) In
addition, check the Final Reimbursement Request box if this is your final request.
07/01/10 to 6/30/11 07/01/11 to 06/30/12 07/01/12 to 6/30/13
Cumulative
Current Requested Cumulative
Previously Requested
Amount Amount to Date
Amount
A1 A2 A3
2. Federal Funds Expended + =
(A3 = A1 + A2)
+
B1 B2 B3
Local Subgrant Match
3. Expended + =
(B3 = B1 + B2)
=
C
4. Total Subgrant Expenditures
(C = A3 + B3)
Under penalty of perjury, I certify that:
I am the duly Authorized Agent of the claimant herein.
This reimbursement request is in all respects true, correct, and in accordance with
applicable laws, rules, regulations, subgrant conditions and assurances.
All funds requested as a reimbursement have been matched with local funds.
Emergency Program Expenditures may not be used for any other match.
Authorized Agent (Per Governing Body Resolution/State Agency Signature Authority
Form)
Printed Name Phone No.
Title E-Mail Address
Mailing Address Fax No.
City, State, Zip Code
Signature Date
Check this box if this is a new address for the Authorized Agent.
FY10 EOC Recipient Subgrant Guide for Local Government 46
Instruction Sheet for the Reimbursement Request
Award Number The Award Number is identified on the Notification of Application Approval letter.
The subgrantee is the agency identified in the original subgrant application and indicated in the Notification of
Subgrantee
Application Approval letter. Do not identify any sub-departments or offices as the subgrantee.
The OES ID# is identified on the Notification of Application Approval letter.
OES ID #
Indicate the State Fiscal Year (FY) for which funds are being requested. For reimbursements, the State FY
1. Reimbursement chosen should represent the State FY in which the subgrant funds have been expended. Only one State FY
Request Period can be chosen per reimbursement request and cannot cross State FYs; therefore, separate requests must be
submitted for expenditures incurred on or before June 30, 2011 and on or after July 1, 2011.
Cumulative Previously Requested Amount (Box A1): In this box include cumulative federal funds previously
requested on all previous reimbursement requests. If this is the first reimbursement request submitted, leave
2. Federal Funds this box blank.
Expended Current Requested Amount (Box A2): In this box include current requested federal funds for this
reimbursement request.
Cumulative Amount to Date (Box A3): The amount in this box (A3) should equal box A1 plus box A2.
Cumulative Previously Requested Amount (Box B1): In this box include the cumulative local subgrant match
previously requested on all previous reimbursement requests (Box B1 equals one-third of Box A1). If this is
the first reimbursement request submitted, leave this box blank.
3. Local Subgrant
Current Requested Amount (Box B2): In this box include the current local subgrant match expended for this
Match
reimbursement request (Box B2 equals one-third of Box A2).
Expended
Cumulative Amount to Date (Box B3): The amount in this box (B3) should equal Box B1 plus Box B2 (Box
B3 equals Box A3).
(This ensures compliance with non-federal match requirements.)
Cumulative Amount to Date (Box C): The amount in this box (C) should equal box A3 plus box B3.
4. Total Subgrant
(This figure is used to calculate your payment in the Automated Ledger System (ALS). ALS uses the
Expenditures
following formula to calculate your payment: Box C times 75% minus previous payments = this payment)
Definition of For the purpose of this form, expenditure is defined as the actual payment of funds, by subgrantees, to
Expenditure contractors, vendors, employee labor, equipment, etc.
Authorized Agent Complete all line items requested and ensure that the form is signed by an Authorized Agent named in the
Info Governing Body Resolution, or the State Agency Signature Authority form.
Indicate a change of address by checking the box shown and noting the address in the area marked "mailing
Address Changes
address". The new address will be used to update Cal EMA’s records.
Supporting documents are not required to be submitted with the Reimbursement Request; however, the state
Supporting
reserves the right to request documentation at any time. Subgrantees are reminded to maintain documents that
Documents
support the expenditure and reimbursement amounts shown on the request.
Mail the original Reimbursement Request form to Cal EMA at:
Mail Grants Processing Section
3650 Schriever Avenue
Mather, CA 95655
FY10 EOC Recipient Subgrant Guide for Local Government 47
FINAL Performance Report
FY 10 EOC
Award # 2010-EO-MX-0016
Jurisdiction Name: Cal EMA ID#
Date of report: Covering Quarter beginning and ending
Activity Brief Activity Summary (from beginning to end of project)
Final Subgrant Expenditures:
(Double click on the chart below to open it as an Excel spreadsheet)
Personal Services
Operating Expenses
Equipment
Management & Admin
TOTAL $ -
I am the duly appointed Authorized Agent and certify that the above activities and
expenditures are true and correct.
Signature of Authorized Agent Printed Name
Title Date
Cal EMA USE ONLY
Reviewed by: Date:
Comments:
Instruction Sheet for Final Performance Report
FY10 EOC Recipient Subgrant Guide for Local Government 48
Jurisdiction Enter the Operational Area name.
Cal EMA ID# Enter the Cal EMA ID#.
Date of Report This would be the date the report is completed.
Covering Quarter Enter the beginning and ending dates of the quarter this report is addressing.
Dates
Activity List one of the specific activities you had in your application.
