United States
Environmental Protection
Agency
Solid Waste and
Emergency Response
EPA 540-R-97-034
OSWER 9224.0-01
PB97-963408
October 1997
vvEPA
Disaster and Emergency Response
Mission Assignment Guidance
Final
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V
*i PROt
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
OCT 9 1997
OFFICE OF
SOLID WASTE AND EMERGENCY
RESPONSE :
MEMORANDUM
SUBJECT: Disaster and Emergency
Guidance - FINAL
Response Mission Assignment
TO:
FROM:
See Attached
Jim Makris,: Director
Chemical Emergency Pr
Stephen D. Luftiig, Director
Office of Emergency and
reventfion Office
Response I
PURPOSE:
The purpose of this memorandum is to transmit the Agency's
final guidance for the management of disaster and emergency
response Mission Assignments (MAs).
BACKGROUND:
When a disaster or emergency occurs which triggers a .
Presidential Disaster Declaration under the Robert T. Stafford
Disaster Relief and Emergency Assistance Act (Stafford Act), the
Federal Emergency Management Agency (FEMA) issues MAs to other
Federal agencies through the Federal Response Plan (FRP). FEMA
issues MAs to EPA for Emergency Support Function (ESF) #10,
"Hazardous' Materials", work.
Through a review of after-action reports and discussions at
various meetings and workshops, we determined that EPA has room
to improve the documentation associated with the transfer of
goods and services between EPA and other Federal agencies during
disaster and emergency responses.
F ' ,
CEPPO and-OERR have worked cooperatively in this effort
because of our shared program responsibilities. We entitled the
effort the Mission Assignment Project and formed a Mission
Assignment Project Team. Along with CEPPO and OERR, stakeholders
represented on the team included: the Regions (2, 3, and 6),
Office of the Chief Financial Officer, Office of Grants and
Debarment., Office of General Counsel, and the Office of Radiation
and Indoor Air.
Recycled/Recyclable
Printed with Soy/Canola Ink on paper that
contains at least 50% recycled fiber
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The MA project is now complete. The Project Team developed
the attached Agency guidance. In March, we sent out a draft of
the document for a broad agencywide review. We received many
comments, and the Proj ect Team reviewed the comments and
incorporated them as appropriate.
OBJECTIVE:
The guidance document has been prepared to assist EPA
personnel in following disaster and emergency response procedures
and financial management activities relevant to MAs under the
Stafford Act and the FRP. It will be useful for those
responsible for: - .
Management of MAs received directly from FEMA, or MA
support taskings received from other Federal agencies
(OFAs);
Financial management throughout the disaster or
emergency response; and,
Providing standardized cost documentation of disaster
and emergency response costs to EPA's Cincinnati
Financial Management Center to support reimbursement
from FEMA or OFAs. .-.
This guidance includes an overview of the MA life-cycle,
roles and responsibilities, and requirements and procedures for
managing MAs. It does not address the overall disaster or
emergency response effort, that is done by the FRP.
The procedures described herein will be implemented
consistently and applied to MAs generated by all program areas in
EPA Headquarters and Regional Offices. It is recognized that
within some Regional Offices the division of roles and
responsibilities will vary and are left up to each region.
The Mission Assignment Project Team worked hard to develop
guidance that will help the Agency alleviate mission assignment
management problems in the future. Their effort is appreciated.
If you have any questions concerning the guidance or have
specific comments, please contact the following persons:
CEPPO:
OERR:
Attachments
Lea Anne Gleason
(202) 260-7387, FAX (202) 260-7906
Joe Rauscher "
(703) 603-9073, FAX (703) 603-9116
cc: See attached list
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Addressees: ; \
Emergency Support Function f10 Regional Chairs
Regional Removal Managers
Lisa 1C Friedman, Associate General Counsel
Solid Waste and Emergency Response Division
Jack Shipley, Director
Financial Management Division
Ron Bachand, Director ' -
Financial Services Division
Gary M. Katz, Director
Grants Administration Division
Lawrence G., Weinstock, Director
Radiation Protection Division
Deborah Y. Dietrich, Acting Director
Annual Planning and Budget Division
cc: National Incident Coordination Team
Regional Finance Officers
Regional Grants Management Officers
Elaine Davies, OERR
Ken Stroech, CEPPO
Mark Mjoness, OERR
John Riley, OERR
Lea Anne Gleason, CEPPO
Joe Rauscher, OERR
Barbara Hostage, OSWER
Mission Assignment Project Team
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DISASTER AND EMERGENCY RESPONSE
MISSION ASSIGNMENT GUIDANCE
U.S. ENVIRONMENTAL PROTECTION AGENCY
October 1,1997
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TABLE OF CONTENTS
NOTICE .....:..:............,.' ,..._.....:..- : .., i
ACRONYMS ... . .,. ... . . . .'. ........ . ., . ..... ii
CHAPTER ONE - OVERVIEW ...... . . . : , . 1
,1. MISSION ASSIGNMENT DEFINITION 2
2. - PURPOSE .: .3
3. STATUTORY AUTHORITY FOR MISSION ASSIGNMENTS . . . . .3
. - 4. IMPLEMENTING AGREEMENT AND REGULATION . . , 3
A. The Federal Response Plan : .... 3
B. The National Contingency Plan '.' 4
5. CONCEPT OF INTERAGENCY COOPERATION AND FUNDING . . '. 4
6 DELEGATIONS OF AUTHORITY. . . . 5
CHAPTER TWO - ROLES AND RESPONSIBILITIES 6
1. ROLES AND RESPONSIBILITIES .....:... ......... ....... 7
A. Regional Program Office : : .7
B. 'Regional Comptroller Office . . : 7
C. Regional Grants Management Office . 8
D. Office of Solid Waste and Emergency Response, Chemical Emergency
Preparedness and Prevention Office '. ...... 8
E. Office of Solid Waste and Emergency Response, Office,of Emergency and
Remedial Response , :.... 8
F. ' Office of the Comptroller, Cincinnati Financial Management Center ....9
G, Office of the Comptroller, Budget Division 9
CHAPTER THREE - ESF #10-LEAD DISASTER RESPONSE AS A PRIMARY AGENCY
. :. .. ;... io
1. MISSION ASSIGNMENT LIFE-CYCLE 11
A. Origination Phase J...... ...... . . /. . . 11
B. Execution Phase ., ..... ... ., 12
C. Close-Out . . ..............:...' 14
2. REPORTING REQUIREMENTS 14
3. FINANCIAL MANAGEMENT OF MISSION ASSIGNMENTS , ., . , 16
A. Types of Costs ..'. . . . . . . . . . . . 16
B. Obtaining Mission Assignment-Specific EPA Reimbursable Account
Numbers . . 17
C. Bills and,Supporting Cost Documentation .17
4. TASKING SUPPORT FROM OTHER FEDERAL AGENCIES ........... 18
5. UTILIZATION OF RESOURCES FROM OTHER REGIONS OR
HEADQUARTERS . 19
6. DETAILING OF PERSONNEL . .....;.......,... 19
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CHAPTER FOUR - NON-ESF #10-LEAD DISASTER RESPONSE AS A SUPPORT
AGENCY . 20
1. FINANCIAL MANAGEMENT OF TASKINGS FROM OTHER FEDERAL
AGENCIES '. , 21
A. Types of Costs . . ; !... 21
B. Obtaining Mission Assignment-Specific EPA Reimbursable Account
Numbers '. . 22
C. Bills and Supporting Cost Documentation .......... 7: . . 22
CHAPTER FIVE - COST DOCUMENTATION SUPPORTING BILLS TO FEMA OR OFAs
23
1. COST DOCUMENTATION SUPPORTING BILLS TO FEMA OR OFAs ... 24
A. Cost Documentation Package Contents . 24
APPENDICES " ; 21
APPENDDC 1. ADMINISTRATIVE LINKAGES '.'.'.''.'.'.'.'.'.'.'.'.'.'.'.','.'. 28
A. Audits : 28
B. Federal Acquisition Regulation 28
C. Quality Assurance 29
D. Suspension and Debarment 29
APPENDIX2. RECORD KEEPING . . . , . . . . I,. . .30
A. Records Management ; ... 30
B. Financial and Programmatic Records 31
APPENDIX 3, STATUTORY AUTHORITIES '. '.'. 33
A. Government-wide Statutory Authorities . 33
B. EPA Independent Program Statutory Authorities (Alternative IAG
Authorities) 34
APPENDIX 4. SAMPLE ACTIVATION LETTER AND REQUEST FOR FEDERAL
ASSISTANCE (DRAFT) 35
APPENDDC 5. EMERGENCY FUNDING AUTHORIZATION FORM . '.'.'.'.'.'. 42
APPENDIX 6. MISSION ASSIGNMENT REIMBURSEMENT REQUEST (DRAFT)
- '. .....45
APPENDDC 7. SAMPLE COST DOCUMENTATION PACKAGE FORMAT 52
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NOTICE
': This guidance does not constitute a rulemaking by the' U.S. Environmental Protection Agency
(EPA). The policies set forth are intended solely as .internal EPA guidance. They are not
intended, nor can they be relied upon, to create any substantive or procedural rights enforceable
by any party in litigation with the United States. EPA officials should follow the guidance
provided herein, or may take action that is at variance with the guidance, policies, and procedures,
on the basis of an analysis of specific extraordinary circumstances. The Agency also reserves the
right to change this guidance at any time without public notice. This guidance supersedes all
existing EPA Mission Assignment (MA) guidance. ,
This guidance includes an overview of the MA life-cycle, roles and responsibilities, aiid
requirements and procedures for managing MAs. It does not address the overall disaster response
effort. ' '
The procedures described herein will.be implemented corisistently and applied to MAs generated
by all program areas in EPA Headquarters and Regional .Offices. It is recognized that within
some Regional Offices the division of roles and responsibilities will vary.
