Public Assistance Program (Overview)

Public Assistance Program

(Overview)

Washington State Emergency Management

Division

Public Assistance Welcome

Admin notes

In case of an emergency

Introductions

Public Assistance Grant Program

Overview

Part I – Public Assessment Overview What is the State’s Role in a disaster or

an emergency? What is the Public Assistance (PA)

Program’s Purpose? What is the PA Process?

Part II – Contracts and Procurement

What is the Public Assistance Program?

Disaster Recovery Grant Program that provides supplemental financial assistance to state and local governments, Indian Tribes and certain private nonprofit organizations for response and recovery activities required as a result of a disaster.

Chehalis, WA – January 2009

SR 112 – Monday January 12, 2009

Orting, WA – January 2009

Nicholas Bridge – January 2009

Can you guess where?

Mt. Baker Hwy – January 2009

Ferndale – January 2009

Fall City – January 2009

Montesano – January 2009

One Man, One Flood, One Hot Tub – Chehalis, WA

State’s Role Provide coordination and support from the

State Emergency Operations Center following a disaster event or emergency to: Coordinate resources Maintain a pulse on the statewide situation

through Situation Reports Provide WA EMD liaisons to local EOCs Coordinate a statewide point of information

through Public Information Officers

State’s Role (cont)

Identify short and long term planning issues – specific to the event

Identify need for preliminary damage assessments for public facilities

Coordinate Preliminary Damage Assessment (PDA) collection with Counties, State Agencies, and Potential Applicants

State’s Role (cont)

Collect initial damage assessment data Request and participate in Joint PDA with

FEMA

If substantiated by PDA: Work with Governor to issue Proclamation

of Emergency Prepare Governor’s letter of request to

President for Major Disaster Declaration

PA Program’s Purpose

To provide federal/state grant assistance to public agencies who have suffered from the effects of a major

disaster or an emergency

Federal Authority

Authorized by the Robert T. Stafford

Disaster Relief and Emergency Assistance Act, as amended

Funding Provides 75% federal funds Non-federal 25% match, as

determined by the State Legislature, usually split between applicant and state

Only available in declared counties following a Presidential Declaration of Emergency or Disaster

Eligible Applicants

Cities, Towns Counties State Agencies Indian Tribes Special Purpose Districts Critical Private Non-Profit Organizations Governmental Service Type Private Non-

Profit Organizations

Private Nonprofit Organizations

Must submit a tax exempt certificate and organization charter or bylaws

Must be open to the public Must meet the requirements of the

Civil Rights Act of 1964

Critical Private Non-Profit Entities

These PNP facilities are specifically eligible:

Fire Emergency Medical Utilities Educational Custodial Care

Private Nonprofit Entities

Museums Performing Arts

Centers Community Centers Homeless Shelters Zoos

Those who provide essential governmental type service and are open to public:

Must first apply to Small Business Administration for repairs

How Do We Get Disaster Assistance?

Disaster Disaster Declared, JFO opened

If substantiated, Joint PDA

PDA initiated

PWs reviewed by FEMA and State PACs

Applicant receives assistance

Obligated

Project Worksheets submitted

Applicant Briefing

Kick-Off Meeting

FEMA/State Projects Officers visits/inspection


Disaster occurs County EM’s relay the need for PDA

to be completed by jurisdictions

If substantiated, Joint Preliminary Damage

Assessment (PDA) requested and completed

Declaration request made to the President

Disaster declared


Once a disaster is declared, specific counties that meet Federal thresholds are identified and the State will announce the dates for Applicant Briefing.

Applicants will be scheduled for a Kick-Off meeting.


Applicants, along with FEMA & State Public Assistance Coordinators and Project Officers will work together in developing Project Worksheets to capture the full extent of damages.

Preliminary Damage Assessments A Preliminary Damage Assessment (PDA)

identifies the initial cost estimate of damages for governmental agencies, private non-profits, and tribal governments.

