2 Public Assistance (PA) Program Authorized by the Stafford Act, as amended, the PA program provides grants to State and local governments, recognized Tribal governments, and certain private non-profit entities to alleviate suffering and hardship resulting from major disasters and emergencies declared by the President.Based upon a partnership between Applicants, the State, and FEMAApplicants –identify damages, document costs, manage the projects, and help formulate projectsState –disburses the funds, provides technical assistance to Applicants, and administers the grant.FEMA –manages the PA program, generally formulates projects, approves funding, provides technical assistance, and ensures compliance with laws and regulations
3 Declaration by the President Disaster Number: FEMA-1786-DR-LAIncident: Hurricane GustavIncident Period: August 27 to September 10, 2008Disaster Number: FEMA-1792-DR-LAIncident: Hurricane IkeIncident Period: September 11, 2008 and continuingState Coordinating Officer: Mark RileyFederal Coordinating Officer: Mike Hall
4 Applicant Briefing Information for Public Assistance Provides information for local officials that will assist during recovery operationsBriefing is designed especially to provide information on the eligibility requirements of the Public Assistance (PA) ProgramReview of required documentation and the rules & procedures necessary for expense reimbursement for eligible expensesComplete & return the Request for Public Assistance following at conclusion of this briefing.
5 Incident PeriodThe Incident Period is the time during which the disaster causing incident occursDamage resulting from the disaster must fall within the incident period or be a result of events occurring during the incident period to be eligibleReasonable emergency protective measures in anticipation of the incident may also be eligible
6 References Public Assistance Digest (FEMA 321) Public Assistance Guide (FEMA 322)44 Code of Federal Regulations (CFR)Robert T. Stafford Act, as amended9500 Policy Series
7 Application Requirements FEMA Request for Public Assistance (RPA)FEMA form 90-49W9 Tax ID Number FormApplicant’s Assurances and CertificationsDesignation of Application Agent FormMemorandum of UnderstandingNo payments can be made until all these forms are completed and returned to GOHSEP
8 Application Requirements Private Non-ProfitsFEMA Request for Public Assistance (RPA)FEMA form 90-49W9 Tax ID Number FormIRS Ruling Letter (501c) or Louisiana Secretary of State to include: Charter, By Laws and/or Articles of IncorporationApplicant’s Assurances and CertificationsDesignation of Application Agent FormMemorandum of UnderstandingNo payments can be made until all these forms are completed and returned to GOHSEP
9 What does the Request for Public Assistance (RPA) accomplish? Notifies FEMA and State of intent to apply for the Public Assistance (PA) ProgramNames the applicant’s Point of Contact (POC)Includes full mailing addressUsed to initiate the scheduling of FEMA/State/Local Kick-off meetings
10 Kick Off Meeting Conducted by FEMA Applicant should have identified its damagesDetailed discussions of:EligibilityDocumentation RequirementsProject FormulationInsurance IssuesEstablishes timeline marker for:All damages must be identified and reported to FEMA within 60 daysAlternate project requests must be made within 12 monthsApplicant generated PWs for Small Projects are due within 60 days
11 Eligible Applicants State Government Agencies Parish Governments Municipal GovernmentsMunicipal AuthoritiesSchool DistrictsIndian Tribes
13 Basic Work Eligibility If expense is incurred or an item of work is required:As a result of a Declared EventWork Is within Designated Disaster AreaWork Is the Responsibility of the ApplicantNot within the Authority of another Program
14 PA Work Categories Emergency Work A: Debris Removal B: Emergency Protective MeasuresPermanent WorkC: Roads & Bridges SystemD: Water Control FacilitiesE: Buildings and EquipmentF: UtilitiesG: Parks, Recreational and Other
15 Category A Debris Removal Debris removal is the clearance, removal, and/or disposal of disaster-related items such as trees, sand, gravel, building components, wreckage, vehicles, and personal property.Public Assistance funds are available to eligible applicants for debris clearance, removal and disposal operations. Eligible applicants include State and local governments, Indian tribes, and certain private nonprofit organizations.
