HomeMy WebLinkAboutCounty of Orange - 2018-07-01 Attachment B-Form of Transfer Agreement Page 1 of 4
1
2 AGREEMENT TO TRANSFER FUNDS
3 FOR 2018 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM
4
5 THIS AGREEMENT is entered into this (.,0 t day of F�A>w&f--i20 (c" , 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 � ��o �-�+� a municipal corporation, hereinafter referred to as
9 "SUBRECIPIENT."
10 WHEREAS, COUNTY, acting through its Sheriff-Coroner Department, hereinafter referred to
11 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 ("CaIOES").
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 (FY 2018
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 (FY 2018 EMPG 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
128 equipment from damagee or destruction and shall provide regular maintenance and such repairs for grant
CFDA: 97.042
Ememenrw Management Performance Grant
DgaAmernt of Homeland Security, Page I of4
Attachment B-Form of Transfer Agreement Page 2 of 4
1 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 (FY 2018 Emergency
8 Management Performance Grant Program: California Supplement to the Federal Program Funding
9 Opportunity Announcement; or, The State Guidance), which is attached hereto and incorporated herein
10 by reference.
11 6. By executing this Agreement; SUBRECIPIENT agrees to comply with and be fully
12 bound by this Agreement and all applicable provisions of Attachments A, B, C. and D (Standard
13 Assurances for all CalOES Federal Grant Programs) hereto. SUBRECIPIENT shall notify COUNTY
14 immediately upon discovery that it has not abided or no longer will abide by any applicable provision of
15 this Agreement or Attachments A. B. C. or D hereto.
16 7. SUBRECIPIENT agrees to indemnify, defend and save harmless COUNTY and the
17 agency from which COUNTY received grant funds, and their elected and appointed officials, officers,
18 agents and employees from any and all claims and losses accruing or resulting to any and all contractors,
19 subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work,
20 services, materials or supplies in connection with SUBRECIPIENT's performance of this Agreement,
21 including Attachments A. B, C. and D hereto, and from any and all claims and losses accruing or
22 resulting to any person,firm, or corporation who may be injured or damaged by SUBRECIPIENT in the
23 performance of this Agreement, including Attachments A,B,C, and D hereto.
24 8. No alteration or variation of the terms of this Agreement shall be valid unless made in
25 writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or
26 agreement not incorporated herein shall be binding on any of the parties hereto.
27 9. SUBRECIPIENT may not assign this Agreement in whole or in part without the express
28 written consent of COUNTY.
CFDA: 97,042
Emergency IMlanaeement Performance Gant
Department of Homeland security Page 2 of 4
Attachment B-Form of Transfer Agreement Page 3 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
11 representative(s), for examination, copying, or mechanical reproduction on or off the premises of
12 SUBRECLPIENT,upon request, during usual working hours.
13 12. SUBRECIPIENT and COUNTY shall be subject to examination and audit by the
14 California State Auditor 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) SUBRECIPTENT 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, SUBRECIPIENT 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 FY 2018 EMPG:
28
CFDA: 97.042
Emergency Management Performance Grant
Department of Homeland security Page 3 of 4
Attachment B-Form of Transfer Agreement Page 4 of 4
1 b. A SUBRECIPIENT representative must attend half of the Orange County Emergency
2 Managers Organization meetings held from July 1,2018 through June 30, 2019;
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 LAI
15 S en - ner
"COUNTY„
16
APPROVED AS TO FORM
17 COUNTY COUNSEL
18 By
19 .Wendy ips, Semo eputy
20
21
DATED: 120 SUBRECIPIENT
22
23
By 7��t�7
24
25 APPROVED AS TO FOR ATTEST:
U26 By: a,Lc ter_, rC �!car,
t-"__ CHAE,E GATES
27 CITY ATTORNEY City Clerk
CITY Of hii KT116:3TON JEACH
DATED:
28 � - 6 - Izo1'j�"
CFDA: 97.042
Evnemg my Management Performance Grant
Depammeat of Homeland Security Page 4 of 4
(Cal OES Use Only)
Cal OES# _ FIPS# VS# Subaward#
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES
GRANT SUBAWARD FACE SHEET
The California Governor's Office of Emergency Services(Cal OES)hereby makes a Grant Subaward of funds to the following:
1. Subrecipient: Huntington Beach _ la.DUNSM 07-814-3948
2. Implementing Agency: Huntington Beach 2a.DUNS#: 07-814-3948
3. Implementing Agency Address: 2000 Main Street Huntington Beach 92648-0000
Street city Zip+4
4. Location of Project: Huntington Beach Orange 92468-0000
City .----- County Zip+4
5. Disaster/Program Title: Emergency Management Performance Grant 6. Performance Period: 07/01/17 to 06/30/18
7. Indirect Cost Rate: 0 N/A; 11 10%de Minimis; o Federally Approved ICR;
Grant Fund Source A. State B. Federal C. Total D. Cash Match E.In-Kind F. Total Match G. Total
Year Match Project Cost
2017 8. EMPG $28.651 $28,551 $28,551 $57,102
Select 9, Select
Select 10. Select
Select 11. Select
12. TOTALS 12G.Total Project Cml:
$28,551, $28,551 $28 551 ------ 57 102
13.Certification-This Grant Subaward consists of this title page,the application for the grant,which is attached and made a part hereof,and the
Assurances/Certifications.I hereby certify I am vested with the authority to enter into this Grant Subaward,and have the approval of the City/County
Financial Officer,City Manager,County Administrator,Governing Board Chair,or other Approving Body.The Subrecipient certifies that all funds received
pursuant to this agreement will be spent exclusively on the purposes specified in the Grant Subaward.The Subrecipient accepts this Grant Subaward and
agrees to administer the grant project in accordance with the Grant Subaward as well as all applicable state and federal laws,audit requirements,federal
program guidelines,and Cal OES policy and program guidance.The Subrecipient further agrees that the allocation of funds may be contingent on the
enactment of the State Budget.
14.CA Public Records Act-Grant applications are subject to the California Public Records Act,Government Code 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 this application is
exempt from the Public Records Act,please attach a statement that indicates 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.
I believe there is information in the application that is exempt from the Public Records Act and have attached a document to support it.
(Initials)
15.Official Authorized to Sign for Subrecipient: 16. Federal Employer ID Number: 95-600723
Name: Brevyn Mettler _ Title: Emergency Services Coordinator
Telephone: 714)374-1565 FAX: Email: bmettler@surfcity-hb.org
area co a (area code)
Payment Mailing Address: 2000 Main Street City: Huntington Beach Zip+4: 92648-0000
Signature: �- Date: 08/22/17
(FOR Cal OES USE ONLY)
I hereby certify upon my personal knowledge that budgeted funds are available for the period and purposes of this expenditure slated above.
Cal OES Fiscal Officer Date Cal OES Director(or designee) Date
Grant Award Face Sheet-Cal DES 2-101(Revised 712017)
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
WE AUTHORIZED AGENT
Alterations to ddF dociument may result in delayed appftabionapprova,aWiWoonrequests,orreirrDursementrequests, EMPG 97.042
Subrccipients may be asked to revise and/or resubmit any altered Finandal Management Forms Workbook. CFDA #
Huntington Beach
Supporting Information for Reimbursement/Advance of State and Federal Funds
This request is for an/a:
Initial Application
This claim is for costs incurred within the grant expenditure period from July 1, 2017 p,rill June 30, 2018
and does not cross fiscal years. (Beginning Expenditure Period Date) (Ending Expenditure Period Date)
28,551
(REIMB or MOD Request#) (Amount This Request)
Under Penalty of Perjury I certify that:
I am the duly authorized officer of the claimant herein.This claim is true,correct,and all expenditures were made in accordance with applicable laws,rules,regulations and grant conditions and assurances.
