Chapter 1 - Purpose and General Funding Process

1.1 Introduction 1

1.2 Background of the Regional Disaster Medical Health Specialist (RDMHS) 1

1.3 Description of the Regional Disaster Medical Health Specialist (RDMHS) 2

1.4 Description of the Regional Disaster Medical Health Coordinator (RDMHC) 2

1.5 Background between the RDMHS and RDMHC 3

1.6 Relationship between the RDMHC and RDMHS 3

1.7 Funding Eligibility 4

1.8 Commitment of State Funds 4

1.9 Funding Amount 4

1.10 Funding Restrictions & Exclusions 4

Chapter 2 - Application Preparation & Process

2.1 Application Process 5

2.2 Introduction 5

2.3 Objectives 5

2.4 Implementation Timetable & Milestones 5

2.5 Project Evaluation Plan 5

2.6 Budget 6

2.7 Submission of Application 6

2.8 Contract Approval Process 6

Chapter 3 - Allowable Costs

3.1 General 7

3.2 Eligibility Requirements 7

3.3 Typical Allowable Costs 8

3.4 Unallowable Costs 12

Chapter 4 - Implementation & Administration of Funding

4.1 Effective Date 14

4.2 Contract Amendments 14

4.3 EMS Authority Responsibility 14

4.4 Withholding, Termination and/or Denial of General Funds 15

4.5 Termination Requested by the Contractor 15

4.6 Close of Contract 15

4.7 Funds Availability 15

Table of Contents (Continued)

Chapter 5 - Fiscal Requirements

5.1 General 16

5.2 Accounting Records 16

5.3 Acceptable Source Documents 17

Chapter 6 - Audit Requirements

6.1 Audit Requirements 20

6.2 EMS Authority & Site Visits 20

Chapter 7 - Reporting Requirements

7.1 General 21

7.2 Quarterly Progress Report 21

7.3 Quarterly Progress Report Format 21

7.4 Final Report 22

Chapter 8 - Preparation of Reimbursement Claims

8.1 Invoice Requirements 23

8.2 Advance Payments 24

Chapter 9 - Contract Evaluations

9.1 Contract Evaluations 25

Objectives Attachment A

Budget Categories Attachment B

Budget Detail/Narrative (Sample) Attachment C

Sample Invoice (Sample) Attachment D

Quarterly Report (Sample) Attachment E

Implementation Timetable and Milestones Attachment F

Duty Statement Attachment G

Travel Allowance Attachment H

Chapter 1

Purpose and General Funding Policies

1.1.1 This document has been prepared to inform the Local EMS Agency (LEMSA) and the Regional Disaster Medical Health Specialist (RDMHS) of the eligibility requirements and allocation methodology used to distribute state general funds. Further, this document will assist the LEMSAs with the preparation of their proposal application for state general funds allocated by the Emergency Medical Services Authority (EMS Authority). Finally, this document sets forth the contract management and reporting policies that are required as a condition for receiving state general funds.

1.1.2 The Regional Disaster Medical Health Coordinator (RDMHC) represents the policy interests of the region and state as they relate to medical and health mutual aid and the development of a regional response system of the various Operational Areas within the mutual aid region.

1.1.3 The RDMHS assists in the development of a coordinated regional medical and health response system. As such, the RDMHS will work with the RDMHC and receive policy guidance and direction from the RDMHC concerning regional issues. The RDMHS will also, as a regional representative of the State receive policy guidance and direction from the EMS Authority in coordination and cooperation with the Department of Health Services (DHS).

1.1.4 The EMS Authority in coordination and cooperation with the Department of Health Services & LEMSA will resolve policy conflicts between the RDMHC and RDMHS.

1.2 Background of the RDMHS

1.2.1 The RDMHS concept was developed beginning in 1995 to provide staff support to the RDMHC. The purpose of the program was to improve the provision of medical and health emergency response within the mutual aid regions.

1.2.2 Original funding for the program was through the Federal Prevention 2000 Block Grant program. During program development, three mutual aid regions were given funding to support one (1) FTE while the other three regions were given funds at approximately one-half (½) FTE to offset personnel costs to the LEMSA.

1.2.3 For FY 2000, a budget change proposal (BCP) was submitted to the State to provide state funding to support the RDMHC system through continued funding of the RDMHS program to be administered through the EMS Authority. Under the BCP, state general funds would be made available through Local Assistance Contracts to a LEMSA within each of the six mutual aid regions to fund and support the RDMHS.

1.3 Description of the RDMHS

1.3.1 The RDMHS is a staff person in a LEMSA where that agency has agreed to manage the regional medical and health mutual aid and emergency response system for the OES Mutual Aid Region.

1.3.2 The EMS Authority, through the use of local assistance funds, contracts with the LEMSA to provide RDMHS functions to the region.

1.3.3 The functions of the RDMHS are to manage and improve the region medical and health mutual aid and mutual cooperation systems; coordinate medical and health resources; support development of the Operational Area Medical and Health Disaster Response System; and, support the State medical and health response system through the development of information and emergency management systems.

1.4 Description of the RDMHC

1.4.1 The RDMHC is defined in the Health and Safety Code §1797.152.

1.4.2 The Director of the EMS Authority and the Director of the Department of Health Services dually appoint the RDMHC upon nomination by a majority vote of the Health Officers within a mutual aid region. The RDMHC is specifically chosen from among "a county health officer, a county coordinator of emergency services, an administrator of a local EMS agency, or a medical director of a local EMS agency".

1.4.3 As stated in the Health and Safety Code, at the request of the state, the RDMHC "may coordinate" the acquisition of medical and health mutual aid resources within unaffected mutual aid regions in support of a state response to a major disaster resulting in a proclamation by the Governor.

