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Homeland Security Record Retention by ypn69550

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									Governor’s Office of
Homeland Security & Emergency Preparedness
Overview
                 What is Public Assistance?

“Federal Assistance provided under the provisions of the Stafford
   Act to State and Local Governments and for certain eligible
   Private Non-Profit (PNP) Organizations. The PA Program does
   not cover Assistance for the direct benefit of Individuals and
   Families”
        Code of Federal Regulations Title 44 Section 206
                   Responsibilities of Stakeholders

Responsibilities of FEMA
     •   Manage the PA program
     •   Approve the grants
     •   Provide technical assistance to the State and Applicants
Responsibilities of State
     •   Act as Grantee for the PA Program
     •    Educate potential Applicants
     •    Work with FEMA to manage the program
     •    Implement and monitor the grants awarded under the program
Responsibilities of Applicant
     •   Identify damages
     •   Provide sufficient data for FEMA to develop an accurate scope and cost
         estimate for doing the work and approving grants
     •   Manage the projects funded under the PA program
Sequence of Events
                            Gather Information

•   Staff names and positions, and hours worked each day
•   Equipment, operator name, and hours equipment operated each day
•   Photographs of damages
•   Description and location of damages
•   Estimated and actual costs of eligible expenses
•   Insurance information
•   Copies of lease agreements
•   Copies of bridge and road construction inspection reports
•   Copies of your written overtime and/or compensatory time policy
                          Basic Applicant Forms

•   Request for Public Assistance
    (RPA)
•   Memorandum of Understanding
    (MOU)
     •   Designation of Applicant’s Agent
     •   W-9
     •   Assurances-Construction
         Programs
                   Project Worksheet Formulation

•   Identifies the Damage, Dimensions
    and Description=Triple D, Executive
    Summary,
•   Outlines the scope of work
•   Outlines eligible costs
•   Only approved work is eligible;
    FEMA determines eligibility
•   FEMA will use their Cost Codes,
    Equipment Rates and Cost
    Estimating Format (CEF) to
    establish an estimated cost for the
    scope of work
                     Special Considerations

•   Consider environmental and historical issues in all work
•   Inform FEMA and the State if you may be affected by environment or historic
    laws and request technical assistance
•   Non-compliance could result in a loss of funding
•   Maintain all correspondence and documents to support compliance
•   Structures over 50 years old must be reviewed by FEMA’s Historical Review
    team for reimbursement
Eligibility



    Cost




   Work




   Facility




  Applicant
                                Eligible Applicants

Eligible Applicants include:
     •   State Agencies
     •   Local Governments
     •   Federal Indian Tribes
     •   Eligible Private Non-Profit Operations
           • PNPs that provide essential type of services to the general public, such as
             medical, custodial care, educational, emergency, or utility and are tax exempt
             under Section 501 (c), (d) or (e)
           • PNPs that provide non-critical services must apply to the Small Business
             Administration (SBA) for assistance
           • Not all PNPs are eligible
                                  Eligible Facility
To be eligible for Public Assistance funding a facility must:
        Be the responsibility of the applicant
        Be located in the designated disaster area
        Not be under the specific authority of another Federal Agency
        Be in active use at the time of the disaster
                                   Eligible Work

An item of work can be considered eligible if:
     •   It is the result of a Declared Event
     •   It is within the Designated Disaster Area
     •   It occurred within the Incident Period
     •   It is the responsibility (ownership) of the Applicant
     •   It is not within the authority of another Federal Program
     •   The facility/location was operational prior to the event
     •   The total cost exceeds $1,000.00
                        Work that is often Ineligible

An item of work will generally be considered ineligible if it:
      •   Does not meet the requirements as described in previous slide
      •   Will be covered by any other funds (duplication of benefits)
      •   Contains idle time, such as rest, meals, breaks, or on-call
      •   Is normal/routing work
      •   Contains costs that exceed what is considered reasonable
      •   Is work performed on a site not owned by the eligible applicant
      •   Is work that completes repairs beyond pre-disaster condition (without prior
          approval from the State and FEMA)
      •   Is work performed on facilities under construction, and is under the
          responsibility of the contractor
                                Eligible Cost

•   Costs that are reasonable and necessary to accomplish the eligible work
•   Comply with Federal, State, and local requirements for procurement
•   Do not include (or are reduced by) insurance proceeds, salvage values, and
    other credits
                Small Project vs. Large Project

•   Projects of less than $1,000 in estimated costs are not eligible. However, it is
    acceptable to combine sites into one PW
•   If the estimated cost of a project is less that $60,900(FY 08), the project is
    processed as a small project
•   If the estimated cost of a project is equal to or exceeds $60,900, the project
    is processed as a large project
•   Small Projects are generally processed quicker and require no
    documentation up-front
•   Large Projects will be processed only upon receipt of expense information
Program Management
                   Direct Administrative Cost

