2015 fhwa er fema pa ddir submittal training · 2015 fhwa er fema pa ddir submittal training to...
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2015
FHWA ER
FEMA PA
DDIR Submittal Training
To access the DDIR form online:
https://eforms.iowadot.gov/ALC_DOT_Forms_Workspace/Main.html
Link to FHWA ER Manual:
http://www.fhwa.dot.gov/reports/erm/er.pdf
FHWA ER Program
Tom Parham
FHWA
Office: 515-233-7314
Cell: 515-231-4576
FEMA PA Program
Jordan Moser
IHSEMD
515-725-9365
DDIR Submittal
Brian Pribyl
IA DOT
Office of Traffic Operations
515-233-7850
2015 ER Training
Agenda
10:00 to 12:00
FHWA ER & FEMA PA
12:00 to 1:00
Lunch
1:00 to 3:00
DDIR Submittal
Overview
• Provide details of the FHWA ER program and the FEMA PA program, including eligibility requirements, application process of each.
• Current DDIR submittal program requirements and upcoming program features and implementation plan.
1 5/26/2015
FHWA Emergency Relief Program
Program Authorized by Congress to Repair
Federal-aid Highways Seriously Damaged by
Disasters or External Catastrophic Failures.
Intended to Supplement the Funding
Commitment of the States and Their Political
Subdivisions to Help Pay for Disaster
Expenses
5/26/2015 2
What are Federal-Aid Highways?
• Public roads not functionally classified as
“local” or “rural minor collector.”
• Include the more important state, county, and
city roads. About one-quarter of the overall
public road mileage is designated as federal-aid
highways.
5/26/2015 3
What is Serious Damage?
• It is major or unusual damage which severely
impairs the safety or usefulness of the highway
or results in road closures.
• In general, the total estimated cost to the state
must require at least $700,000 in ER funding
before FHWA will consider approving the
disaster.
5/26/2015 4
How Much ER Funding is Available?
• By law, FHWA can provide up to $100 million in
ER funding to a state for each disaster.
• If the disaster covers several states, up to $100
million can be provided to each state involved
in the disaster.
• The total amount of funds automatically
available each year is only $100 million.
5/26/2015 5
What is the federal Share of Costs?
• Federal share is established by law and can be somewhat complex.
• Costs to maintain safety for the public, to restore essential traffic, or to protect remaining facilities, incurred within the first 180 days of the occurrence are 100% federal participating.
• Permanent restoration and costs after 180 days, the share is based on type of road repaired. Interstate is 90%, other FA highways, 80%.
5/26/2015 6
Eligible Types of Repairs
• Emergency repairs are made during and
immediately following a disaster to restore
traffic or protect remaining facilities.
• Permanent repairs normally made after
emergency repairs completed to restore the
road to its condition prior to the disaster.
• Current minimum estimated cost guideline for a
site to be eligible is $5,000.
5/26/2015 7
Emergency Relief Application Process
• The state has to make the application to FHWA
for ER funds. Local agencies must make their
applications through the state.
• Emergency repairs can begin immediately to
restore essential traffic or protect remaining
facilities.
• Documented costs will be reimbursed later if
the FHWA approves the request for an ER
declaration.
5/26/2015 8
Application Process -cont.-
• Governor’s disaster proclamation.
• State submits a letter of intent.
• FHWA acknowledges letter of intent.
• State completes preliminary damage assessment and requests ER funds.
• FHWA division office reviews and decides to approve or deny.
• If approved, funds requested from Washington.
• Detailed Damage Inspection Reports (DDIR) must be completed.
5/26/2015 9
General Requirements
• Normally work must be within ROW of damage Federal-aid highway
• Cost per site must be a minimum of $5,000 to be eligible
• Restoration in kind is the typical repair
5/26/2015 10
Eligible Costs
• Preliminary and construction engineering costs directly attributable to the repair of eligible damage
• Damages to designated detours by traffic detoured from a damaged or impassable FA highway
• Damages to active construction projects if it’s clearly established the contractor is not responsible for the repair
5/26/2015 11
Ineligible Costs
• Permanent repair or replacement of deficient bridges scheduled for replacement with other funds damaged during a disaster is not eligible for ER funds.