The Agency formed a Mission Assignment Project Team for development of Agency policies and
procedures for the management of disaster response MAs issued by the Federal Emergency
Management Agency (FEMA) to EPA for Emergency Support Function (ESF) #10, "Hazardous
Materials", work. Along with the Office of Emergency and Remedial Response (OERR) and
Chemical Emergency Preparedness and Prevention Office (CEPPO), stakeholders represented on
the Team included the Regions, Financial Management Division, Grants Administration Division,
Office of General Counsel, and the Office of Radiation and Indoor Air. The requirements and
procedures developed also apply to situations when EPA receives taskings from other Federal.
agencies and cooperates with other Federal agencies.to assist with their ESF response operations.
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ACRONYMS
(HQ or R.O. - signifies EPA Headquarters or Regional Office location)
CEPPO Chemical Emergency Preparedness and Prevention'Office (HQ)
CERCLA Comprehensive Environmental Response, Compensation, and Liability Act
CFMC Cincinnati Financial Management Center (HQ)
CFR Code of Federal Regulations
DFC Disaster Finance Center (FEMA HQ)
EFA Emergency Funding Authorization
EPA U.S. Environmental Protection Agency
ERRS Emergency and Rapid Response Services
ESF Emergency Support Function
EST Emergency Support Team (HQ)
FAR Federal Acquisition Regulation
FEMA Federal Emergency Management Agency
FMD Financial Management Division (HQ)
FRP Federal Response Plan
GMO Grants Management Office (R.O.)
IAG Interagency Agreement
IFMS Integrated Financial Management System
MA Mission Assignment
MAID Mission Assignment Identification (Number) , '.. '
NCP National Contingency Plan (National Oil and Hazardous Substances Pollution
Continency Plan)
NSF National Strike Force (USCGHQ) ,
QERR Office of Emergency and Remedial Response (HQ)
OFA Other Federal Agency >'
OIG Office of Inspector General (HQ)
OMB Office of Management and Budget
OP A Oil Pollution Act
OP AC On-Line Payment and Collection (System)
POC Point of Contact (R.O.)
POLREP Pollution Report
REAC Response Engineering and Analytical Contract
SITREP Situation Report
START Superfund Technical and Response Team
n
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CHAPTER ONE - OVERVIEW
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Chapter 1 -
1. MISSION ASSIGNMENT DEFINITION
MISSION ASSIGNMENT - A Mission Assignment (MA) is a work order issued by the Federal
Emergency Management Agency (FEMA) to an Other Federal Agency (OF A) directing that
agency to complete a specific task in anticipation of, or response to, a Presidential declaration of a
major disaster or emergency under the Federal Response Plan (FRP). Through the MA, FEMA
may direct any OFA Emergency Support Function (ESF) to support State and local response
efforts. MAs are the mechanism for these directives and are given to an OFA to provide:
Direct Federal assistance to affected State and local jurisdictions;
Technical assistance to State and local jurisdictions; or
Logistical or technical support to FEMA or OF As. A Federal agency may receive
support taskings from OF As to assist them with their MA duties.
A MA may be issued to a Federal agency with or without reimbursement provisions. If the OFA
is to be reimbursed for the work performed, the MA documentation will contain a dollar amount
that is not to be exceeded without prior approval of the issuing official. MAs are rarely issued
without reimbursement provisions. MAs are issued in writing, or confirmed in writing as soon as
possible when made orally, and identify the broad statement of work to be performed by the OFA.
MA issuance documentation consists of: >
One MA Activation Letter to each activated OFA. The MA Activation Letter
includes language that activates the entire agency to receive and execute the MA.
Under each MA, taskings are issued to an OFA to perform a specific activity.
Each tasking includes an explicit description of assistance to be provided,
, completion date, and funding limitations (See Appendix 4).
One or more Request for Federal Assistance Form(s). The Request for Federal
Assistance (RFA) form is a standard form used to request assistance and document
every MA and tasking. Each RFA must be signed by a Federal Official (e.g.,
FEMA Regional Director or designee); in certain cases, the RFA must also be
signed by the affected State (See Appendix 4). This form is the official obligating
document for taskings by FEMA to OF As. RFA's may be initiated by a State
request for assistance, or by FEMA, OFA, or other entity.
In this guidance the term MA is understood to mean both the activation letter and the RFA(s).
Throughout this guidance, references to "MAs" encompass "taskings," as a tasking is merely one
specific activity under an MA.
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2.
PURPOSE
This guidance document has been prepared to assist EPA personnel in following disaster response
procedures and financial management activities relevant to MAs under the Robert T. Stafford
Disaster Relief and Emergency Assistance Act (Stafford Act) and the FRP. It will provide
assistance to those responsible for:
Management of MAs received directly from FEMA, or MA support taskings
received from OFAs;
. , Financial management throughout the disaster response; and,
Providing standardized cost documentation of disaster response. costs to EP As
Cincinnati Financial Management Center (CFMC) to support reimbursement bills
to FEMA or OFAs.
A disaster or emergency may overwhelm the capabilities of State and local governments - and
even those of the Federal government. Financial operations will be carried out under unusual
circumstances, tight schedules and intense political pressures, necessitating expeditious (non-
routine) procedures, but with no lessened requirement for sound financial management and
accountability. Timely administrative (i.e., financial and interagency agreement [LAG]
management) support of the response activities will be crucial to success in saving lives and
property. However,'it is mandatory that generally accepted Federal financial policies, principles,
and regulations be employed in order to ensure against fraud, waste and abuse and to achieve the
proper control and correct use of public funds.
3.
STATUTORY AUTHORITY FOR MISSION ASSIGNMENTS
. ^^ ,
MAs are issued by FEMA under the authority of the Robert T. Stafford Disaster Relief and
Emergency Assistance Act (Public Law 93-288, as amended) which provides authority for the
Federal government to respond to disasters and emergencies in order to provide assistance to save
lives and protect public health, safety, and property. FEMA may use Stafford Act funds to
reimburse EPA and OFAs for disaster response costs for activities carried out under a MA>
4, IMPLEMENTING AGREEMENT AND REGULATION
A. The Federal Response Plan
The Federal Response Plan (FRP) was developed under the authority of the
Stafford Act. It sets-forth the participating Federal agencies' agreements on how
the Stafford Act will be implemented to provide Federal assistance to a State and
its affected local goyernments impacted by a catastrophic or significant disaster or
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Chapter 1 -
emergency which results in a requirement for Federal response assistance. The
FRP is applicable to natural disasters such as earthquakes, hurricanes, typhoons,
tornadoes and volcanic eruptions; technological emergencies involving
radiological, oil or hazardous material releases; and other incidents requiring
Federal assistance under the Stafford Act. The FRP describes the basic
mechanisms and structures by which the Federal government will mobilize
resources and conduct activities to augment State and local response efforts. The
FRP is basically a multi-agency Memorandum of Understanding.
