HomeMy WebLinkAboutCounty of Orange - 2017-07-01 1
2 AGREEMENT TO TRANSFER FUNDS
3 FOR 2017 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM
4
5 THIS AGREEMENT is entered into this day of finAl""I 20 'P, , which date is
6 enumerated for purposes of reference only, by and between the COUNTY OF ORANGE, a political
7 subdivision of the State of California, hereinafter referred to as "COUNTY," and
8 Ct-r-t c17-- a municipal corporation, hereinafter referred to as
9 "SUBRECIPIENT."
10 WHEREAS, COUNTY, acting through its Sheriff-Coroner Department, hereinafter referred to
I 1 as SHERIFF, in its capacity as the lead agency for the Operational Area, has applied for, received and
12 accepted the Emergency Management Performance Grant (hereinafter referred to as "the grant") from
13 the California Office of Emergency Services ("CalOES").
14 WHEREAS, the purpose of the grant is to support comprehensive emergency management at
15 the state, tribal and local levels and to encourage the improvement of prevention, protection, mitigation,
16 response and recovery capabilities for all hazards, as set forth in Attachment A hereto (FY2017
17 Emergency Management Performance Grants [EMPG] Notice of Funding Opportunity [NOFO]), which
18 is attached hereto and incorporated herein by reference.
19 NOW,THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
20 1. COUNTY shall transfer to SUBRECIPIENT grant funds, in arrears, as necessary to
21 reimburse SUBRECIPIENT for reasonable and permissible expenditures for the grant purposes. In
22 order to obtain grant funds, SUBRECIPIENT shall comply with the instructions and submit to SHERIFF
23 all required information and documentation, as set forth in Attachment B (EMPG City Financial
24 Management Forms Workbook), which is attached hereto and incorporated herein by reference.
25 2. Throughout their useful life, grant property and equipment shall be used by
26 SUBRECIPIENT only for grant purposes in accordance with Attachment A hereto.
27 3. SUBRECIPIENT shall exercise due care to preserve and safeguard grant property and
28 equipment from damage or destruction and shall provide regular maintenance and such repairs for grant
CFDA: 97.042
Emergency Management Performance Grant
Department of Homeland Security Page l of 4
I property and equipment as are necessary, in order to keep said grant property and equipment
2 continually in good working order.
3 4. If grant property or equipment becomes obsolete, SUBRECIPIENT shall dispose of it
4 only in accordance with the instructions of COUNTY or the agency from which COUNTY received the
5 grant funds.
6 5. SUBRECIPIENT shall submit to the COUNTY grant program reporting documents and
7 information in accordance with requirements set out in the Attachment C (Emergency Management
8 Performance Grant Program: California Supplement to the Federal Program Funding Opportunity
9 Announcement; or, The State Guidance), which is attached hereto and incorporated herein by reference.
10 6. By executing this Agreement, SUBRECIPIENT agrees to comply with and be fully
I bound by this Agreement and all applicable provisions of Attachments A, B, C, and D (Standard
12 Assurances for all CalOES Federal Grant Programs) hereto. SUBRECIPIENT shall notify COUNTY
13 immediately upon discovery that it has not abided or no longer will abide by any applicable provision of
14 this Agreement or Attachments A, B, C,or D hereto.
15 7. SUBRECIPIENT agrees to indemnify, defend and save harmless COUNTY and the
16 agency from which COUNTY received grant funds, and their elected and appointed officials, officers,
17 agents and employees from any and all claims and losses accruing or resulting to any and all contractors,
18 subcontractors, laborers. and any other person, firm or corporation furnishing or supplying work,
19 services, materials or supplies in connection with SUBRECIPIENT's performance of this Agreement,
20 including Attachments A, B, C, and D hereto, and from any and all claims and losses accruing or
21 resulting to any person, firm, or corporation who may be injured or damaged by SUBRECIPIENT in the
22 performance of this Agreement, including Attachments A, B, C, and D hereto.
23 8. No alteration or variation of the terms of this Agreement shall be valid unless made in
24 writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or
25 agreement not incorporated herein shall be binding on any of the parties hereto.
26 9. SUBRECIPIENT may not assign this Agreement in whole or in part without the express
27 written consent of COUNTY.
28
CFDA: 97.042
Emergency Management Performance Grant
Department of Homeland Security Page 2 of 4
1 10. SUBRECIPIENT shall provide to COUNTY all records and information requested by
2 COUNTY for inclusion in quarterly reports and such other reports or records as COUNTY may be
3 required to provide to the agency from which COUNTY received grant funds or other persons or
4 agencies.
5 11. For a period of three years after the final Federal Financial Report hereunder or until all
6 claims related to this Agreement are finally settled, whichever is later, SUBRECIPIENT shall preserve
7 and maintain all documents,papers and records relevant to the work performed or property or equipment
8 acquired in accordance with this Agreement, including Attachments A, B, C, and D hereto. For the
9 same time period, SUBRECIPIENT shall make said documents, papers and records available to
10 COUNTY and the agency from which COUNTY received the grant funds or their duly authorized
I representative(s), for examination, copying, or mechanical reproduction on or off the premises of
12 SUBRECIPIENT,upon request,during usual working hours.
13 12. SUBRECIPIENT and COUNTY shall be subject to examination and audit by the State
14 Auditor General with respect to this Agreement for a period of three years after the final Federal
15 Financial Report hereunder.
16 13. COUNTY may terminate this Agreement and be relieved of the payment of any
17 consideration to SUBRECIPIENT if a) SUBRECIPIENT fails to perform any of the covenants
18 contained in this Agreement, including the applicable terms of Attachments A, B, C, and D hereto, at the
19 time and in the manner herein provided, or b) COUNTY loses funding under the grant. In the event of
20 termination, COUNTY may proceed with the work in any manner deemed proper by COUNTY.
21 14. SUBRECIPIENT and its agents and employees shall act in an independent capacity in
22 the performance of this Agreement, including Attachments A, B, C, and D hereto, and shall not be
23 considered officers, agents or employees of COUNTY or SHERIFF or of the agency from which
24 COUNTY received grant funds.
25 15. By signing this Agreement, SUBRECEIPIENT understands and agrees that:
26 a. Failure to follow grant guidance, including those detailed below, will result in
27 ineligibility for any reimbursement under the FYI EMPG:
28
C F DA: 97.042
Emergency Management Performance Grant
Department of Homeland Security Page 3 of 4
I b. A SUBRECIPIENT representative must attend half of the Orange County Emergency
2 Managers Organization meetings held from July 1, 2017 through June 30, 2018;
3 c. SUBRECIPIENT must maintain National Incident Management System (NIMS)
4 compliance;
5 d. For any personnel whose salary is charged to the grant, that specific individual must
6 meet the training and exercise requirements set forth in the grant guidance; and
7 e. Only those expenditures specifically detailed in the Financial Management Forms
8 Workbook are approved for funding; any changes must be pre-approved by the
9 California Office of Emergency Services.
10 IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange,
I 1 State of California.
12 DATED: , 20✓ COUNTY OF ORANGE, a political subdivision
of the State of California
13
14
By
15 Sheriff- oroner
"COUNTY"
16
APPROVED AS TO FORM
17 COUNTY COUNSEL
18 By &"
Wendy . ' ips, Senior eputy
19
20
21
DATED: S , 20 r'K SUBRECIPIENT
22
23
By
24
25 ATTEST:
26
27 City Clerk
DATED:
28 APPROVED AS TO FORM
CFDA: 97.042
Emergenc•Management Performance Grant 14Ar
Emergency 'HI,..0 i aYGoTES AV
Department of F lomeland Security Page 4 of 4 •I P w fl*'Y lkl"(�r
CITY OF HUNTLNGTON BEACH
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
PROJECT DESCRIPTIONS
Alterations to this document may result in delayed application approval,modification requests,or reimbursement request- CFDA # 97.�4Z
Subreicipients may be asked to revise and/o msubmit any altered Financial Management Forms Wodrbook.
Project NPG Mission Area NPG Core Capabilities Cal OES Goals Project Description Match Description Need Project Milestone&Justifications
Pass-through: City of At the 6 month mark,this project will be
Huntington Beach 50%complete and$5000 funds will be
expended.
Goal 2:Strengthen At the 12 month mark,this project will be
California's ability to plan, To fund overtime that directly o P ]
impact the oversight, The City needs this funding for 100%complete and$10000 funds will be
prepare for,and provide management,implementation, The City will budget general overtime to support Citizen expended.
Project H Response Operational Coordination resources to mitigate the and recordkeeping of all funds for Emergency Services Corps programs and emergency
impacts of disasters, Coordinator Salary
emergencies,crimes,and emergency management preparedness activities.
terrorist events related issues,training,
exercises,and EOC activations,
and ensuring all emergency
plans are up to date.
Goal Strengthen Pass-through: City of The City will budget general The CESA Training and At the 6 month mark,this project will be
California's ability to plan, Huntington Beach funds for Emergency Services Conference is an opportunity to 100%complete and$2000 funds will be
Project H Response Operational Coordination prepare for,and provide Coordinator Salary learn from Emergency Managers expended.
resources to mitigate the 2016 California Emergency from throughout California.
impacts of disasters, Services Association(CESA)
emergencies,crimes and T ninin a r n a a r
Goal 2:Strengthen Pass-through: City of The City will budget general The City needs these uniforms to At the 6 month mark,this project will be
Project H Response Operational Coordination California's ability to plan, Huntington Beach funds for Emergency Services to ensure the safety and 100%complete and$2310 funds will be
prepare for,and provide CERT uniforms. Coordinator Salary appearance of the City's CERT expended.
resources to mitigate the
volunteers-
Goa 2:Strengthen Pass-through: City of The City will budget general The ESC and CERT Program At the 6 month mark,this project will be
California's ability to plan, Huntington Beach funds for Emergency Services Coordinator will learn how other 100%complete and$2000 funds will be
Project H Response Operational Coordination prepare for,and provide Coordinator Salary programs from around nation expended. `
resources to mitigate the 2016 CERT Training and train and coordinate CERT
im acts of disasters ( f
oa Strengthen Pass-through: City of The City will budget general The City needs to 8 upgrade 8 At the 6 month mark,this project will be
California's ability to plan, Huntington Beach funds for Emergency Services grant purchased laptops to be 100%complete and$1000 funds will be
Project H Response Operational Coordination prepare for,and provide Coordinator Salary function on Windows 10. -8, expended.
resources to mitigate the Information Technology 8G RAM upgrade; -8,
impacts of disasters, enhancements for laptops in Solid State Drives
emer encies crimes and P Fnr
oa trengt en Pass-through: City of The City will budget general The city and OA need G191 and At the 6 month mark,this project will be
California's ability to plan, Huntington Beach funds for Emergency Services G775 trainings and this will fill 100%complete and$10000 funds will be
prepare for,and provide Coordinator Salary some of the gap regionally. expended.
