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HomeMy WebLinkAboutST. JOSEPH HOSPITAL OF ORANGE (2) - 2008JUL 21 Z~~ ~~. CMG ~ /~t-t,arlorr~ ~~) Agreement Number:EMF-2007-PC-0004 - A AGREEMENT FOR REIMBURSEMENT OF COSTS FOR FY07 PRE-DISASTER MITIGATION PROJECTS BETWEEN THE CITY OF SANTA ANA AND ST. JOSEPH HOSPITAL OF ORANGE THIS AGREEMENT is made and entered into this 3`~ day of March, 2008, by and between the CITY OF SANTA ANA, a municipal corporation (the "CITY,"), and SAINT JOSEPH HOSPITAL OF ORANGE ("ST. JOSEPH"). WITNESSETH WHEREAS, CITY as an authorized applicant for FY07-Pre-Disaster Mitigation ("PDM") Grant funds, acting on behalf of ST. JOSEPH, has applied for, received and accepted a grant entitled "FY07 Pre-Disaster Mitigation Competitive Program" from the Federal Emergency Management Agency ("FEMA"), through the State of California Office of Emergency Services ("OES"), hereafter referred to as "the Grant"; and WHEREAS, the PDM Grant funds shall be utilized to fund seismic strengthening mitigation projects planned for the Hospital's Main Building (PDM 07, OES #PJ06, FEMA #0003), which ST. JOSEPH has determined is a private ("i.e. non-public") construction work (hereinafter "said Project"); and WHEREAS, FEMA awarded FY07 PDM Grants of $3,000,000, for said Project ("Grant Funds") to the CITY, on behalf of ST. JOSEPH ;and WHEREAS, this financial assistance is administered by the CITY and is overseen by the California Office of Emergency Services (OES); and WHEREAS, the CITY and ST. JOSEPH now desire to provide a method to distribute FY07 PDM Grant Funds, as further detailed in this Agreement ("Agreement") to St. Joseph Hospital of Orange. A-2008-205- NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS: INTRODUCTION §101. Parties to the Agreement The parties to this Agreement are: A. The City of Santa Ana ("CITY"), a municipal corporation, having its principal office at 20 Civic Center Plaza, Santa Ana, CA 92702; and B. St. Joseph Hospital of Orange ("ST. JOSEPH"), having its principal office at c/o St. Joseph Health System, Construction Division, 1 Centerpointe Drive, Suite 200, La Palma, CA 90623, Attn: Assistant Vice President, Construction Division. §102. Representatives of the Parties and Service of Notices A. The representatives of the respective parties who are authorized to administer this Agreement and to whom formal notices, demands and communications shall be given are as follows: 1. The representative of the CITY shall be, unless otherwise stated in the Agreement: Alma Flores City Managers Office 20 Civic Center Plaza Santa Ana, CA 92702 Fax: (714) 647-6954 With a courtesy copy to: Clerk of the Council City of Santa Ana 20 Civic Center Plaza Santa Ana, CA. 92702 Fax: (714) 647-6956 2. The representative of ST. JOSEPH shall be: Charles Queen Assistant Vice President, Construction Division St. Joseph Health System 1 Centerpointe Drive, Suite 200 La Palma, CA 90623 2 With a courtesy copy to: Donna Campbell St. Joseph Health System 1 Centerpointe Drive, Suite 200 La Palma, CA 90623 B. Formal notices, demands and communications to be given hereunder by either party shall be made in writing and may be effected by personal delivery or by registered or certified mail, postage prepaid, return receipt requested and shall be deemed communicated as of the date of mailing. C. If the name of the person designated to receive the notices, demands or communications or the address of such person is changed, written notice shall be given, in accord with this section, within five (5) business days of said change. §103. Independent Party ST. JOSEPH is acting hereunder as an independent party, and not as an agent or employee of the CITY. No employee of ST. JOSEPH is, or shall be an employee of the CITY by virtue of this Agreement, and ST. JOSEPH shall so inform each employee organization and each employee who is hired or retained under this Agreement. ST. JOSEPH shall not represent or otherwise hold out itself or any of its directors, officers, partners, employees, or agents to be an agent or employee of the CITY. §104. Conditions Precedent to Execution of This Aareement a. ST. JOSEPH shall provide signed copies of the Grant Assurances in accordance with section 412C of this Agreement, attached hereto as Exhibit A and made part hereof. It is understood that these Grant Assurances are intended for multiple grant types, and that assurances are only to the extent any assurance is applicable to said Project and required by the granting authority. CITY does not independently require such assurance. b. ST. JOSEPH acknowledges that the funds provided pursuant to this Agreement are not sufficient to complete sai ject. ST. JOSEPH has matching funds required to complete said Project ~~~ ~- c. ST. JOSEPH shall comply fully with the provisions of the FY07 Pre-Disaster Mitigation Grant Program, including those provisions set forth in Agreement Number EMF-2007-PC-004, attached hereto as Exhibit B and incorporated by reference, and Grant Administration Procedures provided by the Governor's Office of Emergency Services, attached hereto as Exhibit C, and incorporated by reference. II. TERM AND SERVICES TO BE PROVIDED §201. Time of Performance The term of this Agreement shall commence on March 3, 2008 and end on 3 January 9, 2011 or upon the final disbursement of all of the Grant Amount (as defined in Section 301) and any additional period of time as is required to complete any necessary close out activities. Said term is subject to the provisions herein. §202. Use of Grant Funds This Grant Agreement is for the administration and completion of the approved Pre-Disaster Mitigation Project, described as seismic strengthening mitigation planned for the Hospital's Main Building (PDM 07, OES #PJ06, FEMA #0003), as set forth in the Grant Application package, and made a part of this Agreement. A. CITY shall reimburse ST. JOSEPH up to $3,000,000 for said Project, for authorized costs and expenses, less administration fees recoverable by CITY, in accordance with grant guidelines. ST. JOSEPH has paid or will pay all costs in excess of $3,000,000 for said Project, for an estimated total additional cost to ST. JOSEPH of $10,464,659, for Project FEMA #0003. B. ST. JOSEPH shall provide any reports requested by the CITY regarding the performance of the Agreement. Reports shall be in the form requested by the CITY, and shall be provided in a timely manner. C. Any Project costs paid pursuant to this Agreement shall conform to the guidelines as listed in FY 2007 Pre-Disaster Mitigation Grant Program, as set forth above. III. PAYMENT §301. Payment of Grant Funds and Method of Payment A. ST. JOSEPH shall provide quarterly invoices and all supporting documentation to the CITY. Each reimbursement request shall be accompanied by a detailed invoice evidencing the expenditures made by ST. JOSEPH as authorized by Section 202 above. For all costs and expenses for which ST. JOSEPH is requesting reimbursement, all appropriate back-up documentation must be attached to the reimbursement form, including contracts, invoices, notices of completion and acceptance of project. B. Payment of final invoice shall be withheld by the CITY until ST. JOSEPH has turned in all supporting documentation and completed the requirements of this Agreement. C. It is understood that the CITY is acting as apass-through agency only and makes no commitment to fund this Agreement beyond the terms set forth herein. D. Funding for all periods of this Agreement is subject to the continuing availability of federal funds for this program. The Agreement may be terminated immediately upon written notice to ST. JOSEPH of a loss or reduction of federal grant funds. 