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Presented by GOHSEP Applicants / Information Briefing.

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1 Presented by GOHSEP Applicants / Information Briefing

2 2 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 FEMA –Applicants –identify damages, document costs, manage the projects, and help formulate projects –State –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 3 3 Declaration by the President Disaster Number: FEMA-1786-DR-LA Incident: Hurricane Gustav Incident Period: August 27 to September 10, 2008 Disaster Number: FEMA-1792-DR-LA Incident: Hurricane Ike Incident Period: September 11, 2008 and continuing State Coordinating Officer: Mark Riley Federal Coordinating Officer: Mike Hall

4 4 4 Applicant Briefing Information for Public Assistance Provides information for local officials that will assist during recovery operations Briefing is designed especially to provide information on the eligibility requirements of the Public Assistance (PA) Program Review of required documentation and the rules & procedures necessary for expense reimbursement for eligible expenses Complete & return the Request for Public Assistance following at conclusion of this briefing.

5 5 5 Incident Period The Incident Period is the time during which the disaster causing incident occurs Damage resulting from the disaster must fall within the incident period or be a result of events occurring during the incident period to be eligible Reasonable emergency protective measures in anticipation of the incident may also be eligible

6 6 6 References Public Assistance Digest (FEMA 321) Public Assistance Guide (FEMA 322) 44 Code of Federal Regulations (CFR) Robert T. Stafford Act, as amended 9500 Policy Series

7 7 7 Application Requirements FEMA Request for Public Assistance (RPA) –FEMA form W9 Tax ID Number Form Applicants Assurances and Certifications Designation of Application Agent Form Memorandum of Understanding No payments can be made until all these forms are completed and returned to GOHSEP

8 8 8 Application Requirements Private Non-Profits FEMA Request for Public Assistance (RPA) –FEMA form W9 Tax ID Number Form IRS Ruling Letter (501c) or Louisiana Secretary of State to include: Charter, By Laws and/or Articles of Incorporation Applicants Assurances and Certifications Designation of Application Agent Form Memorandum of Understanding No payments can be made until all these forms are completed and returned to GOHSEP

9 9 9 What does the Request for Public Assistance (RPA) accomplish? Notifies FEMA and State of intent to apply for the Public Assistance (PA) Program Names the applicants Point of Contact (POC) Includes full mailing address Used to initiate the scheduling of FEMA/State/Local Kick-off meetings

10 10 Kick Off Meeting Conducted by FEMA Applicant should have identified its damages Detailed discussions of: –Eligibility –Documentation Requirements –Project Formulation –Insurance Issues Establishes timeline marker for: –All damages must be identified and reported to FEMA within 60 days –Alternate project requests must be made within 12 months –Applicant generated PWs for Small Projects are due within 60 days

11 11 Eligible Applicants State Government Agencies Parish Governments Municipal Governments Municipal Authorities School Districts Indian Tribes

12 12 Eligible Applicants Private Non-Profits- Critical Utility -(Water, Sewer, Energy, Communications) Emergency -(Fire, Ambulance, Rescue) Medical -(Hospital, Rehab, Outpatient) Custodial Care -(Nursing Home)

13 13 Basic Work Eligibility If expense is incurred or an item of work is required: As a result of a Declared Event Work Is within Designated Disaster Area Work Is the Responsibility of the Applicant Not within the Authority of another Program

14 14 PA Work Categories Emergency Work A: Debris Removal B: Emergency Protective Measures Permanent Work C: Roads & Bridges System D: Water Control Facilities E: Buildings and Equipment F: Utilities G: Parks, Recreational and Other

15 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 16 Category A Debris Removal Mission Assignments –Direct Federal Assistance (DFA) –Technical Assistance Public Assistance Grant Program PA Pilot Program

17 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 18 Category A Debris Removal Mission Assignment: Technical Assistance & Debris Provided to States and eligible applicants 100 percent of Federal Share

19 19 Category A Debris Removal Debris management planning instruction Debris Management Site (DMS) selection criteria development Debris contracting criteria & PA eligibility Debris monitoring strategies Identifying debris recycling opportunities Addressing Special Considerations issues Eligible debris-related Technical Assistance activities may include:

20 20 Examples of eligible debris removal activities include : Debris removal from a public right-of-way to allow the safe passage of emergency vehicles; and Debris removal from public property to eliminate immediate health and safety hazards. Category A Debris Removal

21 21 Examples of ineligible debris removal activities include : Removal of debris from an applicants 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. Category A Debris Removal

22 22 Grants Based on Estimates Categories A, C-G Large projects < $500,000 Payment based on estimate No additional funding for cost overruns No appeals Force Account Labor Category A Reimburse the straight/regular- time salaries and benefits of staff performing debris-related work Increased Federal Share Category A Additional 5% to Applicants with: FEMA-approved debris plans & two pre-qualified & pre-identified debris removal contractors Debris Recycling Category A Applicant retains revenue from the salvage value of recyclable disaster debris The PA Pilot Program is being implemented until 12/31/08 PA Pilot Program There are 4 separate components. Participation is voluntary, on per project basis


24 24 Category B Emergency Protective Measures Shelter Operations Emergency Power Generators for publicly owned facilities is eligible Safety Barricades and Signs Equipment and material used are eligible Health and Safety Hazards Removal of health and safety hazards is eligible

25 25 Category B Emergency Protective Measures Temporary Repairs –Emergency 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 eligible Personnel Time –Reserves are eligible if established policy is to pay them (regular and overtime are eligible) –NOTE: Regular time is not eligible for Emergency Work Equipment Time –Equipment time is eligible –Idle Not eligible

26 26 Category B Emergency Protective Measures Examples... Search and Rescue Bracing, Shoring Fire, Police, Medical Services Emergency Communication and Transportation Generators Barricading Sanding & Ice Removal

27 27 Donated Resources Third Party donated resources are eligible to offset the non-federal portion of the cost share Donated resources must apply to actual eligible emergency work. For example: –Debris removal –Filling Sand Bags –Shelter Operations FEMA will establish an hourly rate for volunteer services

28 28 Permanent Work Repair, restoration, or replacement of damaged or destroyed facilities, based on: –Pre-disaster design, capacity, and functional use –Current codes and standards

29 29 Permanent Work Can include consideration of: Cost-effective discretionary spending for hazard mitigation as determined by FEMA Repair versus replacement as determined by FEMA Relocation

30 30 Codes and Standards When applying codes and standards - to be eligible the following must be true: –Apply to the type of repair or restoration required –Be appropriate to the pre-disaster use of the facility –Be in writing and adopted prior to Declaration –Apply uniformly to similar types of facilities within the jurisdiction of the code granting Authority Must have been enforced

31 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 government On-System Facilities - Facilities funded by other Federal agencies, such as the Federal Highway Administration, are NOT eligible for permanent work

32 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 33 Category D Water Control Facilities Dams and Reservoirs Levees Lined and unlined engineered drainage channels Canals Aqueducts Shore protective devices Irrigation facilities Pumping facilities

34 34 Category E Buildings and Equipment Restoration -Return to Pre-disaster Design in Accordance with current Codes & Standards Extensive Damage -Repairs ELIGIBLE only when the building is structurally sound & feasible to repair Flood Relocation -If Totally Destroyed by Flood, then relocation from the Flood Plain will be studied Insurance -Commercial Carrier Pays First, Deductibles and Depreciation are ELIGIBLE Equipment -Should be replaced with Used/Surplus Supplies -Replaced to Pre-disaster Quantities Vehicles -Project written -less insurance, using Blue Book Value (includes Equip)

35 35 Category F Utilities Electrical -Restore to Pre-disaster Condition in the most Economical manner Sewer Collapse -Damage should be obvious / limited Inspection by TV may be eligible, but must be approved in advance. Cannot search for problems Cleaning -Only eligible when necessary to restore proper functioning of the system in specific reaches Revenues -Loss of Revenue is NOT ELIGIBLE Loss of Inventory -Is ELIGIBLE when documented