This is a two step process: 1st PDA by Counties, 2nd PDA by Joint State/FEMA teams to verify costs

Damage estimates are consolidated by county to determine if federally mandated thresholds by county has been reached ($3.28)

Additional Statewide threshold must be met to be considered for disaster aid ($1.31)

Why Participate in a PDA?

First Step to Receive Federal $$ Identifies if Your Agency has Damage County Must Qualify State Must Qualify Identifies Potential Funding Needs Identifies Potential Number of Applicants

To Be Successful, All Need to Participate

PDA Cost Limitations

Only Damages Occurring within Identified Event Period

Cost to return back to pre-disaster Condition and Capacity

Cannot recognize adopted codes and standards

Does Not include anticipated costs for permit conditions

PDA Cost Limitations

Cannot recognize potential mitigation

Negligence Inactive facility Contingencies Insurance

PDA Forms

Summary of Preliminary Damage Assessment Information, PA-1

Preliminary Damage Assessment – Site/Category, PA-2

Damage Categories by County Departments and Jurisdictions, PA-3

PDA Forms Who needs to do this How to complete Where do you send the forms –

To County Emergency Management Office

County to State: Email: [email protected] fax: 253-512-7405

Timing for completion is critical

PDA Forms

County collects PDAs from all potential eligible applicants (except state agencies)

County forwards to State EMD / PA

Each applicant completes their own forms

What Can You Expect?

A PDA will be required! Always! Be prepared for unreasonable time

frames to identify damaged sites, preparation of your best educated estimate for PDA, and completion of PDA forms for damaged facilities – separate set by County

County emergency managers will be overwhelmed – response still on-going!

PDA Participation

Timely Comprehensive Concise Descriptions County EM Office Needs

Timely and Complete Information Damage or No Damage

Supplemental Justification County Emergency Management

prepares supplemental justification Absolutely Essential to a Successful

Submission Submit Electronically

Due to EMD by the arrival of PDA Team

Copy of County Emergency Proclamation

Joint PDA Team Visit

Federal/State team checks in w/ County Emergency Management Office

Team meets with local representatives Need local representative familiar with

damaged sites to accompany team Map of sites Transportation for hard to reach sites Team determines which agencies/sites to visit Time is critical

What Will You Need?

Patience !Patience !Patience !

Declaration Process

Joint PDA Visit – verifies damages for individual counties and the state as a whole

EMD drafts the Governor’s Request for a Presidential declaration and impact statements

President declares disaster

Applicant Briefing Applicant Briefings – The State will coordinate

the applicant briefing locations, dates, and times with the county emergency management director in each declared county. The briefings are normally held at the county level. The potential number of applicants and the area involved in the disaster will determine the number of briefings held. The county emergency management directors make the arrangements for the briefing locations.

Kick-Off Meeting

Kick-off meetings are scheduled by the State PACs after applicants have completed their Requests for Public Assistance (RPA). When possible, the kick-off meetings will be scheduled with the applicants at the applicant briefing. Typically, the State PAC will conduct the meeting unless the federal/state team agrees on an alternative plan.

Kick-Off Meeting At a minimum, the following documentation

will be provided to the applicant at the kick-off meeting, if this documentation was not received at the applicant briefing: State Public Assistance Manual, Public Assistance Guide, FEMA No. 322,

and Public Assistance Policy Digest, FEMA No.

321.

Kick-Off Meeting

The applicant should walk away with an understanding of : Eligible categories of work Project development & review process Special considerations (i.e. floodplain,

environmental, historic) Small and large projects Contracting Documentation requirements.

Post- Kick-Off Meeting

Quantify and estimate cost to repair

Project Worksheet Development Coordinate date and time to meet with

Project Officers. Identify your damages by Category The applicant is encouraged to contact

the State PAC with questions

Eligible Activities/Projects

Based upon the type of work The direct result of declared event Located within declared area Legal responsibility of eligible

applicant In active use at the time of the event Not under the authority of another

federal program

Eligibility Basics Building blocks

Eligible Applicant Eligible Facility Eligible Costs

PA program can only fund repairs to return the facility to pre-disaster design, function, and capacity

Types of Work by category

Emergency Work A = Debris Removal B = Emergency

Protective Measures

Emergency Work - Eligibility

Emergency work activities are those actions taken during the duration of the emergency to save lives, protect and preserve property, public health and safety, and to provide temporary facilities to restore essential public services.