•   Costs that can be tracked, charged and accounted for directly to a specific
    project, such as staff time to complete a field inspection and preparation of a
    PW (FEMA Recovery Policy 9525.9)
•   If a project is completed when the PW is prepared, actual direct
    administrative costs (labor, equipment or other expenses) will be included in
    the PW
•   If a project is not completed when the PW is prepared, an estimate of direct
    administrative costs can be assigned to the project and included in the PW.
    These costs cannot be based on a percentage of project costs. However,
    average of 2% is common
•   Expenses incurred by the applicant are subject to the current cost-share rate
    for the declaration
                           Categories of Work

•   Emergency Work
     •   A: Debris Clearance
     •   B: Emergency Protective Measure
•   Permanent Work
     •   C: Road Systems
     •   D: Water Control Facilities
     •   E: Public Buildings and Equipment
     •   F: Utilities
     •   G: Parks, Recreational and Other


           • Projects are grouped into Categories based on type of
             damage/system/method of work or boundaries/organization
                    Category A: Debris Clearance

•   Clearance of trees and woody
    debris; building wreckage; vehicles
    and other disaster-related material
    deposited on public and, in very
    limited cases, private property
•   Examples include: removal of debris
    from a street or highway to allow the
    safe passage of emergency
    vehicles, debris removal from public
    property to eliminate health and
    safety hazards
•   Who can perform debris clearance?
•   Contract tips
        Category B: Emergency Protective Measures

•   Measures taken before, during and
    immediately after a disaster to save
    lives, protect public health and
    safety, and protect improved public
    and private property to stabilize
    situation


•   Examples include: sandbagging,
    food and shelter, emergency
    pumping, emergency protective
    levees to protect the public, health
    and safety hazards
•   “The calm before the storm”
                      Category C: Road Systems

•   Know your boundaries
•   Federal Aid routes are not eligible
•   Repair on non-Federal and state
    roads, bridges and associated
    features such as shoulders, ditches,
    culverts, lighting and signs
•   Must have been functional at the
    time of the disaster
•   Alligator cracking and pre-existing
    damages due to lack of
    maintenance are not eligible
               Category D: Water Control Facilities

•   Repair of irrigation systems,
    drainage channels and pumping
    facilities
•   Repair of dams and flood control
    channels fall under Category D,
    however the eligibility of these
    facilities is RESTRICTED
•   Facilities under USACE not eligible
    for FEMA assistance
•   Can restore pre-flood capacity only
         Category E: Public Buildings and Equipment

•   Repair or replacement of buildings,
    including their contents and
    systems, heavy equipment and
    vehicles
•   Must restore to pre-disaster design
    in accordance with current, properly
    documented and implemented
    (adopted) codes and standards
•   Repair vs. Replace; 50% Rule
•   Relocation may be possible
                Repair vs. Replace, 50% Rule

•   If a facility is damaged to the point where it may be more cost effective to
    replace the facility rather than repair it, the 50% rule should be applied
•   If the repair cost, divided by the replacement cost, is greater than 50%, the
    replacement cost is eligible (Disaster Assistance Policy 9524.4)
•   Costs considered do not include codes and standards upgrades, demolition,
    site work or project management costs
                Codes / Standards Upgrades

•   Must be in writing with supporting documentation available
•   Must be adopted prior to the disaster
•   Must be uniformly applied
•   Must be utilized and enforced
•   Must apply to the type of work required
•   Only applies to the damaged element
                             Category F: Utilities

•   Repair of water treatment and
    delivery systems, power generation
    facilities and distribution lines, and
    sewage collection and treatment
    facilities
•   Establishing temporary, emergency
    services in the event of a utility
    shut-down may be eligible
•   Loss of inventory may be eligible
    when documented
•   Increased operating expenses and
    loss of revenue are not eligible
•   Limited inspection services may be
    eligible, but must be approved in
    advance
•   Maintenance records are required
           Category G: Parks, Recreation and Other

•   Repair and restoration of public
    parks, playgrounds, pools,
    cemeteries and improved beaches
•   Also a catch-all for any work or
    facility that cannot be characterized
    adequately by Categories A-F
•   Public park facilities, structures and
    recreational equipment may be
    eligible
•   Replacement of trees and grass is
    usually not eligible
•   Permanent restoration to the sand
    of natural beaches is ineligible
      Cost overruns/Project Worksheet Versions