Project H Response Operational Coordination resources to mitigate the The City will fund at least three
impacts of disasters, regional G191 and G775 traiing
emergencies,crimes and
Goal Strengthen Pass-through: City of The City will budget general OC RACES uses and monitor HF At the 6 month mark,this project will be
California's ability to plan, Huntington Beach funds for Emergency Services as a back up if repeater system 100%complete and$3000 funds will be
prepare for,and provide wants to add a high frequency Coordinator Salary fails. Currently Huntington Beach expended.
Project O Response Operational Coordination resources to mitigate the
9 (HF)base unit and antenna to RACES does not have this
impacts of disasters, the Volunteer Management capability.
emergencies,crimes and
FMFW v1.16-2016
Project NPG Mission Area NPG Core Capabilities Cal OES Goals Project Description Match Description Need Project Milestone&Justifications
At the 6 month mark,this project will be
_%complete and$_funds will be
expended.
At the 12 month mark,this project will be
Project ect _%complete and$_funds will be
expended.
At the month mark,this project will be
complete and$_funds will be
At the 6 month mark,this project will be
_%complete and$_funds will be
expended.
At the 12 month mark,this project will be
Project Q _%complete and$ funds will be
expended.
At the_month mark,this project will be
%complete and$_funds will be
At the 6 month mark,this project will be
_%complete and$_funds will be
expended.
At the 12 month mark,this project will be
Project R _%complete and$_funds will be
expended.
At the_month mark,this project will be
%complete and$_funds will be
At the 6 month mark,this project will be
_%complete and$ funds will be
expended.
At the 12 month mark,this project will be
Project S _%complete and$ funds will be
expended.
At the month mark,this project will be
complete and$_funds will be
At the 6 month mark,this project will be
_%complete and$_funds will be
expended.
At the 12 month mark,this project will be
Project T _%complete and$_funds will be
expended.
At the month mark,this project will be
complete and$_funds will be
FMFW v1.16-2016
e
CaIOES
GOVERNOR ' S OFFICE
OF EMERGENCY SERVICES
Fiscal Year 2017
EMERGENCY MANAGEMENT
PERFORMANCE GRANT (EMPG) PROGRAM
California Supplement to the Federal Program Notice of
Funding Opportunity; or, The State Guidance
Director's Message
In California,the Emergency Management Performance Grant(EMPG)Program has been
leveraged by state, local, and tribal emergency management agencies to acquire the resources
necessary to ensure a well-organized and rapid response to disasters. As a result,the state, local,
and tribal capabilities established utilizing EMPG Program funds have built the advanced
capacities that are necessary for ensuring our collective optimum readiness in the complex all
hazards environment of California.
The EMPG Program provides direct fiduciary support for California's Standardized Emergency
Management System (SEMS)and the series of activities which continue to maintain its tiered
system of emergency management support. In fact, California's SEMS and its Incident
Command System ultimately became the cornerstone for the National Incident Management
System; this is a prime example of how California's experience and leadership in emergency
management activities ultimately benefit the entire Nation.
As California's emergency management professionals, it's up to us to stay integral in our
emergency management role if we are to remain robust,resilient, and forward-leaning to combat
the ever-expanding list of hazards and threats that we face.
To that end, I announce the release of the California Governor's Office of Emergency Services
(Cal OES)Fiscal Year 2017 Emergency Management Performance Grant (EMPG)Program—
California Supplement to the Federal Program Notice of Funding Opportunity; or The State
Guidance.
Sincerely,
Lj QL(6t___1
MARK S. GHILARDUCCI
Director
Contents
FederalProgram Guidance .............................................................................................................. 1
InformationBulletins...................................................................................................................... 1
Grants Management Memorandums............................................................................................... 1
Purpose of this Subaward&Guidance........................................................................................... 1
EligibleSubaward Recipients......................................................................................................... 1
Subrecipient/Pass-Through Entities............................................................................................... 1
PerformancePeriod.........................................................................................................................2
MatchRequirements.......................................................................................................................2
Allocationsand Methodology.........................................................................................................2
ExcessFunds...................................................................................................................................2
IndirectCosts..................................................................................................................................2
Conflictof Interest.......................................................................................................................... 3
SubawardTimelines/Key Dates......................................................................................................4
What's New?................................................................................................................................... 5
EMPGProgram Emphasis.............................................................................................................. 6
ApplicantResponsibilities.............................................................................................................. 7
ApplicationDocuments .................................................................................................................. 8
Optional Application Components ................................................................................................. 8
Governing Body Resolution&Meeting Minutes........................................................................... 8
Addendum to Governing Body Resolution..................................................................................... 8
Official Written Correspondence.................................................................................................... 8
GrantAssurances............................................................................................................................9
Subrecipient Grants Management Assessment...............................................................................9
National Incident Management System Adoption.......................................................................... 9
ApplicationDue Date ................................................................................................................... 10
ApplicationSubmittal................................................................................................................... 10
EMPGProgram Specialists........................................................................................................... 10
MailingAddress............................................................................................................................ 10
Approvalof Application............................................................................................................... 10
Applicable Laws&Regulations................................................................................................... 11
Environmental Planning and Historic Preservation Compliance.................................................. 11
Controlled Equipment Rescission................................................................................................. 12
ExtensionRequests....................................................................................................................... 13
CriticalEmergency Supplies......................................................................................................... 13
Federally Mandated Objective Information.................................................................................. 13
Validating Capabilities Objective: Multi-Year Training and Exercise Plan ................................ 14
Validating Capabilities Objective: Exercise................................................................................. 14
Validating Capabilities Objective: Training................................................................................. 15
TrainingFeedback Number.......................................................................................................... 18
Subcontracts.................................................................................................................................. 18
Noncompetitive (Sole Source) Procurement................................................................................ 18
Systemfor Award Management................................................................................................... 19
Maintenance& Sustainment......................................................................................................... 19
UnallowableCosts........................................................................................................................ 19
Supplanting................................................................................................................................... 19
Accessibility of Records
Public Records Act Notification...................................................................................................20
Reimbursement of Eligible Costs.................................................................................................20
SubawardModifications...............................................................................................................21
PerformanceReports.....................................................................................................................21
Closeout........................................................................................................................................22
RecordsRetention.........................................................................................................................22
EquipmentDisposition..................................................................................................................22
FinalSubaward Report .................................................................................................................22
AuditRequirements......................................................................................................................22
Monitoring Subaward Performance..............................................................................................22
SUBAWARD-RELATED DOCUM ENTS:1
• FINANCIAL MANAGEMENT FORMS WORKBOOK(FMFW)—(REQUIRED)
• GOVERNING BODY RESOLUTION (GBR), MEETING MINUTES, &ADDENDUM TO
GBR—(REQUIRED)
• GRANT ASSURANCES—(REQUIRED)
• SUBRECIPIENT GRANTS MANAGEMENT ASSESSMENT—(REQUIRED)
• FY 2017 EMPG PROGRAM APPLICATION CHECKLIST—(REQUIRED)
• INDIRECT COST RATE NEGOTIATION AGREEMENT—(REQUIRED IF APPLICABLE)
• EXCESS FUNDS STATEMENT FORM—(OPTIONAL)
• HOW TO SUBMIT AN EMPG MODIFICATION REQUEST—(INSTRUCTIONAL)
• HOW TO SUBMIT AN EMPG REIMBURSEMENT REQUEST—(INSTRUCTIONAL)
'All documents are located on the Cal OES Website at:
http://www.caloes.ca.gov/GrantsManagementSite/Paces/Emergency-Management-Performance-Grant aspx
Federal The Department of Homeland Security (DHS)Notice of Funding Opportunity (NOFO)
Program Fiscal Year(FY)2017 Emergency Management Performance Grant Program (EMPG)
Guidance was published on June 2, 2017.2
Information DHS issues Information Bulletins(IBs)that provide updates, clarification, and new
Bulletins requirements throughout the life of the grant.3
Grants The California Governor's Office of Emergency Services(Cal OES)periodically issues
Management Grants Management Memorandums (GMMs). GMMs that provide additional
Memorandums information regarding EMPG funds are located on the Cal OES website.4
Purpose of this The purpose of the EMPG Program is to provide federal funds to states to assist state, local,
Subaward & and tribal governments in preparing for all hazards. Funds provided under the EMPG must
Guidance be used to support activities that effectively contribute to the Operational Area's (OA)
capability to prevent, prepare for, mitigate against, respond to, and recover from
emergencies and disasters, whether natural or man-made. This California Supplement to the
Federal Program Notice of Funding Opportunity; or, The State Guidance will provide the
OAs with guidance and forms to apply for, perform, and closeout the FY 2017 EMPG
subaward. This supplemental guide specifies the performance period, objectives, eligible
activities, and other subaward-related information and requirements. This document is to
supplement the DHS NOFO FY 2017 EMPG.
Eligible The eligible Subaward Subrecipients are the 58 county OAs. The Tribal Guidance will be
Subaward issued under separate cover.
Recipients (Subrecipients may contract with any other public or private organizations to perform
eligible activities on approved projects.)
Note: Cal OES is the `Recipient';the county is the `Subrecipient'; and the county's pass-
through entities are `Subrecipients.' For a definition of the term Subrecipient, refer to
2 Code of Federal Regulations (C.F.R.) § 200.93.
Subrecipient/ Any time grant funds are given to a Subrecipient, such as a political subdivision (city,town,
Pass-Through or special district) or federally-recognized tribe, the county/pass-through entity must ensure
Entities that the terms and conditions of this subaward are included as part of the Grant Subaward
with the Subrecipient.
2 The DHS NOFO FY 2017 EMPG may be viewed and downloaded at:https://www.fema.gov/media-library-data/1496322792825-
14el83f5162625ef399f7b09aa0630ff/FY 2017 EMPG NOFO Final508pdf
3 IBs may be obtained at:http://www.fema.gov/ r�ants/grant-programs-directorate-information-bulletins.
4 GMMs are located at http://www.caloes.ca.gov/cal-oes-divisions/grants-management/homeland-security-prop-lb- rg ant programs/memos
1
Performance The performance period for FY 2017 EMPG is July 1, 2017,through June 30, 2018. All
Period subaward activities must be completed and all grant funds expended within this
period.Pending receipt of all valid application materials, Subrecipients may request
retroactive reimbursement of Financial Management Forms Workbook(FMFW)approved
activities and budgeted items to the start of the performance period listed above; with the
exception of Equipment, Critical Emergency Supplies, and noncompetitive procurements
(exceeding$150,000). Equipment, Critical Emergency Supplies, and noncompetitive
procurements (exceeding$150,000) shall occur only after the OA is in award and any
applicable federal, as well as state,restrictions associated with these items have been fully
met.
Match The FY 2017 EMPG requires a dollar-for-dollar match. This can be cash or third party in-
Requirements kind contributions. Refer to 2 C.F.R. § 200.29 and § 200.306 for specific details. Utilizing
the FMFW's Match tab, Subrecipients will indicate the appropriate Solution Area and
Solution Area Subcategory that accurately represents the specific activity(ies)and cost(s)
used to meet the match requirement for each FMFW project under the FY 2017 EMPG
subaward.