The FRP serves as the foundation for the further development of detailed Federal
agency Headquarters and Regional plans and procedures, such as this guidance, to
implement Federal response activities in a timely and efficient manner to support
State response activities.
The FRP is based on the fundamental assumption that a significant disaster or
emergency will overwhelm the capability of State and local governments to carry
out the extensive emergency operations necessary to save lives and protect
property. Consequently, resources and response responsibilities and capabilities of
Federal departments and agencies are grouped into ESFs to provide Federal
response assistance to the States. Departments and agencies have been assigned
primary (lead) and support agency responsibilities for each of these functions.
EPA is the primary agency for ESF #10, "Hazardous Materials." Hazardous
materials are defined to include oil and CERCLA hazardous substances,
pollutants, or contaminants. ESF #10 incorporates the organizational structure
and procedures for responses delineated in the National Contingency Plan.
B. The National Contingency Plan
The National Oil and Hazardous Substances Pollution Contingency Plan (NCP),
40 CFR Part 300, provides the organizational structure and procedures for
preparing for and responding to discharges of oil and releases of hazardous
substances, pollutants, and contaminants. It embodies a strongly coordinated,
multi-level national response strategy.
5. CONCEPT OF INTERAGENCY COOPERATION AND FUNDING
Under the Stafford Act, when a disaster triggers a Presidential Emergency or Disaster
Declaration, FEMA issues MAs to OF As tasking them to provide Federal assistance to States in
support of disaster response activities. Under the ESF group structure Federal agencies can
' receive support from - as well as give support to - other agencies during the disaster response.
During a disaster, EPA as lead agency for ESF #10, "Hazardous Materials", will provide support
to FEMA and may require support from other agencies to accomplish the disaster response
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fhaptfir 1 -
mission. These interagency, cooperative actions require the commitment and exchange of funds.
Most of these actions are initiated in EPA's Regional Offices.
However, EPA requires the use of lAG-s to transfer goods and services and related funds between
it and other federal agencies. MAs are a form of IAG under the FRP. During a disaster goods,
services and funds are transferred .between EPA and OF As with a MA, Emergency Funding
Authorization (EFA) form (See Appendix 5) or an IAG form (EPA Form 1610-1). The EFA is a
simpler version of EPA's IAG- form and should only be used for disaster response support
, taskings. The EFA is one page while the standard EPA IAG form is three pages. If the OFA
agrees, the EFA may also be used when EPA provides support. The Appendices describe
administrative requirements that must be considered when implementing disaster responses
utilizing a MA, EFA or IAG. All disaster response MAs, EFAs, and lAGs must be managed in a
' manner consistent with EPA's Interagency Agreement Policy and Procedures Compendium of
September 1988. Most of these activities bccur in EPA's Regional Offices.
6.
DELEGATIONS OF AUTHORITY
Current Agency delegation of authority requirements for I AGs still have to be met during disaster
responses since EFAs are essentially LAGs. The Regional Administrators (RAs) or their designees
- down to the Division Director level - are delegated under EPA Delegation #1-11, as EPA
Action Officials, authority to execute all LAGs or amendments which originate in Regional
Offices. In the future, if appropriate delegations of authority are in place, RAs could redelegate
their authority to the ESF #10 Regional Chair for execution of EEAs. In such cases the ESF #10
Regional Chair could sign an EFA or IAG twice: first as the ESF #10 Regional Chair, and second
as the Regional Action Official. The ESF #10 Regional Chair could in turn redelegate these two
authorities to a designee. These'redelegations may be permanent until rescinded or carry duration
or other limitations. That last Action Official designee may not be someone who is also serving as
an OSC responsible for that same ESF #10 disaster response. Also, if someone signs an EFA or
IAG as EPA Regional Office Action Official without having a delegation of authority, then the
EFA or IAG must be signed by someone delegated the authority and reissued immediately.
It should be noted that MAs issued by FEMA to EPA and OF As through the FRP are not "signed
and accepted" by EPA and OF As since the parties to the MA are already signatories to the FRP.
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CHAPTER TWO - ROLES AND RESPONSIBILITIES
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9 - T?alervngihi1itipg
1.
ROLES AND RESPONSIBILITIES
EPA Headquarters and Regional Offices/have; roles" and responsibilities during.both ESF #10-lead
and supporting non-ESF #10 lead disaster responses. Within some Regional Offices the division
of roles and responsibilities will vary. EPA Headquarters and representative Regional Office roles
and responsibilities follow:
A. Regional Program Office
The Regional Program Office (e.g., Emergency Response Branch) is required to:
« Implement ESF #10 functions at the Regional Operations Center and Disaster
Field Office and direct the assignment of EPA resources to disaster response.
- Coordinate with Federal, State and local agencies to identify, and establish the
response and support requirements.
Work with State and local agencies, FEMA or OF As to obtain an MA or tasking
(e.g., EFA) for initiating a disaster response action.
e Request the Regional Comptroller Office to obtain reimbursable authority from
HQ Budget Division.
Initiate the request for reimbursable account numbers from CFMC upon receipt of
a MA or tasking. ,
Initiate the request for reimbursable account number roll-over to bridge fiscal
: years.
Track all disaster response costs using the appropriate reimbursable account
number for each MA or tasking.
Initiate the request for IAG tracking number from Regiorial Grants Management
Office for all disaster response related MAs, lAGs or EFAs. .
, Inform FEMA or OF A, on a routine basis, of response progress. ,
. Assemble bills and supporting cost documentation packages on each disaster
according to MA or tasking and send to the CFMC.
Request accounting information and corrections from Regional Finance Office.
Maintain complete Disaster Case File (MA, EFA, log books, pictures, supporting
records, etc.) of a disaster response.
Request CFMC close-out MA. j ;
B. Regional Comptroller Office (Financial Management or Budget Office)
v The Regional Comptroller Office provides support to the Regional Program Office by:
,» Requesting reimbursable authority from HQ Budget Division.
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ChaptPir 7 -
and
Maintaining financial records and providing copies of time sheets, travel
authorizations, travel vouchers and receipts upon request of Regional program
office for inclusion in cost documentation packages and reports.
Providing financial reports upon request of Regional program office for inclusion
in cost documentation packages and reports.
Reconciling MA costs to EPA's Integrated Financial Management System
(IFMS).
Making accounting adjustments in IFMS as necessary to support the billing for
reimbursement.
C. Regional Grants Management Office (GMO)
The Regional Grants Management Office provides support to the Regional Program
Office by:
Assigning IAG tracking numbers to disaster response related MAs, JAGs, or
EFAs.
Performing expedited legal and administrative reviews of disaster response MAs
lAGs, orEFAs.
Tracking MAs, LAGs or EFAs in the Grants Information Control System (GIGS).
Distributing MAs, lAGs or EFAs to appropriate Regional Office components and
OFAs.
D. Office of Solid Waste and Emergency Response, Chemical Emergency
Preparedness and Prevention Office (CEPPO)
CEPPO will: ,
Coordinate and participate with FEMA HQ on national FRP issues and EPA HQ
MAs (i.e., Lead Emergency Support Team ESF #10 representative).
Serve as National ESF #10 Chair (CEPPO Director).
Serve as. National ESF #10 Lead Planner (Deputy Emergency Coordinator).
Approve guidance and policy relating to disaster response activities.
Office of Solid Waste and Emergency Response, Office of Emergency and
Remedial Response (OERR)
E.
OERR will:
Provide information management and response program coordination to support
Regional implementation of ESF #10.
Provide technical support to EPA Regional emergency response personnel.
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f.haptpr 7 - T?nlf>g and
Provide review of guidance and policy relating to disaster response activities for
consistency with emergency response program guidance and policies.