4 Iv STANDARD PROVISIONS §401. Construction of Provisions and Titles Herein All titles or subtitles appearing herein have been inserted for convenience and shall not be deemed to affect the meaning or construction of any of the terms or provisions hereof. The language of this Agreement shall be construed according to its fair meaning and not strictly for or against either party. §402. Applicable Law, Interpretation and Enforcement Each party's performance hereunder shall comply with all applicable laws of the United States of America, the State of California, and the CITY. This Agreement shall be enforced and interpreted under the laws of the State of California and the CITY. If any part, term or provision of this Agreement shall be held void, illegal, unenforceable, or in conflict with any law of a federal, state or local government having jurisdiction over this Agreement, the validity of the remaining portions of provisions shall not be affected thereby. §403. Integrated Agreement This Agreement sets forth all of the rights and duties of the parties with respect to the subject matter hereof, and replaces any and all previous agreements or understandings, whether written or oral, relating thereto. This Agreement may be amended only by a written instrument executed by both parties hereto. §404. Excusable Delavs In the event that performance on the part of any party hereto shall be delayed or suspended as a result of circumstances beyond the reasonable control and without the fault and negligence of said party, none of the parties shall incur any liability to the other parties as a result of such delay or suspension. Circumstances deemed to be beyond the control of the parties hereunder shall include, but not be limited to, acts of God or of the public enemy; insurrection; acts of the Federal Government or any unit of State or Local Government in either sovereign or contractual capacity; fires; floods; epidemics; quarantine restrictions; strikes, freight embargoes or delays in transportation; to the extent that they are not caused by the party's willful or negligent acts or omissions and to the extent that they are beyond the party's reasonable control. §405. Breach Except for excusable delays, if any party fails to perform, in whole or in part, any promise, covenant, or agreement set forth herein, or should any representation made by it be untrue, any aggrieved party may avail itself of all rights and remedies, at law or equity, in the courts of law. Said rights and remedies are cumulative of those provided for herein except that in no event shall any party recover more than once, suffer a penalty or forfeiture, or be unjustly compensated. §406. Prohibition Against Assignment or Delegation ST. JOSEPH may not, unless it has first obtained the written permission of the CITY: A. Assign or otherwise alienate any of its rights hereunder, including the right to payment; or B. Delegate, subcontract, or otherwise transfer any of its duties hereunder. §407. Permits ST. JOSEPH and its officers, agents and employees shall obtain and maintain all permits and licenses necessary for performance hereunder and shall pay any fees required therefore. ST. JOSEPH further certifies to immediately notify the CITY of any suspension, termination, lapses, non renewals or restrictions of licenses, certificates, or other documents. §408. Nondiscrimination ST. JOSEPH shall comply with the applicable nondiscrimination provisions of the laws of the United States of America, the State of California, and the City. In performing this Agreement, ST. JOSEPH shall not discriminate in its employment practices against any employee or applicant for employment because of such person's race, religion, national origin, ancestry, sex, sexual orientation, age, physical handicap, mental disability, marital status, domestic partner status or medical condition. Any subcontract entered into by the ST. JOSEPH relating to this Agreement, to the extent allowed hereunder, shall be subject to the provisions of this § 408. §409. Indemnification ST. JOSEPH agrees to and shall indemnify and hold harmless the CITY, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including health, and claims for property damage, which may arise from the direct or indirect operations of ST. JOSEPH or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. ST. JOSEPH further agrees to indemnify, hold harmless, and pay all costs for the defense of the CITY, including fees and 6 costs for special counsel to be selected by the CITY, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. CITY may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding anything to the contrary set forth in this Section 409 (Indemnification), ST. JOSEPH's indemnification obligations hereunder shall not extend to CITY's negligent or willful misconduct. §410. Conflict of Interest A. ST. JOSEPH covenants that none of its directors, officers, employees, or agents shall participate in selecting, or administrating any subcontract supported (in whole or in part) by Federal funds where such person is a director, officer, employee or agent of the subcontractor; or where the selection of subcontractors is or has the appearance of being motivated by a desire for personal gain for themselves or others such as family business, etc.; or where such person knows or should have known that: 1. A member of such person's immediate family, or domestic partner or organization has a financial interest in the subcontract; 2. The subcontractor is someone with whom such person has or is negotiating any prospective employment; or 3. The participation of such person would be prohibited by the California Political Reform Act, California Government Code §87100 et seq. if such person were a public officer, because such person would have a "financial or other interest" in the subcontract. B. ST. JOSEPH further covenants that no officer, director, employee, or agent shall solicitor accept gratuities, favors, anything of monetary value from any actual or potential subcontractor, supplier, a party to a sub agreement, (or persons who are otherwise in a position to benefit from the actions of any officer, employee, or agent). C. ST. JOSEPH warrants that it has not paid or given and will not pay or give to any third person any money or other consideration for obtaining this Agreement. D. ST. JOSEPH covenants that no member, officer or employee of ST. JOSEPH shall have an interest, direct or indirect, in any contract or subcontract or the proceeds thereof for work to be performed in connection with this project during his/her tenure as such employee, member or officer or for one year thereafter. §411. Restriction on Disclosures Any reports, analysis, studies, drawings, information, or data generated as a result of this Agreement are to be governed by the California Public Records Act (California Government Code Sec. 6250 et seq.). 7 §412. Statutes and Regulations Applicable To All Grant Contracts A. Only to the extent required by the granting authority, ST. JOSEPH shall comply with all applicable requirements of state, federal, county and city laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this Agreement. ST. JOSEPH shall comply with state and federal laws and regulations pertaining to labor, wages, hours, and other conditions of employment. ST. JOSEPH shall comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement. These requirements include, but are not limited to: Americans with Disabilities Act ST JOSEPH hereby certifies that it will comply with the Americans with Disabilities Act 42, USC §§ 12101 et sea., and its implementing regulations. ST. JOSEPH will provide reasonable accommodations to allow qualified individuals with disabilities to have access to and to participate in its programs, services and activities in accordance with the provisions of the Americans with Disabilities Act. ST. JOSEPH will not discriminate against persons with disabilities nor against persons due to their relationship to or association with a person with a disability. Any subcontract entered into by ST JOSEPH, relating to this Agreement, to the extent allowed hereunder, shall be subject to the provisions of this paragraph. 