16 Category A Debris Removal Mission AssignmentsDirect Federal Assistance (DFA)Technical AssistancePublic Assistance Grant ProgramPA Pilot Program
17 Category A Debris Removal Eligible debris-related activities may include:Removing debris from critical roadways and facilities.Removing debris from curbsides or from eligible facilities and hauling it to either temporary or permanent disposal sites.Identifying, designing, operating, and closing Debris Management Sites (DMS).Monitoring debris removal operations.Demolishing and/or removing disaster-damaged structures and facilities in accordance with FEMA regulations and policies.
18 Category A Debris Removal Mission Assignment: Technical Assistance & DebrisProvided to States and eligible applicants100 percent of Federal Share
19 Category A Debris Removal Eligible debris-related Technical Assistance activities may include:Debris management planning instructionDebris Management Site (DMS) selection criteria developmentDebris contracting criteria & PA eligibilityDebris monitoring strategiesIdentifying debris recycling opportunitiesAddressing Special Considerations issues
20 Category A Debris Removal Examples of eligible debris removal activities include:Debris removal from a public right-of-way to allow the safe passage of emergency vehicles; andDebris removal from public property to eliminate immediate health and safety hazards.
21 Category A Debris Removal Examples of ineligible debris removal activities include:Removal of debris from an applicant’s unimproved property or undeveloped land;Removal of pre-disaster sediment from engineered channels;Removal of debris from a natural channel unless the debris poses an immediate threat of flooding to improved property;Removal of debris from Federal lands or facilities that are the authority of another Federal agency.
22 PA Pilot ProgramThe PA Pilot Program is being implemented until 12/31/08Grants Based onEstimatesCategories A, C-GLarge projects< $500,000Payment based onestimateNo additionalfunding for costoverrunsNo appealsIncreased FederalShareCategory AAdditional 5% toApplicants with:FEMA-approveddebris plans &two pre-qualified &pre-identified debrisremoval contractorsForce Account LaborCategory AReimburse thestraight/regular-time salariesand benefits of staffperformingdebris-related workDebris RecyclingCategory AApplicant retainsrevenue from thesalvage valueof recyclable disasterdebrisThere are 4 separate components. Participation is voluntary, on per project basis
23 Online Resources GENERAL DEBRIS MANAGEMENT FEDERAL DEBRIS REMOVAL FUNDINGDEBRIS FORECASTINGDEBRIS MANAGEMENT PLANSENVIRONMENTAL REQUIREMENTSHEALTH AND SAFETY REQUIREMENTSFEMA TRAINING
24 Category B Emergency Protective Measures Shelter OperationsEmergency PowerGenerators for publicly owned facilities is eligibleSafety Barricades and SignsEquipment and material used are eligibleHealth and Safety HazardsRemoval of health and safety hazards is eligible
25 Category B Emergency Protective Measures Temporary RepairsEmergency work such as road detour at damage location, emergency repair to levees, temporary roof repairs to public buildings, building stabilization, mold remediation and rental of temporary facilities for public employees is eligiblePersonnel TimeReserves are eligible if established policy is to pay them (regular and overtime are eligible)NOTE: Regular time is not eligible for Emergency WorkEquipment TimeEquipment time is eligibleIdle Not eligible
26 Category B Emergency Protective Measures Examples...Search and RescueBracing, ShoringFire, Police, Medical ServicesEmergency Communication and TransportationGeneratorsBarricadingSanding & Ice Removal
27 Donated ResourcesThird Party donated resources are eligible to offset the non-federal portion of the cost shareDonated resources must apply to actual eligible emergency work. For example:Debris removalFilling Sand BagsShelter OperationsFEMA will establish an hourly rate for volunteer services
28 Permanent WorkRepair, restoration, or replacement of damaged or destroyed facilities, based on:Pre-disaster design, capacity, and functional useCurrent codes and standards
29 Permanent Work Can include consideration of: Cost-effective “discretionary spending” for hazard mitigation as determined by FEMARepair versus replacement as determined by FEMARelocation