1.4.4 Additionally, the RDMHC "may develop plans for the provision of medical or public health mutual aid among the counties in the region".

1.5 Background between the RDMHC and RDMHS

1.5.1 There is an increasing need within the medical and health disaster response community for an improved regional and operational area response system. While the role of RDMHC is to assist the state in the provision of a medical and health mutual aid system, the RDMHS has evolved to assume an active role in the development and oversight of the regional and operational area medical and health response system. The authority for the RDMHS to develop the relationship between the operational areas and the region are derived from the FY 99-00 BCP and the authorizing language of the Governor's FY 99-00 Budget.

1.5.2 As they currently exist, the functions of the RDMHC and RDMHS are complementary but are not parallel. The RDMHC is specifically charged with coordinating medical and health resources at the direction of the State and does not have any duties to the State if in an affected region during a disaster. The RDMHS has assumed duties that are broader in scope and are directed by contract provisions between the EMS Authority and the supporting LEMSA and has the requirement to support State medical and health emergency management within an affected region during an emergency. The duty statement for the RDMHS is attached (Attachment G).

1.6 Relationship between the RDMHC and RDMHS

1.6.1 The RDMHC is an individual within the county structure who is responsible for policy development either in medical and health and/or in disaster management. By nomination and appointment, the RDMHC, also represents the policy interests of the applicable mutual aid region. The RDMHS is an employee of a LEMSA obligated by contract with the State to perform certain disaster-related medical and health functions within a given mutual aid region.

1.6.2 Location - Because of the complementary nature of the duties performed by the RDMHC and the RDMHS, it is the policy of the EMS Authority that under normal circumstances, the RDMHS will be located in the LEMSA of the county in which the RDMHC resides. However, under certain circumstances, the RDMHS may be in a LEMSA of another county within the applicable mutual aid region, if:

1.6.2(a) The LEMSA in the county where the RDMHC resides is unwilling or unable to contract with the EMS Authority to assume the RDMHS functions,

1.6.2(b) Or, a new RDMHC is appointed from a county within the mutual aid region who does not reside in the county under contract to the EMS Authority to provide RDMHS functions during the period that the EMS Authority has established an "intent to commit" with the county providing RDMHS functions.

1.7 Funding Eligibility

1.7.1 Any LEMSA within a mutual aid region may apply for grant funding to provide RDMHS functions except an application will not be accepted from a LEMSA, not the current grant holder, during a period of not less than five years from the original awarding of a contract to a specific LEMSA.

1.7.2 Applications must meet the requirements of the EMS Authority's procedures as stated in EMSA #115 "EMSA Policy for Funding Regional Disaster Medical Health Specialist (RDMHS) with State General Funds".

1.8 Commitment of State Funds

1.8.1 The EMS Authority cannot legally obligate State General Funds for more than a one-year period, beginning July 1 and ending June 30 of each State Fiscal Year; therefore, there can be no legally binding agreement to commit State funds for more than a one-year period.

1.8.2 However, in appreciation of hiring practices for long-term employees, the EMS Authority will, upon the initial awarding of a contract, enter into an informal "intent to commit" agreement, contingent upon the availability of appropriate State General Funds, with the grantee to maintain the RDMHS grant with the existing LEMSA grantee for a period of not less than five years given that the grantee continues to satisfactorily meet the objectives of the RDMHS contract during that period.

1.8.3 Following the five year period, the EMS Authority will entertain applications from any LEMSA within the applicable mutual aid region wishing to undertake the functions of the RDMHS and will upon successful awarding of a contract enter into an agreement.

1.9 Funding Amount

1.9.1 The RDMHS positions are funded through State General Funds.

1.10 Funding Restrictions & Exclusions

1.9.1 Funds shall be spent in accordance with the Budget Categories and Budget Detail/Narrative as contained in the contract approved by the EMS Authority.

Chapter 2

2.1 Application Process

2.1.1. All LEMSAs interested in receiving funding must submit to the Contracts Manager, EMS Authority their application for funding on or before June 30 of each year for funding beginning July 1. The application process requires the following documentation:

2.1.1(a) Introduction

2.1.1(b) Objectives

2.1.1(c) Implementation Timetable and Milestone

2.1.1(d) Project Evaluation Plan

2.1.1(e) Budget

2.1.1(e)(a) Budget Categories

2.1.1(e)(b) Budget Detail/Narrative

2.2 Introduction

2.2.1 The introduction must list the regions supported and the overall goal of the project.

2.3 Objectives

2.3.1 EMSA will annually evaluate and update the objectives based on your region's current situation. The contract objectives for the RDMHS are attached (Attachment A).

2.4 Implementation Timetable and Milestones

2.4.1 Each of the objectives must have a specified completion date.

2.5 Project Evaluation Plan

2.5.1 An objective method of evaluating the project should be specified. In essence, the purpose of the evaluation is to measure the degree to which the project achieves its stated objectives.

2.6 Budget

2.6.1 Each application must include a separate section titled "Budget". The proposed budget must show by line-item the proposed costs and resources to be used in support of the RDMHS. A copy of the budget forms to be used, the Budget Categories (Attachment B) and Budget Detail/Narrative (Attachment C) are attached.

2.7 Submission of Application

2.7.1 An original and one copy of the application must be forwarded to the Contracts Manager at the EMS Authority. Please do not bind, or three hole punch the application, as various sections of the application will be incorporated into the contract.

2.8 Contract Approval Process

2.81. Upon approval of the application, the Contracts Manager at the EMS Authority will prepare the contract. The contract, along with three (3) copies, will be sent to the LEMSA for review and approval (all four (4) contracts require original signatures). When the contracts have been signed, they are to be returned to the EMS Authority for signature. The EMS Authority is not permitted to sign the contracts until the State Budget Act is signed.