2. Records Inspection Subject to all applicable provisions of Federal and State law regarding privacy and confidentially, at any time during normal business hours and as often as the CITY, the U.S. Comptroller General and/or the Auditor General of the State of California may deem necessary, ST. JOSEPH shall make available for examination all of its records with respect to all matters covered by this Agreement. The CITY, the U.S. Comptroller General and/or the Auditor General of the State of California shall have the authority to audit, examine and make excerpts or transcripts from records, including ST. JOSEPH'S invoices, materials, payrolls, records of personnel, conditions of employment and other data relating to all matters covered by this Agreement. ST. JOSEPH agrees to provide any reports requested by the CITY regarding performance of the Agreement. 3. Records Maintenance Records, in their original form, shall be maintained in accordance with requirements prescribed by the CITY in this Section 412A3 with respect to all matters covered on file for all documents specified in this Agreement. Original forms are to be maintained on file for all documents specified in this Agreement. Such records shall be retained for a period of three (3) years after termination of this Agreement and after final disposition of all pending matters. "Pending matters" include, but are not limited to, an audit, litigation or other actions involving records. The CITY may, at its discretion, take possession of, retain and audit said records. Records, in their original form pertaining to matters covered by this Agreement, shall at all times be retained within the County of Orange unless authorization to remove them is granted in writing by the CITY. 4. Subcontracts and Procurement ST. JOSEPH shall comply with applicable federal and State standards in the award of any subcontracts. For purposes of this Agreement, subcontracts shall include but not be limited to purchase agreements, rental or lease agreements, third party agreements, consultant service contracts and construction contracts. 5. Labor Only to the extent required by the granting authority, ST. JOSEPH shall comply with the provisions of the Davis-Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act (40 U.S.C. §276c and 18 U.S.C. §874), the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327-333), regarding labor standards for federally-assisted construction subagreements, and the Hatch Act (5 USC §§1501-1508 and 7324-7328). ST. JOSEPH shall comply with the Federal Fair Labor Standards Act (29 USC § 201) regarding wages and hours of employment. None of the funds shall be used to promote or deter Union/labor organizing activities. CA Gov't Code Sec. 16645 et sep. B. Noncompliance ST. JOSEPH understands that failure to comply with any of the above assurances may result in suspension, termination or reduction of grant funds, and repayment by ST. JOSEPH to CITY of any unlawful expenditures. C. Compliance With Grant Assurances To obtain the Grant Funds, the Grantor required an authorized representative of the CITY to sign certain promises regarding the way the Grant Funds would be spent ("Grant Assurances"), attached hereto as Exhibit A. By signing these Grant Assurances, the CITY became liable to the Grantor for any funds that are used in violation of the grant requirements. ST. JOSEPH shall be liable to the Grantor for any funds the Grantor determines ST. JOSEPH used in violation of these Grant Assurances. ST. JOSEPH shall indemnify and hold harmless the CITY for any sums the Grantor determines ST. JOSEPH used in violation of the Grant Assurances. §413. Federal, State and Local Taxes Federal, State and local taxes shall be the responsibility of ST. JOSEPH as an independent party and not as a CITY employee. V DEFAULTS, SUSPENSION. TERMINATION. AND AMENDMENTS §501. Defaults Should ST. JOSEPH fail for any reason to comply with the contractual obligations of this Agreement within the time specified by this Agreement, the CITY reserves the right to terminate the Agreement, reserving all rights under state and federal law. 9 §502. Amendments Any change in the terms of this Agreement which are agreed to by the CITY and ST. JOSEPH shall be incorporated into this Agreement by a written amendment properly executed and signed by the person authorized to bind the parties thereto. VI ENTIRE AGREEMENT §601. Complete Agreement This Agreement contains the full and complete Agreement between the two parties. Neither verbal agreement nor conversation with any officer or employee of either party shall affect or modify any of the terms and conditions of this Agreement. §602. Duplicate Originals This Agreement is executed in two (2) duplicate originals, each of which is deemed to be an original. §603. Conflict In the event of any conflict between this Agreement, on the one hand, and Exhibits A (Subgrantee Assurances), B (Agreement Number EMF-2007-PC-004), and C (Grant Administration Procedures), on the other hand, the provisions of Exhibits A, B and C shall control over this Agreement. §604. Choice of Law/Forum This Agreement will be governed by and construed under the laws of the State of California. All disputes under or related to this Agreement must be brought I the Superior Court of the State of California, Orange County or the Federal Courtin the Central District of California, depending on the subject matter jurisdiction of the dispute. // // // // // 10 IN WITNESS WHEREOF, the CITY OF SANTA ANA and ST. JOSEPH HOSPITAL OF ORANGE have caused this Agreement to be executed by their duly authorized representatives on the date first set forth above. CITY OF SANTA ANA, a municipal ST. JOSEPH HOSPITAL Corporation of the State of California OF ORANGE By: ~ By: DAVID N. REAM STEVE GILBERT City Manager SJF~,S Vice President Construction ATTEST: B: Patricia E. Healy Clerk of the Council APPROVED AS TO FORM: JOSEPH W. FLETCHER City Attorney ~~ Laura SCleedy Assistant City Attorney 11 EXHIBIT A SUBGRANTEE ASSURANCES Office of Emergency Services Hazard Mitigation Grants Note: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact OES. Further, certain federal assistance awarding agencies may require applicants to certify to additional assurances. If such is the case, you will be notified. As the duly authorized representative of St. Joseph, I certify that St. Joseph: 1. Has the legal authority to apply for federal assistance, and has the institutional, managerial and financial capability (including funds sufficient to pay the non-federal share of project costs) to ensure proper planning, management and completion of the grant provided described in this Agreement. 2. Will give the awarding agency, the Comptroller General of the United States and the State of California, through any authorized representative, access to and the right to examine all paper or electronic records, books, papers, or documents related to the award; and will establish a proper accounting system in accordance with generally accepted accounting standards or awarding agency directives. 3. Will 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 interest in the title of real property in accordance with 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. 4. Will comply with the requirements of the assistance-awarding agency with regard to the drafting, review and approval of construction plans and specifications. 5. Will 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 progress reports and such other information as maybe required by the assistance awarding agency or the state. 6. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 7. 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 gains. 8. Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et seq.) which prohibits the use of lead based paint in construction or rehabilitation of residence structures. 