Statement of Certification -Authorized Agent
By signing this report,I certify to the best of my knowledge and belief that the report is true,complete,and accurate,and the expenditures,disbursements and cash receipts are for the purposes and objectives set forth in the
terms and conditions of the Federal award.I am aware that any false,fictitious,or fraudulent information,or the omission of any material fact,may subject me to criminal,civil or administrative penalties for fraud,false
statements,false claims or otherwise.(U.S.Code Ttle 18,Section 1001 and Title 31,Sections 3729-3730 and 3801-3812).
Brevyn Mettler, Emergency Services Coordinator ` �'(tLbb August 23, 2017
Printed Name and Title Signv re of Autho�zetllAgent Date
Please reference the Instructions Page under the 'Authorized Agent"section for instructions/address on where to mail workbook
FMFW v1.17-2017
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
Federal Funding Accountability and Transparency Act(FFATA) Financial Disclosure
Alterations to ffi s documa?t may result in delayed appWlcabon approval,modification requests;or reimbursement requests. E M PG 97.04Z
Sud�ipients may be asked to revise and/or re-submit any altered Financial Manaoement Forms Workbook. CFDA#;
Huntington Beach • Public Law(PL)109-282(Federal Funding Accountability and Transparency Act of 2006),as amended
by Section 6202(a)of the Government Funding Transparency Act of 2008(PL 110-252),
which is outlined in FEMA GPD information Bulletin No.350.
• If the Subrecipient in the preceding year received 80 percent or more of its annual gross revenues in Federal Awards,and
$25,000,000 or more in annual gross revenues from Federal awards,and
the public does not have access to information about the compensation of the senior executives of the entity,
then the Subrecipient is subject to the FFATA Financial Disclosure requirements and will need to fill out this form.
• FFATA Financial Disclosure is in addition to the Authorized Body of Five page.
• Cal OES enters FFATA information on behalf of the Subrecipient.
Executive Name Title Annual Salary Annual Dollar Value of Benefits Total Compensation
Not Subject to FFATA Financial Disclosure
FMFW v1.17-2017
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES(Cal OES)
AUTHORIZED AGENT AND CONTACT INFORMATION
s d men may rm m dWyea a / apprwa,m / requeM,a mm uru req
submopmts may beaskeoromivane/lore-sr<don any aitertvFnana managemenrro�mswo book. CFDA#: EMPG 97.042
Huntington Beach
Additional Authorized Agent Contact Information
Authorized Agents Name Title Mailing Address city State zip Phone Email
Brevyn Mettler Emergnency Serivices Coordinator 2000 Main Street Huntington Beach CA 92648 (714)374-1565 emettierOsurrelhlhe.ory
Contact's Name Title Mai in Address State Zip Phone Email
Brevyn Mettler Emergnency Serivices Coordinator 2000 Main Street Huntington Beach CA 92648 (714)374-1565 bmetilerbsuftty-he.om
FMFW v1.17-2017
CaIOES
GOVERNOR 'S OFFICE
OF EMERGENCY SERVICES
Fiscal Year 2018
Emergency Management Performance Grant
Program
California Supplement to the
Federal Notice of Funding Opportunity
October 2018
FOREWORD: DIRECTOR'S MESSAGE ......................................................................... 1
SECTION1—OVERVIEW .............................................................................................. 2
Federal Notice of Funding Opportunity Announcement
Information Bulletins
Purpose of the California Supplement
Key Changes to the FY 2018 Emergency Management Performance Grant
Grant Management Memoranda
Eligible Subrecipients
Tribal Allocations
Subrecipient Allocations
NIMS Implementation
Supplanting
Public/Private Organizations
Debarred/Suspended Parties
SECTION 2—FEDERAL CHANGES AND INITIATIVES.................................................5
FY 2018 Program Priorities
Public Alert and Warning
Match Requirement
Management and Administration
Indirect Costs
Equipment Typing/Identification and Use
Equipment Maintenance/Sustainment
Small Unmanned Aircraft Systems
Emergency Operations Plans
Access and Functional Needs Population
Conflict of Interest
SECTION 3—STATE CHANGES AND INITIATIVES....................................................8
"On Behalf Of'
Regional Approach
SECTION 4—REQUIRED STATE APPLICATION COMPONENTS ............................. 9
Financial Management Forms Workbook
Subrecipient Grants Management Assessment
Narrative Attachments
Grant Assurances
Governing Body Resolution
Authorized Agent Information
SECTION 5—THE STATE APPLICATION PROCESS................................................ 12
Application Submission
Late or Incomplete Application
EMPG Contact Information
Subaward Approval
SECTION 6—POST AWARD REQUIREMENTS.......................................................... 14
Payment Request Process
Modifications
Training Requirements
Exercises, Improvement Plans and After Action Reporting
Noncompetitive Procurements
Procurement Thresholds
Environmental Planning and Historic Preservation
Construction and Renovation
Inventory Control & Property Management
Equipment Disposition
Performance Reporting
Extension Requests
Progress Reports on Grant Extensions
Monitoring
Failure to Submit Required Reports
Suspension/Termination
Closeout
Records Retention
ATTACHMENTS
A— FY 2018 EMPG Allocations
B— Subrecipient Grants Management Assessment
C — FFATA Financial Disclosure
D —Sample Governing Body Resolution
E — FY 2018 EMPG Timeline
F — FY 2018 EMPG Program Checklist
Foreword 12018
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 that we face.
To that end, I announce the California Governor's Office of Emergency Services (Cal OES)
Fiscal Year 2018 Emergency Management Performance Grant Program California
Supplement to the Federal Notice of Funding Opportunity.
Sincerely,
sUUtL,,
MARK S. GHILARDUCCI
Director
1
Section 1 — Overview 12018
Federal Notice In May 2018, the U.S. Department of Homeland Security
of Funding (DHS)/Federal Emergency Management Agency (FEMA) issued the
Opportunity Fiscal Year (FY) 2018 Emergency Management Performance Grant
Announcement Program (EMPG), Notice of Funding Opportunity (NOFO) found on
the Cal OES and FEMA websites and is available for download at
https://www.fema.gov/media-library-data/l 526578379064-
la52c022786dl47el509al86a2764889/FY 2018 EMPG REGULA
R NOFO 5 11 2018 FINAL 508.pdf. Subrecipients must follow
the programmatic requirements set forth in the NOFO, and the
applicable provisions of the Uniform Administrative Requirements,
Cost Principles, and Audit Requirements for Federal Awards located
in Title 2, Code of Federal Regulations (C.F.R.), Part 200.
Information DHS issues Information Bulletins (IBs) to provide updates,
Bulletins clarification, and new requirements throughout the life of the grant.
IBs may be obtained at: https://www.fema.gov/grants/grant-
programs-directorate-information-bulletins.
