Section 2970 - Application Process(a) Basic Procedures: (1) To be eligible for assistance under the Act, a city, county or city and county must proclaim a local emergency within ten (10) days of the actual occurrence of a disaster and the proclamation must be acceptable to the Director, or the Governor must make a State of Emergency Proclamation. When a county has proclaimed a local emergency based upon conditions which include both incorporated and unincorporated territory of the county, it is not necessary for the cities to also proclaim the existence of a local emergency independently;(2) The city, county or city and county shall provide the Director written notification of a proclamation of local emergency and request for a Director's concurrence or State of Emergency proclamation within ten (10) days of the actual occurrence of a disaster. Upon receipt of the city, county or city and county's notification, the Director shall issue either (A) approval or denial of the Director's concurrence or recommendation that the Governor proclaim a state of emergency, or (B) written notification to the affected city, county or city and county indicating the approximate timeframe for rendering a recommendation. A Preliminary Damage Assessment (PDA) may be scheduled with the affected local agency to obtain additional information. If it is determined that state assistance will be provided, the affected local agency will be notified by the Director of such assistance as well as the application procedures;(3) The Director, or his/her designee, shall notify the affected city, county or city and county of the incident period beginning and end dates;(4) A local agency must submit a Project Application (Cal EMA 126, Rev. 12/09, incorporated by reference) to Cal OES within sixty (60) days after the date of a local proclamation. The Director or his/her designee may extend this deadline only for unusual or extraordinary circumstances. When filing an application for assistance, an applicant must attach a List of Projects (Cal EMA 95, Rev. 12/09, incorporated by reference). Formats other than the Cal EMA 95 may be substituted if they contain the required information. Prior to application approval by the state, an applicant shall also submit or have on file a resolution designating an authorized representative. In the event of a federal declaration of a major disaster or emergency, the submittal of a federal Request for Public Assistance (FEMA 90-49, Rev. 9/98, incorporated by reference) within the specified federal application period, will meet the state application requirement;(5) After receipt of the application and a list of projects, Cal OES will, if necessary, schedule an on-site review of all submitted items, which will be singly detailed on separate DSRs (Cal EMA 90s, Rev. 12/09, incorporated by reference). Under normal circumstances, the state will complete DSRs (Cal EMA 90s, Rev. 12/09, incorporated by reference) with cost estimates for an applicant agency within sixty (60) days from the date of the local agency application. When a public facility, damaged in a prior disaster event, has not been completely repaired or restored at the time of a subsequent disaster event, the total damage and scope of work for both disasters, excluding the prior disaster work already completed, will be detailed on a DSR. In addition, a separate DSR will be prepared to deobligate any unexpended funds previously provided for the incomplete portion of work;(6) Upon approval of eligible costs, Cal OES will send copies of the state DSRs (Cal EMA 90s, Rev. 12/09, incorporated by reference) and a computerized summary of all approved costs to the applicant's authorized representative for review and approval. Cal OES will send the completed application to the applicant's designated authorized representative for review and approval with an Applicant Approval Form (CDAA Form 3a, Rev. 1/03, incorporated by reference);(7) Upon receipt of an Applicant Approval Form (CDAA Form 3a, Rev. 1/03, incorporated by reference), Cal OES will process an allocation for the state share of approved costs through the State Controller's Office. An authorized representative's signature on the approval form allows the state to process an allocation of funds. An applicant does not forfeit the right to a fair hearing or an appeal, by signing the Applicant Approval Form;(8) If the Governor proclaims a state of emergency or a catastrophic failure due to excessive damage to Federal Aid Highways as defined in Title 23 United States Code § 101, the Governor may request Emergency Relief (ER) funds pursuant to Title 23 United States Code § 125. Upon implementation by the FHWA, the ER Program will be initiated and administered by the California Department of Transportation (Caltrans) pursuant to Streets and Highways Code Section 820 et seq.;(9) All projects in the local agency application under the Act that are located Federal-Aid Highways and are to be financed in whole or in part from federal ER funds under an approved ER program, shall be transferred to and administered by Caltrans in accordance with Title 23 United States Code. A separate local agency-Caltrans state agreement will be entered into covering those ER projects that are transferred and Caltrans will provide a copy of the agreement to Cal OES;(10) Caltrans will reimburse the local agencies any and all eligible amounts due them from the share of costs assessable against federal ER funds or a prorated amount if the federal allocation of ER funds for the disaster is insufficient to meet all eligible costs; and,(11) When all work is satisfactorily completed and the agreement is administratively closed, Caltrans will provide all final documentation and the closing date of the agreement to Cal OES. This will allow Cal OES and Caltrans to make a final settlement with local agencies on the approved and accepted projects relating to Federal-aid Highways, non-Federal-aid Highways and other public facilities restored or replaced under the Act.