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State FEMA Public Assistance Applicant Briefing October 30, 2013
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State FEMA Public Assistance Applicant Briefing October 30, 2013

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  • And for Private Non-Profit Applicants we have:
    Educational Institutions
    Utilities
    Emergency Services
    Medical Care
    And Custodial
  • And for Private Non-Profit Applicants we have:
    Educational Institutions
    Utilities
    Emergency Services
    Medical Care
    And Custodial
  • And for Private Non-Profit Applicants we have:
    Educational Institutions
    Utilities
    Emergency Services
    Medical Care
    And Custodial
  • The main purpose of today’s meeting is to make sure all of you know how to submit a Request for Public Assistance
    Keep on mind the RPA should be submitted 30 days after the declaration day.
    In this case you must submit a Request for Public Assistance by XX/XX/XXXX
  • Some examples of applicants that are eligible for Public Assistance are:
    State Governments
    County Governments
    Municipal Governments
    Tribal Governments
    Special Purpose Districts
    School Districts
  • Some examples of applicants that are eligible for Public Assistance are:
    State Governments
    County Governments
    Municipal Governments
    Tribal Governments
    Special Purpose Districts
    School Districts
  • And for Private Non-Profit Applicants we have:
    Educational Institutions
    Utilities
    Emergency Services
    Medical Care
    And Custodial
  • There are 2 types of Private Non-Profit Organizations…
    The first type is Critical Services which includes:
    Power
    Water
    Sewer
    Communications
    Emergency Medical Care
    And Fire and Rescue
    All critical services can apply directly to FEMA for public assistance funding for Emergency and Permanent work
  • There are 2 types of Private Non-Profit Organizations…
    The first type is Critical Services which includes:
    Power
    Water
    Sewer
    Communications
    Emergency Medical Care
    And Fire and Rescue
    All critical services can apply directly to FEMA for public assistance funding for Emergency and Permanent work
  • And for Private Non-Profit Applicants we have:
    Educational Institutions
    Utilities
    Emergency Services
    Medical Care
    And Custodial
  • For work to be eligible, the work must be:
    The result of the Disaster
    Located in the designated disaster area
    Be the legal responsibility of an eligible applicant
    And no other Federal Agency has specific authority over the project
    An example of this would be assistance for federally aided roads; you would need to request reimbursement through the Department of Transportation on those projects
  • All Projects Fall into 2 types of work:
    Emergency Work which includes:
    Debris Removal
    And Emergency Protective Measures
    Emergency Work must eliminate or reduce immediate threats to:
    Life
    Health
    Safety
    Or Improved Property
    Permanent Work includes:
    Permanent Repair
    Or Restoration of Eligible Facilities
    Again work must be the result of the Declared Disaster and in the areas the President has designated
  • When formulating your project worksheets, you should be aware of the 7 different Categories of Work
    Category A: deals with Debris Removal and is eligible:
    When it is the legal responsibility of an eligible applicant
    When it eliminates an immediate threat to life, health, and safety
    And when it eliminates an immediate threat of significant damage to improved property...
    Which ensures economic recovery of the community and provides a benefit for the community-at-large
    Category B: is Emergency Protective Measures taken by a community before, during, and after a disaster in order to:
    Save lives, Protect public health and safety, Or eliminate an immediate threat of significant damage to things such as improved property and private property through cost effective measuresCategories C through G covers Permanent work
    For Permanent work the applicant must: Repair, Restore, Or Replace the Facility to the Pre-disaster Condition
    Also Facilities must be restored to pre-disaster: Design, Capacity, And Function in accordance with local Codes and Standards
  • The main purpose of today’s meeting is to make sure all of you know how to submit a Request for Public Assistance
    You must submit a Request for Public Assistance within 30 DAYS from declaration DATE
  • Once you have submitted the Request for Public Assistance and it has been approved, FEMA and the State will each assign you a Public Assistance Coordinator (PAC)
    The PACs will contact you to set-up a kickoff meeting in order to begin the documentation process
    Once again it is very important for you to make sure that ALL personnel who are familiar with the projects attend this meeting, some examples are: administrative staff, finance & accounting staff, engineers, etc
    Also at the kickoff meeting you will need to present a list of damages
    This list will be the basis for developing project worksheets, which are used to obligate funds
    Make sure you also bring a copy of your insurance policy.