• Stockpiles of material for maintenance and construction, damaged or destroyed by the flood, that have not been incorporated into a project are not eligible under the ER program
5/26/2015 12
Disaster Assessment Process
• Disaster assessment based on readily available information
• An abbreviated Damage Survey Summary Report follows after most detailed damage inspections are completed
5/26/2015 13
Project Procedures
• Emergency Repairs – 3 methods – Force Account (using county/city crews
– Solicited Contract (contact 3 or more contractors for quotes)
– Negotiated Contract
• Permanent Repairs must be by contract awarded by competitive bidding. Normal FA development procedures required. Requires FHWA approval before bid letting occurs
And Now for Something Completely Different……..
• Resilience – capability to anticipate, prepare for, respond to, and recover from threats
• Debris Removal – ER vs FEMA
• NEPA – Added fearures resulting from the NEPA process. Reviewed on project by project basis.
5/26/2015 14
5/26/2015 15
ER MANUAL WEB PAGE
• Detailed Information about the ER Program and procedures is available at the following web page
• http://www.fhwa.dot.gov/reports/erm/er.pdf
Iowa Homeland Security and
Emergency Management Department (HSEMD)
Mark Schouten, Director
Public Assistance Briefing
1
Disaster Strikes Preliminary Damage
Assessment (PDA)
Kickoff Meeting
Applicant Briefing
Request for Public Assistance (RPA)
Declaration
Project Worksheet
Formulation
Project Worksheet
Review by Local,
State and FEMA
Project Obligated –
Federal Share
Available
Project(s) Complete Closeout State Share Paid
2
3
PDA Documents for PA and
ER programs
PA Program Site Assessment
Sheet
Location – Lat Long
Category – A, B, C
Damage Description
Repairs made to date
Cost estimate
Percentage complete
ER Detailed Damage Inspection Report.
(DDIR)
Location – Lat Long
Emergency or Permanent
Damage description
Repairs made to date
Cost of completed and remaining
work
Method of repair i.e. local, state
or contractors
4
PDA Documentation
Requirements and issues.
Bridge Reports
Maintenance Records
Budget Information
Issues
Not enough or inaccurate documentation to
substantiate pre-disaster condition of facility.
5
Example: Latest bridge report identifies damage or a
deficiency, which has since been addressed or repaired,
but no written record exists to show that the repair was
made and that the bridge report is inaccurate due to
outdated information. This can and has resulted in
projects/facilities being given an ineligible determination.
PDA Documentation Issues
6
Assistance Provided:
•Debris Removal – 9580.214
•Emergency Protective Measures
•Permanent restoration of infrastructure
•Hazard Mitigation Measures to protect against future damage
Public Assistance Program
Roles and Responsibilities Local
State FEMA FEMA
Managing the program
Approving project worksheets
Providing technical assistance to State and applicants
State
Educate potential applicants
Work with FEMA to manage the program
Administer project funds
Monitor the projects awarded under the program
Applicant
Identify damage
Provide data for FEMA to develop an accurate scope and cost
estimate
Manage their projects funded under the program 7
Project Worksheet (PW)
• Captures Damage Description,
Scope of Work and Costs to
Replace/Restore Publicly Owned
Facilities
• Written by FEMA and State
Representatives
• Reviewed by Local, State, and
FEMA Representatives
• Minimum Project Amount =
$3,040
– Different from ER minimum of
$5,000.