Purpose of The FY 2018 EMPG California Supplement to the NOFO
the California (State Supplement) is intended to complement, rather than replace,
Supplement the NOFO published by DHS. It is recommended that Applicants
thoroughly read the NOFO before referring to the State Supplement.
The State Supplement will emphasize differences between the
FY 2017 and FY 2018 EMPG, and highlight additional California
policies and requirements applicable to the FY 2018 EMPG.
Key Changes The Federal Funding Accountability and Transparency Act
to the FY 2018 (FFATA) Financial Disclosure is now incorporated as an
Emergency attachment to be included with the required application
Management documents. It is no longer a part of the Financial Management
Performance Forms Workbook (FMFW).
Grant . Subrecipients will receive a Notification of Award Approval
letter. Subrecipients will be required to accept the award
letter by signing and returning the original to their
Program Representative within 20 days.
• The FY 2018 EMPG NOFO identified that there is no minimum
exercise requirement for the State Administrative Agency
(SAA). In order to meet exercise requirements that address the
capability gaps in the priority areas of logistics, housing, and
catastrophic planning, Subrecipients are required to complete a
minimum of three exercises. The exercises must be completed
by the end of the subaward performance period.
2
Section 1 — Overview 12018
Grant Cal OES issues Grant Management Memorandum (GMMs) which
Management provide additional information and requirements regarding EMPG
Memoranda funds. GMMs can be located at: https://www.caloes.ca.gov/cal-oes-
divisions/grants-management/homeland-security-prop-1 b-grant-
programs/memos.
Eligible Eligible Applicants, referred to as Subrecipients, include
Subrecipients Counties/Operational Areas (OAs) and Tribes located in California.
Tribal The NOFO strongly encourages Cal OES to provide access to
Allocations EMPG funds directly to Tribes in California. To implement this
requirement, a special Request for Proposal will be issued to
California's federally-recognized Tribes and Indian organizations,
as described in the Cal OES Tribal Consultation Policy.
http://www.caloes.ca.gov/cal-oes-divisions/tribal-coordination
All Subrecipients are encouraged to coordinate with Tribal
governments to ensure that Tribal needs are considered in their
grant applications.
Subrecipient FY 2018 EMPG Subrecipient allocations are included in
Allocations Attachment A.
NIMS Prior to allocation of any federal preparedness awards in FY 2018,
Implementation Subrecipients must ensure and maintain adoption and
implementation of the National Incident Management System
(NIMS). Additional information can be found at
https://www.fema.gov/national-incident-management-system.
Supplanting Grant funds must be used to supplement existing funds, not
replace (supplant) funds that have been appropriated for the same
purpose. Subrecipients may be required to provide supporting
documentation that certifies 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
activity(s) associated with this improper use of the federal grant
funds.
Public/Private Subrecipients may contract with any other public or private
Organizations organizations to perform eligible activities on approved EMPG
projects.
Debarred/ Subrecipients must not make or permit any award (subgrant,
Suspended subaward or contract) at any tier, to any party, that is debarred,
Parties suspended, or otherwise excluded from, or ineligible for,
participation in federal assistance programs.
3
Section 1 — Overview 12018
Debarred/ Subrecipients must obtain documentation of eligibility prior to
Suspended making any subaward or contract funded by EMPG funds, and
Parties Cont. must be prepared to present supporting documentation to
monitors/auditors.
Before entering into a Grant Subaward, the Subrecipient must
notify Cal OES if it knows if any of the principals under the
subaward fall under one or more of the four criteria listed at 2
C.F.R. § 180.335. The rule also applies to Subrecipients who pass-
through funding to other local entities.
If at any time after accepting a subaward, Subrecipients learn that
any of its principals fall under one or more of the criteria listed at
2 C.F.R. § 180.335, immediate written notice must be provided to
Cal OES and all grant activities halted until further instructions are
received from Cal OES. The rule also applies to subawards passed
through by Subrecipients to local entities.
Section 2 — Federal Changes and Initiatives 12018
FY 2018 Program DHS/FEMA annually publishes the National Preparedness
Priorities Report (NPR) to report National progress in building, sustaining,
and delivering the core capabilities outlined in the goal of a
secure and resilient Nation. This analysis provides a National
perspective on critical preparedness trends for whole community
partners to use to inform program priorities, allocate resources,
and communicate with stakeholders about issues of concern.
EMPG Subrecipients are encouraged to consider national areas
for improvement identified in the National Preparedness Goal
(NPG), which include the following core capabilities:
• Cybersecurity
• Infrastructure Systems
• Economic Recovery
• Housing
• Supply Chain Integrity and Security
• Natural and Cultural Resources
DHS FEMA does not prescribe a minimum funding amount for
these priorities. However, Subrecipients are required to support
local, regional, state, and national efforts in achieving the desired
outcomes of these priorities.
Public Alert and It is the priority of Cal OES to develop and enhance sheltering
Warning and evacuation plans for alerting and warning the public of an
emergency. As stated in the FY 2018 NOFO, EMPG funds may
be used to develop or enhance emergency management
planning activities including developing and enhancing sheltering
and evacuation plans for alerts/warning, crisis communications,
pre-positioning of equipment for areas potentially impacted by
mass evacuations, and re-entry.
Cal OES encourages Subrecipients to consider how use of this
funding may ensure that their jurisdiction's alert and warning
activities are consistent with the guidelines developed Pursuant
to Senate Bill 833 of the 2018 Legislative Session.
Match The FY 2018 EMPG requires a dollar-for-dollar match. This can
Requirement be cash or third party in-kind contributions. Refer to 2 C.F.R. §
200.29 and § 200.306 for specific details. Utilizing the FMFW
Match tab, Subrecipients will indicate the appropriate Solution
Area and Solution Area Subcategory that accurately represents
the specific activity(s) and cost(s) used to meet the match
requirement under the FY 2018 EMPG subaward.
5
Section 2 — Federal Changes and Initiatives 12018
Management and The Management and Administration (M&A) allowance for
Administration Subrecipients is set at a maximum of 5% for the FY 2018 EMPG.
Indirect Costs Indirect costs are allowable under the FY 2018 EMPG Grant
Award. 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. Part 200, § 200.68, and Subpart E.
Indirect costs are in addition to the M&A allowance, and must be
included in the Grant Award application as a "Project' and
reflected in the FMFW on the Indirect cost category ledger if
being claimed under the award. 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, excluding
equipment expenditures.
Equipment Subrecipients who allocate FY 2018 EMPG funds for equipment
Typing/ are required to type and identify the capability associated with
Identification that equipment. Also, per FEMA policy, the purchase of weapons
and Use and weapon accessories is not allowed with EMPG funds.
Allowable EMPG equipment is listed on the Authorized Equipment
List (AEL) website at https://www.fema.-gov/authorized-equipment-
list.
Expenditures for general purpose equipment are allowable if they
align to and support one or more core capabilities identified in
the NPG, and in addition, are sharable through the Emergency
Management Assistance Compact and allowable under 6 U.S. C.
§ 609. Refer to the FY 2018 NOFO for examples of allowable
general purpose equipment.
- 6 -
Section 2 — Federal Changes and Initiatives 12018
Equipment Use of EMPG funds for maintenance contracts, warranties,
Maintenance/ repair or replacement costs, upgrades, and user fees are
Sustainment allowable as described in FEMA IB 336 and 379.
