1. Applicant’s Briefing

2. Incident Period October 27, 2012 and ongoing
FEMA-4085-DR-NY
Declaration Date
October 30, 2012
(Amended Date: November 2 and 13, 2012)
Incident Period
October 27, 2012 and ongoing

3. Declared Counties (as of Nov. 13, 2012):
Public and Individual Assistance
Public Assistance
Individual Assistance

4. Michael Byrne FEMA Federal Coordinating Officer
Key Personnel
Michael Byrne FEMA Federal Coordinating Officer
Jerome M. Hauer
NYSOEM State Coordinating Officer
FEMA/ State Teams
County Emergency Managers
NYSOEM Regional Staff

5. What is Public Assistance??
Supplemental financial assistance to state, local governments, and certain non-profit organizations for response and recovery activities required as a result of a disaster

6. The Public Assistance Process
Disaster
Event
Funding
State
Declaration
Applicant
Validation
PDA of
Projects
Applicant's
Briefing
This slide outlines the multi-step funding process under the Public Assistance Program. The disaster event triggers the declaration process which for some applicants may or may not include a Preliminary Damage Assessment (PDA). All potential applicants will attend an Applicant’s Briefing. Applicants will submit the Request for Public Assistance which is available at the applicant’s briefing and through electronic means such as the Internet, to officially apply for funding. Each Applicant will be assigned to a Public Assistance Coordinator (PAC) and the PAC will hold a Kickoff Meeting with the applicant to begin the process of documenting disaster recovery projects. The PAC will assist the applicant in completing Project Worksheets for all projects. Project Worksheets will be approved after validation. The funding will be made available to the State. The State then disburses the funding to the applicant according to State regulations.
FEMA’s goal is to provide the funding as efficiently and expeditiously as possible to allow a quick recovery of communities affected by disaster or emergency events.
Complete
Submission
Project of
Worksheets
Kickoff
Request
Meeting

7. Deadlines for Submission
Request for Public Assistance
days after declaration for submission 30
Project Worksheets – Identified Within
days of Kickoff Meeting 60

8. Eligibility
COST
WORK
FACILITY
APPLICANT

9. Eligible Applicants State Agencies County Government City Government
Certain Private Nonprofit Organizations
Native American Tribes or Tribal Organizations

10. Private Non-Profit Entities
Critical
Fire/Emergency – Rescue
Emergency Medical Care
Utility- Power, Water, Sewer, WWTP, Communications
Educational Institutions

11. Private Non-Profit Entities
Non-Critical
Senior Citizen Day Centers
Daycare Centers
Homeless Shelters
Shelter workshops
Libraries
Rehabilitation Facilities
Community Centers

12. Private Non-Profit Requirements
Completed RPA Package
DUNS Number
By-Laws
Tax Exempt Letter, 501(c), (d), or (e) IRS designation
PNP’s go through an eligibility evaluation. This evaluation can not be conducted until all of the above is submitted.

13. Eligibility
COST
WORK
FACILITY
APPLICANT

14. Facility Eligibility Requirements
Damage- result of the event
Located within the area declared
Legal responsibility of eligible Applicant
In active use at the time of the disaster
Not under authority of another federal agency (ex. US Army Corp. of Engineer Water Treatment Facilities)

15. Eligibility
COST
WORK
FACILITY
APPLICANT

16. 6 Month Completion Deadline:
Emergency Work
Category A (Debris Removal)
Clearance, removal, storage, disposal
Category B (Emergency Protective Measures)
Access, protection, emergency services, eliminate hazards, support, highways and community needs
6 Month Completion Deadline:
April 30, 2013
(May 3 or 13, 2013 amended)

17. Moving Ahead for Progress in the 21st Century Act (MAP-21)
Debris Removal
Moving Ahead for Progress in the 21st Century Act (MAP-21)
July 6, 2012 – Signed into Law
In a declared disaster, FEMA will fund 75% for debris removal along FHWA roadways
FHWA road map:
More information:
FEMA funds 75% along FHWA roadways. In the past, used to be covered under ER program with FHWA with 100% funding.