8
Applicants
• State Government Agencies
• County Governments
• Municipal Governments
• Municipal Authorities
• School Districts
• Taxing Districts
• Indian Tribes
• PNP organizations that own or operate facilities that provide certain services of a governmental nature are eligible for assistance
Cost
Work
Facility
Applicant
9
Facility
• Damaged as a result of a declared event
• Located within a declared 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 (i.e. NRCS,
USACE, FHWA)
Cost
Work
Facility
Applicant
10
Emergency Work
Categories A-B • Category A – Debris Removal
• Must eliminate immediate threat to life, health
and safety and/or
• Must eliminate immediate threat to improved
property
• Category B – Emergency Protective Measures
• Activities to save lives, protect public health and
safety, and protect improved public and private
property
Cost
Work
Facility
Applicant
11
Repair/Replacement of facilities to pre-disaster
condition
• If criteria is met Codes and Standards may
be eligible
• Category C
• Roads, Bridges and Culverts
• Category D
• Water Control Facilities
• Examples include: Berms and
Drainage Channels
• Category E
• Buildings/Contents and Equipment
12
Permanent Work
Categories C-G
Cost
Work
Facility
Applicant
Permanent Work
Continued
• Category F
• Repair/Replacement of Utilities
• Examples include: Waste Water
Treatment Plants and Communication
Systems
• Category G
• Repair/Replacement of Public Parks and
Recreational Facilities and other facilities that
don’t fit in any of the above categories
• Recreational Facilities for PNPs are not
eligible
13
Cost
Work
Facility
Applicant
Category C continued
• Eligible facilities
• Roads, bridges, culverts and associated
facilities
• Roads
– Surfaces
– Bases
– Shoulders
– Ditches
– Drainage structures
– Low water crossings
14
Cost
Work
Facility
Applicant
Category C continued
• Eligible facilities
• Bridges
• Decking and pavement
• Piers
• Girders
• Abutments
• Slope protection
• Approaches
15
Cost
Work
Facility
Applicant
Category C continued
• Ineligible Facilities
• Permanent restoration of FHWA routes
• USACE Levees and Dams
• Private roads
• Homeowners association roads
16
Cost
Work
Facility
Applicant
Category C Codes and Standards
• Codes and Standards 5 criteria • Apply to the type of repair or restoration (standards may be different
for new construction and repair work)
• Be appropriate to the pre-disaster use of the facility
• Be found reasonable, in writing, and formally adopted and implemented by State or local government on or before the disaster declaration date, or be a legal Federal requirement applicable to the type of restoration
• Apply uniformly to all similar types of facilities within the jurisdiction of the owner of the facility; and
• For any standard in effect at the time of a disaster, it must have been enforced during the time it was in effect.
17
Codes and Standards Continued
• “Formally adopted”
• The adopted code must be formally incorporated into the building code or the local ordinance.
• Design standards, guidelines, policies, industry practices, or other non-mandatory provisions are not acceptable. i.e. County Resolutions
• Effective date of the code MUST be on or before the disaster declaration date.
• Code will be considered implemented when approved by the appropriate legislative body of the jurisdiction and made a matter of public record as required by that body.
18
Special Considerations
Issues other than basic program eligibility that affect the scope of work and funding of a project worksheet
• Insurance
• Hazard Mitigation
• Environmental/Historic preservation compliance
19
Hazard Mitigation
Section 406
Cost-effective action taken to prevent or reduce the threat of
future damage to a facility
• Applies only to permanent work projects (Cat. C-G)
• Must prevent future similar damage and must apply to the damaged
element
• Must be determined cost-effective by FEMA
20
Environmental Preservation
• National Environmental Policy Act requires that FEMA perform a
review of a project to evaluate the impact of that project and any
possible alternatives
• Review must be completed before work is started since the
review may identify steps to be taken or conditions to be met
before the project can be implemented
21
Projects near Waterways
• Joint Application for floodplain development • http://www.iowadnr.gov/InsideDNR/RegulatoryLand/FloodPlainMan
agement/FloodPlainDevPermits.aspx
• Must complete and submit State Flood Plain Requirement determination form as well as permits if required.
• Must address applicable USACE nationwide permit(s) and specific provisions therein.