•   A version is an amendment made to a PW made when there is a change to
    the scope of work or cost associated with the project.
•   Applicant should inform the State and FEMA of the need for a version in
    writing as soon as the need is realized
•   A cost overrun can occur when actual expenses exceed the amount
    obligated by FEMA
•   Applicant should ensure that the overrun is still within the approved scope of
    work and should provide documentation and justification for the overrun
•   Small project overruns may be addressed with a version, but will likely wait
    until Close-out
                                Time Limits

•   Applicants must make every attempt to start and complete work in a timely
    manner
•   Each project has a completion date which begins from the declaration date:
      • Debris Removal and Emergency Work: 6 months
      • Permanent Work: 18 months
•   Time Extension requests must be submitted to the State in writing if the work
    will not be completed on time
      • The extension request should include the project number, a justification of the
        need for the extension and a proposed date for completion. The State will provide
        a letter of approval or disapproval after review and consideration
                               Insurance


•   Insurance proceeds will be deducted from the eligible costs to prevent
    duplication of funds
•   Must obtain & maintain insurance coverage equal to or greater than the
    amount of eligible damages
•   FEMA requires the Applicant to maintain National Flood Insurance Program
    (NFIP) coverage on all buildings located in a special hazard flood zone. The
    NFIP can provide coverage separately for buildings and contents up to a
    maximum of $500,000 each
•   The State will need a copy of insurance settlement payment, statement of
    loss with supporting documentation
•   Applicants cannot claim self insurance
                         Alternate Projects


•   Alternate Projects occur when an Applicant determines that the public
    welfare would not be best served by restoring the damaged facility or its
    function to the pre-disaster design. The function of the damaged facility must
    be abandoned.
•   FEMA approves Alternate Projects
•   Additional project completion requirements and cost share and/or funding
    caps will be imposed
•   Requests should be made to the State Coordinating Officer within 1 year of
    kickoff meeting
                        Improved Projects

•   Improved Projects occur when an Applicant determines that additional
    improvements above the pre-disaster condition are wanted.
•   State approves Improved Projects
•   Requests should be made to the State Coordinating Officer
•   Tied to completion date of permanent work
                              406 Mitigation

•   Available to allow flexibility of “upgrades”
•   Meant to allow protective measures against future disaster damage
•   Must be shown to be reasonable and the cost must be justifiable. May
    require benefits cost analysis
•   Must be requested and approved in advance
•   Applied to damage element
   Record Keeping,
Documentation and the
Reimbursement Process
                       Documentation

Objectives:
•   Why document
•   How to document
•   What to document
                  Why documentation is important

Accurate documentation will assist you
   to:
•   Collect the information necessary to
    develop your disaster projects
•   Recover eligible costs
•   Prepare for audits or financial
    reviews
•   Undocumented eligible expenses
    are very difficult to get reimbursed
                   Required Documentation

Items required during the
reimbursement process include the
following:
 •   Reimbursement Request Form
     (RRF)
 •   Summary Records
 •   Invoices
 •   Contracts
 •   Evidence of Proper
     Procurement
                Types of Work (Summary Records)

•   Force Account Labor
•   Force Account Equipment
•   Materials
•   Rented Equipment
•   Contract Work
                            Force Account Labor

•   Work performed by Applicant’s own
    staff directly related to the disaster
    (Recovery Policy 9525.7)
•   Documentation needed:
     •   Force Account Labor Summary
         Form listing name, job title,
         regular and overtime hours, total
         hours, rate of pay, benefit rate,
         and total dollars
     •   Fringe Benefits Calculation
         Sheet
     •   Pre-disaster Overtime Policy
     •   Timesheets/Time Records
         should be maintained by
         Applicant
                     Fringe Benefit Calculation

Fringe benefits for Force Account Labor
    is eligible
•   Because certain items in a benefit
    package are not dependent on
    hours worked, like health insurance,
    the fringe benefit rate will be
    different for regular and overtime
    hours
                               Overtime Policy

•   Policy must be in place at time of
    event
•   Policy must be consistently applied
    by the jurisdiction
•   If Police and Fire have different
    policies these must be clearly
    defined
                      Force Account Equipment

Equipment owned by the Applicant and
   used for disaster-related work
Documentation needed:
•   Force Account Equipment Summary
    Form listing description or type of
    equipment, horsepower, operator’s
    name, dates and hours used, total
    hours, equipment rates (using
    FEMA cost codes) and total dollars
•   Payroll records and usage logs to
    support expenses should be
    maintained by Applicant
•   Proof of equipment ownership
                                       Materials

Items purchased OR pulled from
    inventory related to the disaster
Documentation needed:
•   Material Summary Form listing
    vendor, description, quantity, unit
    price, total price, date purchased,
    date used
•   Inventory list with cost records
•   Procurement information
•   Contract (if applicable)
•   Cancelled checks and purchase
    orders should be maintained by
    Applicant
                                Procurement