9. Will comply with all federal statues relating to nondiscrimination. These include but are not limited to: a. Title VI of the Civil Rights Act of 1964 (P.L. 88-352), as amended, which prohibits discrimination on the basis of race, color or national origin; b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681- 1683 12 and 1685-1686), which prohibits discrimination on the basis of sex; c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794) which prohibits discrimination on the basis of handicaps; d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101-6107) which prohibits discrimination on the basis of age; e. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255) as amended, relating to nondiscrimination on the basis of drug abuse; f. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; g. §§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; h. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or fmancing of housing; i. Any other nondiscrimination provisions in the specific statute(s) under which application for federal assistance is being made, and j. The requirements on any other nondiscrimination statute(s) which may apply to the application. 10. Will comply, or has already complied, 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 provides for fair and equitable treatment of persons displaced or whose property is acquired as a result of federal or federally assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of federal participation in purchases. 11. Will comply, if applicable, with the flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $5,000 or more. 12. Will comply with environmental standards which may be prescribed pursuant to the following: a. institution of environmental quality control measures under the National Environmental Policy Act of 1969 (PL. 91-190) and Executive Order (EO) 11514; b. notification of violating facilities pursuant to EO 11738; c. protection of wetlands pursuant to EO 11990; d. evaluation of flood hazards in floodplains in accordance with EO 11988; e. assurance of project consistency with the approved state management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et seq.); f. conformity of federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §7401 et seq.); g. protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-523); and h. protection of endangered species under the Endangered Species Act of 1973, as amended, (P.L. 93-205). 13. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et.seq.) 13 related to protecting components or potential components of the national wild and scenic rivers system. 14. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification and preservation of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a-1 et seq). 15. Will comply with Standardized Emergency Management System (BEMs) requirements as stated in the California Emergency Services Act, Government Code, Chapter 7 of Division 1 of Title 2, Section 8607.1(e) and CCR Title 19, Sections 2445, 2446, 2447 and 2448. 16. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act of 1984 and the Single Audit Act Amendments of 1996. 17. Will comply with all applicable requirements of all other federal laws, Executive Orders, regulations and policies governing this program. 18. Has requested through the State of California, federal financial assistance to be used to perform eligible work approved in the applicant's application for federal assistance. Will, after the receipt of federal fmancial assistance, through the State of California, agree to the following: a. The state warrant covering federal financial assistance will be deposited in a special and separate account, and will be used to pay only eligible costs for projects described above; b. To return to the State of California such part of the funds so reimbursed pursuant to the above numbered application, which are excess to the approved actual expenditures as accepted by fmal audit of the federal or state government. c. In the event the approved amount of the grant is reduced, the reimbursement applicable to the amount of the reduction will be promptly refunded to the State of California. 19. Will not make any award or permit any award (subgrant or contract) to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Order 12549 and 12689, "Debarment and Suspension." The undersigned represents that he/she is authorized by to make the above set forth certifications for and on behalf of St. Joseph Hospital of Orange Signature of Authorized Agent: Printed Name of Authorized Agent: STEVE GILBERT Title: SJHS Vice President Construction Date: ? ~ ~j _ Q~ 14 EXHIBIT B (Agreement Number EMF-2007-PC-004) 15 STAI`E OF LALIFORNIA ARNOLD SCHWAR2ENEGGER, Governor + ~n,°~ti *x GO Y L` RNOR'S OFFICE OF EMERGENCY SERVICES Q E ~' PREPAREDNESS. AND TRAINING DIVISION °"L"°""* .ems o r~s~sun MITIGATION BRANCH - 3650 SCHRIEVER AVENUE ~..~ MATHER, CALIFORNIA 95655 PHONE: (916) 845-8150 FAX: {916) 845-8386 January 18, 2008 Alma Flores Senior Management Santa Ana, City of 20 Civic Center Plaza, M-31 Santa Ana, CA 92702 Subject: Notification of Application Approval FY07 Pre-Disaster Mitigation Competitive Program Grant #2007-1004, OES #059-69000, Project #PJ06 Deaz Ms. Flores: The Governor's Office of Emergency Services (OES) received notification that the Federal Emergency Management Agency (FEMA) approved your organization's Subgrant application in the amount of $3,000,000.00. A copy of the FEMA award package is enclosed far your records. In order to receive payment, all subgrantees_must have a Governing Body Resolution and Grant Assurances form on file with our office. Payments will be made on a reimbursement basis using the Hazard Mitigation Reimbursement Form (enclosed). A ten percent (10%) retention will be withheld from all reimbursementpayrnents and will be release as part of the 5ubgrant closeout process. . Reimbursements can be made for only items listed on the approved Subgrant application; expenditures for any other work should be sepazately maintained and are the sole responsibility of the subgrantee. Any funds received in excess of current needs or approved amounts, or those found owed as a result of a final inspection or audit must be refunded to the State within 30 days of receipt of an invoice from OES. Please read all enclosed documents prior to initiating the approved project. For filrther assistance please contact the Hazard Mitigation Branch at (916) 845-8150. Hazard Mitigation Branch Enclosures c: Applicant's File ,View Award Package Paae 1 of 1 b . FEMA Signed Award Package The award package you selected is provided below. Subgrant applications included in the package are also provided below. To view the award package, click the View Award Package link below. ---,--_' ~~ Grant Application Year: 2007 Award Amount: $ Grant Application Title: PDM07 California Date Awarded: 01-16-2008 Date Grant Application Obligated: may, r PDMC-09-CA- ~'' Grant Application Number: 2007 Subgrant applications awarded: 2 .:: PrintAward Package ~;`~ .~ `~~^~;:~ c~ `>jA~ ~Q17 $ ~~ View Award Package (Part 1 of ~ ~ : - ~-~;.-~, ,..,_~ View Award Package (Part 2 of 3) ~ ,+,s~si;;~~t': ,~.~~_~JN r~ View Award PackagelPart 3 of 3) ~~~ ~-~~a ~ .yv~, Displaying_1-2_of 2 c' 4i`~' Show 5 Go ~~ ~" ~ 0'a;~2 A Iication Number Sub rantA licant Non-Federal; pp g pp Share Federal Share PDMGPJ-09-CA-2007-003 ~~~p City of Santa Ana b~~ ~~j~ $ 10,464,659.00 $ 3,000,000.00 PDMGPJ-09-CA-2007-002 Q~~~j~ City of Santa Ana ~~ $ 16,513,376.00 $ 3,000,000.00 Go Back View More FEMA Signed Packages https://portal.fema.gov/FEMAMitigation/AwardPaclcages.do?fileName~en~aSignedAwar... 