Allocations and California will subaward a total of$15,481,623 to OAs.The local allocations were
Methodology determined using a$125,000 base award,with remaining funds distributed using per capita
figures in the Department of Finance's yearly report called:
E-1: City/County Population Estimates with Annual Percent Changes
Excess Funds While developing an application, if it is determined that all allocated funds cannot be
expended by the end of the performance period and the need to return funds to Cal OES
exists,then it will be necessary to complete the Excess Funds Statement Form.6 These
funds may then be reallocated to other OAs who have identified one-time projects they
would like to undertake; if funding is available and the project is selected for funding by
Cal OES.
Indirect Costs Indirect costs are allowable under the FY 2017 EMPG subaward. If indirect costs
will be claimed under the FY 2017 EMPG,they must be identified in the FMFW
during the time of application, as part of the Applicant's FY 2017 EMPG Initial
Application submission to Cal OES. Subrecipients who claim indirect costs may do
so provided they use one of the following two methods:
1. Subrecipients with an indirect cost rate approved by their cognizant federal
agency may claim indirect costs based on the established rate. Indirect costs
claimed must be calculated using the base approved in the indirect cost
Negotiation Agreement.A copy of the approved Negotiation Agreement is
required at the time of application.
2. Subrecipients who have never received a negotiated indirect cost rate and
receive less than$35 million in direct federal funding per year may claim the
10%de minimis indirect cost rate based on Modified Total Direct Costs as
described in 2 C.F.R. § 200.68 and Subpart E.
5 This report can be accessed at the following website:http://www.dofca.jzov/ForecastingJDemographics/Estimates/E-I/
6 This form is located at:http://www.caloes.ca.gov/GrantsManagementSite/Pages/Emergency Management-Performance-Grant aspx,under
EMPG Forms.
2
Indirect Costs Indirect costs are in addition to the Management and Administration(M&A)
(Continued) allowance, and must be included in the subaward application as a"Project" and
reflected in the FMFW on the Indirect Cost Category Ledger if being claimed under
the subaward.
Indirect costs may be claimed no more than once annually and only at the end of the
fiscal year. Costs must be broken out by fiscal year if there is a rate change. Indirect
costs must be based on claimed direct costs, less any excluded and/or distorting
expenditures.
Conflict of Subrecipients must disclose to their Cal OES EMPG Program Specialist, in writing,
Interest any real or potential conflict of interest as defined by the federal; state; local; or tribal
statutes, or regulations, or their own existing policies, which may arise during the
administration of the EMPG subaward within five days of learning of the conflict of
interest.
3
Subaward July 1, 2017 Subrecipient Performance Period Begins
Timelines/Key August 7, 8, 10, 14, 15, 18, 2017 EMPG Application Workshops
Dates September 30,2017 Multi Year-Training& Exercise Plans due to
be submitted
October 2,2017 The OA's completed/vetted applications
should be received by Cal OES EMPG
Program Specialist by this date or as soon as
possible
October 16,2017 Submission of the FY 2017 EMPG Performance
Report for the Period of 7/1/2017—9/30/2017
December 31,2017 All FY 2017 EMPG Subrecipient Environmental
and Historic Preservation (EHP) -related
documents must be received by your Cal OES
EMPG Program Specialist
January 16, 2018 Performance Report due to your Cal OES EMPG
Program Specialist for 7/1/2017— 12/31/2017
April 16, 2018 Performance Report due to your Cal OES EMPG
Program Specialist for 7/1/2017—3/31/2018
June 30,2018 Subrecipient performance period ends.All
subaward activities must be completed and all
rant funds expended
July 16,2018 Final Performance Report due to EMPG
Program Specialist for 7/1/2017—6/30/2018
July 16,2018 Final Reimbursement Request due to your
Cal OES EMPG Program Specialist
September 30, 2018 Cal OES's Federal Performance Period Ends
4
What's New? • The EMPG-specific FMFW has been revised and updated for the FY 2017 EMPG.
o How activities and costs used to satisfy the EMPG Match Requirement are
identified on the FMFW's Match tab
■ Subrecipients will now select the Solution Area and Solution Area Subcategory
that are reflective of the activities and costs expended by the Subrecipient that
are being used to satisfy the EMPG dollar-for-dollar match requirement.
o Reporting on the Percent of Federal Funds Used in the Purchase of EMPG
equipment
■ On the FMFW's Equipment tab, Subrecipients will report the percentage of
federal participation on the project costs for the federal award under which the
project was acquired as described in 2 C.F.R. § 200.313(d)(1)—Equipment
(Management Requirements).
o A Hold Trigger entitled "Sole Source Procurement(Over 150k)Hold"has been
established and is to be utilized whenever a project involving a noncompetitive
procurement exceeding $150,000 is identified in the FMFW.
• Meeting Minutes must be provided,along with the Governing Body Resolution
(GBR), as a requisite component of the EMPG Application Documents, as well as
whenever a GBR is required to be submitted to Cal OES under the EMPG Program.
• The Subrecipient Grants Management Assessment form is a required component
of the FY 2017 EMPG Application process. This questionnaire must be completed
and provided with your application and will be utilized by Cal OES to satisfy the
assessment requirement associated with each Subrecipient of pass-through funding as
described in 2 C.F.R. § 200.331.
• Restrictions on the use of EMPG grant funds for specified controlled equipment
have been rescinded by DHS; Federal Emergency Management Agency
(FEMA)/Grant Programs Directorate (GPD)have provided updated guidance to
subrecipients of FEMA preparedness grants, including the EMPG Program, regarding
the implementation of"Executive Order(EO) 13809 Restoring State, Tribal, and Local
Law Enforcement's Access to Life-Saving Equipment and Resources," signed on
August 28, 2017. Refer to IB 426.'
• The acquisition of Critical Emergency Supplies,at any dollar amount, requires
prior written approval from Cal OES.
• There is now an alternative set of training courses that EMPG Program-funded
personnel can elect to complete in order to satisfy the EMPG Training
requirement; the nine courses (including prerequisites), as well as further details are
listed on pages 15-18 of this Guidance.
• Clarifying guidance on FY 2017 EMPG Program Training Requirements for
EMPG Program-funded personnel—FEMA GPD now requires that specific versions
of the Professional Development Series (PDS)or Basic Academy Prerequisites and
Courses be completed in order to fulfill the training component required under the
EMPG Program. Refer to IB 424.8 See pages 15-18 of this Guidance.
'FEMA IB No.426:httns://www.fema.2ov/media-library-data/1509981634187-
ff65775f330fb464d5711c3278f80194/ControlledEquipmentRecission_IB Final_11-1-17 ndf
8 FEMA IB No.424:httns://www.fema.gov/media-library-data/1508435948993-lf7f9d225el320254dl281belaa9l5fd/FY17 HSGP pdf
5
EMPG The FY 2017 EMPG Program will focus on the building, sustainment, and delivery of all
Program hazards emergency management capabilities in the following areas:
Emphasis • Planning
• Organization
• Equipment Acquisitions
• Training
• Exercises
• Emergency Operations Center(EOC)Construction and Renovation
• Maintenance and Sustainment
The FY 2017 EMPG Program plays an important role in the implementation of the
National Preparedness System (NPS)9 by supporting the development and sustainment of
core capabilities. Core capabilities are essential for the execution of each of the five mission
areas outlined in the National Preparedness Goal (NPG).
The development and sustainment of these core capabilities are not exclusive to any single
level of government or organization, but rather require the combined effort of the whole
community. The FY 2017 EMPG Program supports all core capabilities in the Prevention,
Protection, Mitigation, Response, and Recovery mission areas based on allowable costs.
In employing a systems-based approach to National Preparedness, no single component part
can be the sole responsibility of one individual or group. For that reason, ensuring
collaboration and coordination exists throughout California's tiered system of(state, local,
and tribal)emergency management support is absolutely paramount.
In California, an enormous number of local, state, tribal, federal, and private agencies are
involved in disaster response and recovery. It is essential to maintain seamless coordination
with these agencies prior to and during disasters. Certainly, many of the core coordinating
structures and working groups have already been formed. However, progress can still be
made in how these coordinating structures and working groups operate.
Achieving full integration and interconnectedness between the public and private sector,
among different levels of government, among multiple jurisdictions, and among
departments and agencies within a single jurisdiction requires robust collaboration. Great
progress has been made in interagency collaboration and coordination efforts to date, but
further progress can, and must, be made to support the NPG.
To that end, in conjunction with FEMA's priorities,the State has identified Interagency
Coordination as an area of suggested emphasis and priority to be considered by EMPG
Subrecipients whenever they are leveraging FY 2017 EMPG Program funds provided by
Cal OES to establish, maintain, and enhance the capabilities that are necessary to ensure
that the broad network of state, local, and tribal emergency management agencies in
California are well-organized and optimally ready for a unified and rapid response to the
full spectrum of all hazards and threats faced in California.
9 The NPS can be located at:http://www.fema.Qov/national-preparedness-s stem
6
Applicant The Applicants' responsibilities are to:
Responsibilities
1. Submit a finalized FMFW application, both electronic copy and hard copy,to their
Cal OES EMPG Program Specialist as soon as possible, but preferably no later than
October 2,2017; along with all other required application components.
Note: An electronic copy of the proposed FMFW and other required application
documents shall be submitted for Cal OES EMPG Program Specialist review and
vetting prior to submission of signed hard copy original. The electronic copy of the
FMFW and other required application documents should be submitted for Cal OES
review and vetting as soon as possible, but preferably no later than, fourteen (14)
calendar days before the finalized Application due date. Submission of the hardcopy
originals is only to occur after the Cal OES EMPG Program Specialist's electronic copy
review has concluded and the Subrecipient is directed to submit the signed hardcopy.
2. Comply with all terms and conditions contained in the Grant Assurances submitted with
the FY 2017 EMPG application. In addition, if the OA subawards funds to other
entities, their Grant Subaward contracts must also include these same terms and
conditions; along with any local requirements.
3. Prepare and submit timely Performance Reports for the duration of the performance
period.
4. Maintain financial management systems that support subaward activities in accordance
with 2 C.F.R. § 200.302.
5. Submit revision requests to Cal OES and obtain approval Elju to incurring any
associated expenditures; if changes are required after the initial subaward. Further
details are included in this guidance under"Subaward Modifications."
6. Deobligate unexpended subaward funds to Cal OES after all work has been completed
and reimbursements have been disbursed.
7. Maintain property, programmatic, and financial records in accordance with the 2 C.F.R.
Part 200 record retention requirements.
8. Comply with the audit requirements in 2 C.F.R. Part 200 Subpart F—Audit
Requirements.
9. Complete all EMPG requirements associated with federal and state objectives; including
but not limited to, staff training and exercises.
10. Submit all subaward-related paperwork including: Performance Reports,
Reimbursement Requests, Modification Requests, and Amendments by the identified
due dates.
11. Comply with 2 C.F.R. Part 200 and FEMA GPD Policies.
12.Comply with both the DHS NOFO FY 2017 EMPG and the related FY 2017 Cal OES
State Supplement to the NOFO, as applicable.