30 Codes and StandardsWhen applying codes and standards - to be eligible the following must be true:Apply to the type of repair or restoration requiredBe appropriate to the pre-disaster use of the facilityBe in writing and adopted prior to DeclarationApply uniformly to similar types of facilities within the jurisdiction of the code granting AuthorityMust have been enforced
31 Category C Roads and Bridges Necessary Facilities - To be eligible, facilities must be functional prior to the disaster and necessary to the community and local governmentOn-System Facilities - Facilities funded by other Federal agencies, such as the Federal Highway Administration, are NOT eligible for permanent work
32 Category C Roads and Bridges Maintenance - Routine and heavy maintenance is not eligible. Potholes and surface ruts are maintenance items, which are not eligible.Paving - Loss of paved surface is eligible. Alligatored surface is a sign or normal deterioration and is not eligible.Standards - Bridge and road standards that have been formally adopted and are in practice, or adopted and placed in effect. prior to project approval by the applicant, are eligible.Applicants need to have bridge maintenance/inspection records available
33 Category D Water Control Facilities Dams and ReservoirsLeveesLined and unlined engineered drainage channelsCanalsAqueductsShore protective devicesIrrigation facilitiesPumping facilities
34 Category E Buildings and Equipment Restoration -Return to Pre-disaster Design in Accordance with current Codes & StandardsExtensive Damage -Repairs ELIGIBLE only when the building is structurally sound & feasible to repairFlood Relocation -If Totally Destroyed by Flood, then relocation from the Flood Plain will be studiedInsurance -Commercial Carrier Pays First,Deductibles and Depreciation are ELIGIBLEEquipment -Should be replaced with Used/SurplusSupplies -Replaced to Pre-disaster QuantitiesVehicles -Project written -less insurance, using Blue Book Value (includes Equip)
35 Category F UtilitiesElectrical -Restore to Pre-disaster Condition in the most Economical mannerSewer Collapse -Damage should be obvious / limited Inspection by TV may be eligible, but must be approved in advance. Cannot search for problemsCleaning -Only eligible when necessary to restore proper functioning of the system in specific reachesRevenues -Loss of Revenue is NOT ELIGIBLELoss of Inventory -Is ELIGIBLE when documented
36 Category G Parks, Recreational and Other Trees - NOT ELIGIBLEGrass - Normally NOT ELIGIBLEPublic Park facilities and structures may be eligibleBeach erosion is eligible on engineered and maintained beaches
37 Section 406 Hazard Mitigation Mitigation under the Public Assistance programsAny cost effective measure which will reduce the potential for damage to a facility from a disaster event.Must apply to the damaged element of the facility.44 CFR
38 Section 406 Hazard Mitigation Must be cost effectiveBenefits exceed costs or the ratio of benefits to costs is greater than onePermanent Work Categories
39 Section 406 Hazard Mitigation Possible Suggestions for Hazard MitigationProperly secure roof mounted equipmentInstall impact resistant glass or shuttersProvide a continuous load path from the foundation through the roof joistProvide lateral support for wall systemsIncrease culvert sizeElevate roadwaysDesign bridges for greater flood magnitudesElevate electrical/other building componentsBuild ring-levees
40 Alternate Projects Permanent Work Only An ALTERNATE PROJECT may be requested by the applicant when it is determined that the public welfare would not be best served by restoring a damaged facility or its function to the pre-disaster design.When approved by FEMA, an ALTERNATE PROJECT allows the applicant to use the Public Assistance grant for other purposes. Example: Applicant decides not to repair a damaged school and instead wants to use the PA funds granted to make improvements to an undamaged office building, or to purchase new school buses.Funds for ALTERNATE PROJECTS are limited to 90% of the Federal share of the eligible costs that would have been associated with repairing the damaged facility. PNPs are limited to 75% of the Federal share of the eligible costs.
