arkansas department of emergency management applicant’s briefing fema 4124-dr-ar arkansas’...

Arkansas Department of Emergency Arkansas Department of Emergency ManagementManagement

Applicant’s Applicant’s BriefingBriefing

FEMA 4124-DR-ARFEMA 4124-DR-AR

Arkansas’ Homeland Security & Preparedness Arkansas’ Homeland Security & Preparedness AgencyAgency

FEMA 4124 – DR – AR •Incident Period

– May 30, 2013- June 3, 2013– Severe Storms, Tornadoes, Flooding– PA Declaration on June 25, 2013

•(Cleburne, Cross, Independence, Montgomery, Poinsett, Polk, Searcy, Scott, Stone, Van Buren, and Woodruff)



Request for Public Assistance• Applicant’s official notification• Used to confirm applicant eligibility• Must be submitted within 30 days of declaration

• Typically submitted at Applicant’s Briefing



PUBLIC ASSISTANCE PUBLIC ASSISTANCE GRANT PROGRAMGRANT PROGRAM

Supplemental financial assistance to state, local governments and certain private non-profit organizations for response and recovery activities required as a result of a disaster.



LAWS-REGS-POLICIES• Robert T. Stafford Disaster Relief and Emergency

Services Act (STAFFORD ACT) – Law

• Regulations ( 44 CFR Part 206)– Used to implement the Statute

• Policies (9500 Series)– Used to apply the regulations and Statute

• FEMA 321 – PA Policy Digest• FEMA 322 – PA Guide• FEMA 325 – Debris Management Guide



GRANTEE or SUBGRANTEEGRANTEE or SUBGRANTEE

Grantee - State or tribal government that is responsible for administering Public Assistance grants.

Subgrantee - eligible applicant that receives a Public Assistance grant as reimbursement for performing eligible disaster work.





APPLICANT

COSTWORK

FACILITY

ELIGIBLE APPLICANTSELIGIBLE APPLICANTS

State GovernmentCounty GovernmentCity GovernmentCertain Private Nonprofit

OrganizationsNative American Tribes or Tribal

Organizations



Eligible Private Nonprofit Eligible Private Nonprofit EntitiesEntities

• Educational

• Medical

• Custodial care

• Fire/emergency

• Utilities (power, water, sewer, etc)

• Certain irrigation facilities



Eligible Private Nonprofit Eligible Private Nonprofit Entities Must:Entities Must:• Be tax exempt according to the IRS• Operate as nonprofit under State law• Request assistance for facilities used

primarily for eligible purposes• Provide services of a governmental nature• Be open to the general public• PNP questionnaire must be filled out to

determine eligibility



PNP FUNDING PNP FUNDING LIMITATIONSLIMITATIONS • Critical Facilities:

– Eligible for emergency & permanent work

• Non-Critical Facilities (museums, libraries, zoos)– Eligible for emergency work– Must first apply to SBA for permanent work





APPLICANT

COSTWORK

FACILITY

Eligible FacilitiesEligible Facilities

• Roads, bridges, and culverts

•Drainage and irrigation channels

• Schools, city halls, and other public buildings

•Water, power, and sanitary systems

•Airports

•Parks

•y



ELIGIBILE FACILITY ELIGIBILE FACILITY REQUIREMENTSREQUIREMENTS

• Damaged as a result of a declared event

• Located within a declared disaster area

• The legal responsibility of an eligible Applicant

• In active use at the time of the disaster

• Not under the authority of another federal agency



• Routine maintenance

• Pre-existing damage

• Work caused by lack of maintenance



Ineligible Work



APPLICANT

COSTWORK

FACILITY

• A - DEBRIS REMOVAL• B - EMERGENCY PROTECTIVE• C - ROAD SYSTEMS• D- WATER CONTROL FACILITIES• E- BUILDINGS & EQUIPMENT• F- UTILITIES• G- PARKS - RECREATIONAL - OTHER



CATEGORIES OF WORK

Category A - Category A - Debris RemovalDebris RemovalCategory B - Category B - Emergency Protective Emergency Protective MeasuresMeasures

EMERGENCY WORK



• Eligible– Storm Related Debris– In Public Right-of-way – Separated at the Right-

of-way/Curb

• Not Eligible– Private Property (case

by case, FEMA approval)

– Unimproved Public Property

– Stumps (50% Exposed)– Demolition– Concrete Slabs– Commercial Property– Vacant Lots– Routine Garbage/Trash

Pickup



Category A - Category A - Debris Debris RemovalRemoval

• Overtime Only when using salaried/force account employees

• Using temp hire employees • Leased Equipment w/operator• Contract –proper bidding procedures proper bidding procedures

and competitive biddingand competitive bidding



Category A - Category A - Debris Debris RemovalRemoval

DEBRIS MANAGEMENTDEBRIS MANAGEMENT• Obtain authorization prior to burning debris

(ADEQ/SHPO)

• Debris staging must be on an acceptable site; complete debris certification or get individual permits.