Lead and/or participate on specific FRP and EPA workgroups.
Staff FEMA Emergency Support Team (EST) as appropriate:
F. ' Office of the Comptroller, Cincinnati Financial Management Center
, (CFMC) ' .' ... , .*.-' - ; .-'
The Cincinnati Financial Management Center will: . ' .
Issue MA-specific reimbursable account numbers.
When requested by a Regional program office, insure that reimbursable account
number is rolled over to bridge fiscal years.
Perform reconciliations on bills and supporting cost documentation packages and
ensure proper cost documentation is provided to FEMA or OFA for
reimbursement. ' s
Request changes and corrections to cost documentation packages .
Initiate and process reimbursement from FEMA or OFA via U.S. Treasury's On-
line Payment and Collection System (OPAC).
Retain final cost documentation package used for billing and reimbursement, with
supporting documentation of reconciliations and corrections.
Provide information to Regional and HQ personnel on disaster response and MA '
financial management status and close-out. .',.
Review and comment on disaster response financial policies and procedures.
G. Office of the Comptroller, Budget Division (BD)
The Budget Division will:
Request reimbursable authority for disaster response from Office of Management
and Budget (OMB) on an annual basis and insure that sufficient authority is
available. ' .
Issue reimbursable authority in Regional operating plans upon receipt of a MA
from the Regional Office. v
Reissue Regional reimbursable authority to bridge fiscal years when appropriate.
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CHAPTER THREE - ESF #10-LEAD DISASTER RESPONSE AS A PRIMARY
- . - ' AGENCY '
10
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f!haptf»r 1 - "RSF tf10-T.<»aH Disaster
as a Primary Agpnr.y
1.
MISSION ASSIGNMENT LIFE-CYCLE
The following MA life-cycle phases and procedures are structured with the objective of .providing
timely funding and billing, and complete supporting cost documentation. If experience indicates a
need for change, the procedures will be modified to meet the Federal response objectives. The.
procedures apply to MAs funding ESF #10-}ead Stafford Act disaster responses. Procedures for
non-ESF #10-lead responses(i.e., when EPA supports other ESFs) will differ slightly (See
Chapter 4):
Pre-Response Costs. FEMA may issue a MA or authorize pre-deployment activities .prior to
issuance of a response MA. EPA may then incur pre-disaster response costs. In such cases, EPA
will certify to FEMA that those pre-response costs are necessary and appropriate to the disaster
response and in the government's best-interests. Pre-disaster costs are only for planning and pre-
positioning resources and must be charged to the appropriate MA-specific EPA reimbursable
account number. If EPA performs pre-response activities under its own authorities (e.g.,
CERCLA, OP A) EPA should seek reimbursement from FEMA through the billing process using
supporting cost documentation. If the bill is disputed CFMC may have to send the bill to the
FEMA Chief Financial Officer for resolution (See "Resolution of Reimbursement Disputes,"
Financial Management Annex, FRP).
Headquarters Response Coordination Costs. The initial MA issued by FEMA is for staffing the
FRP response coordination structure [HQ EST, Regional Operations Center, Emergency
Response Team, etc.]. Since both HQ and Regional activities are issued on one MA, HQ is
authorized to charge actual costs to cover staffing of the EST and Emergency Operations Center
(EOC) costs. CEMC will issue the reimbursable account number to the Region, and HQ will
charge against that account number after consulting with the Region.
A. Origination Phase
1. v . The FEMA Regional Office in cooperation with an EPA Regional Office and the
State, will develop the MA's cost estimate, budget, scope of work and special
condition information. The FEMA MA identification (MAID) number will link
the FEMA and EPA records and tracking systems. However, EPA will assign its
own IAG tracking number and reimbursable account number to the MA.
2. FEMA wiirprepare the MA and forward it to the EPA ESF #1.0 Regional Chair or
.' designee. .
,3. The ESF #10 Regional Chair or designee will send copies to the Regional Office
of the Comptroller (OC) and request reimbursable authority; the CFMC and
request a reimbursable account number; and to the Regional Grants Management
Office (GMO) and request an LAG tracking number and an expedited legal and
- : '.'.' " 11
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Chapter "3 - FSF #1 0-T .Piad Disantftr
as a Primar Ao^nr
administrative review. Copies are also sent to CEPPO and to the appropriate
OERR Regional Center.
4. CFMC will issue a MA-specific reimbursable account number to the Region for
each MA received.
5. GMO will assign an IAG tracking number and perform an expedited legal and
administrative review. Because of the need to avoid disaster response delays, this
step should occur within one workday or less; or it may take place after the
response has begun. The IAG number will permit the GMO to track each MA in
GIGS.
B.
Execution Phase
1. Initial Report
Within 24 hours following initiation of a MA, the EPA ESF #10 Regional Chair will
provide FEMA with information on the disaster and with a cost estimate for both pre-
disaster and response activities.
2. Disaster Case File
The EPA ESF #10 Regional Chair will maintain the region's disaster case file. For each
EPA disaster response the case file contains documentation of all EPA resources used and
financial transactions associated with the disaster and taskings of OF As for ESF #10
support. ,
3. Reimbursable Expenditures
As the disaster response occurs, EPA will charge eligible costs to the MA-specific
reimbursable account number. Those costs will be billed to FEMA.
4. Prior Notification of Costs/MA Amendments
The EPA ESF #10 Regional Chair should notify FEMA before EPA incurs-costs in excess
of 80% of the total budget amount for any MA in anticipation of a need for additional
funds. In such cases, FEMA and EPA will negotiate the need for an amendment to the
MA for increased funding.
5. Equipment
Equipment may be purchased as part of an ESF #10 response. In such cases the following
procedures should be followed:
A.
Purchase of equipment costing over $5,000 per item or of a "sensitive" nature to
support a response will be recorded separately in EPA's property management
system and the cost documentation records placed in the case file. Sensitive items
12
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3 - F.SIF &1 CUT .fiaH Disaster
as a Primar
ry g
-,-
include microcomputers, pagers, cellular phones, TVS, microwaves and other
appliances. ,
B. Replacement of items in the National Strike Force (NSF) inventory will be subject
to the NSF CERCLA inventory controls.
C. Replacement of EPA equipment or assets is an Agency reimbursement and should
not be accounted for as FEMA property. Replacement equipment should still be
recorded in EPA' s property management system.
D. All equipment purchase records and the equipment inventory, will be available for
audit.
6. Billing ' .. , ' . '
EPA may bill FEMA on a monthly basis as disaster response work progresses. The
Regional OC will reconcile and adjust MA costs to IFMS. The ESF #10 Regional Chair
or designee will submit the bill and supporting financial reports from IFMS to the CFMC
, (See Chapter 5). Within 10 days of receipt of each bill from the Region, CFMC will
review and submit the bill to:
Disaster Finance Center
ATTENTION: Mission Assignments
Federal Emergency Management Agency
. P.O. Box 800 ,
Berryville, VA22611 .
' "'""' A '..'-''
Each bill should be on FEMA' s "Mission Assignment Reimbursement Request" form (See
Appendix 6) and include: 1 ) the FEMA assigned MAID number of the MA providing the
funding, and 2) a financial report showing a MA-specific breakdown of charges by object
class. CFMC will forward the bill to FEMA for review, approval and payment. If
requested, CFMC will provide the ESF #10 Regional Chair and FEMA additional cost
documentation supporting the costs on the bill.
7. FEMA Review ^ .'.'....''-.'.'- ,
FEMA will review the billing package and will approve the payment.or, if questions arise,
contact CFMC for clarification. FEMA will not pay inadequately supported bills, or in the
case of the On Line Payment and Collections (OP AC) system if supporting documentation
is not received within 22 days of the OP AC transaction FEMA will charge, back the
amount. FEMA may request a cost documentation package to verify costs claimed. A
sample format of a cost documentation package is included as Appendix 7. .
13
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Chapter "3 - F.SF #1 0-T .sad
as a Primar
c.