Chapter 3

Allowable Costs

3.1.1 This chapter sets forth basic principles for determining allowable costs under the State RDMHS funding process. The application of these principles is based on the following premises that:

3.1.1(a) Costs must be compatible with the applicable state requirements as stated in the State Contracting Manual, examples of which are shown in this Chapter;

3.1.1(b) Each local EMS agency is responsible for efficient and effective administration of the system through the application of sound management practices;

3.1.1(c) Costs are consistent with the underlying agreements and program objectives; and,

3.1.1(d) Only those budgeted costs identified in the contract and which appear in the accounting records and are supported by proper source documentation will be approved.

3.1.2 State general funds are provided on a reimbursement basis after the expense has been incurred and upon submission of a reimbursement claim.

3.1.3 Costs incurred under one state contract shall not be shifted to another state contract.

3.2 Eligibility Requirements

3.2.1 For a LEMSA to be eligible for RDMHS funding, all budgeted costs must meet the following criteria:

3.2.1(a) Be necessary and reasonable for proper and efficient administration of the program.

3.2.1(b) Be permissible under state and local laws and regulations and conform to any limitations or exclusions set forth in these principles.

3.2.1(c) Not be allocable to, or included as a cost of, any other state or federally financed program.

3.2.1(d) Be reduced by any "applicable credits", such as purchase discounts, rebates, allowances, overpayments, or erroneous charges.

3.2.1(e) Not result in a profit or other increment to the RDMHS or its sponsor(s).

3.2.1(f) Be incurred on or after the effective date of the contract and on or before the last day of the contract termination date.

3.3 Typical Allowable Costs

3.3.1 This section contains an alphabetical list of typical costs that are generally eligible for reimbursement. As a general rule, costs are allowable to the extent that they are not already provided by the federal government or from some other funding source. This list is not meant to be all inclusive. All allowable costs must be explained in the budget detail/narrative. Specific information concerning allowable costs may be obtained by contacting the Contracts Manager at the EMS Authority.

3.3.2 Administrative/Indirect Costs

Each LEMSA receiving State General Fund assistance will be allowed to claim a maximum of 10% Administrative/Indirect Cost. Administrative/Indirect Cost will be 10% of the total direct costs. Each LEMSA claiming 10% Administrative/Indirect Costs will be required to list all items included in the Administrative/Indirect Cost line item.

3.3.3 Accounting

The cost of establishing and maintaining accounting systems required for the management of a contract is allowable. The cost of preparing payroll and maintaining necessary related wage records is allowable.

Costs for the recruitment, examination, certification, classification, training, establishment of pay standards (if applicable), and related activities for the contract is allowable.

3.3.4 Advertising

Advertising costs for the recruitment of personnel required for the contract, solicitation of bids for the procurement of services required, or for other purposes specifically provided for in the contract agreement are allowable.

3.3.5 Budgeting

Costs incurred for the development, preparation, presentation, and execution of the application budget are allowable.

3.3.6 Communications

Communication costs incurred for telephone calls, mail, messenger service, and similar expenses are allowable.

3.3.7 Employee Benefits

Employee benefits in the form of regular compensation paid to employees during periods of authorized absences from the job such as vacations, sick leave, court leave, military leave, and similar absences are allowable provided they are pursuant to an approved leave system. Employee benefits in the form of employer's contributions to social security, life and health insurance plans, unemployment insurance coverage, workmen's compensation insurance, pension plans, severance pay, and the like are also allowable. The total employee benefits may not exceed 32% of salaries.

3.3.8 Employee Salaries

Employee salaries for services rendered during the period of performance under the contract agreement are allowable provided that the cost for individual employees is reasonable for the services rendered. Identify the monthly, weekly, or hourly rates, and personnel classifications.

3.3.9 Equipment

Equipment is defined as one item costing $5,000 or more. All equipment meeting this definition and purchased with State General Fund monies must be reported to the EMS Authority.

The local agency will maintain an inventory record for each piece of non-expendable equipment purchased with funds provided under the terms of the contract. The inventory record of each piece of such equipment shall include the date acquired, total cost, serial number, model identification (on purchased equipment), and any other information or description necessary to identify said equipment.

Note: All equipment purchased with funds received through this contract will become the property of the State of California and must be tracked and accounted for and disposed of in accordance with State guidelines.

3.3.10 Legal Expenses

Legal expenses required in the administration of the local agency are allowable. Legal expenses for the prosecution of claims against the applicant agency, the state, or the Federal Government are not allowable.

3.3.11 Maintenance and Repairs

The costs for utilities, insurance, security, janitorial services, elevator service, upkeep of grounds, necessary maintenance, normal repairs are allowable to the extent that they: (1) keep property (including Federal property, unless otherwise provided for) in an efficient operating condition, (2) do not add to the permanent value of property or appreciably prolong its intended life, and (3) are not otherwise included in rental or other charges of space.

3.3.12 Materials and Supplies

The cost of necessary materials and supplies is allowable. Purchases should be charged at their actual cost after deducting all cash discounts, trade discounts, rebates, and allowances received. Withdrawals from general stores or stockrooms should be charged at cost under any recognized method of pricing, consistently applied.

Items of equipment with an acquisition cost of less than $5,000 are considered to be supplies for billing purposes and are allowable. However, all computer components, and other durable items such as copy machines, furniture, etc., purchased with funds received through this contract will become the property of the State of California and will need to be tracked and accounted for. Such items may not be transferred for use by another department of local government or be disposed of without written approval of the EMS Authority.

3.3.13 Memberships, Subscriptions, and Professional Activities

The cost of membership in civic, business, technical and professional organizations is allowable when there is a direct benefit to the RDMHS operations.