18. 18 Month Completion Deadline:
Permanent Work
Category C (Road and Bridge Systems)
Category D (Water Control Facilities)
Category E (Public Buildings/Equipment)
Category F (Public Utilities)
Category G (Other-Parks, Recreation)
18 Month Completion Deadline:
May 4, 2014
(May 13, 2014 )

19. Deadlines for Completion
From the date of the declaration:
October 30, 2012 (amended Nov. 2 and 13, 2012)
Emergency work - 6 months
(+ 6 months by NYS)
Permanent work - 18 months (from amended date Nov. 3 or 13, 2012)
(+ 30 months by NYS)
Further extensions require
approval by FEMA

20. Special Considerations
Environmental
Ensure all practical means are used to protect, restore, and enhance the environment
** Local Regulations Also Apply**

21. Special Considerations
Insurance
Proceeds (actual or anticipated) deducted from eligible project costs
FEMA requires applicants to obtain and maintain insurance for future disaster damage

22. Special Considerations
Floodplain Insurance Requirements
If facility does not have NFIP Insurance,
Project Worksheet (PW) will be reduced by amount that would have been covered by NFIP

23. Special Considerations
Special Flood Hazard Areas
Flood Hazard Area- Projects within or affecting floodplain MUST be reviewed to ensure that it meets requirements of the Executive Orders on Floodplain Management and Protection of Wetlands
Coastal High Hazard Areas – Coastal High Hazard areas and areas covered by the Coastal Barrier Resources Act require Special Considerations review

24. Special Considerations
Hazard Mitigation
Cost effective measures that reduce the potential for damages to a facility from a future event
Only Permanent Work is eligible for
Hazard Mitigation

25. Hazard Mitigation Scenario
Pre-disaster
Disaster damage
406
Section
404
Larger culvert with
concrete wing-walls
New upstream
retention pond

26. Special Considerations
Historic Preservation
Listing on the National/State Register of Historic Places
Buildings, landscapes, archaeological sites, or even bridges and water treatment plants
Not necessarily old but important to local, state, or national history
Requires special consideration under the National Historic Preservation Act

27. Eligibility
COST
WORK
FACILITY
APPLICANT

28. COST Reasonable and Necessary
Complies with federal, state and local laws & regulations
Insurance proceeds and purchase discounts must be deducted

29. Federal Cost Share
FEMA may provide 100% for Category B costs for eligible applicants for a 10 day period for provision of either emergency electrical restoration to protect public life and safety (e.g. Providing alternate power to hospitals, fire stations, police, etc.) or providing emergency mass transportation support.
FEMA funds 75% along FHWA roadways. In the past, used to be covered under ER program with FHWA with 100% funding.

30. Equipment Perform eligible work Auto/Truck – mileage or hourly rate
Other equipment- hourly rate
Stand-by time ineligible
Intermittent Use
Half day or more = full day
Less than half day = actual hours

31. Equipment Rates
FEMA rates are used for determining project costs (estimating & comparing)
Local rates are used if different than FEMA and established prior to the disaster

32. Also travel and per diem for employees performing eligible activities
Labor
Force Account Labor plus Fringe Benefits
Emergency Work: All OT eligible, temporary employees regular time eligible. All other time ineligible.
Permanent Work: All labor eligible
Also travel and per diem for employees performing eligible activities

33. Force Account Labor Costs
Debris Removal
Force Account Labor Costs
One period of 30 day eligibility
May reimburse straight or regular-time salaries and benefits of permanently employed staff
Hours claimed must be related solely to eligible debris activities resulting from Hurricane Sandy
May be captured under Category A or Category B
FEMA funds 75% along FHWA roadways. In the past, used to be covered under ER program with FHWA with 100% funding.

34. Donated Resources
A credit can be applied towards the local cost share for both Volunteer Labor and Donated Equipment
Volunteer Labor:
Rate is the same as either paid employees within an applicant’s organization or, if none, similar work done by a local paid organization.
Value of Volunteer Labor = (Determined Labor Rate) * (Number of Volunteer Hours)
Donated Resources:
Rate is determined by local rates (if established) or FEMA equipment rate.
Value of Donated Resources = (Determined Equipment Rate) * (Number of Equipment Hours)
Donations credit capped at non- federal share of emergency work (may apply toward certain portions of community's non- federal share of recovery costs)

35. Need invoices, historical data or area vendor quotes
Materials
Purchased or stock
Used for eligible work
Need invoices, historical data or area vendor quotes

36. Contracts
All contracts incurred for eligible work are reviewed by FEMA-State teams; includes rental equipment
Prefer competitively bid with fixed-procurement procedures.