Close-Out
1. Final Bill to FEMA
Within 30 days following the disaster response completion date (i.e., 30 days after EPA
receives last contractor invoice or OFA bill) the ESF #10 Regional Chair will submit the
final bill to CFMC and request close-out. CFMC will then review and submit the final bill
to FEMA. ^
*
2. Extension of Close-out Period
If after one year from the date of disaster declaration the Region needs additional time to
complete the remaining work, the ESF #10 Regional Chair will need to negotiate for more
time hi consultation with CFMC and DFC, FEMA.
3. Reimbursement
Upon receipt of EPA's final bill for a disaster, FEMA will initiate final reimbursement to
EPA and close-out the MA.
4. Property Disposition
EPA will consult with FEMA prior to disposition of property costing over $5,000 per
item or of a "sensitive" nature acquired under the MA to assure that the disposition
method properly reflects Federal policies.
5. CFMC
During the final MA close-out phase, CFMC performs the following:
A. Verifies that CFMC has billed FEMA and received final payment.
B. Records receipt of reimbursement in the CFMC MA Tracldng Report and IFMS.
C. Notifies ESF #10 Regional Chair and GMO that final payment was received and
MA closed out, with copies to CEPPO and the appropriate OERR Regional
Center.
\_
2. REPORTING REQUIREMENTS
A Disaster Reports
The EPA ESF #10 Regional Chair should provide disaster reports to FEMA as
requested, on the overall disaster response progress and cost information. The
report may be provided initially on a daily basis, eventually down to weekly as
appropriate to the disaster response. The reports may take the form of POLREPs
orSITREPs.
14
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- T?.SF tfl fl-T .earl Disaster T?pgnr>ngR as a Primary Agpnry
After completion of each disaster response, the EPA may hold a disaster response
follow-up meeting, if appropriate, to capture significant lessons learned. The ESF
#10 Regional Chair should forward a final report on the EPA follow-up meeting
, to FEMA for inclusion in FEMA's disaster case file.
B. Quarterly and End of Fiscal Year Response Progress Reports
Each EPA ESF #10 Regional Chair will submit quarterly MA summary response
progress reports to FEMA showing obligations by each MA, balance remaining,
and summary of activities. Reports will be cumulative by MA and the fourth
quarterly report of the year will be the final report for the fiscal year and should
include a list of funded disasters showing open/closed status and whether further
expenditures will occur. Copies will be sent to CFMC, CEPPO and the
appropriate OERR Regional Center.
C. . - Mission Assignment- Specific Cost Report
A detailed MA-specific financialjeport 'for each MA will be provided by the ESF
#10 Regional Chair to FEMA with each quarterly report. Each MA-specific
financial report will detail costs by the elements which constitute the budget
categories appearing on FEMA's "Mission Assignment Reimbursement Request"
form (See Appendix 6) and all items of equipment purchased costing over $5,000
or of a "sensitive" nature. Sensitive items include microcomputers, pagers,
cellular phones, TVS, microwaves and other appliances. ','.-.
D. CFMC MA Tracking Report , ,
a. Documentation.
The CFMC MA Tracking Report provides a synopsis of all MAs and taskings
(i.e., EFAs) for a given disaster. It is a standard report format which includes the
disaster number, other agency, date assigned, and funding limitations per tasking,
per mission assignment, per agency, and per disaster.
b. Applicability. ,
The MA Tracking Report is the running tally sheet and the "checkbook" for all
MAs and taskings for the disaster response:
E. CFMC Fiscal Year Financial Status Report ;
CFMC will submit to FEMA, within 60 days after the fiscal year ends, the fiscal
year MA financial status report. That report will serve as an annual report to
FEMA and include:
1 , A list of MAs funded, showing the FEMA MAID number and total cost
incurred for each disaster.
15
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Chapter 3 - F.SF #1 0-T .ftari Disaster
as a Primar Apnr
2. A summary of each MAs expenditures by budget object class and the
balance of funds remaining. .
3. FINANCIAL MANAGEMENT OF MISSION ASSIGNMENTS
This section elaborates on elements introduced in "MA Life-Cycle."
During an ESF #10 activation EPA will receive MAs from FEMA. EPA will usually utilize
contractors and OF As to implement the MAs. EPA requires the use of an authorized Agency
agreement to transfer goods and services and related funds between EPA and OF As. During
disasters EPA will task OF As for goods and services with an IAG or an Emergency Funding
Authorization (EFA) form (See Appendix 5). Also, EPA will strive to receive or disburse funds
in a timely manner. EPA will seek reimbursement from FEMA. When EPA requests ,
reimbursement from FEMA, EPA will do so in a timely manner. EPA will make every effort to
charge appropriate disaster response costs to the Agency reimbursable account number provided
for each MA.
A. Types of Costs
As with EPA's emergency response costs under CERCLA and OP A, EPA will incur both
extramural and intramural costs during disaster responses.
1. Extramural Costs
These include:
a) all support and cleanup contractor costs, including but not limited to START,
REAC, and ERRS; and '
b) response costs for OFA support if funded through an IAG or EFA. Examples
of OF A costs include: U.S. Coast Guard Strike Team; U.S. Navy Supervisor of
Salvage; and General Services Administration, Department of Health and Human
Services and U. S. Army Corps of Engineers support activities.
2. Intramural Costs
These include total EPA direct and indirect costs. Eligible direct costs for EPA
include: EPA salary costs for temporary personnel assigned to work directly on
MA tasks, overtime and travel for all employees, equipment usage and
miscellaneous supplies. Indirect costs are those costs that are necessary to
support the disaster response efforts, but may not be directly attributable to the
efforts for any one disaster. In general, indirect costs are estimated using an
16
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- "RSF
-T
Digasfp-.f
as a Primary Ao^nry
established indirect cost rate multiplier. However, since no indirect cost rate has
been established yet for disaster responses, Regions should not include any
indirect costs until an indirect rate has been determined by EPA Headquarters.
B. Obtaining Mission Assignment-Specific EPA Reimbursable Account
Numbers
After obtaining an MA, the ESF #10 Regional Chair or designee must contact both the
Regional Comptroller Office to obtain reimbursable authority from the HQ Budget
Division (HQ BD), and the CFMC to obtain a MA-specific EPA reimbursable account
number. CFMC will issue a reimbursable account number for each MA under a disaster.
All costs associated with'each MA must be tracked separately and documented properly.
The appropriate EPA MA-specific account number is used on all funding documents .
(e.g., EFAs, lAGs, Procurement Requests, Delivery Orders, Technical Direction
Documents, etc.) and on travel authorizations and time sheets, etc. This procedure will,
permit EPA to track costs by each MA linked to each disaster.
If the disaster response activities cross over from one fiscal year to the necxt, at the ESF
#10 Regional Chair's request, CFMC will insure that the reimbursable account number is
rolled over to bridge both fiscal years after reimbursable authority has been issued by the
HQ BD for the new fiscal year. That way the region can continue to make charges to the
reimbursable account number without interruption. , ,
C. Bills and Supporting Cost Documentation
Regional program offices must submit bills and supporting financial reports of disaster
response costs to CFMC (See Chapter 5). Each billing package should be forwarded to:
' . USEPA -, -' : ..'"''
Cincinnati Financial Management Center _ /.-'
' Cincinnati, Ohio 45268. [ '
: Phone:(513)366-2080
CFMC will reconcile the billing package for final costs and either forward the package to
FEMA for reimbursement or return the package to the Region for corrections. The billing
package should include financial reports detailing all eligible costs by object class and may
include a cost summary (See Appendix 7, page 1). The bill and supporting financial
reports should classify costs by object class category. The region will maintain supporting
documentation: copies of all time sheets, travel authorizations, travel vouchers and
receipts, contractor invoices, contractor (e.g., START) cost letter reports, and any other
supporting documentation for charges related to the response which have been charged to
.-' " , .17 . . ' . ' . '
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Chapter "3 - FSF #10-7 .paH DigagtPrRpqpnngft ag a Primary/ A ratif
the reimbursable account number. FEMA may request a Cost Documentation Package to
verify costs claimed. A sample format of a Cost Documentation Package is included as
Appendix?.