7
Application The application must include the following components:10
Documents 1. FMFW
2. GBR&Meeting Minutes
3. Addendum to GBR
4. Grant Assurances
5. Subrecipient Grants Management Assessment
6. FY 2017 EMPG Application Checklist
7. Indirect Cost Rate Negotiation Agreement; if applicable*
*If claiming indirect costs at a federally-approved rate, then you must provide a copy of
your approved indirect cost rate Negotiation Agreement— see Indirect Costs on pages 2-3
of this Guidance.
Optional Excess Funds Statement Form- While developing an application, any excess funds
Application should be identified and returned to Cal OES so that the funds may be reallocated to
Components other OAs. In this case, it will be necessary to complete and submit the Excess Funds
Statement Form to your Cal OES EMPG Program Specialist by the application due
date.
Governing The GBR appoints agents authorized to execute any actions necessary under this subaward.
Body Universal GBRs can be used for up to three years as long as the majority of the original
Resolution & approving Board members (three out of five) are still currently on the Board. If past GBRs
Meeting are going to be utilized for present applications, then the OA will still need to submit a copy
with their application. Universal GBRs are strongly encouraged; this refers to a GBR that
Minutes does not identify a specific subaward amount, specific subaward years, and does not
identify a specific grant program by name. In addition, under Cal OES's FY 2017 EMPG
Program, Meeting Minutes must be submitted along with the GBR whenever a GBR is
required to be provided by the OA.
Addendum to For each person or position appointed by the governing body, submit the following
Governing information to Cal OES, along with the GBR, on the Applicant's letterhead:
Body • Name • Title
Resolution • Jurisdiction • E-Mail Address
• Street Address, City, &Zip Code • Phone and Fax Number(s)
Note: Changes identifying the Authorized Agent can be made if and when necessary. If the
GBR identifies the Authorized Agent by name, a new GBR, Meeting Minutes, and
corresponding Addendum to the GBR are needed when any changes are made. If the GBR
identified the Authorized Agents by position and/or title, changes can be made by only
submitting a new Addendum to the GBR. Cal OES will not accept signatures of an
Authorized Agent's designee.
Official Written For the EMPG Program, all official written correspondence from Cal OES will be mailed to
Correspondence the payment mailing address, identified on the Grant Subaward Face Sheet, and addressed
to the Authorized Agent who signed the Grant Subaward Face Sheet.
10 Application documents are located on the Cal OES Website on the EMPG page at:
http://www.caloes.ca.gov/GrantsManagementSite/Pages/Emergenc -Management-Performance-Grant ash.
8
Grant The Grant Assurances contain the requirements to which the OA will be held accountable.
Assurances OAs are required to file new Grant Assurances with the FY 2017 EMPG application.
Failure to comply with any of the Grant Assurances may result in suspension,
termination,or reduction of grant funds.
The State may suspend or terminate subaward funding, in whole or in part, or other
measures may be imposed for any of the following reasons:
• Failing to expend funds in a timely manner consistent with the subaward milestones,
guidance, and assurances
• Failing to comply with the requirements or statutory objectives of federal or state law
• Failing to make satisfactory progress toward the goals or objectives set forth in the
subaward application
• Failing to follow subaward requirements or special conditions
• Proposing or implementing substantial plan changes to the extent that, if originally
submitted,the application would not have been selected for funding
• Failing to submit required reports on time
• Providing false certification in the application or other report or document
• Failing to adequately manage, monitor, or direct the subaward funding activities of their
Subrecipients
• Failing to submit a Reimbursement Request
Before taking action, the State will provide the Subrecipient reasonable notice of
intent to impose corrective measures and will make every effort to resolve the problem
informally.
Subrecipient Per 2 CFR § 200.331, Cal OES is required to evaluate the risk of noncompliance with
Grants federal statutes, regulations, and grant terms and conditions posed by each Subrecipient of
Management pass-through funding. The Subrecipient Grants Management Assessment form contains
Assessment questions related to your organization's experience in the management of federal grant
awards. It is used to determine and provide an appropriate level of technical assistance,
training, and grant oversight to Subrecipients during the subaward. The questionnaire must
be completed and returned with your grant application. A PDF fellable version of the form
may be found at: http://www.caloes.ca.jzov/GrantsManagementSite/Pages/Emergency-
Management-Performance-Grant.aspx.
National In accordance with the Homeland Security Presidential Directive-5, Management of
Incident Domestic Incidents, the adoption and implementation of the National Incident Management
Management System (NIMS) is a requirement to receive federal preparedness assistance, through grants,
System contracts, and other activities. This certifies that the OA will complete the NIMS
Adoption Implementation Tool, is working on their metrics, and has adopted and implemented NIMS.
For further details and/or assistance regarding NIMS-related matters contact:
Cindy Shipley at cynthia.shipley(&caloes.ca.gov, (916) 845-8753
Clifford Viernes at clifford.viemes(iDcaloes.ca.g-ov, (916) 845-8779
9
Application Due The application should be received by Cal OES by no later than 5:00pm on October 2,
Date 2017.*
*The completed application packet should be submitted as soon as possible after being
vetted by your Cal OES EMPG Program Specialist; however, preferably by no later than
October 2,2017.
Application The completed original hardcopy of the FMFW and all other application components must
Submittal be mailed with original signatures, with enough time to be received by Cal OES's Grants
Management Section by the application due date. Signatures should be in ink. OAs will also
submit an electronic copy of the completed FMFW to their Cal OES EMPG Program
Specialist. All application materials should be submitted as soon as possible; however, they
should be received by Cal OES Grants Management Section by no later than October 2,
2017, at 5:00pm.
Note: To streamline the process, electronically submit the completed FMFW to your
Cal OES EMPG Program Specialist prior to submitting a signed hardcopy, in order to
identify any corrections or adjustments that may need to be addressed. The electronic copy
of the FMFW should be submitted for Cal OES review by no later than fourteen (14)
calendar days before the finalized Application due date. Work closely with your Cal OES
EMPG Program Specialistll to ensure that all application documents are complete and
accurate. Further, Cal OES EMPG Program Specialists (Grants Management Staff) are
available to assist in any EMPG-related matters. If the application is received with errors
or is incomplete, this will cause a delay in receiving your Notification of Application
Approval letter in a timely manner. Subrecipients must receive the Notification of
Application Approval letter prior to drawing down any grant funds.
EMPG Grants Management Staff:
Program Inland Region—Patti Delaney: patti.delaneygealoes.ca. ov, (916) 845-8469
Specialists Coastal Region—Cheryl McCorkle: Cheryl.mccorklegcaloes.ca.gov, (916) 845-8415
Southern Region—Christine So: christine.so@caloes.ca. ov, (916) 845-8383
Tribal Nations—James Griffith: lames. rig iffithgcaloes.ca.gov, (916) 845-8289
Mailing Cal OES
Address Attn: EMPG Program Specialist's Name(First and Last)
Emergency Management Grants Unit(EMGU)
3650 Schriever Avenue
Mather, CA 95655
Approval of Cal OES will notify the OA, in writing, of the approved application, subaward amount, and
Application performance period. Subrecipient reimbursements will not be made until all required
application components have been approved by the State.
" EMGU contact information: http://www.caloes.ca.gov/GrantsManagementSite/Pages/Emergency-Management-Performance Grant aspx
under the heading of Regional Assignments.
10
Applicable OAs must ensure that local and internal departments are aware of the following laws,
Laws & regulations, and guidance documents that apply to this subaward:
Regulations , Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended
• 2 C.F.R. Part 200
• California Emergency Services Act, Chapter 7 of Division 1 of Title 2 of the
Government Code—which provides the legal basis for Emergency Management
activities in California
• Government Code Section 8607 describes the Standardized Emergency Management
System
• California Supplement to the Federal Program Notice of Funding Opportunity; or, The
State Guidance, provided by Cal OES
• The Department of Homeland Security (DHS)Notice of Funding Opportunity(NOFO)
Fiscal Year (FY) 2017 Emergency Management Performance Grant Program (EMPG)
• FEMA GPD Policies
Environmental FEMA is legally required to consider the potential impacts of all grant-funded projects on
Planning and environmental resources and historic properties. For the EMPG Program and other
Historic preparedness grant programs, this is accomplished through FEMA's EHP review.
Preservation Subrecipients proposing projects or activities(including, but not limited to training, exercises,
installation projects, etc.) with the potential to impact natural or biological resources, or
Compliance historic properties, or involving installation, or that involve EOC construction and renovation
cannot be initiated until FEMA has completed the required EHP compliance review.
Subrecipients that implement projects prior to receiving EHP approval from FEMA risk de-
obligation of funds. Subrecipients 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 the GPD, and to include their FCC EHP materials
with their submission to GPD.
EMPG Program projects that involve the installation of equipment; ground-disturbing
activities; new construction, including communication towers; or modification/renovation of
existing buildings or structures must undergo a FEMA EHP review.
FEMA may require a Subrecipient to provide a confidential California Historical Resources
Information System (CHRIS) report in addition to the EHP Screening Form. Determination
on the necessity of a CHRIS report is based upon information disclosed on the EHP
Screening Form. Your Cal OES EMPG Program Specialist will provide you with additional
instructions should this report be required.
Furthermore, for those proposed construction or renovation projects that are part of larger
projects funded from a non-FEMA source(such as an EOC that is part of a larger proposed
public safety complex), a FEMA EHP review must be completed before the larger project is
initiated.
11
Environmental For these types of projects, Subrecipients must complete the FEMA EHP Screening Form
Planning and (OMB Number 1660-0115/FEMA Form 024-0-1)12 and submit it, with all supporting
Historic documentation,to Cal OES.
Preservation Note: Subrecipients should submit the FEMA EHP Screening Form for each applicable
Compliance project as soon as possible. However,to ensure that ample time exists to allow for the FEMA
(Continued) EHP review and approval process,as well as the subsequent execution of the subaward-
funded project, all Subrecipient EHP-related documents must be received by your Cal OES
EMPG Program Specialist by no later than December 31,2017. Exceptions to this due date
will be at the discretion of Cal OES, based on exceptional circumstances and/or compelling
justification.
Refer to FEMA GPD EHP Policy Guidance FP-108-023-1 (located
at: https://www.fema.gov/media-library/assets/documents/85376)and IB 404(located
at: http://www.fema.gov/grants/ rg ant-programs-directorate-information-bulletins) for further
details on EHP requirements.The EHP Screening Form can be downloaded at:
http://www.caloes.ca.gov/GrantsManagementSite/Pages/Emergency-Mana ement-
Performance-Grant.aspx.
Forward completed EHP documents electronically to the appropriate Cal OES EMPG
Program Specialist.
The following activities would not require the submission of the FEMA EHP Screening
Form: planning and development of policies or processes; management and administrative or
personnel actions; classroom-based training; tabletop and functional exercises;and
acquisition of mobile and portable equipment(not involving installation).
Projects initiated without proper EHP review will not be funded. Projects that were initiated
or completed before an EHP review was concluded,using EMPG Program funds, will be
deobligated. To avoid unnecessary delays in starting a project, Subrecipients are encouraged
to pay close attention to the reporting requirements for an EHP review.