(b) Special Procedures for School Districts: (1) Upon implementation of the Act, Cal OES will notify the Superintendent of Public Instruction of the availability of state financial assistance, providing copies of eligibility guidelines and instructions and forms, for distribution to affected school districts;(2) An affected school district must submit a Project Application (Cal EMA 126, Rev. 12/09, incorporated by reference), to the Superintendent, within sixty (60) days from the date of the local proclamation. The Director, or his/her designee, may extend this deadline only for unusual circumstances. When filing an application for assistance, an applicant must attach a separate List of Projects (Cal EMA 95, Rev. 12/09, incorporated by reference) for each affected school within the district. Formats other than the Cal EMA 95 may be substituted if they contain the required information. Prior to funding authorization, an applicant school district must also submit or have on file a resolution designating an authorized representative;(3) After the review and approval of the application for assistance, the Superintendent will forward the original Project Application (Cal EMA 126, Rev. 12/09, incorporated by reference), list of projects, and any other supporting documentation to the Director for processing by Cal OES;(4) After receipt of the application and a list of projects, Cal OES will, if necessary, schedule an on-site review of all submitted items, which will be singly detailed on separate DSRs (Cal EMA 90s, Rev. 12/09, incorporated by reference). Under normal circumstances, the state will complete DSRs (Cal EMA 90s, Rev. 12/09, incorporated by reference) with cost estimates for an applicant agency within sixty (60) days from the date of the local agency application;(5) The completed application will also include a computerized summary of all approved costs by line item. Cal OES will send the completed application to the applicant's designated authorized representative for review and approval with an Applicant Approval Form (CDAA Form 3a, Rev. 1/03, incorporated by reference);(6) Upon receipt of an Applicant Approval Form (CDAA Form 3a, Rev. 1/03, incorporated by reference), Cal OES will process an allocation for the state share of approved costs through the State Controller's Office. An authorized representative's signature on the approval form allows the state to process an allocation of funds. An applicant does not forfeit the right to a fair hearing or an appeal by signing an Applicant Approval Form (CDAA Form 3a, Rev. 1/03, incorporated by reference); and,(7) Funds paid against approved claims will be disbursed to the appropriate County Office of Education. All school district applicants are required to comply with the provisions of the U.S. Department of Education, when federal school disaster assistance programs are implemented in accordance with Public Laws 81-815 and 81-874.(c) Time Limitations for Work Completion: (1) In the event of a Director's concurrence with a local proclamation or a state of emergency proclamation involving no federal assistance, the deadlines shown below are set from the date of the local proclamation and apply to all projects. Applicants receiving federal major disaster or emergency assistance are expected to comply with federal regulations, which establish deadlines according to the date that a major disaster or emergency is declared;(2) Completion deadlines: TYPE | MONTHS |
Debris clearance | 6 |
Emergency work | 6 |
Permanent work | 18 |
(3) The Director may impose less stringent deadlines for work completion, if considered appropriate; or(4) The Director may extend work completion deadlines for extenuating circumstances or unusual project requirements beyond the control of an applicant. Requests for time extensions, with appropriate justification, shall be submitted by an applicant as soon as it becomes apparent that the applicable deadline cannot be met.(d) Supplements: (1) During the performance of approved work, an applicant may discover that actual project costs exceed the approved DSR estimate. A supplement should be requested: (A) When there is a change in the scope or method of performing approved work; or,(B) When it is discovered that there is a substantial cost overrun to perform approved work.(2) An applicant may submit a supplement request for a substantial cost overrun, in letter form, to Cal OES in a timely manner and, whenever possible, prior to the completion of the work in question. The request shall contain sufficient documentation to support the eligibility of all claimed work and costs. However, cost overruns may also be addressed at the time of Final Inspection;(3) Requests for a change in project scope must be filed, in writing, prior to work commencement and shall contain sufficient documentation to support the eligibility of all additional proposed work and costs; and,(4) Cal OES shall formally notify the applicant of the determination. Approved supplements are processed in the same manner described above for a project application.(e) State Share: For any eligible project, the state share shall amount to no more than 75 percent of the total state eligible costs unless the local match is waived by either the Director in accordance with Government Code Section 8687.2 or by amendment to the Code. The state shall make no allocation for any project application resulting in a state share of less than two-thousand five-hundred dollars ($2,500). This provision shall not apply to those project applications which result in a state share of $2,500 or greater and are subsequently reduced.
(f) Quarterly Progress Reports: Applicants must submit information to Cal OES in order for the state to comply with state and federal grant reporting requirements. Such information will generally include project status and draw-down projections on which final project payment has not been made to the applicant. Failure to submit such information may jeopardize the availability of state and federal grant funding.