4. TASKING SUPPORT FROM OTHER FEDERAL AGENCIES
Within two hours of notification the national-level ESF #10 is operational. Then thfe ESF #10
National Chair will notify support agencies of activation. Support agencies are those Federal
departments or agencies designated to assist the primary (lead) agency with available resources,
capabilities, or expertise in support of ESF response operations. Each support agency will
provide representatives to support both the national and Regional ESF. Each of the Federal
support agencies has duties established by statute, executive order, or Presidential directive which
may be relevant to Federal response actions following a release of a hazardous material. During
the planning or implementation of a response, the support agencies should be prepared to provide
assistance in their respective areas of expertise-. The assistance provided by each agency is
consistent with its capability and legal authority.
A tasking is a directive issued by EPA to an OFA to obtain specific support under an MA. The
tasking will include an explicit description of assistance to be provided, completion date, and
funding limitations. The authority for EPA to task and reimburse an OFA will typically be under
the Economy Act and the Stafford Act. NOTE: Throughout this guidance, references to "MAs"
encompass "taskings," as a tasking is merely one specific activity under an MA. Tasking
preparation should consider: .
a. Documentation.
Taskings are in writing, or confirmed in writing as soon as is possible when made orally
and are documented on an EFA (See Appendix 5).
b. Applicability.
Taskings are issued to establish a specific requirement for an activity to be performed by
an OFA to support an ESF #10 response under ari MA.
c. Tasking Language.
Tasking language must be as specific as possible to protect the interests of both agencies
signatory to the tasking 'EFA.
Examples of taskings are:
1) Task US Coast Guard (USCG) to provide river assessment support (e.g., boats,
personnel)
2) Task US Army Corps of Engineers (USAGE) for heavy equipment and operators
to build a dam around a lagoon. '
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Chapter ^ - FSF #10-1
as a Primary Agftnry
5. UTILIZATION OF RESOURCES FROM OTHER REGIONS OR
HEADQUARTERS
If an EPA Region' s disaster response requires the use of resources from more than one Regional
Office or Headquarters, the ESF #10 Regional Chair is responsible for coordinating those
response resources and collecting all cost records, consolidating and verifying them; and sending
the consolidated bill to CFMC for submission to FEMA. Usually, FEMA Regional Offices issue
individual MAs to the corresponding EPA Regional Offices.
If after consultations are held, other Regional Offices and/or Headquarters wish to charge a
region's reimbursable account number, they must contact that region to obtain the number and
inform the ESF #10 Regional Chair of the type and amount of charges. Within 15 days following
disaster response completion date (i.e., 30 days after EPA receives last contractor invoice or OFA
bill) the other regions and/or Headquarters personnel must send that region all appropriate cost
documentation supporting those charges or negotiate for additional time. (
6.
DETAILING OF PERSONNEL
Before EPA personnel can be detailed under a MA for a period of more than 30 days, a Request
for Personnel Action (SF52) and a Notice of Personnel Action (SF50) must be prepared and
approved. The case file, and all MA bills and supporting cost documentation packages involving
personnel details must contain an SF52 and SF50 ,
Details to OF As must be made on a reimbursable basis, unless the requesting program office can
justify that the detail meets the following criteria:
1) The employee will be performing .functions that are EPA-related and his/her
services will aid in accomplishing the purpose for which the EPA appropriation
was established; or
2) The detail will have a negligible fiscal impact on EP A's appropriation. .
Questions concerning personnel details, or assignments, between:EPA offices or between EPA
and OFA's should be directed to the servicing personnel office.
19
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CHAPTER FOUR - NON-ESF #10-LEAD DISASTER RESPONSE AS A SUPPORT
' ' .AGENCY
20
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ftr 4. - "Mnn-RSF
Disaster
as a Support Acrpnr.y
1. FINANCIAL MANAGEMENT OF TASKINGS FROM OTHER FEDERAL
AGENCIES -..- , , ... -
This section elaborates on elements introduced in "MA Life-Cycle" (See Chapter 3). During a
non-ESF #10 activation, EPA may receive taskings from OF As to support non-ESF #10 lead
disaster responses. EPA requires the use of an executed EPA/OF A agreement authorizing the
transfer of support goods and services from EPA to OF As. During disasters EPA will provide
support goods and services to an OFA using an LAG or, if the OFA agrees, EPA may use an
Emergency Funding Authorization (EFA) form (See Appendix 5). EPA will make every effort to
seek reimbursement from the OFA. When EPA does request reimbursement from the OFA, EPA
will do so in a timely manner. -
The OFA will initiate the tasking after coordinating with the EPA ESF #10 Regional Chair. EPA ,
must get the OFA's funding document with accounting information, and complete either an EPA
IAG or EFA form and attach it to the OFA's documentation. The ESF #10 Regional Chair or
designee must contact both the Regional Comptroller Office to obtain reimbursable authority from
the HQ BD and the CFMC to obtain the EPA reimbursable account number. The ESF #10
Regional Chair must then complete, sign, and submit the tasking package to the Regional Action
Official for signature and then forward it to the GMO. The GMO will assign an LAG tracking
number, and perform an expedited legal and administrative review. Because of the need to. avoid
disaster response delays, this GMO step should occur within one workday or less - or may take
place after the response has begun.
A. Types of Costs
As with ESF-#1 0-lead response costs, EPA will incur both extramural and intramural
costs when providing disaster response support to non-ESF #10 activities.
1.
Extramural Costs
These include: '
a) all support and cleanup contractor costs, including but not limited to START, RE AC,
and ERRS; and
b) response costs for OFA support funded through an IAG or EFA.
2. Intramural Costs . '
These include total EPA direct and indirect costs. Eligible direct costs for EPA include
appropriate EPA salary costs for work directly associated with providing suppqrt to
OF As, overtime, travel, and equipment usage. Indirect costs are those costs that are
21
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- Nnn-F.SF #10-T,parl Disagtpr Rf>gpnngp ag a Support Agpnry
necessary to support disaster response efforts, but may not be directly attributable to the
efforts for any one disaster. In general, indirect costs are estimated using an established
indirect cost rate multiplier. However, since no indirect cost rate has been established yet
for disaster responses, Regions should not charge any indirect costs until an indirect rate
has been determined by EPA Headquarters.
B. Obtaining Mission Assignment-Specific EPA Reimbursable Account
Numbers
The ESF #10 Regional Chair must contact the CFMC to obtain a MA-specific EPA
reimbursable account number and to insure that reimbursable authority has been issued.
CFMC will issue a reimbursable sub-account number for each tasking under the disaster.
All costs associated with each disaster response must be tracked MA-specifically and
documented properly. The appropriate EPA MA-specific account number is used on all
extramural funding documents (e.g., EFAs, lAGs, Procurement Requests, Delivery
Orders, Technical Direction Documents, etc.) and on travel authorizations and time
sheets, etc. This procedure will permit EPA to track costs by each disaster and by each
support tasking linked to each disaster.
C. Bills and Supporting Cost Documentation
Regional program offices must prepare, reconcile and submit bills and supporting financial
reports of disaster response costs to CFMC (See Chapter 5). Each billing package should
be forwarded to: - ' / -
USEPA
Cincinnati Financial Management Center
Cincinnati, Ohio 45268.
Phone:(513)366-2080
CFMC will reconcile the billing package for final costs and either forward the package to
the OFA for reimbursement or return the package to the Region for corrections The
billing package should include financial reports detailing all eligible costs by object class
and may include a cost summary (See Appendix 7, page 1). The bill and supporting
financial reports should classify costs by object class category. The region will maintain
supporting documentation: copies of all time sheets, travel authorizations, travel vouchers
and receipts, contractor invoices, TAT/START cost letter reports, and any other
supporting documentation for charges related to the response which have been charged to
the reimbursable account number. The OFA may request a Cost Documentation Package
to verify, costs claimed. A sample format of a Cost Documentation Package is included
as Appendix 7.
22'
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CHAPTER FIVE - COST DOCUMENTATION SUPPORTING BELLS TO FEMA OR
'/ . ' OFAs , - -' - .
.23-
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S - P.ogt DnniTnentatinn Snppnrting-'RiHg tr> FRA/f A nr OFAg
1. COST DOCUMENTATION SUPPORTING BILLS TO FEMA OR OFAs
The ESF #10 Regional Chair is responsible for assuring the preparation and submission of bills- to
CFMC and the maintenance of cost documentation supporting disaster response costs. Each bill
package should be forwarded to: ' .
