1. (a) Forms:

   After completing all approved work items, a local agency must file a final claim with Cal OES. Final claim documents shall be completed and submitted within sixty (60) days of the completion of all eligible work items. Final claim documents are as follows:

   Disaster Type

   Final Claim Form

   State-only under a

   CDAA Project Summary (CDAA 4)

   Director's concurrence with

   Project Summary Certification of

   a local emergency or

   Documentation (CDAA Form 4a,

   Governor's state of

2. rev. 1/03, incorporated by reference)

   emergency proclamation

   and cost-share with

   federal programs other than

   FEMA

   Cost share with FEMA

   Federal Project Listing (P.4)

   disaster or emergency

3. (b) Claimed Costs:

   When preparing a claim, all eligible items approved in the application must be included, even though the total amount expended may exceed the amount approved by Cal OES. Substantial cost overruns in excess of the approved application amount shall be submitted to Cal OES for approval prior to filing a final claim.

4. (c) Final Inspections:

   1. (1) All costs and work items included in an applicant's claim are subject to final review and inspection by the state. Cal OES, or a state agency assigned by Cal OES under Government Code Section 8685.4, may perform an on-site review of any or all completed work items. All supporting claim documentation must be at one specific location to facilitate inspection and audit processes. Inspectors shall have access to original source documentation at the time of final inspection; and,
   2. (2) Final supplements to approved applications will cover cost over-runs and under-runs.
5. (d) Audits: The Director shall conduct audits and investigations as necessary to ensure compliance with these regulations and, in connection therewith, may question such persons as may be necessary to carry out such audits and investigations. In order to make audits, examinations, excerpts and transcripts, Federal and State auditors, and the Director, or their duly authorized representatives, shall have the right of access to any books, documents, papers, or other records which are pertinent to any activity undertaken or funded under these regulations. The rights of access shall last as long as the records are retained if retention exceeds what is required under these regulations.
6. (e) Retention Requirements for Records: The Director will notify each applicant of the starting date of the retention period. The applicant shall retain all financial and program records, supporting documents, statistical records, and other records reasonably considered as pertinent to program regulations, or the grant agreement, for three years from the starting date of the retention period.
7. (f) Original Source Documentation: Microfilm, microfiche, or other representations of original source documents may be accepted in lieu of original source documents, if the local agency provides to Cal OES an independent or internal auditor's report attesting to the accuracy of the alternate forms of original source documents.
8. (g) Final Funding Determination: Any funds owed to an applicant by the state shall be paid after final determination of eligible costs by Cal OES, upon review of the final inspection report or audit.
9. (h) Recovery of Funds: If a final inspection, audit, or other review by an awarding agency or any other authorized entity determines that payment made to the applicant exceeds the amount of actual eligible costs, Cal OES shall invoice the applicant for funds received in excess of the actual eligible costs. The applicant shall, within thirty (30) days of receipt of the invoice, repay the invoiced amount.

Note: Authority cited: Sections 8585 and 8682.9, Government Code. Reference: Sections 8585, 8682.8, 8683, 8685.4 and 8690.6, Government Code.

History

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 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 subsection (a) filed 12-19-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 51).

10. Amendment of subsections (c)(1) and (g) and new subsection (h) 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).