The costs of meeting and conference rooms are allowable only when directly related to the administration of the RDMHS and the expenditure is identified in the budget.

The costs of books and subscriptions to business, professional and technical periodicals are allowable when they are directly related to the administration of the RDMHS.

3.3.14 Motor Pools

The cost for the provision of a county automobile for use directly for the RDMHS by the applicant agency at a mileage or fixed rate, including vehicle maintenance inspection and repair service, is allowable.

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3.3.15 Printing and Reproduction

The costs of necessary printing and reproduction services directly for the project, including forms, reports, manuals, and similar informational literature, are allowable.

3.3.16 Professional Services (Consultants)

The costs for professional services (consultants) rendered by individuals or organizations not a part of the agency are allowable when reasonable in relation to the services rendered. All consultant services contract over $2,500 must have advance approval by the EMS Authority. All expenses incurred by the consultant shall be included in the Contractual Line Item and shall not be made a part of any other line item in any of the budget pages.

3.3.17 Space (Rental or Lease)

Rental reimbursement item(s) should specify the unit rate, such as the rate per square foot. The cost of space in privately or publicly owned buildings used specifically for the benefit of the contract is allowable.

3.3.18 Training

The costs for in-service training provided for employee development that directly benefits the project is allowable.

3.3.19 Travel

Travel costs are allowable for airfare, transportation, lodging, subsistence, and related items incurred by local EMS agency employees who are traveling on official business directly related to the RDMHS program. Transportation expenses consist of the charges for commercial carrier fares; private car mileage allowances; overnight and day parking; bridge and road tolls; necessary bus or taxi fares; and all other charges essential to the transport from and to the individual's headquarters.

For lodging and per diem reimbursement rates, see Attachment H.

NOTE: Only those travel expenses specified in the Contract budget are reimbursable to the Contractor.

3.3.20 Out-of-state Travel

Out-of-state travel requires prior approval by the EMS Authority. A written justification and request for prior approval of out-of-state travel must be received at the EMS Authority at least 30 working days before the first day of the trip.

3.4 Unallowable Costs

3.4.1 The following are costs that are not eligible for reimbursement under the State General Fund. This is not meant to be an all-inclusive list. Specific information concerning these or other allowable costs may be obtained by contacting the Contracts Manager at the EMS Authority.

3.4.2 Accounting

The cost of maintaining central accounting records required for overall state or local government purposes, such as appropriation and fund accounts by the treasurer, controller, or similar officials is considered to be a general expense of government, and is not allowable except to the extent, if any, that acceptance of the contract directly increases the administration of the local EMS agency.

3.4.3 Alcoholic Beverages

Costs of alcoholic beverages are not allowable.

3.4.4 Audits (General)

Expenses for general audits that a local agency or county is required to perform that are not related directly to the administration of the RDMHS are not allowable.

3.4.5 Bad Debts

Losses arising from uncollectible accounts and other claims, and related costs are not allowable.

3.4.6 Contingencies

Contributions to a contingency reserve or any similar provision, excluding insurance costs for unforseen events are not allowable.

3.4.7 Contributions and Donations

Contributions and donations, including cash, property, and services, by governmental units to others, regardless of the recipient, are not allowable.

3.4.8 Entertainment

Costs for entertainment, including amusement, diversion, and social activities and any costs directly associated with such costs (such as tickets to shows or sports events, meals, lodging, rentals, transportation, and gratuities) are not allowable.

3.4.9 Fines and Penalties

Costs resulting from violations of, or failure to comply with federal, state, and local laws and regulations are not allowable.

3.4.10 Food and Beverage

Costs for food and beverages for meetings and conferences are not allowable.

3.4.11 Fund Raising and Investment Management Costs

Costs for organized fund raising, including financial campaigns, solicitation of gifts and bequests, and similar expenses incurred to raise capital or obtain contributions are not allowable.

3.4.12 General Government Expense

The salaries and expenses of the office of the Governor or the chief executive of a political subdivision are not allowable.

3.4.13 Honoraria

Honoraria for guest speakers are not allowable.

3.4.14 Interest

Costs incurred for interest on borrowed capital or the use of a governmental unit's own funds, however represented, are not allowable.

3.4.15 Investment Costs

Costs for investment counsel and staff and similar expenses incurred to enhance income from investments are not allowable.

3.4.16 Legislative Expense

Salaries and other expenses of State legislatures or similar local governmental bodies such as county supervisors, city council, school boards, etc., are not allowable.

3.4.17 Travel

Travel and all related expenses when travel is not state required/approved are not allowable.

Chapter 4

Implementation and Control of Approved Contracts

4.1.1 The Standard Agreement will show an effective date of the contract. Claims for reimbursement may be made only for funds expended subsequent to that date. No reimbursement will be provided for expenses incurred prior to the effective date or beyond the contract period.

4.2 Contract Amendments

4.2.1 Local EMS agencies may make minor adjustments in the budget without prior authorizations; however, the amount of total adjustments cannot exceed $2,000 for the period of the contract and the total budget authorized cannot be exceeded.

4.2.2 Budget Amendments exceeding $2,000 requires a written request at least 30 days prior to the effective date of the change(s) with an explanation of the need, a revised budget summary, and a budget detail/narrative that specifically identifies all the line item(s) changes. The EMS Authority must approve such revisions in writing prior to their implementation. Contract amendments for any changes to the objectives must also be approved in advance.

NOTE: Under no circumstance will the contract be amended after the termination date.

4.3 EMS Authority Responsibility

4.3.1 The EMS Authority has the responsibility and authority to review and evaluate the activities paid for under each contract as deemed necessary. Such review and evaluation will be made for the purpose of assisting the local EMS agency to understand and comply with the requirements and to gain maximum benefits from the funds expended.