  • The Project Worksheet (PW) is used to document the
    Scope of work
    And a Cost Estimate for the Project
    The total eligible amount for a PW at least 1,000 dollars
    When formulating PW’s, you will need:
    Location - to include longitude and latitude whenever possible
    A written description of the damages
    Dimensions of the damaged element
    And financial records
    Your participation is vital to all project formulations
  • This illustrates the steps that the Project Worksheet must go through before you can receive funding for a project:
    The PW is written and submitted to the Disaster Field Office
    A Deputy Public Assistance Officer reviews the PW and approves it for submission
    The PW is then entered into NEMIS (National Emergency Management Information System)
    Then the review process begins. From initial to final review, there can be between 4 and 7 steps.
    The PW may need to be reviewed by:
    Insurance
    Cost Share
    Hazard Mitigation (reduce or eliminate threat of future damage)….and others
    Once the review process is complete, the PW becomes obligated (FEMA has given funds to US the State and we are ready to disburse)
  • This illustrates the steps that the Project Worksheet must go through before you can receive funding for a project:
    The PW is written and submitted to the Disaster Field Office
    A Deputy Public Assistance Officer reviews the PW and approves it for submission
    The PW is then entered into NEMIS (National Emergency Management Information System)
    Then the review process begins. From initial to final review, there can be between 4 and 7 steps.
    The PW may need to be reviewed by:
    Insurance
    Cost Share
    Hazard Mitigation (reduce or eliminate threat of future damage)….and others
    Once the review process is complete, the PW becomes obligated (FEMA has given funds to US the State and we are ready to disburse)
  • Once a project is obligated by FEMA, the State can begin the Payment Process
    The first review is by a Financial Specialist
    The payment is then verified by a Financial Supervisor
    Once approved by the Program Manager, it is forwarded to the Governor’s Authorized Representative for approval
    The payment then goes to the Division of Finance and Accounting where it goes through processing and acceptance
    And finally, the payment is then sent to you by mail or by electronic funds transfer.
  • The minimum Federal Cost Share is 75%
    The Non-Federal Share can be covered by:
    The State
    The Applicant
    Or a combination of both
    Typically, the state will split the non-Federal share with applicants
    However, Private Non-Profit Organizations do not qualify to receive any State funding and will only be reimbursed the Federal share
    (NEXT SLIDE)
  • WHAT DETERMINES A SMALL OR LARGE PROJECT?
    The term large project and small project relates to the cost threshold to complete work
    This cost threshold is defined by federal legislation and is adjusted annually (October 1)
    For fiscal year 2011, the threshold for small projects has been set at less than $63,900
    Anything under this amount is considered a small project and is processed differently by the State
  • The reimbursement process on small projects is different from the process of large projects
    On small projects, you can prepare your own Project Worksheets if you have the resources to do so; if not, the Public Assistance Coordinator, or Project Officer assigned by the PAC, will assist in the preparation of Project Worksheets
    Upon obligation of funds, the state can automatically disburse the funds to you
    This process is approximately 3-weeks from the point of obligation
  • The reimbursement process for large projects is more detailed
    Before any payments can be processed, you must submit a
    Request for Reimbursement
    And a Summary of Documentation
  • You must document all costs for approved work on Project Worksheets
    FEMA does offer forms to help organize and summarize expenses…
    Time cards, payroll registers, material invoices, ads for bids, contracts, invoices and cancelled checks are all examples of criteria that are subject to audits or program reviews
    You will need to keep records for 5 years after the closeout letter from FEMA is received
    (Please note: FEMA only requires you to keep records for 3 years, however, the State requires 5 years)
  • The Stafford Act provides 2 types of Hazard Mitigation:
    Section 404 Hazard Mitigation is NOT part of the Public Assistance Program
    Section 406 Hazard Mitigation IS part of the Public Assistance Program and applies only to damaged elements eligible under PA