Controlled As outlined in IB 426, "Guidance to Recipients and Subrecipients of FEMA Preparedness
Equipment Grants Regarding Implementation of Executive Order 13809 Restoring State, Tribal, and
Rescission Local Law Enforcement's Access to Life-Saving Equipment and Resources,"13 DHS/FEMA
has rescinded IB 407, "Use of Grant Funds for Controlled Equipment"and IB 407a, "Use of
Grant Funds for Controlled Equipment: Update for Fiscal Year 2017."As a result, certain
restrictions placed on the use of grant funds to purchase specified Controlled Equipment, as
identified in these IBs, have been removed. In accordance with IB 426, all EMPG-eligible
items that were on the Controlled Equipment List, in IBs 407 and 407a, are now allowable
provided that the acquisition of these items is consistent with the terms of the subaward,
including the DHS NOFO FY 2017 EMPG.
For additional details,consult your Cal OES EMPG Program Specialist and refer to FEMA
IB No. 426: https://www.fema.gov/media-library-data/1509981634187-
ff65775f330fb464d5711c3278f80194/ControlledEquipmentRecission IB Final 11-1-17.pdf
12 The FEMA EHP Screening Form can be located at:
http://www.caloes.ca.gov/GrantsManagementSite/Pages/Emergency-Management-Performance-Grant aspxx.
13 FEMA IB No.426:hUs://www.fema.gov/media-library-data/1509981634187-
ff65775f330fb464d5711c3278f80194/ControlledEquipmentRecission 1B Final 11-1-17 pdf
12
Extension Extensions to the initial performance period identified in the subaward will only be
Requests considered through formal,written requests to your EMPG Program Specialist. Upon receipt
of extension requests, Cal OES will: (1) verify compliance with performance reporting
requirements by confirming that the Subrecipient has submitted all necessary performance
reports; (2)confirm that the Subrecipient has provided sufficient justification for the request;
and(3) if applicable, confirm that the Subrecipient has demonstrated sufficient progress in
past situations where an extension was authorized by Cal OES.
To be considered, extension requests must be received no later than 60 days prior to the end
of the Subrecipient's performance period, and must contain specific and compelling
justifications as to why an extension is required.
Additionally,performance period extension requests should be limited to one month in
duration. Only under extenuating and extremely compelling circumstances will two-month
extensions be considered. Extension requests beyond two months will not be considered.
Critical Special rules apply to Critical Emergency Supplies. The acquisition of Critical Emergency
Emergency Supplies at any dollar amount requires prior written approval from Cal OES. Critical
Supplies Emergency Supplies includes items such as Shelf Stable Food Products; Basic Medical
Supplies; or Emergency Water Rations. In addition,the following Food and Water items from
the FEMA Authorized Equipment List's Chemical, Biological, Radiological,Nuclear, and
Explosives Logistical Support Equipment category require prior written approval: Rations,
Initial Deployment; Rations, Unit-Feeding; Water, Potable, Packaged.
To request an approval for the acquisition of Logistical Support Equipment-related Food&
Water and/or Critical Emergency Supplies,the Subrecipient must submit the following to
Cal OES, on the Subrecipient's letterhead and with an Authorized Agent's signature:
1. An effective Distribution Strategy
2. The Sustainment Costs for such an effort
3. A viable Inventory Management Plan (i.e. logistics expertise to avoid situations where
funds are wasted because supplies are rendered ineffective due to a lack of planning)
The Subrecipient must wait for an approval letter from Cal OES prior to the procurement of
the restricted items. If the planned grant expenditure is $100,000 or more, FEMA's approval
of a five-year, viable inventory management plan is required. If the expenditures total less
than$100,000 then Cal OES may approve the plan.
Federally Validating Capabilities,Priority Objective,and Performance Measures14
Mandated To address the EMPG priorities, an objective has been identified and given a set of
Objective performance measures and associated reporting requirements to determine how effective
Information Subrecipients are in utilizing EMPG Program funding to prepare for all hazards, and advance a
whole community approach. With these measures, Subrecipients must evaluate their progress
toward achieving the stated objectives in the quarterly EMPG Performance Report and in
compliance with all reporting requirements.
14 The Federally Mandated Objectives can be located in The DHS NOFO FY 2017 EMPG,Appendix A-FY 2017 EMPG Program Priorities,
pages 27-32 at:https://www.fema.gov/media-library-data/1496322792825-
14e183f5162625ef399f1b09aa0630ff/FY 2017 EMPG NOFO Final508 pdf
13
Validating Subrecipient Requirements:
Capabilities
Objective: • All Subrecipients are required to develop a Multi-Year Training and Exercise Plan
Multi-Year (TEP)that incorporates linkages to the NPG core capabilities and update it annually.
• The TEP shall encompass the period of January 1, 2018—December 31, 2019.
Training and • TEPs must be submitted to Cal OES, by email, by no later than September 30,2017.
Exercise Plan Submit TEPs to both of the following at Cal OES:
o Your EMPG Program Specialist(Grants Management Staff).
o TEP Point of Contact(POC)—Elaine Viray—exercise ,caloes.ca.gov.
Measurement Method:
• Submission to Cal OES of an updated TEP.
Reporting:
• Subrecipients must report in the EMPG Performance Report their compliance with
submitting an updated TEP to Cal OES.
Subrecipients are required to share with Cal OES a TEP that includes an exercise plan and
schedule, and a plan for training personnel. Information related to TEPs can be obtained
by consulting Cal OES's Exercise Division POC.
Validating 1. All EMPG Program-funded personnel shall participate in no less than three exercises
Capabilities in a 12-month period. This 12-month period shall be the subaward performance period
Objective: of July 1, 2017—June 30, 2018, regardless of time extensions. EMPG Program-funded
Exercise personnel are any personnel paid at any percentage with EMPG funding, including
M&A staff. There is no specific requirement for level of"participation" in the
exercises; so, observation and attendance satisfies the objective. The exercises can be of
any type(e.g., discussion-based or operations-based)within the performance period
(see httns://www.fema.gov/media-library/assets/documents/32326).
2. An After Action Report/Improvement Plan (AAR/IP)must be completed by the host of
each EMPG-funded exercise and submitted to hseepAtema.dhs.gov, and a copy sent to
your Cal OES EMPG Program Specialist within 90 days after the completion of an
exercise.
3. A summary of all collected corrective action items and the tracking of their
implementation shall be reported as part of the EMPG quarterly reporting.
14
Validating Additional information and guidance related to AAR/IPs and the National Exercise Program
Capabilities Base Plan can be found on the Homeland Security Exercise and Evaluation Program (HSEEP)
Objective: website at https://www.fema.gov/media-library/assets/documents/32326.
Exercise Note: It is acceptable to submit an Exercise Summary Report for Seminars and Workshops in
(Continued) lieu of a full, HSEEP AAR/IP. Email the copies of the AAR/IPs to your Cal OES EMPG
Program Specialist.
EMPG-funded exercise activities must be consistent with HSEEP doctrine and its set of
guiding principles for exercise programs. Exercise Division staff are available for assistance
with any exercise-related questions or matters. For exercise-related issues and/or questions,
email the Cal OES Exercise Team at exercisegcaloes.ca.-ov.
Measurement Method:
• Percent of exercises participated by the OA's EMPG-funded personnel.
• Submission of an AAR/IP completed by the host of the EMPG-funded exercises.
Reporting:
• Subrecipients must report quarterly in the EMPG performance report,the percent
completed of the exercise requirements for the EMPG-funded personnel.
• Subrecipients must submit AAR/1Ps for each EMPG-funded exercise, if the exercise is
hosted by the Subrecipients.AAR/IPs will be completed by the host of the exercise;
participants do not have to individually complete an AAR/IP.
Validating Training activities supported with EMPG Program funds should strategically align to the NPG
Capabilities core capability identified in the TER
Objective: To ensure the development of a professional emergency management workforce, all EMPG
Training Program-funded personnel shall complete either EMPG Training—Option 1 or EMPG
Training—Option 2 requirements, and record proof of completion.
Reported data must include the employee's full name, name of the training, and the date the
training was completed.
EMPG Program-funded personnel are any personnel paid at any percentage with EMPG
funding; this includes M&A staff funded by EMPG Program funds.
15
Validating All EMPG Program-funded personnel shall complete all of the following EMPG training
Capabilities requirements (either Option 1 or Option 2) by no later than June 30,2018 (unless the
Obiectiye• Subrecipient's subaward performance period is extended):
Training EMPG TRAINING—OPTION 1
(Continued) For Option 1, all EMPG Program-funded personnel shall complete the following 11 trainings
listed below:
_National Incident Management System (NIMS)Training, Independent Stud ISM
IS 100 (any version), Introduction to Incident Command System (ICS)
IS 200 (any version), ICS for Single Resources and Initial Action Incident
IS 700 (any version),National Incident Management System,An Introduction
IS 800 (any version),National Response Framework, An Introduction
FEMA Professional Development Series (PDS):
IS 120.a Introduction to Exercises
IS 230.d Fundamentals of Emergency Management
IS 235.c Emergency Planning
IS 240.b Leadership and Influence
IS 241.b Decision Making and Problem Solving
IS 242.b Effective Communication
IS 244.b Developing and Managing Volunteers
The aforementioned listed courses are available on-line and at no cost from the FEMA
Emergency Management Institute(EMI) at the following links:
http://training.fema.gov/IS/NIMS.aspx
&http://trainin .f� ema.uov/is/searchis.aspx?search=PDS
OR
EMPG TRAINING—OPTION 2
For Option 2, all EMPG Program-funded personnel shall complete the following nine trainings
listed below:
National Emergency Management Basic Academes
E/LO101, Foundations of Emergency Management— 10 days(80 hours)
E/L0102, Science of Disaster—3 days (approximately 24 hours)
E/L0103, Planning Emergency Operations—2 days(16 hours)
E/L0104, Exercise Design—2 days (16 hours)
E/L0105, Public Information and Warning—2 days(16 hours)
EMI Basic Academy Online Prerequisites:
IS 100 (any version), Introduction to the Incident Command System (ICS) (3 hours)
IS 700 (any version), National Incident Management System (NIMS),An Introduction
(3 hours)
IS 800 (any version),National Response Framework,An Introduction (3 hours)
IS 230.d Fundamentals of Emergency Management(10 hours)
16
Validating For EMPG-funded personnel who choose EMPG Training=Option 2,the Subrecipient will
Capabilities report their progress towards completing the required training in their EMPG Quarterly
Objective• Performance Report, under Part IX: Other Significant EMPG-Funded Accomplishments.
Training • Reported data must include the employee's full name, name of the training, and the date the
(Continued) training was completed.
Note: For both EMPG Training Options l and 2,past completion of any prior versions of
the following NIMS training courses—IS 100, IS 200, IS 700, and IS 800—are considered
acceptable towards meeting the FY 2017 EMPG Training Requirement. Thus,the NIMS
training courses of IS 100, IS 200, IS 700,and IS 800 only have to be taken once, by
EMPG-funded personnel, in order to fulfill the FY 2017 EMPG Training Requirement.