41 Alternate Projects Permanent Work Only Funding used for other permanent workFunding max is 90% of the Approved AmountRequires FEMA pre-approval prior to ConstructionMay require environmental assessmentRequests must be made within 12 months of the Kick-off meeting
42 Improved Projects Permanent Work Only When performing restoration work on a damaged facility, an applicant may request to make improvements to the facility.Example, the applicant may decide to lay asphalt on a gravel road or replace a firehouse that originally had two bays with one that has three.
43 Improved Projects Permanent Work Only The improved facility must have the same function and at least the equivalent capacity as that of the pre-disaster facility.Funding for such projects is limited to the Federal share of the costs that would be associated with repairing or replacing the damaged facility to its pre-disaster design.The applicant must obtain approval for an improved project from the State/FEMA prior to construction.
44 Large ProjectsGreater than $60,900, funding is based on documented actual costsLarge projects initially are approved based on estimated costsFunds generally are made available to the applicant on a reimbursement basis as work is completedWhen all work associated with the project is complete, the State performs a reconciliation of actual costs and transmits the information to FEMA for final funding adjustments
45 Small Projects Estimated cost under $60,900 Federal share (75%) paid on approvalState and local is share (25%) paid based on actual or approved which ever lessOn completion of all small projectsState final inspection and program review
46 Final Inspections and Program Reviews Will Be Conducted...On all large projectsOn a sample of small projectsOn all applicants
47 Basic Eligibility - Labor Costs Emergency Work:Only overtime is eligible for:Permanent employeesRe-assigned employeesSeasonal employeesBoth regular time and overtime are eligible for non-budgeted employees assigned specially to perform emergency work and would include temporary employees or contractors.Permanent Work: Both regular time and overtime are eligibleFEMA Recovery Policy , dated 11/16/06
48 Basic Eligibility – Equipment Costs The cost for using Applicant-owned equipment while conducting eligible work is eligibleFEMA maintains a national schedule of equipment rates, which include operation, depreciation, fuel, and maintenance; rates do not include operator laborYou can use either FEMA’s approved equipment rates or locally developed equipment rates, whichever are lower
49 Basic Eligibility – Material Costs The cost of supplies that were either purchased or taken from stock and used are eligibleActual costs should be taken from invoicesMaterials must be of reasonable amount and costs
50 Program Management Cost Direct Grant Management and Administration (M&A)The Administrative Allowance IS GONERegulation (44CFR) has changed
51 Basic Eligibility Direct and Indirect Management Cost To be eligible –the estimated Direct Management costs must be included on the Project WorksheetA method for estimating costs is being developed by the StateAll claimed costs must be documented to the PWSalary and Benefits = Timesheets and Payroll RecordsSupplies and other costs –receipts, invoices etc.All costs must be documented and tracked back to specific project worksheet
52 Project Worksheets (PW) The Project Worksheet (PW) is the primary form used to document the scope of work and cost estimate for a projectThe PW includes:the locationdamage description and dimensionsscope of workand cost estimate for each projectMinimum PW is $1,000Applicants are encourage to complete the PW’sTeam scheduling to meet to develop PWs based on RPA’sApplicant’s representative is vital
53 Damage Description The cause of damage Description of the facility Description of damaged elements of the facilityDimensions of the damaged elements
54 Scope of WorkCompletely describe repairs (or replacements) necessary to restore facility to original design and constructionSpecify and include required code and standard upgradesDescriptions should include actions needed (repair, replace, remove, etc.) with quantifiable dimensions (size, length, capacity), and descriptive terms (pole type and size, conductor material)Address special considerations: environmental, historic, insurance, floodplain, hazard mitigation, and archeological mattersThe Scope of Work is the basis for the cost estimate
55 Environmental Considerations Numerous environmental laws and regulations need to be complied with in order to receive ANY Federal funds:National Environmental Policy Act (NEPA)Endangered Species ActCoastal Zone Management ActEO Floodplain ManagementEO Wetlands ProtectionClean Water Act (Section 404)Clean Air Act
56 Environmental Considerations Immediately following a disaster, applicants can complete work in accordance with FEMA policy guidance. The most common are:Emergency Actions (e.g. search and rescue, emergency care, issues of life safety)Debris Removal (not necessarily disposal or storage/staging)Building Stabilization
57 Environmental Considerations However, before the following actions can be taken, these actions must be considered:Debris disposal (other than to a permitted landfill)Any project affecting a threatened, endangered or proposed speciesAny project affecting a wetlandAny project affecting a floodplain
58 Environmental Considerations When addressing any of these considerations…FEMA and GOHSEP will provide the applicant with guidance needed to satisfy the environmental laws and regulations. However, it is the applicant’s responsibility to inform FEMA and GOHSEP of any environmental considerations relevant to the specific project; i.e. asbestos, hazardous waste, underground storage tanks, etc.