• Provide locations of authorized debris sites.

• Reduce debris volume wherever possible (e.g. grinding, chipping, burning, recycling).

• Dispose debris in a permitted landfill.

• Do NotDo Not dump debris into open waters of any kind (including wetlands or floodplains).



• Type, Amount, and LocationType, Amount, and Location• Measure/Certify Truck CapacityMeasure/Certify Truck Capacity• Load TicketsLoad Tickets• Validate hazardous trees, hangers, leaners, Validate hazardous trees, hangers, leaners,

and stumpsand stumps– GPS & Pictures RequiredGPS & Pictures Required

• Ensure trucks are accurately credited for loadEnsure trucks are accurately credited for load• No Mixed loadsNo Mixed loads• Authorizations/Permits are obtained Authorizations/Permits are obtained

(ADEQ/SHPO)(ADEQ/SHPO)• Daily monitoring reportsDaily monitoring reports



MonitoringMonitoring

• ExamplesExamples– Emergency Debris Clearance (First Push, 70

hours)– Search & Rescue– Safety Barricades & Signs– Security Forces– Health & Safety Hazards – Emergency Protective Levees– Sandbagging & Emergency Pumping– Food & Shelter –When provided by the

applicant– OT for Regular Employee and all salary

costs for an Extra Hire

Category B - Category B - Emergency Protective Emergency Protective MeasuresMeasures



DONATED RESOURCESVolunteer Labor (In-Kind Match)

– Applies to the Non-Federal Share of Applies to the Non-Federal Share of Emergency Work Only (A & B)Emergency Work Only (A & B)

– List of volunteersList of volunteers

– Names, days, hours, location of work, Names, days, hours, location of work, and type of work. and type of work.



PERMANENT WORK

Category C – GRequired to restore a damaged facility, through repair or restoration, to its pre-disaster design, function, and capacity in

accordance with applicable codes and standards



Permanent Work Categories

Category C: Roads and BridgesCategory D: Water Control

FacilitiesCategory E: Buildings and

EquipmentCategory F: UtilitiesCategory G: Parks, Recreational,

and Other



Category C

Typical facilities include:

RoadsBridgesCulverts/drainage structures

Not eligible:Permanent repairs to Federal-aid roads (FHWA)Private and homeowners’ association roadsMaintenance items



Category D

Typical facilities include:

Dams and reservoirsDrainage and irrigation channels/facilitiesLevees/dams/flood channels



Category ETypical facilities include:

Schools, hospitals, jails, courts, and other buildings

Building contents and systemsEquipment and vehicles



Category FTypical facilities include:Water treatment and deliveryPower generation and distributionSewage collection and treatmentCommunications

Not eligible:Lost revenueIncreased operating expenses due to disaster



Category GTypical facilities include:Public recreational facilities: parks, pools, ball fields,

playgroundPublic cemeteriesImproved and maintained beachesFacilities that do not fit Categories C-F

Not eligible:Trees and ground cover, regardless of purposeNatural features and beachesPrivate non-profit owned parks and recreational

facilities



ELIGIBLE DIRECT COSTS CAT C-G

• Salaries, wages and fringe benefits

• Materials

• Applicant owned equipment

– FEMA Cost Codes

• Rented equipment

• Contract costs incurred for eligible work, including engineering/design services



Categories C-G Codes and Standards

Five criteria:

1.Apply to the repair/ restoration work

2.Be appropriate to pre-disaster use

3.Be reasonable, in writing, and formally adopted and implemented prior to the declaration

4.Apply uniformly to all such facilities

5.Be enforced



SPECIAL SPECIAL CONSIDERATIONS for CONSIDERATIONS for

WORKWORKEnvironmental Requirements

Threatened & Endangered SpeciesHistoric Preservation

Special Flood Hazard AreasHazard Mitigation

Insurance



ENVIRONMENTAL REVIEW

Requires compliance with all Environmental and Historic Preservation Laws.

Environmental review helps expedite compliance with Federal, State and Local laws.