1 /17/2008 .Award Packa'~___ Award tefter _ U.S. Department of Homeland Security FEMA Region iX 1111 Broadway Suite 1200 Oakland, CA 94607 ' ~~~. ~`~~::~' Grace Koch Governor's Authorized Representative, Governors Office of Emergency Services 3650 Schriever Avenue Mather, CA 85fi55-0000 Dear Grace Koch: Page 1 of 7 Enclosed is an executed copy of FEMA Form 76-10A reflecting the award to your FY 2007 PDMC Grant (PDMC-09-CA-2007). Your SMARTLINK Grant Payment Account will be adjusted accordingly. By accepting this award you assume certain administrative and financial responsibilities including the timely submission of all financial and programmatic reports, resolution of.all interim audit findings and the maintenance of a minimum level of cash on hand. Should you not adhere to these responsibilities, you will be in violation of the terms of this award. If you have any questions regarding this matter, please call Juliette Hayes at 510-6Z7-7211. Sincerely, Melissa A. Pulver Assistance Officer www.fema.aov PDM Competitive Agreement Articles DEPARTMENT OF HOMELAND SECURITY FEDERAL EMERGENCY MANAGEMENT AGENCY Pre-Disaster Mitigation Competitive Grant Agreement Articles CFDA# 97.017 GRANTEE:Governors Office of Emergency Services https: //portal. fema. gov/FEMAMiti gati on; AwardPackages. do?awardPaclcageNumber=EMI'... 1 /].7/200 8 Award Package ~ Page 2 of 7 AGREEMENT NUMBER:EMF-2007-PC-0004 AMENDMENT NUMBER:2 DESIGNATED AGENCY:Governors Office of Emergency Services PERFORMANCE PERIOD:10-JAN-08 - 09-JAN-11 ARTICLE I. FEMA AUTHORITY The United States of America through the Federal Emergency Management Agency (FEMA) which is now incorporated into the Department of Homeland Security, (hereinafter referred to as "the Grantor") agrees to grant to the state/Indian tribe/territory government, through its designated agency named above (hereinafter referred to as "the Grantee") funds in the amount specified on the obligating document, to support the Pre- Disaster Mitigation Grant Program, authorized under the §203 Robert T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. § §5121-5206 (Stafford Act), and activated under this Grant Award. The Grantee agrees to abide by the Grant Award terms and conditions as set forth in this document. ARTICLE 11. PROJECT DESCRIPTION The Grantee shat! pertorm the work described in the application package and made a part of these Grant Agreement Articles. ARTICLE Ill. PERIOD OF PERFORMANCE The initial pertormance period for the Grantee shall be equal to the longest performance period of the Sub- grantee awards with a maximum of 3 years for planning and project sub-grants. The period of performance shall be 10-JAN-08 through 09-JAN-11. All costs must be incurred during the period of performance unless pre- award costs are approved. ARTICLE N. AMOUNT AWARDED This Grant Agreement is for the administration and completion of an approved Pre-Disaster Mitigation grant award for fiscal year 2007. Grant Agreement funds may not be used for other purposes. If costs exceed the maximum amount of FEMA funding approved, the Grantee shall pay the costs in excess of the approved budget. The approved budget for this award by category is: Budget Class FEDERAL Non-Federal Total Personnel $0.00 $0.00 $0.00 Fringe Benefit $O.DO $0.00 $0.00 Travel $0.00 $0.00 $0.00 Equipment $0.00 $O.OD $0.00 Supplies $O.OD $0.00 $0.00 Contractual $5,999,999.97 $26,978,035.03 $32,978,035.00 Construction $0.00 $0.00 $0.00 Other $O.DO $0.00 $0.00 TOTAL DIRECT $5,999,999.97 $26,978,035.03 $32,978,035.00 indirect Charges $0.00 $0.00 $0.00 TOTAL BUDGET $5,999,999.97 $26,978,035.03 $32,978,035.00 The Grantee shall follow Emergency Management and Assistance Regulations found in Title 44 Code of Federal Regulations (CFR) Part 13, Uniform Administrative Requirements for Grants and Cooperative hops:Uportal.fema.govIFEMAMitigatioia/Awa1•dPackages.do?awardPackageNuiilbei-=EMF'... 1 /17/2008 Award Package Page 3 of 7 Agreements to State and Local Governments, Office of Management and Budget Circulars A-102 and A-87, and program guidance to implement this Grant Award. ARTICLE V. COST SHARE The cost-share requirement for this award is 18 % Federal and 82 %non-Federal. Small, impoverished communities may receive a Federal cost share of up to 90 % of the total cost to implement eligible PDM activities a. The approved budget for state andlor non-small, impoverished communities: Sub-Grantee Federal Funds % Non-Federal ° /0 Total Approved % Funds Amount PDMC-PJ-09-CA- 2007-002 $3,000,000.00 15% $16,513,376.00 85% $19,513,376.00 100% PDMGPJ-09-CA- 2007-003 $3,000,000.00 22% $10,464,659.00 78% $13,464,659.00 -100% Total $6,000,000.00 37% $26,978,035.00 163% $32,978,035.00 200% b. The following small, impoverished communities have been approved for cost share less than the required 25 %non-Federal: ~ . Sub-Grantee Federal Funds % Non-Federal % Total Approved % Funds Amount No small, impoverished communities are included in this Award Package. c. The total approved budget of Federal funds is $6,000,000.00 and non-Federal funds is $26,978,035.00 for a total approved amount of $32,978,035.00, which includes the combination of a. and b. above. ARTICLE VI. FEMA OFFICIALS FEMA officials are as follows: a. The Project Officer shall be an official at the FEMA Regional Office who will be responsible for the program and technical monitoring of the work and technical performance of the. activities described in the application. The Project Officer is: JULIETTE HAYES b. The Assistance Officer is the FEMA official who has full authority to negotiate, administer and execute all business matters of the, Grant Award. The Assistance Officer is: Melissa A. Pulver ARTICLE VII. TERMS AND CONDITIONS The specific terms and conditions of this agreement are as follows: ASSURANCE COMPLIANCE: The certifications signed by the Grantee in the application relating to maintenance of a Drug-Free workplace (44 CFR Part 17, Subpart F) and New Restrictions on Lobbying (44 CFR Part 18) apply to this grant agreement and are incorporated by reference. https a/portal. fen~a.gov/FEMAMitigation/AwardPaclcages. do?awardPaclcageNumbei=EMF... 1 / 17/2008 Award Package BUDGET REVISIONS: The Grantee shall follow prior approval requirements for budget revisions found in 44 CFR 13.30. Transfer of funds between total direct cost categories in the approved budget shall receive the prior approval of FEMA when such cumulative transfers among those direct cost categories exceed ten percent of the total budget. If a Grantee estimates that it will have obligated funds remaining after the end of the performance period, the~Grantee must report this to the FEMA Regional Office at the earliest possible time and ask for disposition instructions. CL05E OUT: Reports Submission: Per 44 CFR 13.50, when the appropriate grant award performance period expires, the Grantee shall submit the following documents within,90 days: (1) a final Financial Status Report (FF 20-10), (2) final program performance report, (3) an inventory of equipment purchased under each grant's funds, (4) an inventory of Federally-owned property, (5} other required documents specified by program regulation. Report Acce tp ance; FEMA shall review the Grantee reports, perform the necessary financial reconciliation, negotiate necessary adjustments between the Grantee and FEMA's records, and close out the grant in writing. Record Retention: Records shall be retained for 3 years (except in certain rare circumstances described in 44 CFR 13.42) from the date the final financial status report is.submitted to FEMA in compliance with 44 CFR 13.42. CONSTRUCTION PROJECT REQUIREMENTS: 1. Acceptance of Federal funding requires the Grantee and any Sub-grantees to comply with all Federal, state and local laws prior to the start of any construction activity: Failure to obtain all appropriate Federal, state and local environmental permits and clearances may jeopardize Federal funding. 2. Any change to the approved scope of work will require re-evaluation for Grantee and Sub-grantee compliance with the National Environmental Policy Act and other laws and Executive Orders. 