37. Contracts Lump sum contracts are acceptable:
Easy to monitor when the scope of work is well defined
Requires minimum labor for monitoring
Quantities do not have to be documented
Time and material contracts are acceptable BUT:
Should only be used for emergency “hot spots” (early debris rights-of-way clearance)
MUST have a cap and MUST be monitored
Accepted for 100 hours of work (DR 4085 only)

38. http://www.labor.ny.gov/workerprotection/ publicwork/PDFs/debarred.pdf
Ineligible Contracts
Cost-plus percentage of cost
“Contingent upon FEMA reimbursement”
Contract with a debarred contractor
publicwork/PDFs/debarred.pdf

39. Project Worksheet The PW Requires:
Damage description and location list
with actual or estimated costs
A comprehensive scope of work necessary to repair disaster damage.
(all considerations should be looked at before finalizing estimate)
A SPECIAL CONSIDERATIONS SHEET
Identifying all special consideration issues.

40. What info is needed for a PW?
List of Damages
Procurement Policies
Labor Management Contracts
Maps
Photos
List of paid staff, regular and OT hours – dates and times
Fringe Benefits info
List of equipment used, hours of operation – dates and times, miles driven, other records
List of materials and supplies used
Copies of any contracts used for this event
Applicable codes and standards
Hazard Mitigation Proposals

41. is the FY 13 threshold amount
Small or Large Project???
SMALL
LARGE
$67,500
Annually updated, $67,500
is the FY 13 threshold amount

42. Small Projects Based on Estimate written in Project Worksheet
Paid upon Project Worksheet approval

43. Large Projects Paid based on % completed Final payment –
Based on actual documented approved costs
Progress Payments –
Requested up to 50% of original approved project estimate
Quarterly Report Requirement-
Update of work completed due to NYSOEM every quarter for life of project

44. Improved Projects MUST be identified to State in ADVANCE of start
Improvements that increase the size, capacity, or add additional functions
Funds limited to Federal share of estimated costs for facility restoration
All portions of project reviewed for Special Considerations

45. Alternate Projects Requested within 12 months after Kick-off Meeting
75 – 90% of Approved federal cost share
Facility abandoned- must be rendered secure
Cannot have 406 (PA) mitigation funding
All parts of project review for Special Considerations

46. Funding Federal Share 75 % Non-Federal Share 25 %
Direct Administrative Costs
Costs must be identified on each specific PW

47. Payment Process
Project Worksheet is written, approved and obligated by FEMA
The Federal and State share of funding for each project is calculated
Office of the State Comptroller directs funds to applicant via wire transfer
NYSOEM Finance sends letter to Chief Financial Officer
NYSOEM Public Assistance (PA) section sends Approved Project Notification (“Blue Book”) to the POC on the RPA either by “Blue Book” folder or electronically
Audits – All applicants must meet OMB A-133 circular Audit requirements or funding may be jeopardized.

48. Project Notification Folder
(NYSOEM “Blue Book”)
Sent to applicant’s agent when FEMA approves a project
Includes a copy of the obligated Project Worksheet (PW); review carefully
Starts time clock for appeal of any FEMA decision
Includes the Project Completion P-4 form that needs to be signed and returned to NYSOEM DAO at completion of work

49. Disapproved Project Notification
EMMIE Notification Letter
Sent to applicant’s agent when FEMA disapproves a project
Includes a copy of the Project Worksheet (PW) and the EMMIE notification
Starts time clock for appeal of FEMA decision

50. Any determination related to Federal assistance may be appealed.
Appeals
Any determination related to Federal assistance may be appealed.
The time limit for appeal submission is 60 days from receipt of written notice of the action which is being appealed.

51. Funds are Lost if Applicant’s Don’t:
… ask questions
… change scope of work without FEMA pre-approval
… obtain required permits
… follow contract procedures
… perform work as described in the approved PW
… ensure administrative continuity
… keep complete, clear and accurate records
… remain aware of the PA program deadlines

52. What’s Next?
Submit completed RPA Package, DUNS # etc ***Not considered an applicant until all documentation is submitted***
PAL-PAC Team available to meet on-site
Applicant meets with team at kickoff meeting - projects are scoped out in preparation for estimating
Projects are identified within 60 days of Kickoff Meeting

53. * Needed for Private-Not for Profit, Fire Departments, etc.
W-9
SFS Form for Vendors
* Needed for Private-Not for Profit, Fire Departments, etc.