Conversely, for the PDS and Basic Academy online courses, ONLY the satisfactory
completion of the iteration-specific courses(listed on page 16 of this Guidance)will qualify
towards satisfying the FY 2017 EMPG Training Requirement.To that end, for all
FY 2017 EMPG-funded personnel,their past completion of previous iterations of the PDS
and Basic Academy online courses(other than those iteration-specific versions listed on
page 16 of this Guidance) can no longer be utilized towards meeting the EMPG Training
Requirement; as was permitted under past EMPG grant cycles(i.e., FY 2011—FY 2016).
However, in the event that EMI revises any of the aforementioned PDS and Basic Academy
online courses(as listed hereinabove on page 16)during the FY 2017 EMPG Performance
Period, and an EMPG-funded personnel has not yet completed that specific version of the
course(as identified on pages 16 of this Guidance),then the most current iteration of the
online IS course must be completed, by said EMPG-funded personnel, in order to remain
compliant and fully satisfy the FY 2017 EMPG Training Requirement.
For example: If during the FY 2017 EMPG performance period(spanning July 1, 2017—
June 30, 2018), EMI updates IS 230.d to IS 230.e, any FY 2017 EMPG-funded personnel
who had not yet completed IS 230.d(by the time that EMI updated the course to IS 230.e)
would now be required to complete IS 230.e instead—in order to satisfy the FY 2017
EMPG Training Requirement. This is specifically because the previous iteration of the
course, IS 230.d,will no longer be available to be taken online given it was replaced by the
newer iteration of IS 230.e.
For further clarification regarding the FY 2017 EMPG Training Requirement, consult with
your Cal OES EMPG Program Specialist, as well as refer to IB 424.I5
Measurement Method:
EMPG TRAINING—OPTION 1 (NIMS Training&PDS):
• Percent of EMPG Program-funded personnel completing the previously
identified 11 required training courses.
EMPG TRAINING—OPTION 2 (EMI Basic Academy&Online Prerequisites):
• Percent of EMPG Program-funded personnel completing the previously identified
nine required training courses.
is FEMA IB No.424:hgps://www.fema.gov/media-library-data/1508435948993-lf7f9d225el320254dl281belaa9l5fd/FY17 HSGP pdf
17
Validating Reporting:
Capabilities . Submission of a list of EMPG Program-funded personnel along with the name of the
Objective: training and dates completed is to be included in the EMPG Program Quarterly
Training Performance Reports.
(Continued)
Recorded proof of completion of training requirements, such as certificates of completion,
must exist and be kept on file by the Subrecipient and be made available for review upon
request.
Training In order for EMPG Program funds to be utilized for training-related purposes, Subrecipients
Feedback must first obtain a Training Feedback Number. Training Feedback Numbers must be
Number obtained no later than thirty(30) days prior to the training event. To be considered for a
Training Feedback Number, Subrecipients must complete a Training Request Form and
submit it electronically to Cal OES.
Training Request Forms can be obtained at the following
link: https://w3.calema.ca.gov/WebPage/trainreg.nsf/TrainRequest?OpenForm.
For Training Request Form or Training Feedback Number assistance contact:
Melanie Lusi at melanie.lusiOkaloes.ca.gov, or(916) 845-8745.
Subcontracts In accordance with 2 C.F.R. § 200.326 Contract Provisions, any time funds are given to a
contractor the Subrecipient's contracts must contain the applicable provisions described in
Appendix II to 2 C.F.R. Part 200--Contract Provisions for Non-Federal Entity Contracts
Under Federal Awards. The OA must monitor and ensure that the contractors are adhering
to all applicable federal and state laws. The OA must not make or permit any award
(subaward or contract) at any tier to any party that is debarred, suspended, or otherwise
excluded from, or ineligible for participation in federal assistance programs, such as the
EMPG. Subrecipients must obtain documentation of eligibility prior to any subaward of
EMPG funds and be prepared to present supporting documentation to monitors/auditors.
Noncompetitive To be eligible for reimbursement, noncompetitive procurements exceeding $150,000 (the
(Sole Source) current simplified acquisition threshold) require Cal OES prior written approval.
Procurement Noncompetitive procurement includes, but is not limited to, procurements involving a sole
source or inadequate competition. The $150,000 simplified acquisition threshold is established
by the Federal Acquisition Regulation at 48 C.F.R. Subpart 2.1 and is periodically adjusted for
inflation.
Note: This method of procurement must be approved by your local Purchasing Agent prior to
submitting a request for Cal OES approval. A copy of the Purchasing Agent's approval must be
included with the Cal OES submission; additional documentation supporting the procurement
effort may also be requested for review by Cal OES.
18
Noncompetitive Please note that Cal OES will not reimburse for any sole source contracts for any
(Sole Source) terrorism-related training, regardless of the cost of the training. Exceptions to this policy
Procurement may be approved in limited circumstances, e.g., related to a procurement effort that has resulted
in inadequate competition. The Cal OES Request for Noncompetitive Procurement
(Continued) Authorization form is to be used, and advance approval is required.16
System for The System for Award Management includes information regarding entities debarred,
Award suspended, proposed for debarment, excluded or disqualified under the non-procurement
Management common rule, or otherwise declared ineligible from receiving federal contracts, certain
subcontracts, and certain federal assistance and benefits. Contractor disbarment verification
can be obtained from the following website: https://www.sam.Rov.
Maintenance & The use of EMPG funds for maintenance contracts, warranties, repair or replacement costs,
Sustainment upgrades, licenses, and user fees are allowable under all active and future grant awards;
unless otherwise noted. With the exception of maintenance plans purchased incidental to
(i.e., at the same time and under the same subaward as)the original purchase of the system
or equipment, the period covered by a maintenance agreement or warranty plan must not
exceed the period of performance of the specific grant funds used to purchase the plan or
warranty, and address the requirements identified in FEMA IB 379. Additional guidance is
provided in DHS/FEMA Policy FP 205-402-125-1, Maintenance Contracts and Warranty
Coverage Funded by Preparedness Grants, located at: http://www.fema.gov/media-
library/assets/documents/32474.
Unallowable • Expenditures for weapons systems and ammunition
Costs • Costs to support the hiring of sworn officers for the purposes of fulfilling traditional
public safety duties or to supplant traditional public safety positions and responsibilities
• Activities and projects unrelated to the completion and implementation of the EMPG
Program
Supplanting Grant funds must be used to supplement existing funds, not replace (supplant) funds that
have been appropriated or budgeted for the same purpose through non-federal sources. In
the event that supplanting is suspected,the Subrecipient will be required to supply
documentation demonstrating or certifying that a reduction in non-federal resources
occurred for reasons other than the receipt, or expected receipt, of federal funds.
Supplanting will result in the disallowance of the costs associated with the improper
activity(ies)performed using federal grant funds.
Accessibility of The federal DHS,the DHS Office of Inspector General,the Comptroller General of the
Records United States, Cal OES, 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 subaward, 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 2 C.F.R. § 200.336 for more
information about accessibility of records.
16 The form can be located at:http://www.caloes.ca.gov/cal-oes-divisions/grants-management/criminal-iustice-emergency-mans ement-
victim-services- rg ant-programs/emergency-mana ement-performance-grant.
19
Public Records Grant applications are subject to the California Public Records Act, Government Code
Act Notification Section 6250, et seq. Do not put any personally identifiable information or private
information on this application. If you believe that any of the information you are putting
on the FY 2017 EMPG application is exempt from the Public Records Act, please indicate
what portions of the application and the basis for the exemption. Your statement that the
information is not subject to the Public Records Act will not guarantee that the information
will not be disclosed.
Reimbursement The EMPG is a reimbursement grant and therefore no cash advances are permitted under
of Eligible Costs the EMPG Program. The EMPG funds will be disbursed on a reimbursement basis, using
the FMFW. Follow the FMFW instructions for Reimbursement Requests17 and, only
upon direction, submit the signed forms to your Cal OES EMPG Program Specialist.
In order to identify any corrections or adjustments that may need to be addressed, all
reimbursement requests must be initially submitted electronically, via email, to your
Cal OES EMPG Program Specialist for review and vetting. Electronic documents
submitted for Cal OES EMPG Program Specialist review and vetting should be
submitted as soon as possible, but no later than, seven (7) calendar days prior to any
identified due date(s) associated with the reimbursement request.
Submission of originals is only to occur after your Cal OES EMPG Program Specialist's
Reimbursement Request Review Process has concluded. The Subrecipient will be
directed by their Cal OES EMPG Program Specialist to submit the signed
hardcopy.
Payment will be made within 30 days after the Grants Management Section receives a
valid and complete Reimbursement Request. Copies of all documents adding up to the
total of each Reimbursement Request must be retained to make verification by monitors
and/or auditors easier. Cal OES may require Subrecipients to provide these documents at
any time.
"The Reimbursement Request instructions are located at:http://www.caloes.ca.gov/GrantsManasementSite/Pages/Emergency-Mans ement-
Performance-Grant.aspx,under Tutorials.
20
Subaward Post award budget, scope, and other modifications must be requested using the Cal OES
Modifications FMFW and be signed by the Subrecipient's Authorized Agent.A hardcopy must be
submitted to Cal OES and approved by Cal DES's Grants Management Section, prior to
initiating any revised scope of work or incurring the associated expenditures.
The OAs may submit modifications to Cal OES once per quarter during the performance
period.Exceptions to allow more modifications during a quarter will be made at Cal OES
discretion and will be based on exceptional circumstances and/or compelling justification.
Failure to submit modifications and receive approval prior to expenditure could result in a
reduction or disallowance of that part of the subaward.
In order to identify any corrections or adjustments that may need to be addressed, as well as
to facilitate the Cal OES subaward Modification Request review and approval process, all
Modification Requests must first be submitted electronically,via email,to the Cal OES
Program Specialist for review and vetting. Submission of hardcopy originals is only to
occur after the Cal OES EMPG Program Specialist's Modification Request review process
has concluded and the Subrecipient is directed by the Cal OES EMPG Program Specialist to
submit the signed hardcopy.
Instructions on how to submit a Modification Request are available at the link identified
in the footnote.18
Performance Subrecipients must prepare and submit Performance Reports to the State for the duration of
Reports the subaward performance period, or until all grant activities are completed and the
subaward is formally closed by Cal OES. The quarterly reports must include the progress
made on identified activities, as well as other required information and data. Failure to
submit a Performance Report could result in subaward reduction,termination, or
suspension.
In order to ensure that mandated performance metrics and other data required under the
subaward is reported accurately, all EMPG Performance Reports must first be submitted
electronically, via email, to the Cal OES EMPG Program Specialist for review and vetting.
Electronic documents submitted for Cal OES review and vetting should be submitted as
soon as possible, but no later than, seven(7) calendar days before the identified due date(s)
associated with the Performance Report. Submission of hardcopy originals is only to occur
after the Cal OES EMPG Program Specialist's review has concluded and the Subrecipient is
directed by their Cal OES EMPG Program Specialist to submit the signed hardcopy.