Examples – USACE 404/Nationwide, Examples – USACE 404/Nationwide, ADEQ Burn/STAA, and SHPO ADEQ Burn/STAA, and SHPO





APPLICANT

COSTWORK

FACILITY

• Must be reasonable and necessary

• Must comply with standards for procurement

• No duplication of benefits

Costs



Actual costs incurred by the applicantMust be in summary form and

timesheets must be submittedIncludes:• Wages (regular and overtime)• Compensatory Time• Paid or credited fringe benefits

Force Account Labor



• Applicant owned equipment- hourly rate• FEMA schedule of equipment rates (cost

codes)• State approved rates• Locally developed rates

*Reasonable costs

Force Account Equipment



• Must be used for eligible work• Reimbursement based on:

– Purchase price (original or replacement) or fair market value

– Quantities taken from applicant’s stock

Force Account Materials



Eligible if:• Reasonable for the work completed• Properly procured through local, State, and Federal

proceduresSmall purchase- >$20,000Sealed bid- preferred methodCompetitive proposals- more than one source

submits offerNoncompetitive proposals

• Contractor is not debarred or suspendedwww.epls.gov

Contracts



Acceptable types:Lump Sum- clearly defined scope and total priceUnit Price- item by item basis and cost determined per unitCost + Fixed Fee- contractor fee added into priceTime and Materials: should be avoided

limited to initial 70 hours

Contracts (cont’d)



Unacceptable types:Cost + percentage of cost“Piggyback contracting”- expanding a previously awarded contract

Contracts (cont’d)



• Ensure– Reasonable cost– Competitive bidding

• Avoid– Debarred or suspended contractors– Cost + Percentage of cost– Payment contingent upon federal

reimbursement

CONTRACT WORK



ADMIN ALLOWANCEDirect Admin Costs

– Related directly to a Project Worksheet– Subgrantee– Documented costs only– Line Item in PW– Extra Hires for Projects



What is a Project What is a Project Worksheet (PW)Worksheet (PW)• Identifies the Facility

• Damage Description (DD)• Scope of Work (SOW)• Breakdown of Costs• Mitigation Proposal• Special Considerations• Environmental and Historical Preservation

(EHP)• Conditions• Comments• Minimum project is $1000



Kick-Off Meeting– Conducted by the FEMA Public Assistance

Coordinator (PAC)– Focus of specific applicant needs– 60 days to identify damages– 12 Months to identify alternate projects– ADEM Representative (Liaison)– PS (Project Specialist)– Mitigation– Environmental– Debris Specialist



TYPES OF PROJECTS

Small Projects – less than $67,500Large Projects – $67,500 and aboveAlternate Projects – must requestImproved Projects – must request

REMEMBERFailure to submit request to the state could result in loss of funds



SMALL PROJECTS• Federal cost share is paid upon Project

Worksheet (PW) approval/funds awarded.• Actual Costs or Based on Estimates• Small Project Audits/Appeal• Overruns NOTNOT allowed• Small Projects are considered closed at the

time the Project is written. FEMA and/or State will conduct a random sampling of projects to validate overall completion.



LARGE PROJECTS• Federal cost share will be paid based on work

completed

– Applicant will submit large project funding request form with documentation of costs & payment for those costs as work is continued; state reviews & inspects & pays 75% of costs submitted.

– Advances (Not to exceed 25% of Federal Share)

• Quarterly Reports must be submitted for each large project not complete. (October 1 – January 1 – April 1 – July 1)



IMPROVED PROJECTS

With state and FEMA approval, the applicant may restore pre-disaster function, and make improvements

Applicant is financially responsible



ALTERNATE PROJECTS

Funds used for a project other than repair of the damaged structure:

– Must first be requested from state

– Must receive prior approval from FEMA

– May Require environmental assessment

– 10% reduction of FEMA funding from original project estimate



Project Formulation (Be Part of this process)

– Ensure that the “local” representative is part of the formulation Team. (Group Effort)

– Damage/Site Visits (GPS & Pictures)– Documentation Review– PW Writing– PW Review (Signatures)– Exit Briefing



EMMIE• Follow the progress of each PW• Review process• Mitigation eligibility• Types of permits/conditions required• When the funds awarded





Sandy Recovery Improvement Act of 2013

Alternative Procedures for Permanent Work

• Allows for making grants on the basis of fixed estimates.

• Provides an option to receive an in-lieu contribution, without reduction, on the basis of estimates for repair, restoration, reconstruction, or replacement of a public facility.

• Eliminates the penalty for alternate projects.



Formulation and Management of Fixed Estimate Subgrants

• FEMA, the Grantee, and Subgrantee must agree on the eligible disaster-damage dimensions and description of work before completing the cost estimate.

• A project worksheet should not be considered for alternative procedures unless all parties agree on damage and dimensions.

• Agreement on the cost estimate of the fixed grant must be reached within nine months of the declaration date. If not, projects will be processed using standard procedures.



Formulation and Management of Fixed Estimate Subgrants

• Either FEMA or the Subgrantee may prepare estimates for fixed estimate subgrants.

• FEMA will prepare estimates by using the Cost Estimating Format (CEF).