22
Historic Preservation
• National Historic Preservation Act requires FEMA to consider, prior
to funding, the effects of projects on historic properties listed in or
eligible for listing in the National Register of Historic Places
• Is the structure older than 50 years? Historical significance?
23
Change from Pre-disaster
Condition
24
Not Including approved Code and Standard Upgrades
or Hazard Mitigation
• Improved Projects
• Alternate Projects
Improved Project
• Permanent Work Only
• Funding is limited to the Federal share of the costs that would be
associated with repairing or replacing the damaged facility to pre-
disaster design and at least its pre-disaster capacity
• Improved project must be approved prior to beginning of work
25
Alternate Project • Permanent Work Only
• Federal Funding will be 90 percent of the Federal estimate of the
cost to repair, restore, reconstruct or replace the facility and of
management expenses
– Pilot Program no penalty for Alternate Project.
• Alternate Project must be approved prior to beginning of work
26
Cost
• Reasonable and necessary cost
• Procurement and Contracting must be in
compliance with Federal, State and Local laws
• All applicants must have local procurement policy
adopted and in writing prior to declaration date!
• Must conform to Federal Procurement Standards
at a minimum.
• Insurance proceeds, salvage value, and
purchase discounts must be deducted
Cost
Work
Facility
Applicant
27
Force Account (FA) Labor
• Regular and overtime FA Labor is eligible for
Debris Removal and Permanent Work
Categories
• Only overtime costs are eligible for
Emergency Protective Measures
• Overtime costs are only eligible if it is an
established policy to pay overtime
• Fringe Benefit Rates are eligible for
reimbursement
Cost
Work
Facility
Applicant
28
Force Account (FA) Labor
Documentation
• Personnel Activity Report (PAR)
• Done by each employee
• Must account for 100% of all hours worked during the period of time
being claimed
• Must delineate each federal activity (project) and all non-federal
activities (normal job)
• Must coincide with the employee payroll period
• Payroll Documentation
Cost
Work
Facility
Applicant
29
Direct Administrative Costs
(DAC)
• DAC are costs that can be tracked, charged and accounted for directly to a specific project
• All claimed costs must be documented to the approved project
• Salary and Benefits = Personnel Activity Reports (PARs) and Payroll Records
• Supplies and other costs = receipts, invoices etc.
• Must be necessary and reasonable
• During the project grant writing process the sub-grantee can decline to include/claim DAC on a project
Cost
Work
Facility
Applicant
30
Personnel Activity Report (PAR)
31
Materials
• Cost of materials purchased or from stock
and used during the performance of eligible
work is eligible
• Invoices, purchase orders, proof of
payment (cancelled checks, accounting
records) and records of material taken
from stock must be kept for these cost to
be claimed
Cost
Work
Facility
Applicant
32
Equipment
• Eligible for regular time and overtime
• Standby time is ineligible
• Must use FEMA cost codes or your own cost codes
• FEMA cost codes typically including fuel, insurance, depreciation,
and normal maintenance. Does not include labor to operate
• Cost of purchasing equipment and supplies in order to respond to the
disaster is eligible if necessary and reasonable
• Equipment and supplies with a value of $5,000 will be subject to a
reduction for salvage value
• Rental equipment is also eligible
Cost
Work
Facility
Applicant
33
Procurement
• Reasonable Cost
• Competitive Procurement Required
• Procurement must comply with Federal, State and Local laws
and regulations
• All applicants must have locally adopted policy in writing prior to
declaration date for ANY non-emergency contracts to be
considered. Must conform to, at least, Federal procurement
standards.
Cost
Work
Facility
Applicant
34
Procurement Continued
• Small Purchase (<$150,000)
• Informal, several price quotes (min. 3)
• Sealed Bids
• Competitive Proposals
• Non-Competitive Proposals (Avoid)
• Limited primarily to emergency work
• Single Source, under limited circumstances
• Competition not reasonable
Cost
Work
Facility
Applicant
35
Contracts • Acceptable types:
• Lump Sum
• Unit Price
• Cost Plus Fixed Fee
• Federal Contract Provisions are required within the body of the
contract or as an attachment to the contract
Cost
Work
Facility
Applicant
36
Contracts Continued
• Avoid
• Time and Materials after the first 70 hours
• Not Acceptable
• Cost Plus Percentage of Cost Contracts • Contract DAC (not to exceed)
• Less flexibility than before.