3. If ground disturbing activities occur during construction, the Grantee and any Sub- grantees must ensure monitoring of ground disturbance and, if any potential archeological resources are discovered, the Sub-grantee will immediately cease construction in that area and notify the Grantee and FEMA. COPYRIGHT: The Grantee is free to copyright any original work developed in the course of or under the agreement. FEMA reserves aroyalty-free, nonexclusive and in'evocable right to reproduce, publish or otherwise use, and to authorize others to use the vrork for Government purposes. Any publication resulting from work performed under this agreement shall include an acknowledgement of FEMA financial support and a statement that the publication does not constitute an endorsement by FEMA or reflects FEMA views. COST SHARE: The Grantee shall follow cost-sharing requirements mandated by program statute or regulation and in compliance with 44 CFR 13.24. Cost-share funding shall be available with the approval of each grant. Performance Period extensions shall not be approved for delays caused by lack of cost-share funding. ENFORCEMENT: FEMA enforcement remedies shall be processed as specified in 44 CFR 13:43, Enforcement when the Terms and Conditions of this Grant Award are not met. EQUIPMENT/SUPPLIES: The Grantee must comply with the regulations listed in 44 CFR 13.32, Equipment, 44 CFR 13.33 Supplies, and 44 CFR 13.36 Procurement, and must be in compliance with state laws and procedures. Page 4 of 7 https://portal.fema.gov/FEMAMitigatioi~/AwardPaclcages. do?awardPackageNiuiibez=EMF... 1 /17/2008 Award Package FUNDS TRANSFER: No transfer of funds to agencies other than those identified in the approved grant agreement shall be made without prior approval of FEMA. INSURANCE: In compliance with Public Law 103-325, Title V National Flood Insurance Reform Act of 1973, section 582 requires that any Federal assistance provided to a person for the repair, replacement, or restoration for damage to any personal, residential or commercial property at any time must maintain flood insurance if the property is located in a Special Flood Hazard Area. PAYMENT: Grantee shah be paid using the Federal Health and Human Services (HHS) Payment Management System-SMARTLINK, provided Grantee maintains and complies with procedures for minimizing the time between transfer of funds from the US Treasury and disbursement by the Grantee and Sub-grantees. The Grantee commits itself to: 1) initiating cash draw downs only when actually needed for its disbursement; 2) timely financial reporting per FEMA.requirements, using the SF 269 orequivalent-report; and 3) imposing the same standards of timing and amount upon any secondary Grantee. Sub-grantees must comply with the same payment requirement as the Grantee and must comply with the requirements specified in the Grantee's Sub-grant award agreements. PERFORMANCE PERIODS: Program/Project/Sub-grant Approval andlor Awards: All grant awards activities, including all projects and/or activities approved under each sub-grant award, shall be completed within the time period prescribed and authorized on the obligating documents. All costs must be incurred within the approved performance period or be approved pre-award costs. Extensions: Requests for time extensions to the Performance Period-will be considered but will not be granted automatically and must be supported by adequate justification submitted to the Regional Office in order to be processed. This justification is a written explanation of the reason or reasons for the delay; an outline of remaining funds available to support the extended Performance Period; and a description of performance measures necessary to complete the activity. Without justification, extensions requests will not be processed. Financial and progress reports must be' current in order for a time extension to be considered. RECOVERY OF FUNDS: The Grantee will process the recovery of assistance paid to Sub- grantees processed through error, misrepresentation, or fraud or if funds are spent inappropriately. Recovered funds shall be submitted to FEMA as soon as the funds are collected, but no later than 90 days from the expiration date of the appropriate grant award agreement. All fraud identifications will be reported to the FEMA Inspector General office. The Grantee agrees to cooperate with investigation conducted by the FEMA Inspector General's office. REFUND, REBATE, CREDITS: The Grantee shall transfer to FEMA the appropriate share, based on the Federal support percentage, of any refund, rebate, creditor other amounts arising from the performance of this agreement, along with accrued interest, if any. The Grantee shall take necessary action to effect prompt collection of all monies due or which may become due and to cooperate with FEMA in any claim or suit in connection with amounts due. REPORTS: Federal Cash Transaction Report: If the Grantee uses HHS-SMARTLINK, the Grantee shall submit to FEMA a copy o the PMS 272 Cash Transaction Report submitted to HHS. Financial Status Report The Grantee shall submit Financial Status Reports, Federal Form 20- 10, to the FEMA Regional Office 30 days after the end of each Federal quarter following the Page 5 of 7 https://portal.fema.gov/FEMAMitigation/AwardPackages. do?awardPackageNumber=EMF... 1 / 17/2008 Award Package initial grant award. The Regional Director may waive the initial report The Grantee shall submit quarterly financial status reports thereafter until the grant ends. Reports are due on January 30, April 30, July 30, and October 30. Performance Report The Grantee shall submit pertormance reports to the.FEMA Regional Office within 30 days after end of each quarter. The report shat! consist of a comparison of actual accomplishment to the approved activity objectives. The Regional Director may waive the initial report. The Grantee shall submit quarterly pertormance reports thereafter until the grant ends. Reports are due January 30, April 30, July 30, and October 30. Quarterly pertormance report shall report the name, completion status,. expenditure, and payment-to-date of each approved activity/sub-grant award under the Grant Award. Final Reports: The Grantee shall submit a Final Financial Status Report and Performance Report 90 days after the close of the grant. Pertormance Reports should be submitted to the Assistance Officer, listed under Article Vl, FEMA Officials. TERMINATION: The Grantee, Sub-grantee, or FEMA may terminate grant award agreements by giving written notice to the other party at least seven (7) calendar days prior to the effective date of the termination. All notices are to be transmitted via registered or certified mail, return receipt requested. The Grantee's authority to incur new costs will be terminated upon the date of receipt of the notice or the date set forth in the notice. Any costs incurred up to. the earlier of the date of the receipt of the notice or the date of termination set forth in the notice will be negotiated for final payment. Close out of the grant award will be commenced and processed as prescribed under Article VI1. 3. ARTICLE Vlll. GOVERNING PROVISIONS Page 6 of 7 The Grantee and any sub-grantees shall comply with all applicable laws and regulations. Anon-exclusive list of laws and regulations commonly applicable to FEMA grants is attached hereto for reference only. The Grantee and any Sub-Grantees shall also be bound by the Pre-Disas#er Mitigation Guidance document, which is attached hereto and NOFA, dated July 7, 2003, Volume 68, Number 129 page 40284-40289, (FR Doc - ~' - 03-17043): The following Office of Management and Budget circulars are also applicable to this grant: OMB Circular A-110 Uniform Administrative Requirements for Grants and Agreements with institutions of Higher Education, Hospitals, and Other Non-Profit Organizations OMB Circular A-102 Uniform Administrative Requirements for Grants and Cooperative Agreements with State and Local Govenements OMB Circular A-87 Cost Principles for State and Local Governments OMB Circular A-21 Cost Principles for Educational Institutions OMB Circular A-122 Cost Principles for Nonprofit Organizations OMB Circular A-133 Audits of States, Local Govemments, and Non-Profit Organizations Commonly Applicable Statutes and .Regulations The Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended, 42 U.S.C. §§ 5121-5206 (Stafford Act). . Title 44 of the Code of Federal Regulations (CFR) hops://portal.fema.gov/FEMAMitigation/AwardPackages.do?awardPaclcageNun~bei=EMF... 1 /17/2008 sward Package • 31 CFR 205.6 Funding techniques APPLICATION Grant Award/Cooperative Agreement application received and approved by FEMA on 02-FE&07 . Page 7 of 7 Award Package (Parf 3 of 3) FEDERAL EMERGENCY MANAGEMENT AGENCY OBLIGATING DOCUMENT FOR AWARDIAMENDMENT 1a. AGREEMENT NO. 2. 