    It is a funding source for cost-effective measures that would reduce or eliminate the future threat of damage to a facility that was damaged during the present disaster
    We encourage the use of 406 Hazard Mitigation
    Currently, there is no limit to funding under this program
  • The Stafford Act provides 2 types of Hazard Mitigation:
    Section 404 Hazard Mitigation is NOT part of the Public Assistance Program
    Section 406 Hazard Mitigation IS part of the Public Assistance Program and applies only to damaged elements eligible under PA
    It is a funding source for cost-effective measures that would reduce or eliminate the future threat of damage to a facility that was damaged during the present disaster
    We encourage the use of 406 Hazard Mitigation
    Currently, there is no limit to funding under this program
  • Also Remember to:
    Complete all Project Worksheets as accurately as possible
    Submit a Request for Reimbursement and Summary of Documentation for all large projects
    And if you have specific questions, contact your State and FEMA PAC’s
  • Transcript

    • 1. FEMA PUBLIC ASSISTANCE PROGRAM APPLICANT BRIEFING Colorado Severe Storms, Flooding, Landslides, and Mudslides Incident Start Date: 9/11/2013 Incident End Date: 9/30/2013 Declaration: DR-4145 Declared: 9/14/2013 This Presentation was updated on 10/25/13
    • 2. Agenda  Introductions  Be sure to sign the attendance sheet  Applicant Briefing  Status of declarations  Expectation management  The process  Public Assistance Program  Opportunities  Hand in your Request for Public Assistance Form
    • 3. INTRODUCTIONS
    • 4. Status: Counties Declared as of 10/21/13   Adams, Arapahoe, Boulder, Clear Creek, Crowley, Denver, El Paso, Fremont, Gilpin, Jefferson, Lake, Larimer, Lincoln, Logan, Morgan, Sedgwick Washington, and Weld Counties Still reviewing other counties
    • 5. Expectation Management 1. You will not be made whole. The FEMA Public Assistance Program provides supplemental financial assistance to state, local, and tribal governments, and certain private non-profit organizations for response and recovery activities required as the result of a declared disaster. Funding is cost shared at a federal share of no less than 75% of eligible costs.
    • 6. State Cost Share The following has been determined regarding state cost share for the FEMA Public Assistance (PA) Program: State PA cost share with local governments, including special districts: 12.5% (50% of the 25% non-Federal match) but if a local government has used all its reserves and TABOR Emergency Reserves, the state may increase cost share up to 90% of the 25% non-Federal match. Other state agencies will review local government finances to determine (verify) that reserves/emergency funds have been expended.  There is no PA cost share with non-profit organizations (PNPs). 6
    • 7. 2. Homeowners’ Associations From: Public Assistance Policy Digest FEMA 321 Homeowner’s Associations often prohibit access with gates and other security systems. When Access is restricted, the services and facilities cannot be considered open to the public and therefore are not eligible for Public Assistance funding.
    • 8. Homeowners’ Associations Removal of debris from roadways (including debris moved to the curb) within the community to create an emergency path of travel is eligible if performed or contracted by an eligible local or State level government entity with legal authority and applied for by the eligible local or State entity. If Homeowner’s Association meets the criteria for an eligible PNP under the PA program, it may claim costs for the repair of its eligible education, medical, custodial care, emergency, and utility (except irrigation) facilities.
    • 9. Homeowners’ Associations Repair of roadways, irrigation facilities, and facilities that provide governmental services other than those listed on the previous slide are not eligible. PNP recreation facilities are ineligible whether the community is gated or not.
    • 10. 3. PNP Irrigation Facilities    From: Public Assistance Policy Digest: FEMA 321 Irrigation Facilities are channels and associated features generally designed and constructed for the purpose of transporting water for agricultural use. All publicly owned irrigation facilities generally are eligible for public assistance. However, to be eligible for public assistance funding, a Private Nonprofit (PNP) Irrigation Facility must provide essential services of a governmental nature to the general public. This means providing water for fire suppression, generating electricity, and drinking water supply. Irrigation facilities solely used for agricultural purposes are not eligible. Grant assistance for eligible mixed-use facilities will be prorated based on the use of the facility.