Activity Summary Provide a brief summary of what was accomplished by this activity from start to finish.
Repeat for each of your activities.
Double click on this chart and it will open as an Excel spreadsheet. Enter the final
Final Subgrant
figures of your program expenditures by category. The total should be equal to or less
Expenditures
than your subgrant award (federal portion only, not your match funds,)
Certification Have the authorized agent sign the form. Please print the name, title and date as well.
Mail the original Final Performance Report to:
California Emergency Management Agency
Mailing Instructions
Emergency Management Grants Branch
3650 Schriever Avenue
Mather, CA 95655
FY10 EOC Recipient Subgrant Guide for Local Government 49
Appendix B – Acronyms
A&W Alert and Warning
AAR After Action Report
ARC American Red Cross
ARP Accidental Risk Prevention
BSA California Bureau of State Audits
Cal ARP California Accidental Release Prevention
Cal EMA California Emergency Management Agency
Cal EPA California Environmental Protection Agency
CAR Capability Assessment for Readiness
CBO Community-based organization
CBRN Chemical, Biological, Radiological, or Nuclear materials
CERT Community Emergency Response Team
CESRS California Emergency Services Radio System
CFDA Catalog of Federal Domestic Assistance
CFR Code of Federal Regulations
CHIP California Hazard Identification Program
CHMIRS California Hazardous Material Incident Reporting System
CHP California Highway Patrol
CLETS California Law Enforcement Telecommunications System
COG Continuity of Government
COOP Continuity of Operations
CSTI California Specialized Training Institute
DGS California Department of General Services
DHS U.S. Department of Homeland Security
DHS-RHB California Department of Health Services, Radiological Health Branch
DOC Department Operations Center
DOF California Department of Finance
DOJ California Department of Justice
DWR California Department of Water Resources
EAS Emergency Alerting System
EDIS Emergency Digital Information System
EHP Environmental Planning and Historic Preservation
EMAP Emergency Management Accreditation Program
EMF Emergency Management Function
EMI Emergency Management Institute
EMMA Emergency Managers Mutual Aid
EMPG Emergency Management Performance Grant
EMS Emergency Medical Services
EOC Emergency Operations Center
EOP Emergency Operations Plan
EPA Environmental Protection Agency (U.S.)
EPEDAT Early Post Earthquake Damage Assessment Tool
EPI Emergency Public Information
EPIC Emergency Public Information Council
EP&R Emergency Preparedness and Response (DHS Directorate)
ESF Emergency Service Functions (Federal)
FEMA Federal Emergency Management Agency
FIR Final Inspection Reports
FIRESCOPE Fire Fighting Resources of Southern California Organized for Potential Emergency
FMA Flood Management Assistance
FSR Feasibility Study Report
FY Fiscal Year
GIS Geographical Information System
HAZMAT Hazardous Material
HAZMIT Hazardous Mitigation
FY10 EOC Recipient Subgrant Guide for Local Government 50
Appendix B – Acronyms, continued
HCD Housing and Community Development
HMEP Hazardous Materials Emergency Preparedness
HMGP Hazard Mitigation Grant Program
IA Individual Assistance
IFGP Individual & Family Grant Program
IPA Information and Public Affairs (of Cal EMA)
IRGIS Incident Response Geographic Information System
LEMA Law Enforcement Mutual Aid
LEPC Local Emergency Planning Committee
M&A Management and Administrative
MARAC Mutual Aid Regional Advisory Council
MOU Memorandum of Understanding
NBC Nuclear, Biological, Chemical
NEMA National Emergency Management Agency
NEMIS National Emergency Management Information System
NFIP National Flood Insurance Program
NIMCAST National Incident Management Capability Assessment Tool
NIMS National Incident Management System
NOAA National Oceanic and Atmospheric Association
NPP Nuclear Power Plant
NSF National Science Foundation
NWS National Weather Service
OA Operational Area
OASIS Operational Area Satellite Information System
OCC Operations Coordination Center
OSHPD Occupational Safety and Health Protection Division
OSPR Oil Spill Prevention and Response
PA Public Assistance
PDA Preliminary Damage Assessment
POST Police Officer Standards and Training
RAMP Regional Assessment of Mitigation Priorities
RAPID Railroad Accident Prevention & Immediate Deployment
RDO Radiological Defense Officer
RDMHC Regional Disaster Medical Health Coordinator
REOC Regional Emergency Operations Center
REPI Reserve Emergency Public Information
RES Regional Emergency Staff
RIMS Response Information Management System
RMP Risk Management Plan
SEPIC State Emergency Public Information Committee
SLA State and Local Assistance
SONGS San Onofre Nuclear Generating Station
SEMS Standardized Emergency Management System
SOP Standard Operating Procedure
SWEPC Statewide Emergency Planning Committee
TRU Transuranic
SEMS Standardized Emergency Management System
SOP Standard Operating Procedure
SWEPC Statewide Emergency Planning Committee
TRU Transuranic
UPA Unified Program Account
USAR Urban Search and Rescue
USGS United States Geological Survey
WC California State Warning Center
WIPP Waste Isolation Pilot Project
WMD Weapons of Mass Destruction
FY10 EOC Recipient Subgrant Guide for Local Government 51