An eligible activity must be essential to meeting an immediate threat to life or property during or resulting from the declared event.

Permanent Work C = Road Systems D = Water Control

Facilities

E = Public Buildings, Equipment

F = Public Utility Systems

G = Parks and Other Facilities

Permanent Work - Eligibility

Repair, restore or replace damaged facilities to pre-disaster design, capacity and condition

In accordance with adopted and uniformly enforced codes and standards

Required as a result of the disaster May include cost effective hazard mitigation

measures May include federal environmental conditions

to repair

Small Projects (less than $64,200.00)

Funding can be paid when projects are approved. Work does not have to be completed prior to

payment. Requires signed A-19 Invoice Voucher Work is certified as complete on Small Project

Certification Form within 60 days following completion.

Large Projects (greater than $64,200)

Progress Payments as Work is Completed, Subject to 10% Retainage

Final Eligible Costs Based Upon Actual Costs

Certified As Complete on Statement of Documentation Form – 60 Days After

All Physical Work is Complete

Final Inspection and Financial Review is Conducted

Public Assistance Grants Program Procedures

Improved Projects If the applicant wants to make an

improvement to a damaged facility, State approval must be obtained

Federal funding for an improved project is capped at the federal share of the approved eligible costs

Federal share will only restore to pre-disaster

Public Assistance Grants Program Procedures Alternate Projects

Applicant determines that is not in the best interest of the jurisdiction to restore a damaged public facility

Available only for permanent repairs May be used to repair, expand, or

construct other public facilities, purchase equipment or to fund hazard mitigation measures

Must be approved by FEMA

Cost Eligibility

Reasonable and necessary cost to accomplish eligible work

Complies with federal, state, and local laws and regulations

Credits - Insurance proceeds, salvage value, purchase discounts must be deducted

Eligible Costs

Salaries, wages and fringe benefits Emergency Work – Overtime only Permanent Work – Regular and

Overtime Materials / supplies Applicant owned equipment (hourly

rates) FEMA rates or applicant rates,

whichever is lower

Eligible Costs Contract costs incurred for:

Eligible work Rental equipment Engineering/design services

Special Considerations

Donated Resources Who worked, hours worked, on

what days, and what did they do? (Who, what, where, when and why)

Materials – invoice for donated resource

Salary Schedule – to support hourly rate to be recognized

Credit against non-federal share for Category A and B Work

Need to Make Repairs before FEMA arrives?

Document by: Take pictures – photos, videos,

digital Crews need to document damages

and actions taken in daily logs Track labor costs by person by

project Track equipment and material costs

by site

Need to Make Repairs? Environmental / Historic

precautions Document emergency contacts with

USACE, WDOE and WDFW(Who, what, where, when, and why)

Follow up with letter or email. Document! Document! Document! Understand Federal Contracting

procedures

Documentation

Other Documentation to maintain: Mutual Aid Agreements Collective Bargaining Agreements EOC Logs; Job Site Logs; Inventory Logs Contract Logs; Purchasing Logs Insurance Policies!

Direct Administrative Costs

Must be specific to a project Includes staff time and equipment

Compiling labor, equipment, materials documentation

Compiling environmental contact documentation

Compiling Plans and Specification documentation

Compiling contract documentation

Direct Administrative Costs

How to track Charge Code Track by each individual project Track hourly time for each employee Use timesheet / spreadsheet

Why track costs Should a disaster be declared, these costs

may be reimbursableMore information at the Kick-Off meeting

Prepare for Future Disasters

Establish disaster accounting system Track costs of damage assessment

activities separately from damage repair Track damage repair by sites

Create list of agencies/departments/sites that need to be contacted – identify points of contacts-- Internal -- External

This is Not an Easy Process ….Identify contacts before a PDA so you will not overlook anything or any damages

Prepare for Future Disasters Pre-identify who will be responsible for

collecting and collating PDA information Donated Resources

Labor, Equipment, Materials CERT; Search and Rescue; Sandbagging Document: Who, What, Where, When, and Why.