4.3.2 The EMS Authority has the responsibility to cancel any funding that is not being implemented in accordance with applicable federal and state laws, or when not in compliance with the terms of the signed Standard Agreement.

4.3.3 Any questions regarding the contract, including but not limited to; Budget Revisions, Invoices, Contract Advance Payments, and Reports, shall be directed to the attention of the Contracts Manager for the State EMS Authority.

4.4 Withholding, Termination and/or Denial of General Funds

4.4.1 The EMS Authority may terminate or reduce funding if a review by the EMS Authority indicates that the contract terms are not being administered in accordance with the procedures established in this document, or pursuant to the terms of the signed contract. A contract may be terminated at any time for breach and the EMS Authority may also terminate unilaterally and without cause upon thirty (30) working days written notice to the Contractor. Payment for allowable costs up to the date of termination will be subject to negotiation. The contract may be canceled at any time by either party, by giving thirty (30) days advance written notice to the other party.

A local EMS agency may appeal a decision by the EMS Authority to terminate a contract. The local agency must file with the EMS Authority, 1930 9^th Street, Sacramento, CA 95814 a full and complete written statement specifying the grounds for the appeal within thirty (30) days of notification to terminate. The Director will review all information submitted with regards to the appeal and render a written decision regarding the appeal within thirty (30) working days. The decision of the Director of EMSA shall be final.

4.5 Termination Requested by the Contractor

4.5.1 Upon written request of the contractor and prior review by the EMS Authority, a contract may be terminated without prejudice when the contractor finds it is unable to continue for justified reasons beyond its control. In such circumstances, the maximum reimbursement of claimed costs to the date of termination is limited to the negotiated amount determined to be allowable by a review of the expenditure records.

4.6 Close out of Contracts

4.6.1 Approximately 30 days prior to the end of the contract with the LEMSA, the EMSA Contracts Manager will mail a notice to the EMS Administrator. This constitutes a reminder of the final date of the contract and the due date of the final report and final claim.

4.7 Funding Availability

4.7.1 If during the term of the contract award, state funds become reduced or eliminated, EMSA may immediately terminate or reduce the contract award upon written notice to the LEMSA.

Chapter 5

5.1 General

5.1.1 It is the local EMS agency's responsibility to ensure that all costs of the contract are entered into the agency's accounting system, and that procedures are established and source documents developed that will reliably account for the funds expended.

5.1.2 The applicant agency is required to maintain detailed source documents covering all costs charged to the contract. These documents provide the source of entries into the accounting records and support costs reported on each reimbursement claim presented to the EMS Authority.

5.1.3 The local EMS agency is required to adhere to established standards and requirements governing the utilization and disposition of property (equipment) acquired wholly or in part by general funds. Local EMS agencies may use their own property management procedures as long as the provisions of the property management section of this document are also adhered to.

5.1.4 All contract transactions are subject to audit. Failure to comply with the audit provisions of this section may result in audit exceptions and subsequent recovery of funds. (See Audit Requirements)

5.2 Accounting Records

5.2.1 Any accounting system may be used as long as it conforms to generally accepted accounting principles. In general, this means that the existing accounting system of a political subdivision or LEMSA may be used.

5.2.2 It is preferable that the contract expenditures are recorded directly in special contract accounts, but they may be recorded in regular accounts provided an audit trail exists. A complete list of expenditures must be maintained to facilitate an audit of contract expenditures and preparation of claims for reimbursement.

5.2.3 Special job numbers or work activity codes should be established to segregate and record labor costs if an agency employee is paid from more than one funding source.

5.3 Acceptable Source Documents

5.3.1 Personnel Costs

5.3.1(a) Payrolls must be on file for salary information. Labor charged to the contract must be supported by individual daily time cards or payroll period time sheets.

5.3.1(b) In some instances, working hours are recorded by exception; i.e., only vacation, sick leave, jury duty, etc., hours are recorded. In such cases, special additional documentation or worksheets shall be kept to support time chargeable to the contract.

5.3.1(c) Contract work time must be certified for each individual by a supervisor. Such work time certifications should be promptly forwarded to the accounting or payroll unit to determine labor cost chargeable to the contract and subsequently entered into agency accounting records.

5.3.1(d) All time sheets (whether exception or actual time) must be signed by the employee and certified by the employee's supervisor.

5.3.1(e) Employee benefits must be supported by formally established and approved pay rates, reflecting personnel policies and procedures of the funded entity or generally accepted practices within budgetary allotments.

5.3.2 Travel Expenses

5.3.2(a) All travel expenses must be supported by reimbursement voucher for each individual traveling on the contract. When the contract budget includes travel outside the State of California, the contract administrator/director must notify the EMS Authority in writing and obtain approval in advance for each trip.

5.3.2(b) Expenses for transportation in agency-owned vehicles must be supported by records showing where, when, and by whom used and miles involved. Cost records must show how the mileage rate or other unit costs were developed. Car rentals must be supported by proper invoices.

5.3.3 Professional Service Costs (Consultants)

5.3.3(a) Expenses for labor or services provided by private firms, individuals or other agencies must be supported by an approved and properly executed contractual agreement or interagency agreement. Such agreements must indicate the term, scope and anticipated product or outcome if applicable and identify the monthly, weekly, or hourly rate of all consultants to be incurred under the contract.

5.3.3(b) Reimbursement must be supported by itemized invoices in accordance with the terms and budget of the contract.

5.3.3(c) All items of expense for consultants (including travel, etc.) are to be included in the contractual line item.

5.3.4 Equipment

5.3.4(a) An inventory of all office furnishings and equipment purchased with general funds must be maintained in the LEMSA files. All equipment purchased with funds received through a contract shall become the property of the State of California.