Four (4) Methods Accepted by FEMA (44CFR 13.36)
 1.   Small Purchase Procedures
      •   Items less than $100,000
 2.   Sealed Bids (formal advertising)
      •   Preferred method for construction contracts
 3.   Competitive Proposals
      •   Often used for procuring architectural or engineering professional services
 4.   Non-Competitive Proposals
      •   Proposal received form only one source; requires cost analysis


All contract procurement for emergency and permanent work should be
conducted in a manner providing full and open competition
                              Rented Equipment

Equipment rented to complete disaster-
   related work
Documentation needed:
     •   Rented Equipment Summary
         Form listing description or type
         of equipment, date and hours
         used, rate per hour, total cost
         vendor, invoice number
     •   Rental documentation which
         may include procurement
         information or contract
                                Contract Work

Work performed by contracted labor directly related to the disaster
Documentation needed:
     •   Contract Work Summary Form listing date, contractor, invoice number and
         amount of invoice
     •   Invoices (signed by Contractor and A&E firm when appropriate)
     •   Procurement information (requests for bids, copy of advertisement soliciting
         bids, bids from at least three vendors)
     •   Contract signed by both parties
Ensure that costs are reasonable and are competitively bid
Avoid debarred or suspended contractors (Excluded Parties Listing System)
                                      Contracts

Four (4) Types Accepted by FEMA (all should be acquired through a competitive
   process):
     •   Lump Sum
     •   Unit Price
     •   Cost + Fixed Fee
     •   Time and Materials:
           • Limited Period, no more than 70 hours
           • Monitoring
           • Cost Ceiling/Not to exceed


Avoid contracts that are cost plus percentage and contingent on FEMA funding
                       Express Pay System

•   Express Pay System (EPS) is a voluntary program on the part of the
    Applicant (Opt-In form)
•   The goal of EPS is to deliver reimbursable funds to the Applicant at an
    accelerated pace
•   Payments processed through the EPS do not mean that the RRF is
    approved. All RRF’s subject to detailed review.
•   Cursory Review vs. Detailed Review
                       Advance Payments

•   Available for construction costs, A&E costs and general advances
•   Some advance payments are disaster specific
•   Must be requested in writing to the State and supported with documentation
•   Will be reviewed by the State before approval
•   Can request up to 75% of obligated PW total
Louisiana Public Assistance
           Louisiana Public Assistance (LAPA)

•   Website: www.louisianapa.com
•   Restricted access for those with no account
•   Contains valuable information about your account such as projects,
    expenses, payments, and Quarterly Reports
•   Contact the LAPA Helpdesk at (225) 346-4185 if assistance is needed
                Quarterly Project Progress Reports

•   Must be submitted Quarterly - 44
    CFR 206.204(f)
•   Required information includes:
    actual dollars expended, anticipated
    total, percentage of work
    completed, completion date and a
    general status comment
•   Required on all category C-G small
    projects until project completion
•   Required on all large projects
•   May impose sanctions if fail to
    comply                                           From LouisianaPA.com

•   Information provided is extremely
    useful to the State
Quarterly Project Progress Reports




                      From LouisianaPA.com
                                Closeout

•   Documentation of all work completed and expenses paid must be available
    for review
•   All insurance documentation and settlement information must be available
    as well as evidence that required insurance has been obtained
•   All appeals must be resolved
•   Applicant must request closeout, complete a P4 form, and sign closeout
    letters
•   Large Projects will be fully 100% reviewed and reconciled
•   Small Projects will complete a Project Netting process
                              Record Retention

•   Applicants must retain
    documentation for at least 3 years
    from the date they receive official
    notification from GOHSEP that both
    their large and small projects have
    been closed (44 CFR Part 13.42)
•   All projects must be closed
•   All documentation pertaining to a
    specific project should be filed with
    that project worksheet
                    Helpful Contact Information

GOHSEP Independence Office                        (225) 925-7500



Joint Field Office (JFO)
415 N 15th Street
Baton Rouge, Louisiana 70802


Public Assistance Officer: Johnny Gonzales    (225) 379-4028
Assistant Section Chief: Lynne Browning           (225) 338-7342
                           Helpful Resources

FEMA 321 (PA Digest)
FEMA 322 (PA Guide)
44 CFR, Parts 206 and 13.36
www.fema.gov (FEMA’s Website)
www.louisianapa.com
www.dhs.gov/ig (FEMA’s Inspector General’s Website)
www.ohsep.louisiana.gov (GOHSEP’s Website)
www.epls.gov (Excluded Parties Listing Service)
Governor’s Office of
Homeland Security & Emergency Preparedness

								
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