(time in/out)

Identification Credentialing

Prepare for Future Disasters

Pre-identify the major components of your public works systems that need to be checked for damage after event-- Water -- Surface Water

Drainage-- Sewer -- Roads-- Electrical -- Natural Gas-- Parks -- Telecommunications-- Solid Waste -- River Revetments-- Buildings -- Fairgrounds

Your Role following a disaster

Contact your county emergency managers Prepare a list of your damages by site ID your primary contact person knowledgeable

about damages At the start of the disaster response and

recovery, be able to track all costs separately by project including consultant costs and administrative costs

Maintain all documentation to support costs Be prepared to do paperwork by paper - not

electronically


Document verbal mutual aid agreements

Create a listing of all projects Separate small from large projects Prioritize projects for PW preparation

Check with federal and state agencies for permitting requirements


Historic Properties Don’t Demolish Only do bare minimum

Immediately repair only what is needed to preserve health and safety – take pictures before repairs

ProcessPatience

Communication

Procurement &

Contracting

Maintaining Eligibility for FEMA Funding

Procurement Handouts

44 CFR Part 13.36 Federal Contracting Provisions FEMA RP9580.201 – Contracting

Checklist Procurement Methods Guide &

Checklist

Federal Procurement Regulations

Applicants must follow the more restrictive regulations between federal, state & local

Must have full and open competition Must perform cost or price analysis for

every procurement action Clearly show rationale for method of

procurement, selection of contract type, adequate competition, and price basis

Procurement Procedures

Comply with federal procurement requirements, specifically 44 CFR 13, 17 and 206.

Specific methods outlined in 44 CFR 13.36 Contracts must comply with applicable labor

regulations. Davis-Bacon does not apply unless contract includes work being funded by other federal funds, i.e. Federal Highway Administration (FEMA 322, page 44)

State prevailing wage always applies

Costs – Reasonable Reimbursement

Reasonableness Criteria Must be fair and equitable Applicable to type of work “Prudent” person decision Is cost ordinary and necessary for

facility and type of work? Are actions taken in prudent manner?

Costs – Reasonable Reimbursement

In addition, normal procedures must not be altered because of the potential for reimbursement from Federal funds.

Reasonable costs can be established through Historical documentation for similar work Average costs for similar work in the area Published unit costs FEMA cost codes

http://www.fema.gov/government/grant/pa/eqrates.shtm

Accepted Procurement Methods

Small Purchase Procedures. Sealed Bids. Competitive Proposals. Noncompetitive Proposals.

Small Purchase Procedures

Small purchase procurement is an informal method for securing services or supplies that do not cost more than $100,000 by obtaining several price quotes from different sources.

Sealed Bids

Is a formal method bids are publicly advertised and solicited contract is awarded to the lowest

responsible bidder and lowest price(this method is the preferred method for procuring construction contracts)

Competitive Proposals

Similar to sealed bid procurement Contracts are awarded on the basis

of contractor qualifications instead of on price (this method is generally used for procuring architectural or engineering professional services).

Non-Competitive Proposals

A proposal is received from only one source Document why you chose this type of contract Cost-analysis is required Only use when the award of a contract is not

feasible under small purchase procedures, sealed bids, or competitive proposals, and one of the following circumstances applies:

Non-Competitive Proposals

the item is available only from a single source

there is an emergency requirement that will not permit delay

FEMA may authorize noncompetitive proposals

solicitation from a number of sources has been attempted, and competition is determined to be inadequate.