(Equipment is defined as an item costing $5,000.00 or more)

5.3.5 Other Direct Costs

5.3.5(a) All other direct costs must be supported by purchase orders or other original documents signed by the proper authority. Receipt of such items must be supported by properly signed and dated delivery slips or invoices.

5.3.5(b) Cost of all items and services obtained from existing county supplies for use by the local EMS agency must be supported by a local request, letter, memorandum or other original document signed by the proper authority.

5.3.5(c) A rental or lease agreement must be maintained in the contract files for all items or facilities obtained and paid for in this manner. Proper billings for usage must also be on file.

5.3.5(d) Operational costs for a building used solely by the local EMS agency may be reimbursed on the basis of actual costs of utilities, maintenance, repairs and other applicable costs. Partial usage requires that such costs be computed on the basis of square footage. Documentation must be available to support the computation.

5.3.6 Source Document Retention Period

5.3.6(a) The local EMS agency must retain all contract source documents and make them available for a State audit for a period of three years following the date of the final reimbursement of the local EMS agencies expenditures. If audit findings have not been resolved, records shall be retained until the audit findings are resolved.

5.3.7 Property Management

5.3.7(a) The local EMS agency is accountable for all tangible property during the term of the contract and for all non expendable property throughout its useful life.

5.3.7(b) The local EMS agency must ensure that adequate controls are provided to safeguard property in its possession and that any such property loss or theft is promptly reported to the EMS Authority.

5.3.7(c) Property must be maintained in good working condition and may not be conveyed, sold or transferred without approval from the EMS Authority.

5.3.7(d) The local EMS agency must maintain updated inventory and location records which will include all property purchased during the funding period.

Chapter 6

6.1 Audit Requirements

6.1.1 Audits of contract records may be conducted by State auditors as circumstances warrant. Additional audits may be conducted at the option of the State Government.

6.1.2 EMSA, the Department of General Services, the Bureau of State Audits, or their designated representative shall have the right to review and to copy any records and supporting documentation pertaining to the performance of the Contract.

6.1.3 The local EMS agency agrees to maintain such records for possible audit for a minimum of three (3) years after final payment, unless a longer period of records retention is stipulated.

6.1.4 The local EMS agency agrees to allow the auditor(s) access to such records during normal business hours and to allow interviews of any employees who might reasonably have information related to such records.

6.1.5 The local EMS agency agrees to include a similar right of the State to audit records and interview staff in any subcontract related to performance of the Contract (GC 8546.7, PCC 10115 et seq., CCR Title 2, Section 1896).

6.2 EMS Authority and Site Visits

6.2.1 The EMS Authority staff will monitor the local EMS Agency records and program performance on a quarterly basis. The EMS Authority, at its discretion, will conduct periodic site visits to review administrative documentation and the progress made under contracts with local EMS agencies. These visits will be aimed at assisting the local EMS agency in administering their programs and contract(s). Critical discrepancies discovered during a site visit may be addressed by requiring the local EMS agency to develop a corrective action plan to be submitted to the EMS Authority for review and approval. Past performance will be an important evaluation criteria used in future applications for funding.

Chapter 7

7.1 General

7.1.1 The Quarterly Progress Reports, and the Final Report must be submitted to the EMS Authority on a timely basis in accordance with the provisions of this section.

7.2 Quarterly Progress Reports

7.2.1 Quarterly Progress Reports are required to provide the local EMS agency and the EMS Authority with an evaluation of the progress. The report should be a summary of the activities that have taken place during the specific quarter as follows:

Quarter: Period: Report Due:

1^st July 1 - September 30 October 15

2^nd October 1 - December 31 January 15

3^rd January 1 - March 31 April 15

7.2.2 An original and one copy of each Quarterly Progress Report shall be sent to the Contracts Manager at the EMS Authority. Each report must contain the contract title, EMS Authority contract number and identify the quarter covered by the report.

7.3 Quarterly Progress Report Format

7.3.1 Quarterly progress reports will describe the status of each objective and activity/task listed in the Contract. (See sample Attachment E). Status information will include at a minimum the following:

7.3.1(a) What work was done under each activity/task?

7.3.1(b) What product was produced for the specific activity/task?

7.3.1(c) How was the activity/task evaluated? Were there any problems encountered in carrying out the activity/task? If so, what steps were taken to overcome the problems?

7.3.1(d) What was the completion date or the expected completion date of the activity/task?

7.3.1(e) How will any delay encountered affect the total project time schedule?

7.4 Final Report

7.4.1 The Final Report which will cover the entire funding period, will take the place of the last quarterly report (April 1 - June 30). The report must cover, but is not limited to the following:

7.4.2 Objectives:

Restate the major objectives of the project as specified in the Contract. This will allow analysis of the report as a separate document and will aid the EMS Authority in defining its use.

7.4.3 Methodology:

Describe in detail how the objectives were achieved using the funds provided. The description should specifically address how each identified objective was accomplished.

7.4.4 Problems:

Describe any problems that were encountered during the funding period. If known, specify alternate methods that would have avoided the problem(s) and increased effectiveness toward achieving objectives.

The Final Report is required to be submitted to the EMS Authority not later than sixty (60) days following the end of the contract. The sixty (60) day grace period for the Final Report does not constitute authorization for reimbursement of costs for work performed after the termination date of the contract.

Chapter 8

8.1 Invoice Requirements

8.1.1 All invoices for reimbursement of contract expenditures should be prepared under the direction of the agency accountant directly from costs recorded in the accounting system. This will ensure proper accounting for reimbursements when received by the agency.

8.1.2 Agency invoices for reimbursement must be in the format prescribed by the EMS Authority and provide all information requested, including, but not necessarily limited to:

8.1.2(a) The agency name and address.