3. RECIPIENT NO. 4. TYPE OF EMF-2007-PC-0004 AMENDMENT 68-0278801 ACTIQN No. STD 2 6. RECIPIENT NAME AND 7. ISSUING FEMA OFFICE AND ADDRESS ADDRESS FEMA Region IX Governors Office of 1111 Broadway , 1111 Broadway Emergency Services Oakland, CA - 94607 3650 Schriever Specialist:JULIETTE HAVES 510- Avenue , 627-7211 Mather CA , 93655-0000 ' S. PAYMENT OFFICE AND ADDRESS 9. NAME OF RECIPIENT PHONE NO. 10. NAME OF FEMA PROJECT COORD{NATOR PROJECT OFFICER 916-845- JULIETTE HAVES Grace Koch 8510 11. EFFECTIVE DATE OF '12. METHOD 13. ASSISTANCE ARRANGEMENT THIS ACTION OF PAYWIENT S 01-09-2008 H _. 15. DESCRIPTION OF ACTION a. (Indicate fu nding data for awards or finaricial changes) PROGRAM CFDA NO. ACCOUNTING DATA NAME (ACCS CODE) ACRONYM XXXX-XXX-XXXXXX- XXXXX-XXXX-XXXX-X PDMC 97.017 2007-69-5750RB- 9092-4101-D PDMC 97.017 2008-69-577086- • 9092-4101-D 5. CONTROL NO. F431815N, F442640N PHONE NO. 510-627-7211 14. PERFORMANCE PERIOD From:01-10-2008To:01-09-2011 Budget Period From:10-01-2007To:09-30 -2008 PRIOR TOTAL AMOUNT CURRENT TOTAL CUMMULATIVE AWARD AWARDED THES AWARD NON- , ACTION FEDERAL + OR (-) COMMITMENT $1,228,801.17 $0.00 $1,228,801.17 $409,71.9.73 50.00 $6,000,000.00 $6,000,000.00 526,978,035.00 TOTALS $1,228,801.17 $6,000,000.00 $7,228,801.17 $27,387,754.73 b. To describe changes other than funding data or financial changes, attach schedule and check here. No 16 a. FOR NON-DISASTER PROGRAMS: RECIPIENT IS REQUIRED TO SIGN AND RETURN THREE (3) COPIES OF THIS DOCUMENT TO FEMA (See Block 7 for address) 16b. FOR DISASTER PROGRAMS: RECIPIENT !SNOT REQUIRED TO SIGN This assistance is 'subject to terms and conditions attached to this award notice or by incorporated reference in program legislation cited above. 17. RECIPIENT SIGNATORY OFFICIAL (Name and Title) DATE signed by Marcia Rentschler GRANTEE 01-10-2008 18. FEMA SIGNATORY OFFICIAL (Name and Title) DATE Signed by MELISSA PULVER 01-16-2008 Assistance Officer https://portal.fema.gov/FEMAMitigation/AwardPackages.do?awardPackageNumber-1/MF... 1 /] 7/2008 EXHIBIT C OES Grant Administration Procedure 16 HAZARD MITIGATION BRANCH NOTIFICATION TO SUBGRANTEES GRANT ADMINISTRATION PROCEDURES 1. ADVANCES (HMGP Only} The Governor's Office of Emergency Services (OES) may consider approval of a one time advance provided that the subgrantee justified the need for an advance in their Hazard Mitigation Grant Program (HMGP) application. An advance can be made after.federal funds have been approved, but before the expenditure of eligible costs. The advanced amount will be subtracted from the subgrantee's first reimbursement request. The advance request must be made by submitting a Request for Advance of Funds form. Subgrantees who did not request an advance in their application are not eligible for advances. A special fund for the deposit of the state warrant must be established upon receipt of any advance funding. Z. WORK SCHEDULES The subgrantee must provide OES with a projected work schedule within thirty (30) days of receipt of this obligation package. This is a oi~e-time-only report. It should outline the proposed work schedule for the approved activity, including milestones. The milestones listed in your work schedule will be used to measure the progress reported to OES in the Quarterly Reports. Please provide a separate report for each grant. The work schedule should include the following information: Table/Chart or Graph - Create a table, chart or graph depicting your proposed work schedule by major milestones (activitiesimeasures) from the time of initiation to completion of proposed activity. Time line -How long you anticipate the activity will take to complete (in months). Phases -Explain in some detail, if you plan to perform your activity in several phases, and why, Extended Start and Completion Dates -Explain any activity start dates beyond sixty (60) days from approval date, or completion dates beyond three (3) years. The Work Schedule should be sent to: Governor's Office of Emergency Services Hazard Mitigation Branch 3650 Schriever Avenue Mather, California 95655 3. PROCUREMENT/COMPETITIVE BIDS PROCESS All contractlprocurement transactions must be carried out in a manner consistent with financial administrative requirements found in Title 44 of the Code of Federal Regulations (44CFR) Part 13. 4. ALLOWABLE COSTS AND REIMBURSEMENTS. Once FEMA approves a total eligible activity cost and obligates funding, OES can process reimbursement requests for eligible activities.. Payments are made on a reunbursement basis and no funds will be disbursed for activities that are riot consistent with the approved scope of work. Activity expenditures will be reimbursed at 75% of eligible costs. Additionally, OES will withhold retention of 10% from each reimbursement request. The retention amount will be released to the subgrantee upon completion of the closeout process. Reimbursement requests must be submitted to OES on a Hazard Mitigation Branch Reimbursement Fonn. The form must be signed by the applicant's designated authorized agent. Should the subgrantee be able to complete this work for less than the maximum allowable costs, the subgrantee will be reimbursed at 75% of the actual costs. Any remaining funds will be deobligated. If activity costs exceed the maximum allowable costs, the subgrantee will be reimbursed at 75% ofthe FEMA approved activity cost. Hazard Mitigation Branch Notification to 5ubgrantees (Revised 7/16!07) Page t of 4 5. COST OVERRUNS (HMGP Only) Cost over-runs can be considered if available funding exists in the HMGP for the declared disaster. Cost over-runs under ten (10) percent of the approved activity cost are allowed when offset by cost under-runs on other activities, as determined by OES. Cost over-runs exceeding ten (10) percent of the approved activity cost require OES to submit the request with a recommendation to the FEMA Regional Director for review and final determination. Cost over-runs will be indicated by quarterly progress reports and may be verified by activity inspection. All cost over-runs must be requested before expenditure of costs in excess of the total approved activity costs and the request must be signed by the applicant's designated authorized agent. Costs in excess of total approved activity costs expended before approval of cost over-runs will not be considered eligible HMGP expenditures. All cost over-runs must be justified by the subgrantee and supported by a benefit-cost analysis prepared using the FEMA benefit-cost models. Unjustified over-runs will be denied by OES. There is no guarantee that HMGP funds will be available to cover cost over-runs. 6. SCOPE OF WORK CHANGES: Any requests for changes to the approved scope of work must be consistent with program guidance and regulations, must be submitted to OES and signed by the applicant's designated authorized agent. Pre-approval is required before the start of any activity not included in the approved scope of work. Costs associated with any activity that is not included in the approved scope of work are not eligible for reimbursement. 