• Contingency Contracts
• Suspended, Debarred Contractors
• https://www.epls.gov/
Cost
Work
Facility
Applicant
37
Methods of Payment
• Cost Share
• 75% Federal
• 15% Applicant
• 10% State (paid upon final closeout)
• Size of Project
• Small Project
• Large Project
38
Small Project
• Estimated project cost under $121,600
• Federal Share paid upon award
• Small Projects are closed when all of an applicant’s small projects
are 100% complete
39
Small Project Overrun
• Applicants may appeal for a “net” small project cost overrun within
60 days of completing all small projects and the “net” is 20% or
greater
• Must document all work for all small projects to receive
consideration for a “net” small project cost adjustment
40
Large Project
• Greater than $121,600; funding is based on documented actual final costs
• Funds must be requested by the Applicant
• Reimbursement; proof of payment is required prior to reimbursement
• Can receive up to 75% of the Federal share for reimbursement prior to
project closeout
41
Iowa Code 455B.262A National Flood Insurance Program (NFIP)– participation required
• State participation in funding financial assistance (10% State cost share)
for a flood related disaster require participation in the NFIP for a city or
county with an effective FEMA published flood insurance map that
identifies the SFHA.
• Applies to Disasters declared after July 1, 2011
• For NFIP participation information contact the Iowa Department of
Natural Resources
Ken Bouma
Local Floodplains Program
515.281.6907
Jason Conn
Local Floodplains Program
515.281.4333
42
43
Project Management
• Record Keeping
• Time Limits
• Progress Reports
• Audits
44
Record Keeping
• Applicants must establish a PA Disaster Specific File. The file will
contain the specific information for each project containing all
documentation pertaining to each specific project by Project
Worksheet #
– This will start with PW reference number and later be assigned an EMMIE
number once project has been submitted to FEMA for review.
• Supporting documentation is required for all claimed costs
• Retain documents for all approved work, for three years.
Recommend longer for permanent work to show historical damage.
This could help applicants acquire 406 HMP funding.
• This retention period starts on the day the Applicant submits
their final project completion and certification report (P.4)
45
What should be in each Project File? • Obligated Project Printout
• Completed Special Considerations Questions Form
• Estimated and Actual Costs
• Force Account Labor Documentation
• Force Account Equipment Documentation
• Rented Equipment Invoices
• Materials and Purchases Invoices and Receipts
• Insurance Information
• Photographs of damage, work underway, work completed
• Environmental and/or historic alternatives and hazard mitigation
opportunities considered for large, improved or alternate projects
• Environmental Review Documents
• Records of donated goods and services
• Permits
• Correspondence
• Extensions, approvals (improved, alternate), emails 46
Time Limits
• RPA deadline date is 30 days from the date of declaration
• Damage must be identified and reported to FEMA within 60 days of the first substantive meeting (kickoff meeting) Applicant’s responsibility
• Work Completion Deadlines are from the date of declaration:
• Emergency and Debris Removal – 6 Months
• Permanent Work – 18 Months
• The State has the authority to extend emergency work (Cat. A and B) by 6 months and permanent work (Cat. C-G) by 30 months
• Extension requests past the State’s authority will be forwarded by the State to FEMA for a determination
47
48
Alternative Procedures
Pilot Program for Debris
Removal
Alternative Procedures
Accelerated Debris Removal –
Increased Federal Cost Share
• To participate, debris removal projects
must include all debris for which a Sub
grantee will be requesting FEMA
assistance
49
Debris Removal Completed (Days from Start of Incident Period)
Federal Cost Share
0-30 85%
31-90 80%
91-180 75%
Federal dollars will NOT be provided for debris removal after 180 days (unless an extension is granted)
Alternative Procedures Straight Time FA Labor
• Regular time FA Labor is eligible for
Debris Removal
• Procedure can be used with any other
alternative procedure or on its own.