    • 11. PNP Irrigation Facilities  Eligible components of the irrigation system include the canal and associated features, such as siphons, pumps, retention/ collection dams, and low control gates associated with the eligible services. The canals must be improved and maintained; natural channels are not eligible.  Debris removal and permanent restoration are only eligible to the point of restoring the pre-disaster hydraulic capacity.
    • 12. WHERE YOU ARE IN THE PROCESS
    • 13. SUBMISSION OF REQUEST
    • 14. The Program
    • 15. Factors of Eligibility  Applicant  Facility  Work  Cost
    • 16. Eligible Applicants  State Government Agencies  County Governments  Municipal Governments  Tribal Governments  Special Districts  School Districts  Certain Private Nonprofit Organizations
    • 17. Eligible Applicants Private Non-profit Organizations  Critical  Non-critical
    • 18. Critical Services: Private Non-Profit Organizations        Power Water Sewer and Wastewater Communications Education Emergency Medical Care Fire Protection/Emergency Services
    • 19. Non-Critical Services: Private Non-Profit Organizations           Museums Zoos Performing Arts Facilities Community Centers Libraries Homeless Shelters Rehabilitation Facilities Senior Citizen Centers Shelter Workshops Health and Safety Services of a governmental nature
    • 20. Eligible Applicants Private Non-profit
    • 21. Eligible Facilities  A facility is defined as – Any publicly-owned or PNP-owned building, works, system, or equipment (built or manufactured); or – Certain improved and maintained natural features
    • 22. Eligible Work Criteria  Required as a result of the declared disaster  Located in designated disaster area  Legal responsibility of eligible applicant - An eligible applicant must be legally responsible for the repair of the damaged facility or the performance of emergency services at the time of the disaster.  No other Federal agency has specific authority
    • 23. Types of Eligible Work 1. Emergency Work (Categories A & B) 2. Permanent Work (Categories C - G)
    • 24. Work Categories  A: Debris Removal  B: Emergency Protective Measures  C: Roads and Bridges  D: Water Control Facilities  E: Buildings And Equipment  F: Utility Systems  G: Parks, Recreational, and Other
    • 25. Eligible Costs  Generally, costs that can be directly tied to the performance of eligible work are eligible  Such costs must be: – Reasonable and necessary to accomplish the work – Compliant with Federal, State, and Local requirements for competitive procurement (including 44 CFR p. 13) and – Reduced by all applicable credits, such as anticipated insurance proceeds and salvage values.
    • 26. Labor Costs – Emergency Work  Only overtime labor is eligible for: – Permanent employees – Seasonal employees  Both regular time and overtime labor are eligible for non-budgeted employees assigned specifically to perform emergency work, including temporary employees
    • 27. Labor Costs – Permanent Work   For permanent work performed by an eligible applicant, both regular time and overtime are eligible for all employees. The applicant’s pre-disaster written policies on overtime are used in determining cost eligibility – Cannot be contingent on federal funding or discretion
    • 28. Force Account Equipment      Equipment is eligible for regular time and overtime Standby time is ineligible Hourly usage costs for trucks, back-hoes, etc. Mileage costs for automobiles Must use FEMA cost codes or your own cost codes, whichever is less
    • 29. Materials     The cost of supplies that were purchased or taken from an applicant’s stock and used during performance of eligible work may be claimed Keep invoices and/or purchase orders Keep all cancelled checks Keep record of any inventory used from stock
    • 30. Donated Resources   Volunteer labor, donated equipment, and donated materials are eligible to offset the State and Local portion of cost share for emergency work (Cat A and B) The donated services must be documented and must include a record of hours worked, the work site, and a description of work
    • 31. WHAT’S NEXT?