Small Unmanned All requests to purchase Small Unmanned Aircraft Systems
Aircraft Systems (SUAS) with FEMA grant funding must comply with IB 426 and
include a description of the policies and procedures in place to
safeguard individuals' privacy, civil rights, and civil liberties of the
jurisdiction that will purchase, take title to or otherwise use the
SUAS equipment.
Emergency Subrecipients should maintain a current Emergency Operation
Operations Plan that is aligned with guidelines set out in Comprehensive
Plans Preparedness Guide 101 version 2.0.
Access and Subrecipients conducting major planning projects (including, but
Functional not limited to Evacuation, Mass Care and Shelter, Disaster
Needs Recovery, etc.) should address access and functional needs,
Population including the needs of children, within their planning documents
in order to maintain EMPG eligibility.
Conflict of Subrecipients must disclose to their Program Representative, in
Interest writing, any real or potential conflict of interest as defined by the
Federal, State, Local, or Tribal statutes or regulations, which
may arise during the administration of the EMPG subaward
within five days of learning of the conflict of interest.
7
Section 3 — State Changes and Initiatives 12018
"On Behalf Cal OES may, in conjunction with local approval authorities,
Of" designate funds "on behalf of local entities who choose to decline
or fail to utilize their subaward in a timely manner.
Regional Subrecipients must take a regional approach and consider the
Approach needs of local units of government in the projects and activities
included in their FY 2018 EMPG application.
8
Section 4 — Required State Application Components 12018
Financial The FY 2018 Cal OES FMFW can be accessed at
Management http://www.caloes.ca.gov/cal-oes-divisions/grants-
Forms management/criminal-justice-emergency-management-victim-
Workbook services-grant-programs/emergency-management-performance-
rant and includes:
Grant Subaward Face Sheet— Use the Grant Subaward Face
Sheet to apply for grant programs. The Grant Subaward Face
Sheet must be signed and printed in portrait format.
Authorized Agent Contact Information — Provides the contact
information of any additional Authorized Agents (AA) and staff
related to grant activities. It is recommended more than one person
be designated as the AA so if one AA is not available, a second AA
can sign requests.
Project Ledger— The Project Ledger is used in the application
process to submit funding information and is used for submitting
Cash Requests, Grant Subaward Modifications, and to assist with
completion of the Biannual Strategy Implementation Report (BSIR).
Planning Ledger— Provides detailed information on grant-funded
Planning activities with a final product identified.
Organization Ledger— Provides detailed information on grant-
funded Organizational activities.
Equipment Ledger— It is an EMPG requirement that detailed
information be provided under the equipment description for all
grant-funded equipment. AEL numbers must be included for all
items of equipment. Always refer to the AEL for a list of allowable
equipment and conditions, if any.
Training Ledger— Provides detailed information on grant-funded
Training activities. All training activities must receive Cal OES
approval prior to starting the event, including a Training Feedback
number. The form to obtain a Training Feedback number may be
found at the following link:
https://w3.calema.ca.gov/WebPage/trainreg.nsf/TrainReguest?Ope
nForm
Exercise Ledger— Provides detailed information on grant-funded
Exercises.
M&A Ledger— Provides information on grant-funded M&A
activities.
9
Section 4 — Required State Application Components 12018
Financial Indirect Costs Ledger— Provides information on Indirect Costs.
Management
Forms Consultant-Contractor Ledger— Provides detailed information on
Workbook grant-funded consultants.
Cont.
Personnel Ledger— Provides detailed information on grant-funded
Personnel activities.
Authorized Agent Page —The AA Page must be submitted with
the application, all Cash Requests, and Grant Subaward
Modifications. The AA must include the appropriate signature,
expenditure period, and date.
Subrecipient Per 2 C.F.R. § 200.331, Cal OES is required to evaluate the risk of
Grants noncompliance with federal statutes, regulations, and grant terms
Management and conditions posed by each Subrecipient of pass-through
Assessment funding. The Subrecipient Grants Management Assessment, found
as Attachment B, contains 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.gov/cal-oes-divisions/grants-
management/criminal-justice-emergency-management-victim-
services-grant-programs/emergency-management-performance-
grant.
Narrative Indirect Cost Rate Agreement— If claiming indirect costs at a
Attachments federally-approved rate, please provide a copy of your approved
Indirect Cost Rate Agreement.
FFATA Financial Disclosure — Use the FFATA Financial
Disclosure, referenced as Attachment C, to provide information
required by the Federal Funding Accountability and Transparency
Act of 2006. If your organization is not subject to the FFATA
Financial Disclosure requirements, check the "Not Subject to
FFATA Financial Disclosure" box at the bottom of the page.
Grant The Grant Assurances list the requirements to which the
Assurances Subrecipients will be held accountable. All Applicants will be
required to submit a signed, original of the FY 2018 Grant
Assurances as part of their FY 2018 EMPG application. The
required Grant Assurances can be found only in PDF format on the
Cal OES website.
NOTE: Self-created Grant Assurances will not be accepted.
10
Section 4 — Required State Application Components 12018
Governing The Governing Body Resolution (GBR) appoints AAs (identified by
Body the individual's name or by a position title) to act on behalf of the
Resolution governing body and the Applicant by executing any actions
necessary for each application and subaward. All Applicants are
required to submit a copy of their FY 2018 GBR with their
application. A sample Resolution is found as Attachment D.
Authorized For each person or position appointed by the governing body,
Agent identify the individual in the AA and Contact Information page of the
Information FMFW.
11
Section 5 — The State Application Process 120181
Application Subrecipients must submit an electronic copy of their completed
Submission FMFW to their Program Representative for review. After the
application is approved, a completed hardcopy of the FMFW, along
with all other application components must be mailed, with original
signatures, by the application due date. During the application
process, if it is determined all allocated funds cannot be expended
by the end of the performance period, inform your Program
Representative as soon as possible. The completed application
should be received by Cal OES by no later than November 16,
2018. The FY 2018 EMPG Timeline is referenced as Attachment E.
HAND-DELIVERED APPLICATIONS WILL NOT BE ACCEPTED
Late or Late or incomplete applications may be denied. If an application is
Incomplete incomplete, the Program Representative may request additional
Application information. Requests for late submission of applications must be
made in writing to the Program Representative prior to the
application due date. Cal OES has sole discretion to accept or
reject a late or incomplete grant application. All application
documents requiring an original signature must be mailed in
hardcopy.
EMPG Contact All Subrecipient application materials, questions, comments, and
Information correspondence should be directed to:
California Governor's Office of Emergency Services
ATTN: Grants Management (Building E)
Emergency Management Performance Grants Unit
3650 Schriever Avenue
Mather, CA 95655
Alissa Adams, Chief (916) 845-8415
Patti Delaney (916) 845-8469
Christine So (916) 845-8383
Yer Yang (916) 845-8468
The Program Representative Regional Assignments Map is available
under "Regional Assignments" at: http://www.caloes.ca.gov/cal-oes-
divisions/grants-management/criminal-justice-emergency-management-
victim-services-grant-programs/emergency-management-performance-
rant.
12
Section 5 — The State Application Process 12018
Subaward The Subrecipient will receive written notice of the State's approval
Approval of its Grant Subaward. Subrecipient reimbursements will not be
made until all required application components have been
approved by Cal OES. Grant Subaward letters must be signed and
the original must be returned to Cal OES within 20 days.
Subrecipients should retain a copy of the signed form for their
records.