36 36 Category G Parks, Recreational and Other Trees - NOT ELIGIBLE Grass - Normally NOT ELIGIBLE Public Park facilities and structures may be eligible Beach erosion is eligible on engineered and maintained beaches

37 37 Section 406 Hazard Mitigation Mitigation under the Public Assistance programs Any 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 38 Section 406 Hazard Mitigation Must be cost effective Benefits exceed costs or the ratio of benefits to costs is greater than one Permanent Work Categories

39 39 Section 406 Hazard Mitigation Possible Suggestions for Hazard Mitigation Properly secure roof mounted equipment Install impact resistant glass or shutters Provide a continuous load path from the foundation through the roof joist Provide lateral support for wall systems Increase culvert size Elevate roadways Design bridges for greater flood magnitudes Elevate electrical/other building components Build ring-levees

40 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 41 Alternate Projects Permanent Work Only Funding used for other permanent work Funding max is 90% of the Approved Amount Requires FEMA pre-approval prior to Construction May require environmental assessment Requests must be made within 12 months of the Kick-off meeting

42 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 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 44 Large Projects Greater than $60,900, funding is based on documented actual costs Large projects initially are approved based on estimated costs Funds generally are made available to the applicant on a reimbursement basis as work is completed When 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 45 Small Projects Estimated cost under $60,900 Federal share (75%) paid on approval State and local is share (25%) paid based on actual or approved which ever less –On completion of all small projects –State final inspection and program review

46 46 Final Inspections and Program Reviews Will Be Conducted... On all large projects On a sample of small projects On all applicants

47 47 Basic Eligibility - Labor Costs Emergency Work: –Only overtime is eligible for: Permanent employees Re-assigned employees Seasonal employees –Both 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 eligible FEMA Recovery Policy , dated 11/16/06

48 48 Basic Eligibility – Equipment Costs The cost for using Applicant-owned equipment while conducting eligible work is eligible FEMA maintains a national schedule of equipment rates, which include operation, depreciation, fuel, and maintenance; rates do not include operator labor You can use either FEMAs approved equipment rates or locally developed equipment rates, whichever are lower

49 49 Basic Eligibility – Material Costs The cost of supplies that were either purchased or taken from stock and used are eligible Actual costs should be taken from invoices Materials must be of reasonable amount and costs

50 50 Program Management Cost Direct Grant Management and Administration (M&A) The Administrative Allowance IS GONE Regulation (44CFR) has changed

51 51 Basic Eligibility Direct and Indirect Management Cost To be eligible –the estimated Direct Management costs must be included on the Project Worksheet A method for estimating costs is being developed by the State All claimed costs must be documented to the PW –Salary and Benefits = Timesheets and Payroll Records Supplies and other costs –receipts, invoices etc. All costs must be documented and tracked back to specific project worksheet

52 52 Project Worksheets (PW) The Project Worksheet (PW) is the primary form used to document the scope of work and cost estimate for a project The PW includes: –the location –damage description and dimensions –scope of work –and cost estimate for each project Minimum PW is $1,000 Applicants are encourage to complete the PWs Team scheduling to meet to develop PWs based on RPAs Applicants representative is vital

53 53 Damage Description The cause of damage Description of the facility Description of damaged elements of the facility Dimensions of the damaged elements

54 54 Scope of Work Completely describe repairs (or replacements) necessary to restore facility to original design and construction Specify and include required code and standard upgrades Descriptions 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 matters The Scope of Work is the basis for the cost estimate

55 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 Act Coastal Zone Management Act EO Floodplain Management EO Wetlands Protection Clean Water Act (Section 404) Clean Air Act

56 56 Environmental Considerations Emergency Actions (e.g. search and rescue, emergency care, issues of life safety) Debris Removal (not necessarily disposal or storage/staging) Building Stabilization Immediately following a disaster, applicants can complete work in accordance with FEMA policy guidance. The most common are:

57 57 Environmental Considerations Debris disposal (other than to a permitted landfill) Any project affecting a threatened, endangered or proposed species Any project affecting a wetland Any project affecting a floodplain However, before the following actions can be taken, these actions must be considered:

58 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 applicants 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 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 60 Historic Considerations National Historic Preservation Act of 1966 Legislation 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 61 Historic Considerations 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. When receiving federal funds for any structure, historic considerations are taken into account. Section 106 looks at:

62 62 Historic Considerations FEMA and GOHSEP will work with the applicant to satisfy NHPA; however, it is the applicants 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 63 Insurance Considerations Does the damaged facility or item of work have insurance coverage and / or is it an insurable risk Is the facility in located in the Flood Plain (Flood Insurance)

64 64 Local Responsibility Prepare a list of work performed by location Locate each site on a map Provide photographs etc. as required Ensure that the local expert formulates the Project or is part of the formulation Team

65 65 Local Responsibility Be able to provide complete cost breakdown Have insurance coverage data available Determine if site will be repaired by either force account or contract Have copies of appropriate ordinances etc. With any disagreement, be able to provide a statement of non-concurrence

66 66 Managing the Grant, Procuring Services, and Audits

67 67 Documentation Applicants must establish a project file, for each project, containing all documentation pertaining to this project Document every action taken Follow applicable Federal procurement regulations Retain 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 68 Documentation Completed Project Worksheet Completed Special Considerations Questions form Estimated and actual costs Force account labor Force account equipment Rented equipment Materials and purchases Insurance information Photographs of damage, work underway, work completed Environmental and/or historic alternatives and hazard mitigation opportunities considered for large, improved or alternate projects Environmental Review Documents Records of donated goods and services Checklist for Each Project

69 69 Time Limits An applicant must submit a Request for Public Assistance within 30 days from the date a Parish is declared a major disaster or emergency area Applicants have 60 days from the Kickoff Meeting with FEMA to identify and report damages An applicant may appeal FEMAs decision within 60 days of being notified of that decision Work completion deadlines –Emergency Work 6 Months –Debris Removal 6 Months –Permanent Work18 Months Time 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 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 greater Must document all work for all small projects to receive consideration for a net small project cost adjustment

71 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 prices –Changes in the scope of eligible work –Delays in timely starts or completion of work Submit sufficient information to support the eligibility of all claimed work and costs for each large project

72 72 Appeals The appeal process is the opportunity for applicants to request reconsideration of decisions regarding their grant –Two levels: 1 st Appeal goes to the Regional Director; 2 nd 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 appealed –The 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 action –If the first appeal is denied by the Region, the Applicant may submit a second appeal to FEMA Headquarters

73 73 Project Closeout All project worksheets are closed in order to certify that all work is complete and all eligible costs have been reimbursed. This is the Applicants last opportunity to ensure that they have received all funding available under the law

74 74 Federal Procurement Guidelines

75 75 Its a very sobering feeling to be up in space and realize that ones safety factor was determined by the lowest bidder on a government contract. Alan B. Shepard Jr. First American in space, 1961 Procurement

76 76 Procurement Types Small purchase procedures: simplified acquisition threshold currently set at $100,000 [U.S.C. 403(11)]; get multiple quotes to demonstrate reasonableness of costs Competitive (sealed) bid: publicly advertised and/or solicited bids; contract awarded to the lowest bidder Competitive proposals: awarded based on contractor qualifications (used for A&E). Required by 44 CFR but not required under LA State law Non-competitive proposals: only one source, single contractor, emergency, inadequate competition

77 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; or –After solicitation of a number of sources, competition proves inadequate 44 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 78 Work within prescribed boundaries; clearly defined scope and total price Lump Sum Work done on an item-by-item basis with cost determined on a unit basis Unit Price Lump sum or unit price contract with a fixed contractor fee added into the price Cost plus Fixed fee Should 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 Time & Materials Acceptable Contracts

79 79 Non - Acceptable Contracts Not allowedCost Plus a Percentage of Cost Not allowedContingency

80 80 Audits Single Audit Act: This act requires grant recipients expending $500,000 or more in Federal funds in a fiscal year to perform a single audit DHS/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 81 Unsupported contractor costs Unsupported Force Account costs Ineligible Costs Unreasonable costs Four General Categories of Audit Findings Representative Audit Findings

82 82 General Findings Representative Audit Findings Failed 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

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