    • 32. SUBMISSION OF REQUEST FOR PUBLIC ASSISTANCE Applicants must submit a Request for Public Assistance (RPA) Form by the dates below: For Counties Declared 9/15 and 10/1 – Nov. 16 For Counties Declared 10/21 – Nov. 20
    • 33. Kickoff Meeting      FEMA will assign a Public Assistance Coordinator (PAC) Eligibility will be confirmed The FEMA PAC will hold a kickoff meeting to discuss details of the PA Program You, the applicant, provides lists of damages and cost estimates from the disaster Bring a COPY of your Insurance Policy, if applicable,
    • 34. Project Worksheet (PW)  Scope of work  Estimates eligible cost  Minimum PW is $1,000  Applicant’s participation is vital
    • 35. PW Review Process  Project worksheet completion  FEMA PAC reviews and approves it for submission  PW entered into electronic database  FEMA’s special consideration reviews – – – – Insurance Requirements Hazard Mitigation Environmental Requirements Historic Preservation & Cultural Resources
    • 36. PW Review Process  –  – – –  Final Project Worksheet reviewed and approved by Applicant – requires sign-off Ask questions if something doesn’t make sense Exit Briefing Form – Signature by: FEMA PAC Crew Leader State Applicant Liaison Applicant Representative Obligation of project worksheet
    • 37. Grant Agreement Process 1. State prepares Grant Agreement between State and Applicant - sends 2 copies to Applicant – must be executed by Chief Elected Official 2. Approved Project Worksheets are the exhibits to Grant Agreement 3. State then executes Agreement – requires processing by Department Controller This process takes time…..
    • 38. R EIMBURSEMEN T
    • 39. Cost Share  The federal share is 75%  The remaining non-federal share is the Grantee and Sub-grantees responsibility  The cost share is stated in the grant agreement
    • 40. Small vs. Large Projects Public Assistance projects are processed as either small or large projects. If the project cost is less than the annually updated cost threshold amount ($67,500 for FY 2013) the project is processed as a small project. If the project cost equals or exceeds the threshold the project is processed as a large project.
    • 41. Reimbursements – Small Projects     Federal funding is based on the initial cost estimate Federal cost share will be processed by the State upon obligation – after execution of the Grant Agreement All small projects must be completed in accordance with the PW Failure to complete a project may require that Federal and State payments be refunded!
    • 42. Reimbursements – Large Projects    Subgrantees must submit Requests for Reimbursement to the State as work is accomplished, along with all required documentation and supporting payment records. Please submit quarterly. State will provide further instructions on reimbursement process after execution of the State Grant Agreement.
    • 43. Project Validation   For all large projects applicants should submit Requests for Final Inspection within 60 days after the physical work is 100% complete. Final assistance is based upon actual costs or an estimate using the Cost Estimating Format.
    • 44. Administrative Allowance The allowance includes funding for indirect costs, any administrative expenses and other expenses reasonably incurred and not directly chargeable to a specific project.  Cost must be reasonable and the level of effort reasonable for the type of work required.  Example – Pay roll personnel collecting and tracking labor costs for staff performing emergency protective measures.   Records must be kept on how the funds were spent.
    • 45. Record Keeping Vital To Full Reimbursement  Costs by PW for approved work  FEMA has forms that assist in organizing and summarizing  Original documentation required audit or program review  Keep records for 3 years after closeout letter from State/FEMA for
    • 46. OPPORTUNITIES
    • 47. Opportunities: Alternative Procedures for Debris Removal Discuss these with your PAC If desirable, request Alternative Procedures for Debris Removal -Accelerated Debris Removal-Increased Federal Cost Share (Sliding Scale) (Large projects) (days 0-30 = 85%, 31-90 = 80%, 91-180 = 75%, 180+ days = 0% unless an extension is granted) -Recycling Revenues (Large projects) -Straight Time Force Account Labor (small & large projects) http://www.fema.gov/media-library-data/20130726-1921-250451092/public_assistance_alternative_procedures_ pilot_program_guide_for_debris_removal.pdf
    • 48. Opportunities: Permanent Work Discuss this with your PAC Participation in the permanent work pilot is based on a Subgrantee agreeing to a fixed estimate subgrant; the pilot includes:  Grants Based on Fixed Estimates  Acceptance of Subgrantee Cost Estimates  Referral of Cost Estimates to Expert Panel  Consolidated Subgrants  Elimination of Alternate Project Penalty  Use of Excess Funds Subgrantee is responsible for costs above the fixed estimate Subgrantee has flexibility in use of funds within the fixed estimate 
    • 49. Opportunities: Mitigation Discuss 406 with your PAC  Section 404 - Hazard Mitigation Grant Program (HMGP) Not Public Assistance. Assistance  Section 406 - Available as part of Public Assistance Applies only to damaged elements eligible under PA Permanent Work Projects determined to be “costeffective” (eliminate the future threat of damage to a facility )
    • 50. Opportunities: Improved Projects Discuss with your PAC  An Improved Project is any project (large or small) where the applicant chooses to make additional improvements to the facility while making disaster repairs. Applicants performing restoration work on a damaged facility may use the opportunity to make additional improvements while still restoring the facility to its pre-disaster design.  For the most part, these are projects in which the funding for approved work cannot be tracked within the improved projects because of physical changes or contracting arrangements. For example, an applicant might propose laying asphalt on a gravel road or replacing a firehouse that originally had two bays with one that has three.