Additionally, Subrecipients must also complete a Biannual Strategy Implementation Report
(BSIR)using the DHS/FEMA Grants Reporting Tool(GRT).To obtain access to the online
GRT and BSIR, log on to their website at www.reporting.odp.dhs.gov. To create a new
account, follow the instructions that read, "If you need to register for an account,please
click here."For further GRT assistance, contact:
Dora Gomez at dora. omezAcaloes.ca.gov, (916) 845-8656.
18 The Modification Request instructions are located at:http://www.caloes.ca.gov/GrantsManagementSite/Paees/Emergency-Management-
Performance-Grant.asnx,under Tutorials.
21
Closeout The State will close a Subrecipient subaward after:
• Receiving a Subrecipient Performance Report indicating that all approved work has
been completed, and all funds have been disbursed
• Completing a review to confirm the accuracy of reported information
• Reconciling actual costs to awards, modifications, and payments
If the closeout review and reconciliation indicates that the Subrecipient:
• Is owed additional funds, the State will send the final payment automatically to the
Subrecipient
• Did not use all funds received, the State will issue a deobligation amendment, invoice,
or letter to recover unused funds
• Did not expend all obligated grant funds,the State will require that a Grant Subaward
Amendment be completed to deobligate the unspent funds and revert them back to the
State
Records Specific requirements for record retention can be found in 2 C.F.R. § 200.333. In the
Retention Grant Closeout Letter,the State will notify the Subrecipient of the start of the record
retention period for all programmatic and financial subaward-related records.
Equipment When original or replacement equipment acquired under the EMPG Program is no longer
Disposition needed for program activities, the Subrecipient must contact their Cal OES EMPG
Program Specialist to request disposition instructions.
Final Subaward Cal OES will review the OA's final Performance Report for compliance with all subaward
Report conditions. The final Performance Report is due to Cal OES by July 16,2018, (unless the
Subrecipient's Subaward performance period is extended) and will serve as the final
subaward report.
Audit The OAs, and their Subrecipients, must comply with the audit requirements contained in
Requirements 2 C.F.R. Part 200 Subpart F—Audit Requirements.
Monitoring The State may perform periodic reviews of the OA's Subaward performance. The Cal OES
Subaward Monitoring Team is actively conducting monitoring visits, both desk review and on-site,
Performance among Subrecipients. These reviews may include, but are not limited to:
• Comparing actual subaward activities to those approved on the FMFW
• Confirming compliance with:
— Grant Assurances
— Information provided on the Performance Reports
• Reviewing and monitoring financial and administrative records
To provide support and guidance, Grants Management staff will be intermittently conducting
on-site programmatic and financial reviews of OA's EMPG Program-related activities.
22
Cal OES
00YERNOR's OFFICE
OF EHERIIENCY SERVICES
Standard Assurances
For All Cal OES Federal Grant Programs
As the duly authorized representative of the Applicant, I hereby certify that the Applicant has the
legal authority to apply for federal assistance and the institutional, managerial and financial capability
(including funds sufficient to pay any non-federal share of project cost) to ensure proper planning,
management and completion of the project described in this application, within prescribed timelines.
I further acknowledge that the Applicant is responsible for reviewing and adhering to all
requirements within the:
(a) Applicable Federal Regulations (see below);
(b) Federal Program Notice of Funding Opportunity (NOFO);
(c) California Supplement to the NOFO; and
(d) Federal and State Grant Program Guidelines.
Federal Regulations
Government cost principles, uniform administrative requirements and audit requirements for federal
grant programs are set forth in Title 2, Part 200 of the Code of Federal Regulations (CFR) and updates
are issued by the Office of Management and Budget (OMB) and can be found at
http://www.whitehouse.gov/omb/.
Significant state and federal grant award requirements (some of which appear in the documents
listed above) are set forth below. The Applicant hereby agrees to comply with the following:
1. Proof of Authority
The Applicant will obtain written authorization from the city council, governing board, or authorized
body in support of this project. This written authorization must specify that the Applicant and the city
council, governing board, or authorized body agree:
(a) To provide all matching funds required for the grant project and that any cash match will be
appropriated as required.
(b) Any liability arising out of the performance of this agreement shall be the responsibility of the
Applicant and the city council, governing board, or authorized body.
(c) Grant funds shall not be used to supplant expenditures controlled by the city council,
governing board, or authorized body.
(d) The official executing this agreement is, in fact, authorized to do so.
Emergency Management Performance Grant Program(EMPG)-2016 Grant Assurances Page 1 of 11
Initials 0.__
This Proof of Authority must be maintained on file and readily available upon request.
2. Period of Performance
The Applicant will initiate work after approval of the award and complete all work within the period of
performance specified in the grant.
3. Lobbying and Political Activities
As required by Section 1352, Title 31 of the U.S. Code (U.S.C.), for persons entering into a
contract, grant, loan, or cooperative agreement from an agency or requests or receives from an
agency a commitment providing for the United States to insure or guarantee a loan, the Applicant
certifies that:
(a) 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.
(b) 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.
(c) 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.
The Applicant will also comply with 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.
Finally, the Applicant agrees that federal funds will not be used, directly or indirectly, to support the
enactment, repeal, modification or adoption of any law, regulation or policy without the express
written approval from the California Governor's Office of Emergency Services (Cal OES) or the
federal awarding agency.
4. Debarment and Suspension
As required by Executive Orders 12549 and 12689, and 2 CFR § 200.212 and codified in 2 CFR
Part 180, Debarment and Suspension, the Applicant will provide protection against waste, fraud,
Emergency Management Performance Grant Program(EMPG)-2016 Grant Assurances Page 2pf 11
Initials
and abuse by debarring or suspending those persons deemed irresponsible in their dealings with
the federal government. The Applicant certifies that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any federal department or agency;
(b) 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;
(c) 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 (2)(b) of this certification; and
(d) Have not within a three-year period preceding this application had one or more public
transaction (federal, state, or local) terminated for cause or default.
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.
5. Non-Discrimination and Equal Employment Opportunity
The Applicant will comply with all federal statutes relating to non-discrimination. These include, but
are not limited to, the following:
(a) Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42 U.S.C. § 2000d et.
seq.) which prohibits discrimination on the basis of race, color, or national origin and
requires that recipients of federal financial assistance take reasonable steps to provide
meaningful access to persons with limited English proficiency (LEP) to their programs and
services;
(b) Title IX of the Education Amendments of 1972, (20 U.S.C. §§ 1681-1683, and 1685-1686),
which prohibits discrimination on the basis of sex in any federally funded educational
program or activity;
(c) Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794), which prohibits
discrimination against those with disabilities or access and functional needs;
(d) Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of
disability and requires buildings and structures be accessible to those with disabilities and
access and functional needs; (42 U.S.C. §§ 12101-12213.)
(e) Age Discrimination Act of 1975, (42 U.S.C. §§ 6101-6107), which prohibits discrimination on
the basis of age;
(f) Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd-2), relating to confidentiality of
patient records regarding substance abuse treatment;
(g) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), relating to
nondiscrimination in the sale, rental or financing of housing;
Emergency Management Performance Grant Program(EMPG)-2016 Grant Assurances Page 3 of 11
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(h) Executive Order 11246, which prohibits federal contractors and federally assisted
construction contractors and subcontractors, who do over$10,000 in Government business
in one year from discriminating in employment decisions on the basis of race, color, religion,
sex, sexual orientation, gender identification or national origin;
(i) Executive Order 11375, which bans discrimination on the basis of on the basis of race,
color, religion, sex, sexual orientation, gender identification, or national origin in hiring and
employment in both the United States federal workforce and on the part of government
contractors;
(j} California Public Contract Code § 10295.3, which prohibits discrimination based on
domestic partnerships and those in same sex marriages;
(k) Any other nondiscrimination provisions in the specific statute(s) under which application for
federal assistance is being made; and
(1) The requirements of any other nondiscrimination statute(s) which may apply to the
application.
In addition to the items listed in (a) through (n), the Applicant will comply with California's Fair
Employment and Housing Act (FEHA). FEHA prohibits harassment and discrimination in
employment because of ancestry, race, color, religious creed (including religious dress and
grooming practices), sex (which includes pregnancy, childbirth, breastfeeding and medical
conditions related to pregnancy, childbirth or breastfeeding), gender, gender identity, gender
expression, sexual orientation, marital status, national origin, ancestry, mental and physical
disability, genetic information, medical condition, age, pregnancy, denial of medical and family care
leave, or pregnancy disability leave (California Government Code §§12940, 12945, 12945.2),
military and veteran status, and/or retaliation for protesting illegal discrimination related to one of
these categories, or for reporting patient abuse in tax supported institutions.
6. Drug-Free Workplace
As required by the Drug-Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.), the Applicant
certifies that it will maintain a drug-free workplace and a drug-free awareness program as outlined
in the Act.
7. Environmental Standards
The Applicant will comply with state and federal environmental standards, which may be prescribed
pursuant to the following, as applicable:
(a) California Environmental Quality Act (CEQA) (California Public Resources Code §§ 21000-
21177), to include coordination with the city or county planning agency;
(b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3, §§ 15000-
15387);
(c) Federal Clean Water Act (CWA) (33 U.S.C. § 1251 et seq.), which establishes the basic
structure for regulating discharges of pollutants into the waters of the United States and
regulating quality standards for surface waters;
(d) Federal Clean Air Act of 1955(42 U.S.C. § 7401)which regulates air emissions from
stationary and mobile sources;
Emergency Management Performance Grant Program(EMPG)-2016 Grant Assurances Page 4 of 11
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(e) Institution of environmental quality control measures under the National Environmental
Policy Act of 1969 (P.L. 91-190); Executive Order 12898 which focuses on the
environmental and human health effects of federal actions on minority and low-income
populations with the goal of achieving environmental protection for all communities;
(f) Executive Order 11514 which sets forth national environmental standards.
(g) Executive Order 11738 instituted to assure that each federal agency empowered to enter
into contracts for the procurement of goods, materials, or services and each federal agency
empowered to extend federal assistance by way of grant, loan, or contract shall undertake
such procurement and assistance activities in a manner that will result in effective
enforcement of the Clean Air Act and the Federal Water Pollution Control Act Executive
Order EO 11990 which requires preservation of wetlands;
(h) The Safe Drinking Water Act of 1974, (P.L. 93-523);
(i) The Endangered Species Act of 1973, (P.L. 93-205);
{j} 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.
The Applicant shall not be: 1) in violation of any order or resolution promulgated by the State Air
Resources Board or an air pollution district; 2) subject to a cease and desist order pursuant to §
13301 of the California Water Code for violation of waste discharge requirements or discharge
prohibitions; or 3) determined to be in violation of federal law relating to air or water pollution.
8. Audits
For subrecipients expending $750,000 or more in federal grant funds annually, the Applicant will
cause to be performed the required financial and compliance audits in accordance with the Single
Audit Act Amendments of 1996 and Title 2 of the Code of Federal Regulations, Part 200, Subpart F
Audit Requirements.