Section 6 — Post Award Requirements 12018
Payment EMPG is a reimbursement grant; no cash advances are permitted.
Request To request a cash reimbursement of FY 2018 EMPG funds,
Process Subrecipients must first complete a payment request using the
Cal OES FMFW, returning it to the appropriate Program
Representative. Subrecipients who fail to follow the workbook
instructions may experience delays in processing the payment
request.
Payments can only be made if the Subrecipient has submitted a
completed and approved application.
Exercise costs will not be reimbursed until an After Action
Report (AAR) has been posted and access to the AAR has been
granted to your Program Representative.
Modifications Post award budget, scope, and time modifications must be
requested using the Cal OES FMFW V 1.18 signed by the
Subrecipient's AA, and submitted to the Program Representative.
The Subrecipient may implement grant modification activities, and
incur associated expenses, only after receiving written final approval
of the modification from Cal OES.
Training Training activities supported with EMPG Program funds should align
Requirements to NPG core capabilities identified in each Subrecipients Training
and Exercise Plan. Subrecipients must obtain a Training Feedback
Number from Cal OES before beginning any Training activities. This
includes project components like travel to, materials for, or
attendance in training courses. Training Feedback Numbers must
be obtained no later than 30 days before the first day of the training
or related activities. Subrecipients must complete a Training
Request Form and submit it electronically to Cal OES.
For more information on this or other training-related inquiries,
contact the Cal OES Training Branch at (916) 845-8752 or their
website at: http://www.caloes.ca.gov/Cal-OES-Divisions/California-
Specialized-Training-Institute.
All EMPG-funded personnel, including M&A staff, must complete
one of the two following sets of training courses. Proof of completion
of the training requirements must be kept on file by the Subrecipient
and be made available for review upon request. When seeking
approval of non-DHS/FEMA developed courses, course materials
must be submitted with the approval requests. Conditional approvals
are not offered.
14
Section 6 — Post Award Requirements 2018
Training EMPG TRAINING — OPTION 1
Requirements
Cont. 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
IS 120.a Introduction to Exercises
IS 230.d Fundamentals of Emergency Management
IS 235.b 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
EMPG TRAINING — OPTION 2
IS 100 (any version), Introduction to the Incident Command System
(ICS)
IS 700 (any version), National Incident Management System
(NIMS), An Introduction
IS 800 (any version), National Response Framework, An
Introduction
IS 230.d Fundamentals of Emergency Management
E/1-0101, Foundations of Emergency Management
E/1-0102, Science of Disaster
E/1-0103, Planning Emergency Operations
E/1-0104, Exercise Design
15
Section 6 — Post Award Requirements 12018
Training E/L0105, Public Information and Warning
Requirements
Cont. For EMPG-funded personnel who choose Option 2, please report
the employee's full name, name of the training, and the date the
training was completed in your performance report.
In the event that any of the listed courses have been updated and
the required version is no longer available, it is acceptable to take
the updated course in place of the listed course (i.e., since IS-120.a
has been replaced with IS-120.C, the latter may be used in the
place of the original course.) The courses listed above are the
minimum accepted versions for FY 2018 EMPG.
Exercises, Subrecipients should engage stakeholders to identify long-term
Improvement training and exercise priorities. These priorities should address
Plans and capability targets and gaps identified through the annual Threat and
After Action Hazard Identification and Risk Assessment and Stakeholder
Reporting Preparedness Review process, real-world events, previous
exercises, and national areas for improvement identified in the NPR.
Subrecipients must report on all exercises conducted with EMPG
grant funds. An After Action Report (AAR) and Improvement Plan
(IP) or Summary Report (for Seminars & Workshops) must be
completed and submitted to Cal OES within 90 days after the
exercise/seminars/workshops are conducted. It is acceptable to
submit an Exercise Summary Report for Seminars and Workshops
in lieu of a full AAR/IP.
AAR/IPs and Summary Reports should be emailed to:
• Exercise@caloes.ca.gov
• hseep@fema.dhs.gov
• Your Program Representative
All EMPG-funded personnel, including M&A staff, must participate in
three exercises of any type between July 1, 2018 and
June 30, 2019. Extensions to the grant do not apply to this
requirement or its deadline. There is no specific requirement for
level of participation in the exercises and the exercises can be of
any type.
For exercise-related issues and/or questions, please email the
Cal OES Exercise Team at exercise(c")_caloes.ca.gov.
16
Section 6 — Post Award Requirements 12018
Noncompetitive To be eligible for reimbursement, noncompetitive procurements
Procurements exceeding the simplified acquisition threshold require Cal OES prior
written approval. 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 submission. Cal OES may request additional
documentation that supports the procurement effort.
Procurement Effective June 20, 2018, the micro-purchase threshold was
Thresholds increased from $3,500 to $10,000 and the simplified acquisition
threshold was increased from $150,000 to $250,000. These
increases apply to all Subrecipient procurements executed on or
after June 20, 2018. Refer to IB 434 for additional information.
Environmental DHS/FEMA is required to ensure all activities and programs that are
Planning and funded by the agency comply with federal Environmental Planning
Historic and Historic Preservation (EHP) regulations. Subrecipients
Preservation proposing projects or activities (including, but not limited to, training,
exercises, the installation of equipment, and construction or
renovation projects) which have the potential to impact the
environment must participate in the EHP review process. EHP
Screening Memos must include detailed project information and
explain the goals and objectives of the proposed project, and
include supporting documentation. DHS/FEMA may also require the
Subrecipient 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
Program Representative will provide you with additional instructions
should this report be required. EHP requests should be submitted to
Cal OES as early as possible. All projects/activities triggering EHP
must receive DHS/FEMA written approval prior to commencement
of the funded activity.
The EHP Screening Form is at: http://www.caloes.ca.gov/cal-oes-
divisions/grants-management/criminal-justice-emergency-
management-victim-services-grant-programs/emergency-
management-performance-grant.
Updated information on Grants Program Directorate (GPD) EHP
FEMA Policy #108-023-1 can be accessed at:
http://www.fema.gov/qrant-programs-directorate-policy.
17
Section 6 — Post Award Requirements 12018
Construction When applying for construction funds, including communications
and towers, at the time of application, Subrecipients must submit
Renovation evidence of approved zoning ordinances, architectural plans, any
other locally required planning permits, and a notice of federal
interest. Additionally, Subrecipients are required to submit a SF-
424C Budget and Budget Detail that cites the project costs.
Communications tower construction requests also require evidence
the Federal Communications Commission's Section 106 review
process has been completed.
Written approval for construction must be provided by
DHS/FEMA prior to the use of any EMPG funds for construction
or renovation.
Inventory FY 2018 EMPG Subrecipients must use standardized resource
Control and management concepts for resource typing and credentialing, in
Property addition to maintaining an inventory by which to facilitate the
Management effective identification, dispatch, deployment, tracking and recovery
of resources.
Subrecipients must have an effective inventory management
system, to include:
• Property records that document description, serial number or
other ID, title information, acquisition date, cost, location, use
and condition, and ultimate disposition;
• Conducting a physical inventory at least every two years;
• A control system to prevent loss, damage, and theft of grant
purchased equipment and supplies; and
• Adequate maintenance procedures must be developed to keep
the property in good condition.
Equipment When original or replacement equipment acquired under the EMPG
Disposition is no longer needed for program activities, the Subrecipient must
contact the Program Representative to request disposition
instructions.