(g) Advances: (1) Funds may be advanced for up to ninety percent (90%) of an applicant's approved allocation. Requests for advances should be made using a Request for Advance of Funds (CDAA Form 3a, Rev. 1/03, incorporated by reference). No request for an advance will be processed prior to Cal OES' receipt of a resolution designating an authorized representative. Advances shall be provided to applicants in order to meet current obligations and anticipated expenditures. The state reserves the right to request documentation justifying large advances.(2) As a requirement of this program, an applicant must establish a special fund or account for the deposit of any state funds received. Under no circumstances should expenditures be made from this fund/account for non-approved disaster related items. Furthermore, all expenditures drawn on this account must be applied toward damages sustained from the specified disaster for which funds were advanced. Any interest earned from state funds is the property of the state and must be refunded.(h) Loans and Deferred Payments: (1) The Director may loan money to a local agency, if in the Director's opinion, the local agency is currently unable to meet its financial obligations under the Act.(2) Money may be loaned to a local agency for purposes of ensuring that the local agency is able to meet its local share matching requirements, for the repair or replacement of a public facility, or for any other purpose which the Director considers a loan of money necessary and appropriate.(3) The loan agreement executed between the Director and the local agency must comply with the State Contract Act and will provide for repayment of the principle and interest within ten years from the date of execution of the agreement. Interest will be estimated at an amount equal to the revenue which the state would have derived by investing the total loan amount, at the interest rate prevailing for legal state investments, on the date the loan is made.Cal. Code Regs. Tit. 19, § 2970
1. New section filed 10-19-90 as an emergency; operative 10-29-90. Submitted to OAL for printing only pursuant to Government Code section 8682.9 (Register 91, No. 2). A Certificate of Compliance must be submitted to OAL by 2-26-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-7-91 as an emergency; operative 3-7-91. Submitted to OAL for printing only pursuant to Government Code section 8682.9 (Register 91, No. 16). A Certificate of Compliance must be submitted to OAL by 7-5-91 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of HISTORY 1. (Register 91, No. 16).
4. Readoption of emergency filed 3-7-91; operative 3-7-91. Readoption filed 7-2-91, pursuant to Government Code section 8682.9; operative 7-2-91 (Register 91, No. 40).
5. New section refiled 10-30-91 as an emergency; operative 10-30-91 (Register 92, No. 6). A Certificate of Compliance must be transmitted to OAL 2-27-92 or emergency language will be repealed by operation of law on the following day.
6. New section filed 9-30-92; operative 10-30-92 (Register 92, No. 41).
7. Amendment of section and NOTE filed 8-30-2001 as an emergency; operative 8-30-2001 (Register 2001, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 8-30-2001 order, including further amendment of section, transmitted to OAL 12-26-2001 and filed 2-8-2002 (Register 2002, No. 6).
9. Change without regulatory effect amending section filed 12-19-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 51).
10. Amendment of subsections (a)(4), (a)(8)-(11), (b)(2) and (e), new subsection (f), subsection relettering and amendment of newly designated subsection (g)(1) filed 11-14-2008; operative 12-14-2008 (Register 2008, No. 46).
11. Change without regulatory effect amending section and NOTE filed 5-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 20).
12. Change without regulatory effect amending section filed 5-5-2021 pursuant to section 100, title 1, California Code of Regulations (Register 2021, No. 19). Note: Authority cited: Sections 8585 and 8682.9, Government Code. Reference: Sections 8585, 8680.5, 8682.8, 8685, 8685.2, 8685.4, 8685.6, 8685.8, 8686, 8686.1 and 8686.8, Government Code.
1. New section filed 10-19-90 as an emergency; operative 10-29-90. Submitted to OAL for printing only pursuant to Government Code section 8682.9 (Register 91, No. 2). A Certificate of Compliance must be submitted to OAL by 2-26-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-7-91 as an emergency; operative 3-7-91. Submitted to OAL for printing only pursuant to Government Code section 8682.9 (Register 91, No. 16). A Certificate of Compliance must be submitted to OAL by 7-5-91 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 1. (Register 91, No. 16).
4. Readoption of emergency filed 3-7-91; operative 3-7-91. Readoption filed 7-2-91, pursuant to Government Code section 8682.9; operative 7-2-91 (Register 91, No. 40).
5. New section refiled 10-30-91 as an emergency; operative 10-30-91 (Register 92, No. 6). A Certificate of Compliance must be transmitted to OAL 2-27-92 or emergency language will be repealed by operation of law on the following day.
6. New section filed 9-30-92; operative 10-30-92 (Register 92, No. 41).
7. Amendment of section and Note filed 8-30-2001 as an emergency; operative 8-30-2001 (Register 2001, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 8-30-2001 order, including further amendment of section, transmitted to OAL 12-26-2001 and filed 2-8-2002 (Register 2002, No. 6).
9. Change without regulatory effect amending section filed 12-19-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 51).
10. Amendment of subsections (a)(4), (a)(8)-(11), (b)(2) and (e), new subsection (f), subsection relettering and amendment of newly designated subsection (g)(1) filed 11-14-2008; operative 12-14-2008 (Register 2008, No. 46).
11. Change without regulatory effect amending section and Note filed 5-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 20).
12. Change without regulatory effect amending section filed 5-5-2021 pursuant to section 100, title 1, California Code of Regulations (Register 2021, No. 19).