- ' USEPA -. , , '
Cincinnati Financial Management Center
' Cincinnati, Ohio 45268 . ' ' "
Phone: (5 13-) 366-2080 - ; v'
CFMC will reconcile the bill for final costs and either forward the bill to FEMA or an OF A for
reimbursement or consult with the Region for additional information. Also^ FEMA or an OFA
may request a supporting cost documentation package in order to verify billed costs.
* : ' ' " ' . '
Each billing package and the attached financial reports should classify costs by object class
category and be supported by cost documentation maintained in the Regional Office. The . .
supporting cost documentation should include copies of all time sheets, travel authorizations,
travel vouchers and receipts, contractor invoices, contractor cost reports defining the disaster
response costs, and any other supporting documentation for charges related to the response which
have been charged to the reimbursable account number. A sample format of a cost
documentation package prepared in response to a FEMA request is included as Appendix 7.
The ESF #10 Regional Chair is responsible for creation and maintenance of each MA case file.
The case file should contain copies of all" bills and supporting cost documentation (See Appendix
2). . ; - . : -. , . -. -; _ . , ..;
A. Cost Documentation Package Contents
If FEMA requests a cost documentation package to support a bill, it should contain the
following: ;
Summary Statement of Cost Documentation.
The statement should briefly summarize the information included in the cost
documentation package. This statement should be signed by the ESF #10 Regional Chair
and should certify all disaster costs and provide line item costs for each major cost
category (e.g., salary, travel, contractor expenses, etc:). The statement should also
provide any explanations necessary and appropriate to explain cost elements or issues that
may require clarification such as pre-deployment costs. As appropriate, the following
attachments will support each major object class cost category:
24
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S - fogt DnriiTngntatinn Supporting T*il1g tr. FFTUA nr
EPA Personnel Costs.
This should include a summary of Regional and Headquarters personnel costs identifying
the employees' names, hours directly associated with the disaster response, appropriate
subtotals, and an overall total indicating reimbursable costs. Copies of the time sheets for
all employees participating in the disaster response should also be included. These time
sheets must include the MA-specific account number(s), disaster name, and all regular and
overtime hours applicable to the disaster. Finally, this section should also include a
detailed payroll report for each pay period for all hours applicable to the disaster. These
payroll reports may be obtained from the Regional Financial Management Office. To
obtain a sample of a standard payroll report,' please contact CFMC at 513-366-2080.
(NOTE: Time sheets and payroll reports must be redacted to remove data protected by
the Privacy Act, such as social security numbers.)
EPA Personnel Travel Costs.
Include a summary which indicates employee name, travel authorization (TA) number,
dates of travel, employee amount subtotal, and overall disaster total. Documentation must
include copies of each TA and liquidated travel vouchers with receipts for MA-specific
travel. (NOTE: TAs and receipts must be redacted to remove data protected by the
Privacy Act, such as social security numbers.)
EPA Contractor Costs.
Provide a cover sheet detailing disaster name, the applicable tasking document number(s),
date(s) of contractor work performance, labor costs, travel costs, other direct contractor
costs, total direct and indirect contractor costs, total contractor hours, number of
contractor personnel supporting the tasking documents(s), and a brief description of the
contractor activity performed under the tasking document(s). This should also include
copies of each tasking document and any amendments for contractor-related response
activity. Finally, the ESF #10 Regional Chair or designee should provide copies of all
contractor billing statements which enumerate the final cumulative legitimate direct and
indirect costs by applicable tasking document number with the applicable line item
underlined. (NOTE: If the cumulative cost totals for any tasking document numbers listed
on the billing statement are not the final costs, the contractor cover sheet must clearly
state this with an estimate of anticipated additional costs and the date expected to be
provided to the Region.) If there are any adjustments to the actual contractor payment, the
cover sheet must state the tasking document number and actual amount paid. Generally,
contractor cost reports will fulfill these requirements.
25
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- Cost Dnnimpntatinn Supporting Rills th FP.TVf A nr OFAg
Other EPA Costs.
These costs might include use of EPA vehicles and other government-owned equipment.
Documentation for these costs should include a description of the item, unit of use
(i.e., per hour or day, etc.), applicable depreciation and expense rates (i.e. a pro-rata share
of the cost for the useful life of the item chargeable on a unit basis to the MA), and -the
total charge. Government-owned equipment utilization should be recorded on a daily
basis. '..'.- ''.
Other Federal Agency Costs.
Each Federal agency supporting an ESF #10-lead disaster response under the direction of
an EPA Region should document costs in accordance with the requirements specified in
the applicable EPA/OFA agreement. Where an EPA/OFA IAG or EF A is utilized, the
EPA will reimburse the other agency 'and FEMA will reimburse EPA. Support agency
cost documentation reporting is necessary to enable EPA to support the OFA costs
included in the EPA bill to FEMA for a given disaster response.
26
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APPENDICES
APPENDIX 1.
APPENDIX 2.
APPENDIX 3.
APPENDIX 4.
APPENDIX 5.
APPENDIX 6.
APPENDIX?.
ADMINISTRATIVE LINKAGES
A. Audits
B. Federal Acquisition Regulation ,
C. Quality Assurance -.--'(
D. - Suspension and Debarment
RECORD KEEPING
A. Records Management
B. Financial, and Programmatic Records
STATUTORY AUTHORITIES ,
A. . Government-wide Statutory Authorities
B. EPA Independent Program Statutory Authorities (Alternative IAG
Authorities)
ACTIVATION LETTER AND REQUEST FOR FEDERAL
ASSISTANCE (DRAFT)
Form
Instructions
j
EMERGENCY FUNDING AUTHORIZATION (DRAFT)
Form ''.'.., .
Instructions
MISSION ASSIGNMENT REIMBURSEMENT REQUEST (DRAFT)
Form .'.
Instructions
SAMPLE COST .DOCUMENTATION PACKAGE FORMAT
27
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APPENDIX 1. ADMINISTRATIVE LINKAGES
The purpose of this appendix is to present information about various-existing Agency
administrative systems which exert control and/or oversight over certain aspects of the MA life-
" cycle. .'.-'.."..'..: -. ' ' :
A. Audits
The EPA Office of Inspector General (OIG) considers EPA/other agency agreements (i.e., MAs,
EFAs, or IAGs) in the same vein as contracts - that is to say, as instruments the Agency can use
to transfer funds to obtain or provide^ support goods or services. Those agreements should be
planned for and managed in the same'manner as any other extramural agreement The ESF #10
Regional Chair or designee has the responsibility to monitor performance to assure compliance
with the terms and intent of the agreement, just as they would in case of a contract.
The EPA OIG conducts periodic internal audits of EPA's management of EPA/other agency
agreements as part of its overall responsibility. There exists no requirement in either EPA's own
guidelines or the Federal government in general, singling out those agreements for special auditing
attention. Any questions concerning audits may be directed to the OIG.
Audit of ESF #10 Response Support Agreements
The OIG is the proper element of EPA to formally request .the OIG of the OFA to audit support
.cost charges made to the EPA. The ESF #10 Regional Chair may ask the EPA OIG to request
the OF A. OIG for an audit of that OFA's costs for support of ESF #10 responses. In order for
EPA to reimburse the other agency, any cost charged to an agreement must be adequately
supported and documented in the books of account of the agency or department providing the
service. If, based on an audit by the OFA OIG, the OFA determines that any direct or indirect
costs charged to EPA are unallowable, the OFA will immediately notify the EPA and promptly
reimburse EPA.,
Audit of EPA Support to Non-ESF #10 Responses
An OFA OIG may ask the EPA OIG to audit EPA costs for support of npn-ESF #10 responses.
EPA cost records will be available for audit or verification upon request of the EPA OIG. If,
based on an audit by the EPA OIG, the EPA determines that any direct or indirect costs charged
to the OFA are unallowable, the EPA will immediately notify the OFA and promptly reimburse it.