Performance Subrecipients must complete a BSIR each Winter and Summer
Reporting using the DHS/FEMA Grants Reporting Tool (GRT) for the duration
of the subaward performance period or until all grant activities are
completed and the subaward is formally closed by Cal OES. Failure
to submit a BSIR could result in subaward reduction, termination, or
suspension.
To obtain access to the online GRT, please log on the DHS/FEMA
website at https://www.reporting.odp.dhs.gov. To create a new
18
Section 6 — Post Award Requirements 12018
Performance account, please follow the instructions that read, "If you need to
Reporting register for an account, please click here." The Subrecipient will be
Cont. required to ensure up-to-date project information is entered. For
additional assistance with the GIRT, please contact your Program
Representative.
Extension Extensions to the initial performance period identified in the
Requests subaward will only be considered through formal, written requests to
your Program Representative. Upon receipt of the extension
request, Cal OES will:
1. Verify compliance with performance reporting requirements by
confirming the Subrecipient has submitted all necessary
performance reports;
2. Confirm the Subrecipient has provided sufficient justification for
the request; and
3. If applicable, confirm the Subrecipient has demonstrated
sufficient progress in past situations where an extension was
authorized by Cal OES.
Extension requests will be granted only due to compelling legal,
policy, or operational challenges, and will only be considered for the
following reasons:
1. Contractual commitments with vendors that prevent completion
of the project within the performance period;
2. The project must undergo a complex environmental review which
cannot be completed within this timeframe;
3. Projects are long-term by design and therefore, acceleration
would compromise core programmatic goals, and
4. Where other special circumstances exist.
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. All extension requests must address
the following.-
1. Grant program, fiscal year, and award number;
2. Reason for delay;
3. Current status of the activity/activities;
4. Approved performance period termination date and new project
completion date;
5. Amount of funds drawn down to date;
6. Remaining available funds, both federal and non-federal;
7. Budget outlining how remaining federal and non-federal funds
19
Section 6 — Post Award Requirements 12018
Extension will be expended;
Requests 8. Plan for completion, including milestones and timeframes for
Cont. each milestone and the position/person responsible for
implementing the plan for completion; and
9. Certification that the activity/activities will be completed within the
extended performance period without any modification to the
original Statement of Work.
General questions regarding extension requirements should be
directed to your Program Representative. For additional information,
please see IB 379 at: https://www.fema.gov/pdf
/qovernment/grant/bulletins/info379.pdf. Extension requests for
personnel and salaries do not meet the requirements of IB 379 and
will not be granted. Subrecipients are expected to complete all grant
funded personnel activity by the end of the subaward performance
period.
Progress All Subrecipients that receive Cal OES approval to extend their
Reports on FY 2018 grant subaward performance period may be required to
Grant submit progress reports indicating completed and future project
Extensions milestones on all extended projects. Progress reports must be
submitted electronically to the Program Representative. Deadlines
for the submission of progress reports will be established at the time
of extension approval.
Monitoring Cal OES Grants Monitoring actively monitors Subrecipients, both
through desk and on-site field reviews. Monitoring is based on the
cost principals and administrative requirements addressed in Local,
State, and Federal controlling authority, in addition to applicable
financial guidelines. Reviews may include, but are not limited to:
• Entries recorded on the FMFW categories;
• Eligibility of and support for expenditures, typically covering two
to three years of data;
• Comparing actual Subrecipient activities to those approved in the
grant application and subsequent modifications, including the
review of timesheets as appropriate,-
Ensuring advances have been disbursed in accordance with
applicable guidelines;
• Confirming compliance with:
o Grant Assurances, and
o Information provided on performance reports and payment
requests.
NOTE: It is the responsibility of all Subrecipients that pass through
funds to monitor and audit the grant activities of their subawards.
20
Section 6 — Post Award Requirements 12018
Monitoring This requirement includes, but is not limited to, on-site verification
Cont. of grant activities, as required. Many Subrecipients receive "findings"
which necessitate a Corrective Action Plan (CAP) on
their part. Those Subrecipients who fail to submit a CAP as required
shall have a "hold" placed on any future reimbursements until the
"finding" is resolved.
Failure to Periodic reporting is required by the grant. Subrecipients who miss a
Submit single reporting deadline may receive a letter addressed to their
Required Board of Supervisors informing them of the failure to report. County
Reports OAs and Tribes who fail to report twice in a row may have
subsequent awards reduced by 10% until timely reporting is
reestablished.
Suspension/ Cal OES may suspend or terminate grant funding, in whole or in
Termination part, or other measures may be imposed for any of the following
reasons:
• Failure to submit required reports.
• Failure to expend funds in a timely manner consistent with the
grant milestones, guidance and assurances.
• Failure to comply with the requirements or statutory progress
toward the goals or objectives of federal or state law.
• Failure to make satisfactory progress toward the goals or
objectives set forth in the Subrecipient application.
• Failure to follow grant agreement 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.
• False certification in the application or document.
• Failure to adequately manage, monitor or direct the grant funding
activities of their Subrecipients.
Before taking action, Cal OES will provide the Subrecipient
reasonable notice of intent to impose corrective measures and will
make every effort to informally resolve the problem.
Closeout Cal OES will close-out Subrecipient awards when it determines all
applicable administrative actions and all required work of the federal award
have been completed. Subawards will be closed after:
• Receiving any applicable Subrecipient Performance Report
indicating all approved work has been completed, and all funds
have been distributed;
• All funds have been requested and reimbursed, or
21
Section 6 — Post Award Requirements 12018
Closeout . disencumbered;
Cont. . Completing a review to confirm the accuracy of reported
information;
• Reconciling actual costs to subawards, modifications and
payments; and
• Verifying the Subrecipient has submitted a final BSIR showing all
grant funds have been expended.
Records The records retention period is three years from the date of the
Retention subrecipient's final BSIR submittal showing all grant funds have
been expended. The Cal OES Grant Closeout Letter will notify the
Subrecipient of the start of the records retention period for all
programmatic and financial grant-related records. If the SAA award
remains open after the Subrecipient's Submission of the final BSIR,
Cal OES will complete any additional BSIR reporting required under
the award on behalf of the Subrecipient. Closed grants may still be
monitored and audited. Failure to maintain all grant records for the
required retention period could result in a reduction of grant funds,
and an invoice to return costs associated with the unsupported
activities.