Acceptable Contracts

Lump Sum Contracts

Unit Price Contracts

Cost Plus Fixed Fee Contracts

Lump Sum

Competitive Process Can be either sealed or competitive negotiation

Sealed Bid: Contractors bid a firm fixed price bid including all labor, equipment, materials, overhead, & profit

Competitive: Contractors submit proposals based on pre-stated factors

Well defined & reasonable scope of work Amendments are by exception Except for amendments, contract price will not

change

Unit Price

Often used when quantities needed to do the work are not known in advance

Units of work determined in advance by unit of measure; i.e. CY, LF

Competitive process Bid price is “in place” cost including labor,

materials, equipment, overhead, & profit Often awarded on an annual basis to

multiple firms to insure availability & price competition

Prices must be deemed reasonable

Cost Plus Fixed Fee

Used when full extent of scope cannot be fully predicted in advance

Contractor is reimbursed for reasonable, with-in scope costs

Contractor bids a fixed fee for the contract to include overhead & profit

Generally Unacceptable Contracts

Time & Materials Contracts Accepted only in very limited situations Generally not more than 70 hours for work

that is necessary immediately after a disaster when a clear scope of work cannot be developed

Piggyback Contracts May be evaluated for fair & reasonable

costs Limited dollar amount

Time & Materials

State guidelines must be followed Requirements

Must have a written scope Must have a cost ceiling or “not to exceed”

provision Strict monitoring & documentation of expenses Cost must be reasonable & work must be

approved and within the scope Prescribed duration for emergency work only

Time & Materials Cost structure for labor to include overhead

& profit Use FEMA or State approved equipment

rates Competition still a requirement unless

emergency occurs that requires immediate response or there is no available competition

Check on debarred/suspended status

Piggybacking

A concept of expanding a previously awarded contract.

Does not meet the requirements of 44 CFR 13 it is non-competitive may have an inappropriate price structure

This type of contract is not eligible. However, FEMA may separately evaluate and

reimburse costs it finds fair and reasonable. This is extremely rare!

Unacceptable Contracts Costs plus a percentage of Cost

Specifically disallowed under 44 CFR 13.36 (f)(4)

Contingency Contracts Specifically disallowed under federal

procurement guidelines There is never an advance assumption

of federal reimbursement

Verbal Contracts No verbal contracts!!! Specifically prohibited under federal

procurement regulations On an emergency basis, an agency may

grant an on-site, verbal authorization of a contract. This must be followed up immediately (within one week) by a written contract that meets all federal procurement regulations.

Emergency Contracting Review & amend your established

emergency contracting procedures so they are in line with federal procurement regulations.

Document all actions Follow up within a short period

with open, competitive process

FEMA vs WSDOT Governed by different titles of the CFR The WSDOT LAG manual contracting

guidelines follow the FHWA under CFR Title 23 and typically applies to road & bridge construction

Eligibility questionable if seeking FEMA funding

What you can do now…

Evaluate your procedures and identify the differences

Develop contract formats and solicitation processes ahead of time

Look at pre-event, pre-priced, competitively obtained contracts. This will help ensure compliance & speedy response & recovery

Plans, Specifications & Estimates

If the applicant elects to contract for repair, a set of contract documents consisting of Plans, Specifications and Estimates (PS&E) will be prepared

Send to EMD for review and approval. Failure to have the plans, specifications

and bid tabulations for large projects reviewed prior to contract award jeopardizes funding eligibility

Before Awarding a Contract The bid tabs must be reviewed and approved

by EMD prior to awarding the contract. Prior to award, the applicant must verify that

the contractor has not been debarred, suspended, or otherwise identified as being ineligible for contracts funded with state and federal monies.

Document the verification

Debarred Contractors

Federal Debarment List www.EPLS.arnet.gov

Contractor bond & insurance information www.lni.wa.gov

State UBI information www.dor.wa.gov

Resources

WA EMD web page: http://www.emd.wa.gov

WA OFM web page: http://www.ofm.wa.gov State web page:

http://www.access.wa.gov FEMA web page: http://www.fema.gov Debarred/Suspended Contractors

http://www.EPLS.gov

Staff Resources

Gary Urbas-Deputy State Coordinating Officer 253-512-7402, [email protected]

Jill Nordstrom-Regional PA Supervisor 253-512-7428, [email protected] Alysha Kaplan-Regional PA Supervisor

253-512-7434, [email protected]

PA Fax number: 253-512-7405

Documents

Public Assistance Program (Overview)