7. QUARTERLY REPORT PROCEDURES subgrantees are required to submit progress reports to OES on a quarterly basis until the activity is complete. Quarterly Reports will not be required of activities with duration of less than three months. A single report for such short-term activities will satisfy reporting requirements. The first Quarterly Report is due to OES within three months following the activity initiation. Quarterly Reports will thereafter be numbered consecutively by quarter and year (e.g. a 24 month project is required to submit 8 quarterly reports.) The following is the schedule for the Quarterly Reports: First Reporting Period: Second Reporting Period: Third Reporting Period: Fourth Reporting Period: January O1 -March 31 April O1 -June 30 July O1 -September 30 October O1 -December 31 Report due by April 15 Report due by July 15 Report due by October 15 Report due by January l5 Quarterly Reports shall include, at a minimum: A. The status and completion.date for the activity funded, including any problem or circumstances affecting the completion date, scope of work, or costs which are expected to result in noncompliance with the approved grant conditions. B. A description of milestones completed in accordance with the work schedule provided by the subgrantee. The milestones declared in the subgrantee's work schedule will be applied as a standard of the activity's progress. OES will review subgrantee reports to identify activities requiring special attention or inspection. The Governor's Authorized Representative will review the reports and forward a report to the FEMA Regional Director on the status of each grant. OES wilt suspend reimbursements to subgrantees that are not current in the submission of quarterly progress reports. Reimbursement requests received for suspended grants. will be returned to the subgrantee. Hazard Mitigation Branch Notification to subgrantees (Revised 7!16!07) Page 2 of 4 Quarterly Reports must be sent to: Governor's Office of Emergency Services Hazard Mitigation Branch 3650 Schriever Avenue Mather, California 95655 8. INSPECTIONS OES reserves the right to inspect all activities for compliance. OES may require the subgrantee to perform a final inspection and prepare a report. if inspections and review of the subgrantee support documentation reveal problems in performance of work acid/or the documentation of such work, OES shall require the subgrantee to correct the deficiencies before close-out. 9. PERFORMANCE PERIOD EXTENSIONS All performance period extension requests must include the dates and provision of all previous extensions on this activity, a detailed explanation for tl~e delay and a revised activity work schedule. All performance period extension requests must be submitted to OES and signed by the applicant's designated authorized agent. Any costs incurred outside of an approved performance period will not be considered eligible activity costs. HMGP Extensions to original performance period of up to twelve months may be granted by OES upon written request from the subgrantee. Requests for time extensions must be submitted to OES prior to the end of the current approved performance period. Requests for time extensions beyond the authority of OES must be submitted to OES in writing and received by OES no later than ninety (90) days prior to the expiration of the current approved performance period. Time extension requests received by OES less than ninety (90) days prior to the end of the current approved performance period will not be considered. OES must submit these requests to the FEMA Regional Director for final determination. Following the Regional Director's review, OES will be notified in writing of the determination. OES will notify the subgrantee of FEMA's determination. if the extension is denied, the subgrantee can submit a second request to be cansidered by the FEMA Associate Director. PDM/FMA Performance period extension requests must be submitted to OES in writing and received by OES no later than ninety (90) days prior to the expiration of the current approved period of performance. Time extension requests received by OES less than ninety {90) days prior to the end of the current approved period of performance will not be considered. Review program guidance for period of performance extension request requirements. 10. ADMIl~TISTRATIVE DOCUMENTS The administrative documents included with this package must be completed, signed by an authorized representative of the subgrantee and received by OES before any payments can be processed. These forms include {1) subgrantee Assurances and {2) Designation of Applicant's Agent Resolution. Completed forms must be mailed to: Governor's Office of Emergency Services Hazard Mitigation Branch 3650 Schriever Avenue Mather, California 95655 Hazard Mitigation Branch Notification to Subgrantees (Revised 7!16/07) Page 3 of 4 11. FINAL REPORTS Final Claims must be filed using the enclosed Final Claim form. All activity costs are subject to audit; therefore, adequate documentation is required to verity the scope of work and the activity costs. All activity documentation must be retained by the subgrantee for three years from closeout. The subgrantee shall submit a final report package to OES when the activity has been completed. The documentation required is dependent o-i the type of activity. The package must include at least the following: • Final Claim form • Accomplishments and results report • Budget summary • Photographs/materials Payment of the 10% retention will be processed upon completion of the closeout process 12. AUDITS OES may request, at any time, an audit for any money disbursed, regardless of amount, to a subgrantee. The subgrantee will provide reasonable access to all records. Audits of subgrantees receiving federal grants will be conducted in conformance with the requirements of the Single Audit Act as amended in 1996 (PL104-156) and OMB Circulars, as well as related FEMA regulations and instructions. In each case where the subgrantee is provided $300,000 or more funds in the fiscal year, local goverutnents shall he audited in conformance with OMB Circular A- 133. If required, the subgrantee will provide copies of the audit performed under the Single Audit Act to the FEMA Inspector General. Records must be retained by the subgrantee for three years from project closeout. 13. APPEALS (HMGP Only} A subgrantee may appeal any determination made by FEMA relative to grant assistance by submitting justification in writing to OES within sixty (60) days of the action being appealed. Appeals must be submitted through the Governor's Authorized Representative (GAR). Applicants must provide sufficient information to allow the GAR to determine the facts and validity of the request. OES will review the appeal material submitted, make any additional investigations necessary and forward the appeal with a written recommendation to the FEMA Regional Director within sixty (60) days. The FEMA Regional Director shall notify OES as to the disposition of the subgrantee's appeal or need for additional information within ninety {90} days following receipt of all related information. If the decision is to grant the appeal, the Regional Director will take appropriate implementing action. If the Regional Director denies the appeal, the subgrantee may submit a second appeal in writing to the GAR. The GAR reviews the second appeal and may forward it to the FEMA Associate Director through the FEMA Regional Director. Such appeals shall be made in writing and shalt be submitted not later than sixty (60) days after receipt of notice of the Regional Director's denial of the first appeal. The Associate Director shall render a determination on the GAR's appeal within ninety (90) days following receipt of all related information. The Associate Director's determination is final In rendering such determinations, the Associate Director may, in those cases involving appeals of a highly technical nature, refer the appeal to an independent scientific or technical body for review. The GAR must first agree to such a process, including a waiver of the ninety (90) day time limitation for appeal resolution, as well as sharing the cost of such reviews. See Part 44 of the Code of Federal Regulations (44CFR) Section 206.440. Hazard Mitigation Branch Notification to subgrantees (Revised 7/16/07) Page 4 of 4