59 Environmental Considerations When addressing any of these considerations…The applicant will be responsible for providing as much information as they can to FEMA and GOHSEP in a timely manner in order to satisfy environmental laws and regulations.The applicant is responsible for compliance with all local Parish, State, and Federal regulations pertaining to permits and licenses.
60 Historic Considerations National Historic Preservation Act of 1966Legislation intended to preserve historical and archaeological sites in the United States of America.Section 106 under the National Historic Preservation Act (NHPA) mandates a review process for all federally-funded projects that will impact sites listed on, or eligible for listing on, the National Register of Historic Places.
61 Historic Considerations When receiving federal funds for any structure, historic considerations are taken into account. Section 106 looks at:Is the structure older than 45 years? If yes, then…Is the damaged facility on or eligible for listing on the National Register of Historic Places? If yes, then…Will the proposed repairs or reconstruction change pre-disaster conditions? If yes, then….NHPA will need to be satisfied.
62 Historic Considerations FEMA and GOHSEP will work with the applicant to satisfy NHPA; however, it is the applicant’s responsibility to inform FEMA of any historic considerations relevant to the specific project; age of structure, location of structure, provide photos, etc.The applicant will be responsible for providing as much information as they can to FEMA and GOHSEP in a timely manner in order to satisfy the historic preservation act.
63 Insurance Considerations Does the damaged facility or item of work have insurance coverage and / or is it an insurable riskIs the facility in located in the Flood Plain (Flood Insurance)
64 Local Responsibility Prepare a list of work performed by location Locate each site on a mapProvide photographs etc. as requiredEnsure that the “local” expert formulates the Project or is part of the formulation Team
65 Local Responsibility Be able to provide complete cost breakdown Have insurance coverage data availableDetermine if site will be repaired by either force account or contractHave copies of appropriate ordinances etc.With any disagreement, be able to provide a statement of non-concurrence
66 Procuring Services, and Audits Managing the Grant,Procuring Services, and Audits
67 DocumentationApplicants must establish a project file, for each project, containing all documentation pertaining to this projectDocument every action takenFollow applicable Federal procurement regulationsRetain documents for all approved work, including costs incurred and claimed as part of the Administrative Allowance, for three years. The three year retention period starts on the day the Applicant submits their final expenditure report, which is the project completion and certification report / P.4. (44 CFR 13.42(C)(1))
68 Documentation Checklist for Each Project Completed Project Worksheet Completed Special Considerations Questions formEstimated and actual costsForce account laborForce account equipmentRented equipmentMaterials and purchasesInsurance informationPhotographs of damage, work underway, work completedEnvironmental and/or historic alternatives and hazard mitigation opportunities considered for large, improved or alternate projectsEnvironmental Review DocumentsRecords of donated goods and servicesChecklist for Each Project
69 Time LimitsAn applicant must submit a Request for Public Assistance within 30 days from the date a Parish is declared a major disaster or emergency areaApplicants have 60 days from the Kickoff Meeting with FEMA to identify and report damagesAn applicant may appeal FEMA’s decision within 60 days of being notified of that decisionWork completion deadlinesEmergency Work 6 MonthsDebris Removal 6 MonthsPermanent Work 18 MonthsTime Extensions: The State has the authority to extend emergency work (categories A and B) by six months and permanent work (categories C – G) by 30 months
70 Cost Overruns: Small Projects Applicants may appeal for a “net” small project cost overrun within 60 days of completing all small projects and the “net” is 10% or greaterMust document all work for all small projects to receive consideration for a “net” small project cost adjustment