54. Hazard Mitigation Grant Program Applicant Briefing
NYS Office of Emergency Management &
Federal Emergency Management Agency
Hazard Mitigation Grant Program
Applicant Briefing
Hurricane Sandy
HMGP November 2012

55. Hazard Mitigation
Mit-i-ga-tion \ n. : sustained actions that eliminate or reduce long-term risk to people and improved property from natural hazards
Creates safer communities, reduce loss of life and damage to improved property, diminish financial and emotional stress
Breaks the cycle of disaster damage and loss
Allows communities to rebuild more quickly
Saves money: every mitigation $ spent avoids an average of $4 in future damages

56. 5 Hazard Mitigation Programs
Hazard Mitigation Grant Program (HMGP)
Pre-Disaster Mitigation Program (PDM)
Flood Mitigation Assistance Program (FMA)
Repetitive Flood Claims Program (RFC)
Severe Repetitive Loss Program (SRL)
[ NB: HMGP is tied to NYS disaster declarations ]
[ NB: PDM, FMA, RFC &SRL are nationally competitive and announced annually, subject to Congressional appropriation ; none this year ]

57. Requirements: Applicants
Eligible Applicant: NYS, acting through State OEM
Eligible Sub-applicants:
State agencies & local governments
Federally-recognized Indian Tribal Governments
State-recognized Indian Tribes
Private non-profits providing government services
[ NB: PNPs participating in property acquisition must have land conservation as a mission ]
Individuals and business are not eligible applicants

58. Requirements: Mitigation Plans
Generally speaking, sub-applicants seeking project funds must be covered by a current all-hazards mitigation plan at the time of award
[ A valid plan is one approved by FEMA & adopted by the community; some cover a community, others are regional or county-wide ]
Sub-applicants that have begun the update process should be able to meet this requirement
There is a “special circumstances” plan waiver

59. Requirements: Mitigation Plans
Nassau: No Plan (grant & re-write in process)
New York City: 3/12/14
Orange: 3/21/16 (county assets-only plan)
Putnam: No Plan (grant & re-write in process)
Rockland: 3/22/16
Suffolk: 9/10/13
Sullivan: No Plan (re-write in process)
Ulster: 6/23/14 (partial county plan)
Westchester: No Plan (some individual plans;
grant &re-write in process)

60. Requirements: Cost-Effectiveness
Projects must be cost-effective as determined by a Benefit-Cost Analysis (BCA) meeting FEMA standards
BCA must verify that future benefits (losses to be avoided) equal or exceed the project's cost
See State OEM’s webpage for guidance on capturing damages that will help us perform a BCA

61. Requirements: Cost-Effectiveness
Based on our experience in Irene and Lee, more than 50% of the elevation projects submitted do not meet the cost-effectiveness requirement
Under FEMA’s special waiver for the HMGP, the acquisition of substantially-damaged properties in a 100-year floodplain is presumed to be cost-effective
[ Under NFIP: “substantial damage” occurs when the cost of repairing damage of any origin equals or exceeds 50% of the structure’s pre- damage Fair Market Value (FMV) ]

62. Requirements: 25% Local Share
FEMA funds provide 75% reimbursement of eligible costs, up to the amount of the award
In-kind services or materials may be used toward the 25% non-Federal match
Other Federal funds cannot, with some exceptions:
Increased Cost of Compliance (ICC) payouts from a National Flood Insurance Program (NFIP) policy
most HUD Community Development Block Grants (CDBG)

63. What HMGP Will Pay For Minor localized flood reduction measures
Roadway elevation
Culvert enlargements
Storm water drainage system expansion/upgrade
Retention or detention basins
Stream bank stabilization to protect infrastructure and buildings from damage
Placing overhead electrical systems underground

64. What HMGP Will Not Pay For
Preparedness activities: shelters, sandbags
Projects dependent on other phases for benefits
Studies and generators not directly tied to a project
Deferred repairs, negligence, operating expenses
Dredging, limb & debris removal, beach nourishment
Major flood control projects related to construction, demolition, or repair of dams, levees, floodwalls
Projects you’ve already begun or completed

65. Questions & Contact For more information, please contact us:
Rick Lord, Chief of Mitigation Programs
NYS Office of Emergency Management
1220 Washington Avenue, Albany, NY

66. Additional Information
Your FEMA/ State Team (1st Point of Contact)
NYSOEM Applicant Handbook
NYSOEM’s Website (
FEMA’s Website (
FEMA Policy Digest No. 321
FEMA Public Assistance Guide No. 322
FEMA Applicant Handbook No. 323
County Emergency Managers

67. NYSOEM Contact Info
RECOVERY SECTION
State Campus Bldg. 22, Suite 101
1220 Washington Ave, Albany, NY 12226
(518) Fax Number: (518)
After the Joint Field Office closes…
DAO – Linda Moreno (518)