9. Access to Records
In accordance with 2 CFR § 200.336, the Applicant 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.
The Applicant will require any subrecipients, contractors, successors, transferees and assignees to
acknowledge and agree to comply with this provision.
10.Conflict of Interest
The Applicant 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.
11. Financial Management
False Claims for Payment
The Applicant will comply with 31 U.S.0 § 3729 which sets forth that no subgrantee, recipient, or
subrecipient shall submit a false claim for payment, reimbursement or advance.
Emergency Management Performance Grant Program(EMPG)-2016 Grant Assurances Page S f 11
Initials
12. Reporting -Accountability
The Applicant agrees to comply with applicable provisions of the Federal Funding Accountability
and Transparency Act (FFATA) (P.L. 109-282), specifically (a) the reporting of subawards obligating
$25,000 or more in federal funds and (b) executive compensation data for first-tier subawards. This
includes the provisions of FFATA, which includes requirements for executive compensation, and
also requirements implementing the Act for the non-federal entity at 2 CFR part 25 Financial
Assistance Use of Universal Identifier and Central Contractor Registration and 2 CFR part 170
Reporting Subaward and Executive Compensation Information.
13.Whistleblower Protections
The Applicant also must comply with statutory requirements for whistleblower protections at 10
U.S.C. §2409, 41 U.S.C. §4712, and 10 U.S.C. §2324, 41 U.S.C. §4304 and §4310.
14. Human Trafficking
The Applicant will comply with the requirements of Section 106(g) of the Trafficking Victims
Protection Act of 2000, as amended (22 U.S.C. § 7104) which prohibits grant award recipients or a
subrecipient from: (1) engaging in trafficking in persons during the period of time that the award is in
effect; (2) procuring a commercial sex act during the period of time that the award is in effect; or (3)
using forced labor in the performance of the award or subawards under the award.
15. Labor Standards
The Applicant will comply with the following federal labor standards:
(a) Comply with the provisions of the Davis-Bacon Act (40 U.S.C. §§ 276a to 276a-7), as
applicable,and the Copeland Act (40 U.S.C. § 3145 and 18 U.S.C. § 874) and the Contract
Work Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor standards
for federally-assisted construction contracts or subcontracts.
(b) Comply with the Federal Fair Labor Standards Act (29 U.S.C. § 201 et al.) as they apply to
employees of institutes of higher learning (IHE), hospitals and other non-profit organizations.
16.Worker's Compensation
The Applicant must comply with provisions which require every employer to be insured to protect
workers who may be injured on the job before commencing performance of the work of this
Agreement, as per the workers compensation laws set forth in California Labor Code §§ 3700 et
seq.
17. Property-Related
If applicable to the type of project funded by this federal award, the Applicant will:
(a) Comply with the requirements of Titles II and III 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 purchase.
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(b) Comply with flood insurance purchase requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) which requires subrecipients 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.
(c) 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.).
(d) Comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. § 4831 and 24 CFR
Part 35) which prohibits the use of lead-based paint in construction or rehabilitation of
residence structures.
18.Certifications Applicable Only to Federally-Funded Construction Projects
For all construction projects, the Applicant will:
(a) Not dispose of, modify the use of, or change the terms of the real property title or other
interest in the site and facilities without permission and instructions from the awarding
agency. Will record the federal awarding agency directives and will include a covenant in the
title of real property acquired in whole or in part with federal assistance funds to assure
nondiscrimination during the useful life of the project.
(b) Comply with the requirements of the awarding agency with regard to the drafting, review and
approval of construction plans and specifications.
(c) Provide and maintain competent and adequate engineering supervision at the construction
site to ensure that the complete work conforms with the approved plans and specifications
and will furnish progressive reports and such other information as may be required by the
assistance awarding agency or State.
19. Use of Cellular Device While Driving is Prohibited
Applicants are required to comply with California Vehicle Code sections 23123 and 23123.5. These
laws prohibit driving motor vehicle while using an electronic wireless communications device to
write, send, or read a text-based communication. Drivers are also prohibited from the use of a
wireless telephone without hands-free listening and talking, unless to make an emergency call to
911, law enforcement, or similar services.
20. Freedom of Information Act
The Applicant acknowledges that all information submitted in the course of applying for funding
under this program, or provided in the course of an entity's grant management activities that are
under Federal control, is subject to the Freedom of Information Act (FOIA), 5 U.S.C. § 552, and the
California Public Rights Act, California Government Code section 6250 et seq. The Applicant should
consider these laws and consult its own State and local laws and regulations regarding the release
of information when reporting sensitive matters in the grant application, needs assessment, and
strategic planning process.
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EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM - PROGRAM SPECIFIC
ASSURANCES /CERTIFICATIONS
21. Reporting Accusations and Findings of Discrimination
If during the past three years the recipient has been accused of discrimination on any basis the
recipient must provide a list of all such proceedings, pending or completed, including outcome and
copies of settlement agreements to the DHS financial assistance office and the DHS Office of Civil
Rights and Civil Liberties (CRCL) by e-mail at crcl@hq.dhs.gov or by mail at U.S. Department of
Homeland Security Office for Civil Rights and Civil Liberties Building 410, Mail Stop #0190
Washington, D.C. 20528.
In the event any court or administrative agency makes a finding of discrimination against the
recipient, or the recipient settles a case or matter alleging such discrimination, recipients must
forward a copy of the complaint and findings to the DHS financial assistance office and the CRCL
office by e-mail or mail at the addresses listed above.
The United States has the right to seek judicial enforcement of these obligations.
21.Acknowledgment of Federal Funding from DHS and Use of DHS Seal, Logo, and Flags
All recipients must acknowledge their use of federal funding when issuing statements, press
releases, requests for proposals, bid invitations, and other documents describing projects or
programs funded in whole or in part with federal funds.
All recipients must obtain permission from their financial assistance office, prior to using the DHS
seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use
of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast
Guard officials.
22.Activities Conducted Abroad
All recipients must ensure that project activities carried on outside the United States are
coordinated as necessary with appropriate government authorities and that appropriate licenses,
permits, or approvals are obtained.
23. Best Practices for Collection and Use of Personally Identifiable Information (PII)
DHS defines personally identifiable information (PII) as any information that permits the identity of
an individual to be directly or indirectly inferred, including any information that is linked or linkable to
that individual. All recipients who collect Pll are required to have a publically-available privacy policy
that describes standards on the usage and maintenance of PII they collect. Award recipients may
also find as a useful resource the DHS Privacy Impact Assessments: Privacy Guidance and Privacy
template respectively.
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24. Copyright
All recipients must affix the applicable copyright notices of 17 U.S.C. §§401 or 402 and an
acknowledgement of Government sponsorship (including award number)to any work first produced
under federal financial assistance awards.
25. Energy Policy and Conservation Act
All recipients must comply with the requirements of 42 U.S.C. §6201 which contain policies relating
to energy efficiency that are defined in the state energy conservation plan issued in compliance with
this Act.
26. Federal Debt Status
All recipients are required to be non-delinquent in their repayment of any federal debt. Examples of
relevant debt include delinquent payroll and other taxes, audit disallowances, and benefit
overpayments. See OMB Circular A-129.
27. Fly America Act of 1974
All Applicants must comply with Preference for U.S. Flag Air Carriers: (air carriers holding
certificates under 49 U.S.C. §41102)for international air transportation of people and property to
the extent that such service is available, in accordance with the International Air Transportation Fair
Competitive Practices Act of 1974 (49 U.S.C. §40118) and the interpretative guidelines issued by
the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller
General Decision B-138942.
28. Hotel and Motel lire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, all Applicants must
ensure that all conference, meeting, convention, or training space funded in whole or in part with
federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention
and Control Act of 1974, as amended, 15 U.S.C. § 2225a.
29. Non-supplanting Requirement
All Applicants who receive awards made under programs that prohibit supplanting by law must
ensure that federal funds do not replace (supplant)funds that have been budgeted for the same
purpose through non-federal sources.
30. Patents and Intellectual Property Rights
Unless otherwise provided by law, recipients are subject to the Bayh-Dole Act, Pub. L. No. 96-517,
as amended, and codified in 35 U.S.C. § 200 et seq. All recipients are subject to the specific
requirements governing the development, reporting, and disposition of rights to inventions and
patents resulting from financial assistance awards located at 37 C.F.R. Part 401 and the standard
patent rights clause located at 37 C.F.R. §401.14.
31. SAFECOM
All Applicants who receive awards made under programs that provide emergency communication
equipment and its related activities must comply with the SAFECOM Guidance for Emergency
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Communication Grants, including provisions on technical standards that ensure and enhance
interoperable communications.
32.Terrorist Financing
All Applicants must comply with Executive Order 13224 and U.S. law that prohibit transactions with,
and the provisions of resources and support to, individuals and organizations associated with
terrorism. It is the legal responsibility of recipients to ensure compliance with the Order and laws.
33. Reporting of Matters Related to Recipient Integrity and Performance
If the total value of the Applicant's currently active grants, cooperative agreements, and
procurement contracts from all federal assistance office exceeds $10,000,000 for any period of time
during the period of performance of this federal award, the Applicant must comply with the
requirements set forth in the government-wide Award Term and Condition for Recipient integrity
and Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of which is
incorporated here by reference in the terms and conditions of your award.
34. USA Patriot Act of 2001
All recipients must comply with requirements of the Uniting and Strengthening America by Providing
Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which
amends 18 U.S.C. §§ 175-175c.
IMPORTANT '
The purpose of the assurance is to obtain federal and state financial assistance, including any and all
federal and state grants, loans, reimbursement, contracts, etc. The Applicant recognizes and agrees
that state financial assistance will be extended based on the representations made in this assurance.
This assurance is binding on the Applicant, its successors, transferees, assignees, etc. Failure to
comply with any of the above assurances may result in suspension, termination, or reduction of grant
funds.
All appropriate documentation, as outlined above, must be maintained on file by the Applicant and
available for Cal OES or public scrutiny upon request. Failure to comply with these requirements may
result in suspension of payments under the grant or termination of the grant or both and the
subrecipient may be ineligible for award of any future grants if the Cal OES determines that any of the
following has occurred: (1) the recipient has made false certification, or (2) violates the certification by
failing to carry out the requirements as noted above.
All of the language contained within this document must be included in the award documents for all
subawards at all tiers, including contracts under grants and cooperative agreements and subcontracts.
All recipients are bound the Department of Homeland Security Standard Terms and Conditions 2016,
Version 6.0, hereby incorporated by reference, which can be found at:
https://www.dhs.gov/sites/default/fi les/publications/Fiscal%20Year%2O2Ol 6%20DHS%2OGeneral%20T
erms%20and%20Conditions.pdf
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The undersigned represents that he/she is authorized by the above named Applicant to enter into this
agreement for and on behalf of the said Applicant.
Subrecipient:
Signature of Authorized Agent:
Printed Name of Authorized Agent:
_j A
Title: Z. Date:
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