22
Attachment A - FY 2018 EMPG Allocations 12018
Emergency Management Performance Grant (EMPG)
Operational Area Population Base Per Capita Total Award
Amount Total
ALAMEDA 1,660,202 $125,000 $335,021 $460,021
ALPINE 1,154 $125,000 $233 $125,233
AMADOR 38,094 $125,000 $7,687 $132,687
BUTTE 227,621 $125,000 $45,933 $170,933
CALAVERAS 45,157 $125,000 $9,112 $134,112
COLUSA 22,098 $125,000 $4,459 $129,459
CONTRA COSTA 1,149,363 $125,000 $231,936 $356,936
DEL NORTE 27,221 $125,000 $5,493 $130,493
ELDORADO 188,399 $125,000 $38,018 $163,018
FRESNO 1,007,229 $125,000 $203,254 $328,254
GLENN 28,796 $125,000 $5,811 $130,811
HUMBOLDT 136,002 $125,000 $27,445 $152,445
IMPERIAL 190,624 $125,000 $38,467 $163,467
INYO 18,577 $125,000 $3,749 $128,749
KERN 905,801 $125,000 $182,786 $307,786
KINGS 151,662 $125,000 $30,605 $155,605
LAKE 65,081 $125,000 $13,133 $138,133
LASSEN 30,911 $125,000 $6,238 $131,238
LOS ANGELES 10,283,729 $125,000 $2,075,209 $2,200,209
MADERA 158,894 $125,000 $32,064 $157,064
MARIN 263,886 $125,000 $53,251 $178,251
MARIPOSA 18,129 $125,000 $3,658 $128,658
MENDOCINO 89,299 $125,000 $18,020 $143,020
MERCED 279,977 $125,000 $56,498 $181,498
MODOC 9,612 $125,000 $1,940 $126,940
MONO 13,822 $125,000 $2,789 $127,789
MONTEREY 443,281 $125,000 $89,452 $214,452
NAPA 141,294 $125,000 $28,512 $153,512
NEVADA 99,155 $125,000 $20,009 $145,009
ORANGE 3,221,103 $125,000 $650,004 $775,004
PLACER 389,532 $125,000 $78,606 $203,606
PLUMAS 19,773 $125,000 $3,990 $128,990
RIVERSIDE 2,415,955 $125,000 $487,529 $612,529
SACRAMENTO 1,529,501 $125,000 $308,646 $433,646
SAN BENITO 57,088 $125,000 $11,520 $136,520
SAN BERNARDINO 2,174,938 $125,000 $438,892 $563,892
SAN DIEGO 3,337,456 $125,000 $673,483 $798,483
SAN FRANCISCO 883,963 $125,000 $178,380 $303,380
SAN JOAQUIN 758,744 $125,000 $153,111 1 $278,111
Attachment A - FY 2018 EMPG Allocations 12018
SAN LUIS OBISPO 280,101 $125,000 $56,523 $181,523
SAN MATEO 774,155 $125,000 $156,221 $281,221
SANTA BARBARA 453,457 $125,000 $91,506 $216,506
SANTA CLARA 1,956,598 $125,000 $394,832 $519,832
SANTA CRUZ 276,864 $125,000 $55,870 $180,870
SHASTA 178,271 $125,000 $35,974 $160,974
SIERRA 3,207 $125,000 $647 $125,647
SISKIYOU 44,612 $125,000 $9,003 $134,003
SOLANO 439,793 $125,000 $88,748 $213,748
SONOMA 503,332 $125,000 $101,570 $226,570
STANISLAUS 555,624 $125,000 $112,122 $237,122
SUTTER 97,238 $125,000 $19,622 $144,622
TEHAMA 64,039 $125,000 $12,923 $137,923
TRINITY 13,635 $125,000 $2,752 $127,752
TULARE 475,834 $125,000 $96,021 $221,021
TUOLUMNE 54,740 $125,000 $11,046 $136,046
VENTURA 859,073 $125,000 $173,357 $298,357
YOLO 221,270 $125,000 $44,651 $169,651
YUBA 74,727 $125,000 $15,080 $140,080
TRIBAL NATIONS 362,801 $125,000 $73,212 $198,212
TOTAL 40,172,494 1 $7,375,000 1 $8,106,623 $15,481,623
Attachment B — Subrecipient Grants Management Assessment 12018
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The attached form in PDF fellable format is available for download at.
https://www.caIoes.ca.gov/cl-oes-divisions/qrants-management/homeland-security_
prop-1b-grant-programs/homeland-security-grants-pro ram
Attachment C — FFATA Financial Disclosure 12018
Federal Funding Accountability and Transparency Act (FFATA)
Financial Disclosure
Public Law (PL) 109-282 Federal Funding Accountability and Transparency Act of 2006,
amended by Section 6202(a) of the Government Funding Transparency Act of 2008
(PL 110-252), which is outlined in FEMA GPD information Bulletin No. 350.
If the Subrecipient in the preceding year received 80 percent or more of its annual
gross revenues in federal Awards; and $25,000,000 or more in annual gross
revenues from federal awards, and the public does not have access to information
about the compensation of the senior executives of the entity, then the Subrecipient
is subject to the FFATA Financial Disclosure requirements, and will need to fill
out this form.
Executive Name Title Annual Sala Annual Dollar Total
Salary Value of Benefits Compensation
Not Subiect to FFATA Financial Disclosure
Printed Name and Title
Signature of Authorized Agent
Date
Attachment D — Sample Governing Body Resolution 12018
BE IT RESOLVED BY THE
(Governing Body)
OF THE THAT
(Name of Applicant)
OR
(Name or Title of Authorized Agent)
OR
(Name or Title of Authorized Agent)
(Name of Title of Authorized Agent)
is hereby authorized to execute for and on behalf of the named Applicant, a
public entity established under the laws of the State of California, any actions
necessary for the purpose of obtaining federal financial assistance provided by
the federal Department of Homeland Security and subgranted through the State
of California for the following Grant Award:
(List Grant Year and Program)
Passed and approved this day of , 20
Certification
I, duly appointed and
(Name)
Of the
(Title) (Governing Body)
do hereby certify that the above is a true and correct copy of a resolution passed and
approved by the
day of ,20
(Official Position)
(Signature) (Date)
Attachment E — FY 2018 EMPG Timeline 12018
DHS Announcement of FY 2018 EMPG NOFO May 21, 2018
Cal OES Application due to DHS June 20, 2018
Subrecipient performance period begins July 1, 2018
FY 2018 EMPG California Supplement release September 2018*
Subrecipient Workshops October 2018*
Multi Year-Training and Exercise Plans due September 30, 2018
Subrecipient Final Applications due to Cal OES November 16, 2018*
Submission of the FY 2018 EMPG Performance October 16, 2018
Report for the period of 7/1/18 — 9/30/18
All FY 2018 EMPG EHP-related documents December 31, 2018
must be received by Program Representative
Submission of the FY 2018 EMPG Performance January 16, 2019
Report for the period of 7/1/18 — 12/31/18
Submission of the FY 2018 EMPG Performance April 16, 2019
Report for the period of 7/1/18 — 3/31/19
Subrecipient performance period ends June 30, 2019
Submission of the FY 2018 EMPG Performance July 20, 2019
Report for the period of 7/1/18 — 6/30/19
Final Request for Reimbursement due Within 20 calendar days of the
subaward expiration date
Cal OES's performance period ends September 30, 2019
* These dates are approximate and based on anticipated date of DHS award to
California
Attachment F — FY 2018 EMPG Program Checklist 2018
Subrecipient: FIPS#:
Program
Representative:
Financial Management Forms Workbook:
Grant Subaward Face Sheet
Authorized Agent and Contact
Project Descriptions
Project Ledger
Planning Ledger
Organization Ledger
Equipment Ledger
Training Ledger
Exercise Ledger
Management and Administration Ledger
Indirect Cost Ledger
Consultant-Contractor Ledger
Personnel Ledger
Match Ledger
Indirect Cost Rate Summary
Authorized Agent Sheet
Required Documents.-
Environmental Planning and Historic Preservation (EHP) Screening Form
FFATA Financial Disclosure
Governing Body Resolution
Subrecipient Grants Management Assessment form
2018 EMPG Grant Assurances
Indirect Cost Rate Agreement (If Applicable)
� v
* -' Cal OES
C. 'j,q v GOVERNOR'S OFFICE
-' OF EMERGENCY 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.