8.1.2(b) The EMS Authority contract number for which reimbursement is being claimed.

8.1.2(c) The exact period for which reimbursement is being requested.

8.1.2(d) Show by budget category for the exact expenditures, as debited to the agency's accounting system, during the period for which reimbursement is being requested.

8.1.2(e) Contain the following statement: "I certify that this claim is in all respects true, correct, supportable by available documentation and in compliance with all terms, conditions, laws, and regulations governing its payment."

8.1.2(f) A signature block and original signature in ink of an authorized representative of the local EMS agency.

8.1.2(g) A sample invoice in the required format is attached (See Attachment D).

8.1.2(h) Claims must be submitted at least quarterly (within sixty (60) days of the end of each quarter). Due to the limited time in which State General Fund monies must be encumbered and paid, failure to submit a claim within the sixty (60) days may result in termination of the contract and reallocation of the General funds to another local EMS agency. Final invoices must be submitted no later than sixty (60) days after the end date of the contract.

8.1.2(i) Claims received in proper order are usually "scheduled" with the State Controller's Office within fifteen (15) days of their receipt by the EMS Authority. During peak processing periods of the month (e.g., around the first and fifteenth), processing time in the State Controller's Office may take longer. Local EMS agencies are advised to submit their invoices at non-peak processing times to ensure a timely reimbursement.

8.2 Advance Payment

8.2.1 The State may pay in advance up to twenty-five percent (25%) of the total annual contract amount awarded.

8.2.2 Any local agency receiving an advance will be required to submit claims on a quarterly or monthly basis and be required to list all items for which the 25% advance is expended.

8.2.3 Ten percent (10%) of the contract total may be held until the contract is completed, all reports are submitted and, all products have been delivered and approved by the EMS Authority.

Chapter 9

9.1 Contract Evaluations

9.1.1 Beginning with the SFY 2000/01, the EMS Authority will begin formally evaluating the success of contracts completed during the prior SFY. An evaluation will be completed and filed for each local EMS agency. The Disaster Medical Services Division will consult with the local EMS agency during the evaluation.

ATTACHMENT A

Contract Objectives:

Objective 1: Create/update regional disaster medical/health plans utilizing EMSA regional template available fall 2001 to include the following:

1.1 On a quarterly basis, update contact and resource lists. Submit changes with quarterly progress reports.

Objective 2: Act as a resource to operational area medical and health planners, including:

2.1 Review the OA medical and health response plans within the region. Provide assistance to OA to develop and/or improve response plans consistent with SEMS,

2.2 Provide assistance and in medical and health disaster-related grant projects including but not limited to:

2.2(a) Metropolitan Medical Response System (MMRS),

2.2(b) Disaster Medical Assistance Teams (DMAT) s, and

2.2(c) Prevention 2010 Grants,

2.3 Conduct quarterly regional meetings with region MHOACs, RDMHC, and other disaster planners and responders,

2.4 Disseminate information on addressing the needs of medically fragile populations during disasters, including sheltering,

2.5 Provide annual training and updates as necessary to local health officers on the regional and local disaster medical/health plans,

2.6 Conduct quarterly communications drills to test regional and local communication systems to include RIMS in at least one drill per year,

2.7 Conduct at a minimum one regional tabletop exercise per year,

2.8 Support OA tabletop and functional exercises within the region, and

2.9 Provide oversight and guidance to regional participants in the Statewide Disaster Medical and Health exercise.

Objective 3: Establish and/or continue liaison with regional disaster planners and organizations, including but not limited to:

3.1 Represent EMSA at designated regional OES, state, federal and local functions,

3.2 Participate on two statewide committees as designated by EMSA including but not limited to the annual statewide exercise design committee, and

3.3 Attend and represent EMSA at a minimum of 75% of the scheduled Mutual Aid Regional Advisory Committee (MARAC) meetings per year.

Objective 4: Disseminate information and promote education within the region on mitigation and recovery planning to include:

4.1 Hospital Emergency Incident Command System (HEICS),

4.2 Non-structural hazard mitigation, and

4.3 Standardized Emergency Management System (SEMS).

Objective 5: Participate in the DMAT program as follows:

5.1 Teams meetings,

5.2 Recruitment efforts, and

5.3 Annual training exercise.

Objective 6: Participate in MMRS development and maintenance and/or regional and statewide coordination efforts.

Objectives 7: Attend disaster training and educational opportunities to maintain and develop professional skills including but not limited to:

7.1 Annual NDMS conference,

7.2 Annual DMAT training exercise,

7.3 Annual Statewide Disaster Health Care Conference,

7.4 CSTI Earthquake Course,

7.5 EMSA Boot Camp, and

7.6 Nuclear waste shipments.

Objective 8: Provide EMSA with information/reports.

8.1 Participate in a minimum of 75% of the monthly RDMHS conference calls and quarterly RDMHC/s meetings,

8.2 Provide an After Action Report to EMSA following participation in disaster medical and health exercises, and

8.3 Submit quarterly progress reports as required in the RDMHS Policy Manual.

ATTACHMENT B

SAMPLE BUDGET

STATE GENERAL FUND

BUDGET CATEGORIES

ATTACHMENT C

Budget Detail/Narrative

The budget detail/narrative have been combined to eliminated duplication efforts.

The budget detail/narrative needs to be in the order listed below.

Explain how each budget item will be used to fulfill the contract objectives or how the amount was calculated.

Personnel:

Discuss the roles and responsibilities of each position funded under the contract. Identify the name of the person, their classification, and monthly, weekly, or hourly rates. Listed below are possible samples of personnel costs:

Name Program Coordinator, 1.0 FTE 40 hours @ $25.42 = $52,873.60

Name Office Assistant (1,040 hours) $7.33 hour @ 1,040 hours = $7,623.20

Fringe Benefits:

Itemize individual components that make up the benefits category (e.g., retirement, health plan, workers Comp., OASDI, dental). The total fringe benefits may not exceed 32% of salaries.