71 Cost Overruns: Large Projects Advise the State of anticipated cost overruns for each large project.Cost overruns are normally a result of one or more of the following:Variations in unit pricesChanges in the scope of eligible workDelays in timely starts or completion of workSubmit sufficient information to support the eligibility of all claimed work and costs for each large project
72 AppealsThe appeal process is the opportunity for applicants to request reconsideration of decisions regarding their grantTwo levels:1st Appeal goes to the Regional Director;2nd appeal goes to FEMA Headquarters.Applicants must file an appeal with the State within 60 days of receipt of a notice of the action that is being appealedThe State evaluates and makes recommendations, then forwards the appeal to the Region within 60 days of its receipt from the Applicant.The Region or FEMA HQ will have 90 days to take actionIf the first appeal is denied by the Region, the Applicant may submit a second appeal to FEMA Headquarters
73 Project CloseoutAll project worksheets are “closed” in order to certify that all work is complete and all eligible costs have been reimbursed. This is the Applicant’s last opportunity to ensure that they have received all funding available under the law
75 Procurement“It’s a very sobering feeling to be up in space and realize that one’s safety factor was determined by the lowest bidder on a government contract.”Alan B. Shepard Jr. First American in space, 1961
76 Procurement TypesSmall purchase procedures: simplified acquisition threshold currently set at $100,000 [U.S.C. 403(11)]; get multiple quotes to demonstrate reasonableness of costsCompetitive (sealed) bid: publicly advertised and/or solicited bids; contract awarded to the lowest bidderCompetitive proposals: awarded based on contractor qualifications (used for A&E). Required by 44 CFR but not required under LA State lawNon-competitive proposals: only one source, single contractor, emergency, inadequate competition
77 Methods of Procurement Non-competitive proposals may be used only when it is not feasible using other procurement methods, and one of the following circumstances apply:Item available from only one source;Public exigency will not permit delays;Awarding agency authorizes noncompetitive proposals; orAfter solicitation of a number of sources, competition proves inadequate44 CFR 13.35(d)(4)(i)Cost analysis is required (44 CFR 13.35(d)(4)(ii))Must negotiate profit separately (44 CFR 13.35(f)(2))
78 Acceptable Contracts Lump Sum Work within prescribed boundaries; clearly defined scope and total priceUnit PriceWork done on an item-by-item basis with cost determined on a unit basisCost plusFixed feeLump sum or unit price contract with a fixed contractor fee added into the priceTime &MaterialsShould be avoided, may be allowed for work immediately after the disaster and after determination that no other contract is feasible; must include cost ceiling and be monitored; limit work to 70 work-hours
79 Non - Acceptable Contracts Cost Plus a Percentageof CostNot allowedContingencyNot allowed
80 AuditsSingle Audit Act: This act requires grant recipients expending $500,000 or more in Federal funds in a fiscal year to perform a single auditDHS/FEMA Office of Inspector General audits:Items not covered by the single audit.Projects’ scopes of work and related expenditures“Source documentation”Grant recipients must maintain financial and program records for at least three years notification by GOHSEP that they have been closed as an applicant for the declared event
81 Representative Audit Findings Four General Categories of Audit FindingsUnsupported contractor costsUnsupported Force Account costsIneligible CostsUnreasonable costs
82 Representative Audit Findings General FindingsFailed to establish a project file (or site file for multiple site projects) containing the corresponding PW and all documentation pertaining to the project (or site).Failed to keep specific source documentation, including cancelled checks, paid bills, payrolls, time and attendance records, contracts, etc.Failed to maintain records that adequately identify the source and application of funds provided for financially assisted activities.Failed to follow Federal procurement regulations