• Applies to both large and small projects
50
References • Public Assistance Digest (FEMA 321)
http://www.fema.gov/pdf/government/grant/pa/pdigest.pdf
• Public Assistance Guide (FEMA 322) http://www.fema.gov/pdf/government/grant/pa/paguide07.pdf
• Applicant Handbook http://www.fema.gov/pdf/government/grant/pa/fema323_app_handbk.pdf
• 44 Code of Federal Regulations (CFR) http://ecfr.gpoaccess.gov/cgi/t/text/text-
idx?&c=ecfr&tpl=/ecfrbrowse/Title44/44tab_02.tpl
• Robert T. Stafford Act, as amended http://www.fema.gov/robert-t-stafford-disaster-relief-and-emergency-assistance-act-public-law-93-288-amended
• 9500 Policy Series http://www.fema.gov/government/grant/pa/9500toc.shtm
• www.fema.gov
• www.iowahomelandsecurity.org
51
Points of Contact
• HSEMD Main Line
• Phone (515) 725-3231
• Public Assistance
• Fax (515) 725-9408
52
Office of Traffic Operations Roles during a disaster
– Maintain real time highway and traffic condition reports
– Disaster event updates to IA DOT Management and other agencies
– Arrange assistance to other agencies or municipalities through IHSEMD Duty Officer
– FHWA ER Program administration
– IA DOT representation for FEMA PA Program
ER Event Determination
1)Disaster occurs
2)Governors Proclamations
3)Damage assessments on Federal-Aid Routes
4)Exceed $1 Million estimated damage/$700,000 Federal Share-Actual
5)Letter of Intent to FHWA
6)DDIR’s Submitted to FHWA
7)Funding Request(s) to FHWA
During/Post ER Event Activities
• Review and forward incoming DDIR’s to FHWA
• Update IA DOT Mgmt., FHWA, IA HSEMD of event progress and financial details
• Submit required documentation and respond to inquiries from FHWA, IA DOT, and City/County participants
• Assists District Staff in gathering and submitting billing information for force account labor, equipment, and materials-Primary DDIR’s only
DDIR Submittal
• Current program (Adobe LiveCycle) or ALC.
• Access to ALC
– IA DOT users-DOTNET link
– Non-DOT users-https://eforms.iowadot.gov/ALC_DOT_Forms_Workspace/Main.html?ap=1
Current ALC DDIR Process
• Do not use with Chrome or Firefox
• Internet Explorer <v10
• Map feature currently not functioning • Attach a screen shot of a map with location
• Email notifications for Non-Primary/Secondary DDIR’s not functioning
• I will be sending the email notification from FHWA with DDIR attachment to LSE and Submitter
• DDIR/Report ID can only be used once
• DDIR is not able to be revised once accepted
Complete DDIR
• Assemble and submit:
– Non-Primary/Secondary DDIR
• Attach Photo
• Email notification
IA DOT ER Admin DDIR Review
• Review each DDIR for:
Location – County
– Date
– Event ID
Minimum eligibility ($5000)
Local Agency Representative and contact info
Upcoming DDIR Software
• Key changes with new system
– Submittal path and Email Distribution List – Primary and Non-Primary/Secondary have similar added
step(See next slides)
– Previous Damage at this location » Has there been previous ER eligible damage Y/N with
description if yes.
ALC to New Software Changeover Plan
• ALC will be used until the new software has been tested and released.
• Test DDIR’s will be used to verify the process, map, and email notifications are functioning.
• A test event number will be provided.
• Changeover will not occur during a declared ER event(including the period immediately following while DDIR’s are being submitted)
Suggestions? and
Questions?