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 (C.F.R.). 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, and
(d) The official executing this agreement is, in fact, authorized to do so.
This Proof of Authority must be maintained on file and readily available upon request.
Emergency Management Performance Grant Program(EMPG)-2017 Grant Assurances Page IQf 11
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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 United States 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 i
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 C.F.R. §200.212 and codified in 2 C.F.R.
Part 180, Debarment and Suspension, the Applicant will provide protection against waste, fraud, ;
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, subgrantees, recipients or i
subrecipients:
Emergency Management Performance Grant Program(EMPG)-2017 Grant Assurances Page 2 9f 11
Initials
(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 Vlll 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 as implemented by the
Department of Housing and Urban Development at 24 C.F.R. Part 100. The prohibition on
disability discrimination includes the requirement that new multifamily housing with four or
more dwelling units—i.e., the public and common use areas and individual apartment units j
Emergency Management Performance Grant Program(EMPG)-2017 Grant Assurances Page 3of 11
Illy cy
(all units in buildings with elevators and ground-floor units in buildings without elevators)—
be designed and constructed with certain accessible features(See 24 C.F.R. § 100.201);
(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;
(1) Executive Order 11375, which bans discrimination on the basis of race, color, religion, sex,
sexual orientation, gender identification, or national origin in hiring and employment in both i
the United States federal workforce and on the part of government contractors; j
Q) California Public Contract Code§ 10295.3,which prohibits discrimination based on
domestic partnerships and those in same sex marriages;
(k) DHS policy to ensure the equal treatment of faith-based organizations, under which all
applicants and recipients must comply with equal treatment policies and requirements
contained in 6 C.F.R. Part 19;
(1) Any other nondiscrimination provisions in the specific statute(s) under which application for
federal assistance is being made; and
(m)The requirements of any other nondiscrimination statute(s)which may apply to the
application.
In addition to the items listed in (a) through (m), the Applicant will comply with California's Fair
Employment and Housing Act (FEHA). FEHA prohibits harassment and discrimination in
employment because of ancestry, familial status, 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- f
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);
Emergency Management Performance Grant Program(EMPG)-2017 Grant Assurances Page 4 of 11
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(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;
(e) Institution of environmental quality control measures under the National Environmental
Policy Act(NEPA)of 1969 (P.L. 91-190); the Council on Environmental Quality Regulations i
for Implementing the Procedural Provisions of NEPA; and 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) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988;
(g) Executive Order 11514 which sets forth national environmental standards;
(h) 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 11990 which requires preservation of wetlands;
(1) The Safe Drinking Water Act of 1974, (P.L. 93-523);
Q) The Endangered Species Act of 1973, (P.L. 93-205);
(k) Assurance of project consistency with the approved state management program developed
under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451 et seq.);
(1) Conformity of Federal Actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et seq.);
(m)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 C.F.R. § 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.
i
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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. 1
i
11. Financial Management
False Claims for Payment
The Applicant will comply with 31 U.S.0 §§ 3729-3733 which sets forth that no subgrantee,
recipient, or subrecipient shall submit a false claim for payment, reimbursement or advance.
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 C.F.R. Part 25 Financial
Assistance Use of Universal Identifier and Central Contractor Registration and 2 C.F.R. 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) 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, and a
(b) The Federal Fair Labor Standards Act (29 U.S.C. § 201 et al.)as they apply to employees of j
institutes of higher learning (IHE), hospitals and other non-profit organizations. j
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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 at all times during the 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: i
(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;
(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), Executive Order 11593
(identification and protection of historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. §469a-1 et seq.); and
(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; and
(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
Emergency Management Performance Grant Program(EMPG)-2017 Grant Assurances Page 7 of 1A
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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. California Public Records Act and 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 Records 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.
EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM - PROGRAM SPECIFIC
ASSURANCES 1 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 for
Civil Rights and Civil Liberties (CRCL) by e-mail at CRCL(a),hg.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 courts or administrative agencies make a finding of discrimination on grounds of race, color,
national origin (including LEP), sex, age, disability, religion, or familial status against the recipient,
or the recipients settle 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 by e-mail or
mail at the addresses listed above.
The United States has the right to seek judicial enforcement of these obligations.
22.Acknowledgment of Federal Funding from DHS
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.
23.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.
Emergency Management Performance Grant Program(EMPG)-2017 Grant Assurances Page 8�f 11
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24. 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 PII are required to have a publically-available privacy policy
that describes standards on the usage and maintenance of PII they collect. Recipients may also
find the DHS Privacy Impact Assessments: Privacy Guidance and Privacy template a useful
resource respectively.
25. Copyright
All recipients must affix the applicable copyright notices of 17 U.S.C. §§401 or 402 and an
acknowledgement of U.S. Government sponsorship (including the award number) to any work first
produced under federal financial assistance awards.
26. Duplication of Benefits
Any cost allocable to a particular federal financial assistance award provided for in 2 C.F.R. Part
200, Subpart E may not be charged to other federal financial assistance awards to overcome fund
deficiencies, to avoid restrictions imposed by federal statutes, regulations, or federal financial
assistance award terms and conditions, or for other reasons. However, these prohibitions would not
preclude recipients from shifting costs that are allowable under two or more awards in accordance
with existing federal statutes, regulations, or the federal financial assistance award terms and
conditions.
27. 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.
28. 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.
29. Fly America Act of 1974
All recipients 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.
30. Hotel and Motel Fire 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.
Emergency Management Performance Grant Program(EMPG)-2017 Grant Assurances Page 9 of 11
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31. Non-supplanting Requirement
All recipients who receive federal financial assistance 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.
32. 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.
33. SAFECOM
All recipients who receive federal financial assistance awards made under programs that provide
emergency communication equipment and its related activities must comply with the SAFECOM
Guidance for Emergency Communication Grants, including provisions on technical standards that
ensure and enhance interoperable communications.
34.Terrorist Financing
All recipients 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. Recipients are legally responsible to ensure compliance with the Order and laws.
35. Reporting of Matters Related to Recipient Integrity and Performance
If the total value of the recipient's currently active grants, cooperative agreements, and procurement
contracts from all federal assistance offices exceeds $10,000,000 for any period of time during the
period of performance of this federal financial assistance award, you 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 award terms and conditions.
36. 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.
37. Use of DHS Seal, Logo, and Flags
All recipients must obtain permission from their DHS 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.
Emergency Management Performance Grant Program(EMPG)-2017 Grant Assurances Page 10 of 11
Initials._ __
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. All recipients are bound by the Department of Homeland Security Standard
Terms and Conditions 2017, Version 7.1, hereby incorporated by reference, which can be found at:
https://www.dhs.gov/publication/fvl 5-dhs-standard-terms-and-conditions.
The undersigned represents that he/she is authorized to enter into this agreement for and on
behalf of the Applicant.
Subrecipient: L�n,� c,�: —„�,-r /��_�-�.
Signature of Authorized Agent:
Printed Name of Authorized Agent: M'-'t z.Title: Date:
� u n l-�7:St�—t P_�I�.c�,� [:c7:�R 4� r��•o i>C, �� >
Date:
Emergency Management Performance Grant Program(EMPG)-2017 Grant Assurances Page 11 of 11
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