Accounting:

The cost of establishing and maintaining accounting systems, preparing payroll and maintaining necessary related wage records. Explain how the accounting costs were calculated.

Administrative/Indirect Cost:

Identify all items to be included in the 10% Administrative/Indirect Cost. Example: accounting, budgeting, communications, legal expense, maintenance & repairs, motor pools, space, etc.

Advertising:

The costs for recruitment of personnel required for the contract, solicitation of bids for the procurement of services and for any other purpose specifically provided for in the grant. Explain how the advertising costs were calculated.

Communications:

The costs for telephone calls, mail, messenger service, and similar expenses. Itemize and explain how the communication costs were calculated.

Equipment:

Itemize the equipment to be purchased under the contract, including a discussion of how the equipment will be used to fulfill the contract objectives. Equipment is defined as an item costing $5,000 or more.

Legal Expense:

The costs required in the administration of the contract. Identify the rate per hour and number of hours needed for the contract.

Maintenance and Repairs:

Itemize the maintenance and repairs to be used under this contract and explain how these costs were calculated.

Materials and Supplies:

Itemize all materials and supplies to be purchased under this contract. All purchases should be charged after deducting all cash discounts, trade discounts, rebates, and allowances received. Explain how these items were calculated.

Memberships, Subscriptions, and Professional activities:

The costs of meeting and conference rooms when directly related to the administration of the RDMHS. The costs of books and subscriptions to business, professional and technical periodicals when they are directly related to RDMHS operations. Itemize the memberships, subscriptions, and professional activities to be purchased under this contract.

Printing & Reproduction:

Itemize the costs of printing and reproduction services when directly related to the contract. Explain how the costs were calculated.

Professional Services (Consultants):

Identify the monthly, weekly, or hourly rate of all consultants to be incurred under the contract and explain the role of each consultant to be funded under the contract. Identify all expenses incurred by the consultant (i.e., travel, lodging, per diem).

Space (Rental):

Explain how the costs of space in privately or publicly owned buildings used specifically for the benefit of the contract were calculated. Rental reimbursement items shall specify unit rate, such as the rate per square foot.

Training:

Identify the cost of in-service training that is to be provided for employee development that directly benefits the contract.

Travel:

Itemize what travel will take place under the contract, including number of people, destinations, and purposes of travel in terms of fulfilling the contract objectives.

ATTACHMENT E

Quarter Report Format

Cover Sheet

Local EMS Agency

Address

City, State, Zip Code

Quarterly Report

1^st Quarter

July 1, XXXX - September 30, XXXX

Contract #EMS-XXXX

(Due Date) October 15, XXXX

List the objectives, use additional sheets to include all objectives established by the contract and work completed for each quarter.

Objective #1

Describe the work done on each objective. What product was produced for each activitiy/task.

How was the activity/task evaluated?

Were there any problems encountered in carrying out the activity/task? If so, what steps were taken to overcome the problems?

What was the completion date or the expected completion date of the activity/task?

How will any delay encountered affect the total project time schedule?

ATTACHMENT F

ATTACHMENT H

Travel Allowance

Reimbursement may be requested for actual transportation expenses by public carrier in connection with services rendered for the contract and actual transportation costs for a personal car at the rate of $ .31 per mile or less for travel expenses incurred for the contract, while away from the individual's headquarters. Claims for transportation by scheduled airlines are allowed at the lowest fare available in conformity with the regular published tariffs for scheduled airlines in effect on the date of origination of the flight. Parking, toll bridge expenses, etc., are permissible if in conformance with Department of Personnel Administration regulations.

In computing the allowance for travel , the following maximum reimbursement will be allowed in any 24 hour period or fractional part thereof:

Lodging $0.00 without receipt

Lodging $84.00 with receipt ($110 with receipt per night plus tax for the counties of Alameda, San Francisco, San Mateo, Santa Clara and Central and Western Los Angeles) Central and Western Los Angeles includes downtown Los Angeles, Inglewood, L.A. International Airport, Playa del Rey, Venice, Santa Monica, Brentwood, West L.A., Westwood Village, Culver City, Beverly Hills, Century City, West Hollywood, and Hollywood.

RDMHSs may be reimbursed for their ACTUAL EXPENSES for breakfast, lunch, dinner, and incidentals for each 24 hours of travel as follows:

Breakfast up to $6.00

Lunch up to $10.00

Dinner up to $18.00

Incidentals up to $6.00

An incidental allowance of up to $6.00 may be claimed for each 24 hour period. No per diem expenses are allowed at any location within 50 miles of the individual's headquarters as determined by normal commute distance. Meals are subject to the following:

If trip was:

Less than 24 hours

Breakfast:

May be claimed if traveler left at or before 6:00 a.m. and returned at or after 9:00 a.m.

Lunch:

Lunch may NOT be claimed for travel of less than 24 hours.

Dinner:

May be claimed if traveler left at or before 4:00 p.m. and returned at or after 7:00 p.m.

Incidentals may not be claimed on a trip of less than 24 hours.

More than 24 hours

Breakfast:

May be claimed if traveler left at or before 6:00 a.m. and returned at or after 8:00 a.m.

Lunch:

May be claimed if traveler left at or before 11:00 a.m. and returned at or after 2:00 p.m.

Dinner:

May be claimed if traveler left at or before 5:00 p.m. and returned at or after 7:00 p.m.

Any meals provided for in the registration fee of a conference or in the price of the airline ticket are not separately reimbursable.