    • 51. Opportunities: Alternate Projects Discuss with your PAC  The applicant may request approval of an alternate project from FEMA through the Grantee when an applicant determines that the public welfare would not be best served by either restoring a damaged facility or by restoring the function of a damaged facility. Either one of the two conditions must be met. See 44 CFR 206.203(d)(2).  The FEMA Regional Administrator must approve all alternate projects prior to the start of construction. See 44 CFR 206.203(d)(2)(v).
    • 52. Applicant Common Errors Office of Inspector General (OIG) has noted the following frequent audit findings (see OIG report, October 2008): Poor Accounting Practices Unsupported Costs Duplication of Benefits Excessive Equipment Charges Excessive Labor and Fringe Benefit Charges Unrelated Project Charges Unapplied Credits Poor Contracting Practices
    • 53. Contracting Requirements Federal Regulations (44 CFR 13.36) requires that Grantees and sub-grantees comply with the following procurement standards: Competition is almost always required. Regardless of State or local exceptions during an emergency. The applicant must maintain records in sufficient detail to reflect the significant history of the procurement, including the rationale for the method of procurement, the basis for the contractor selection, and the basis for the contract price The applicant is prohibited from using time-and-material type contracts unless a determination is made that no other contract is suitable, and provided that the contract includes a ceiling price that the contractor exceeds at its own risk; and The applicant is prohibited from using a “cost plus a percentage of cost” contract.
    • 54. TIMELINES
    • 55. Timelines    Applicant has until November 16 or 20, 2013 to submit a Request for Public Assistance (RPA) form. Applicant has 60 days from Kick Off meeting to identify damages Applicant has 60 days upon notification of a PW decision to appeal thru the State.
    • 56. Timelines    FEMA has 90 days upon receipt of an appeal to provide in writing the disposition of the appeal or request additional information. Applicants have 60 days upon receipt of a 1st appeal disposition to request for a 2 nd appeal. FEMAs goal is to provide applicants with the fullest reimbursement under the Stafford Act for their PWs.
    • 57. Key Points…  FEMAs goal is to complete all project worksheets as soon as possible in order to provide funding for Applicants.  Contact State OEM & your FEMA PAC for any specific questions.
    • 58. Helpful Websites  http://www.fema.gov/public-assistance-local-state- tribal-and-non-profit  http://www.fema.gov/public-assistance-policy-and Helpful Websites guidance  http://www.fema.gov/pdf/government/grant/pa/fema 323_app_handbk.pdf  http://www.fema.gov/9500-series-policy- publications
    • 59. Public Assistance Hotline     Once assigned, reach out to your FEMA PAC Hotline # is 855-282-5706 Between 8 am and 6 pm DUNS Number Hotline – 866-705-5711
    • 60. Reminder regarding FEMA’s Individual Assistance Program  Encourage people to sign up for IA for private roads and driveways.  For the general public the hotline is 1-800-621-FEMA (3362)
    • 61. This concludes the overview of the Public Assistance Applicant Briefing  Please submit an RPA  If you are unable to submit today, please email RPAs to:  rpa_colorado@state.co.us  Kick-off meetings will be scheduled.  This briefing and other state recovery information can be found at:  https://sites.google.com/site/corecoverypartners/dam age-assessment/applicant-briefings