• FEMA will consider cost estimates that:– Have been prepared by a professionally

licensed engineer, mutually agreed upon by FEMA and the Subgrantee.

– Are properly conducted and certified.– Comply with regulations, policy, and

guidance.

• FEMA will review the Subgrantee’s estimate for validation purposes. It will not create a competing estimate.



• Once all parties agree, then a subgrant,

or PW, can be written to capture the eligible damages

• Subgrantee must, at a minimum, complete the scope of work identified in the PW.

• Subgrantee is required to document actual costs and provide sufficient documentation that the scope of work was completed.

• The Grantee must certify that the work has been completed in accordance with Federal standards.



• If the approved fixed estimate is less than the actual cost for the subgrant, FEMA will not approve additional funds.

• This varies from the standard procedure which allows a Subgrantee to request additional funding from FEMA in the event of an overrun.

• No cost overruns will be approved.



Excess Funds• If actual costs are less than the fixed

estimated amount, the Subgrantee may use the excess funds for PA Program-related purposes.

• The Subgrantee will notify the Grantee in writing of its intent to use excess funds, including the intended scope of work and project timeline.

• FEMA will prepare a new subgrant (PW) to document the use of these funds.

• The Grantee and FEMA will review the request and determine eligibility for the funds.



APPLICANT RESPONSIBILITIES• Submit Request for Public Assistance (RPA)

• Establish a file for each project separately.

• Maintain accurate accounting records for each project separately.

• Provide accurate information– List of damages– Photographs– Insurance Policies and other Settlement (Statement

of Loss)– OT Policy– Hazard Mitigation Proposal– Copy of current codes and standards



73

Documentation • Establish and Maintain your records.

• Create a file for each project.

• Records Must be retained for 3 years after the entire disaster is closed.



PUBLIC ASSISTANCE FUNDING PROCESS

Where is our money?



FEMA 4124– DR – AR •FUNDING

– 75% Federal funds – 12.5% State funds– 12.5% Applicant funds

•PNPs will receive 6.25% State funds (18.75% their cost share)



STATE SHARE REQUEST• State Share Request Form (Original is required)

– All eligible work has been completed according to the Scope of work (PW)

– All Federal Funds have been paid– All Large Project Quarterly Reports have been

submitted– All Time Extensions have been received and approved – All documentation has been submitted/review for

eligibility– All necessary audits of files have been completed– All necessary site inspections have been completed by

ADEM and/or FEMA representatives– Turn around time is 60-90 days once inspection is

completed



REQUIRED AUDITS

Single Audit• If you spend $500,000+ of Federal

grant funds in one (1) year.• Is required by law.

• Make sure to keep all documentation for three (3) years after notification from the grantee that the project application has been closed out.



TO AVOID LOSS OF FUNDINGTO AVOID LOSS OF FUNDING

Obtain all permits and clearances before you start

construction/repairs for the following special considerations!!!

Information in: Green Book



DECLARATION DATES• Declared June 25, 2013• RPA submitted by July 25, 2013

WORK COMPLETION DATES• December 25, 2013(Category A & B) • December 25, 2014(Category C thru G)• Extension of time for project completion

must be requested from ADEM



APPEALS Any determination

related to Federal assistance may be

appealed.

The time limit for appeal submission is 60 DAYS60 DAYS from

receipt of notice of the action which is being appealed.

Much easier to fix a problem while FEMA

is here.



Applicant Briefing Packet– Request for Public Assistance (RPA)

• Deadline 30 Days from declaration date

– Applicant – State Agreement– Designation of Applicant Agent– W-9 Form– Direct deposit or State Agency Transfer– PNP Questionnaire (PNPs Only)



FINAL REMINDERS• QUARTERLY REPORTS• TIME EXTENSION REQUESTS• IMPROVED PROJECT REQUESTS• ALTERNATE PROJECT REQUESTS• CHANGE IN SCOPE OF WORK REQUESTS• PERMITS• CONTRACTS AND COMPETIVE BIDDING• DOCUMENTATION OF ALL COSTS

FAILURE COULD RESULT IN LOSS OF FUNDING



In Doubt or have Questions

CALL US CALL US or EMAILor EMAIL501-683-6700501-683-6700

[email protected]@adem.arkansas.govgov





Jodi LeeJodi Lee

Clay BewleyClay Bewley

Kyle KeyKyle Key



ADEMADEMAttn: Recovery BranchAttn: Recovery BranchBldg. 9501Bldg. 9501Camp JT RobinsonCamp JT RobinsonN. Little Rock, AR 72199N. Little Rock, AR 72199

501-683-6700501-683-6700501-683-7892 (Fax)501-683-7892 (Fax)

http://http://www.adem.arkansas.govwww.adem.arkansas.gov

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