B. Federal Acquisition Regulation (FAR)
Although interagency acquisition under the Economy Act is the only specific subject addressed in
the FAR relating directly to the interagency agreement process,- there are many more sections
which have potential bearing on contracts for support of disaster response. Consequently, when
contracting is used as a method of supporting a response, program personnel should refer to FAR
for guidance under each topic of concern, and ensure that all terms of a contract funded through
-. , /. /
' '' ' - 28 - ..' '-'.' ' ' ' .-
-------
an MA, EFA or IAG are acceptable to both parties. Questions on the policies provided by FAR
on acquisition should be directed to the Regional GMO, the Grants Administration Division
(GAD) HQ, or the contracting officer servicing the program office as early in the disaster
response process as possible. EPA can utilize its contractors to assist with EPA support of non-
ESF #10 responses if EPA's goods and services need to be supplemented.
C. Quality Assurance
The'EPA will comply with its internal Quality Assurance (QA)/chain of custody policies and
procedures in responding to releases of hazardous materials^,1 pollutants and contaminants (e.g.,
EPA Order 5360.1, "Requirements for the Mandatory Quality Assurance Program"). These
policies and procedures address the conduct of operations; personnel protection associated with
operations; decision making; identification and disposal of recovered hazardous materials,
pollutants, and contaminants; and supporting documentation. The same QA requirements apply
to support agencies' contractors, OF As and States whenever environmentally related sampling or
monitoring for EPA occurs. Note: EPA's START, REAC, ERGS and ERRS contracts all have
QA provisions.
The EPA utilizes its laboratories as well as commercial laboratories to identify substances
involved in pollution incidents. To assure that the information obtained from these laboratories is
reliable, the EPA will utilize all available information, including EPA performance data, to
evaluate candidate laboratories.
The EPA will assure that the quality of physical, chemical, and biological data developed in the
assessment and operational phases of a response is addressed per the NCP and will be addressed
as needed in response contracts. However, not all disaster sampling and analysis activities may be
covered under the NCP. The EPA QA Order does cover all environmental data collection
activities, including extramural agreements (e.g., contracts and assistance agreements). There
should be some coordination between the disaster response field teams and the Regional QA
Manager responsible for the activity. EPA will include QA clause(s), or other language suitable
for use in contractual statements of work and in EPA/other agency agreements (e.g., EFAs or
lAGs).
D. Suspension and Debarment
The ESF #10 Regional Chair must be sensitive to assistance and procurement issues that may
have relevance to EFAs, LAGs and MAs such as suspension and debarment. The ESF #10
Regional Chair should not award agreements to an individual, firm or organization which has been
declared ineligible to participate in a Federally funded activity. Questions concerning this subject
should be directed to the Office of Grants and Debarment, EPA HQ[(202) 564-5387]. The
General Services Administration, "List of Parties Excluded.From Federal Procurement and
Nonprocurement Programs" is available on the' Internet at: www.ARNet.gov/epls/.
29
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APPENDIX 2. RECORD KEEPING
The EPA will make every effort to recover disaster response costs from FEMA and OF As,
including investigatory, cleanup, enforcement and administrative costs., The EPA intends to bill-
for all such costs which are directly related to the disaster response. . , '
The EPA will follow the financial management and record keeping guidelines contained in this
guidance. Consistent with this, the ESF #10 Regional Chair will create a case file for each MA
funded. The case file will contain a complete set of cost records. However, the following
requirements apply to both Regional and HQ records:
A. Records Management
The EPA records for disaster response activities will meet the following criteria:
1. Consistent Filing Protocol:
The EPA will maintain consistent records showing uses of Stafford Act funds: The EPA
will use its own filing protocols.
2. Timely Response to Cost Documentation Requests:
The EPA will provide these records to the FEMA and OF As upon request within 30 days,
unless otherwise agreed. ,
3. - Financial Records Retained: -
The EPA will retain records on the following:
A. Direct Costs:
Standard Personnel Costs (Including Fringe Benefits)
Travel
Extramural (e.g., contractor)
Materials, and Supplies
Equipment ,
. Construction
B. Indirect Costs .
C. MA/EFA/IAG Documents '
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4. Reconciliation:
Periodically the Regional Financial Management Offices and CFMC will reconcile cost
records with data produced by EPA's accounting system.
5. Storage Media & Record Safety: -
EPA records will be located in the offices where they are used or other areas as secure as
possible from fire, water and other damage. Similar provision will be made for safe long-
term storage of inactive records.
6. Imaged Documents:
Use of imaged documents for cost records, billing, and all audit resolution is acceptable
under the following conditions:
A. The imaging system is used in the normal course of business.
B. The EPA can certify the accuracy of the system.
7. Record Retention:
Records must be accessible to duly authorized representatives of EPA, FEMA and the
'U.S. Comptroller General for the purpose of making audits, excerpts, and transcripts, for
a period of 6 years and 3 months from the date of submission of the final bill, or for
appropriate periods as set by National Archives-Records Administration (NARA)
standards for government records retention. Under NARA, the retention period for
records such as transportation, payroll, and procurement will vary. FEMA requests that
the RFA be maintained with bill records to show FEMA's authorization of work
performed under each MA. If legal action regarding a disaster is initiated within the
retention period, records will be retained until the conclusion of legal action.
B. Financial and Programmatic Records
The EPA Regional Office financial and program management offices will maintain their
appropriate disaster response records. Those records will include, when applicable:
1. Financial Records
MA/EFA/LAG forms executed by both agencies.
Invoices and payment records.
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Close-out documentation, if different from abov.e.
. 2. Program Records :
Record of discussions and contacts and the resulting decisions.
. MA/EFA/1AG forms executed by both agencies.
Reports
Invoices and payment records. ' - i
Close-out documentation, if different from above, i
3. Regional Disaster Case File
When EPA conducts disaster response activities under the FRP, the ESF #10 Regional
Chair in the appropriate region(s) should maintain the Regional disaster case file(s). The
case file contains information on determining and conducting disaster response activities
and associated costs. The case file will contain documentation of all resources used and
financial transactions associated with both ESF #10 and non-ESF #10 disaster responses.
32
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APPENDIX 3. STATUTORY AUTHORITIES
A. Government-wide Statutory Authorities
The Stafford Act
Robert T. Stafford Disaster Relief and Emergency Assistance Act (Public Law 93-
288, as amended) provides the authority for the Federal Government to respond to
disasters and emergencies in order to provide assistance to save lives and protect
public health, safety, and property. FEMA uses Stafford Act funds to reimburse
EPA and OF As for disaster response costs. EPA uses Stafford Act funds to
reimburse OF As for ESF #10 support.
The Economy Act ,
The Economy Act, as amended, (31 USC 1535) is the primary authority for EPA
to enter into lAGs with other Federal agencies. It is designed to further economy
and efficiency in government, allows Federal agencies with greater capabilities in
given areas to provide related services or procure specialized materials for other
agencies with less experience. Although the Economy Act is the primary authority
for lAGs, EPA also has independent "cpoperation" statutory authorities to enter
into LAGs.
The Intergovernmental Cooperation Act
The Intergovernmental Cooperation Act (IGA)(31 U,SC 6501) was passed to
encourage intergovernmental cooperation in providing Federal specialized or
technical services, assistance and facilities essential to State and local
governmental activities, to avoid unnecessary duplication of special service;
functions, and to provide such service on a reimbursable basis.: If EPA provided
services to a State during a disaster response the State could reimburse EPA under
this Act. . , - . -
The Federal Grant and Cooperative Agreement Act
The Federal Grant and Cooperative Agreement Act of 1977 (FGCA)(31 USC
6301 etseq.) was enacted to distinguish between Federal assistance and
procurement relationships. The law requires a procurement contract to be used
when the principal purpose is to acquire goods which will become Federal
property or services for the direct benefit of the Federal government. When the
principal purpose is to transfer money, property or services to a State or local
government for the principal purpose to support or stimulate activities, the law
- permits use of a grant or cooperative agreement.. If there will be no substantial
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Federal involvement, collaboration, or participation, a grant agreement is the
, proper instrument. If substantial Federal involvement is expected, a cooperative
agreement should be used. EPA could provide disaster response assistance to a
State under a grant or cooperative agreement if the proposed project qualifies as
assistance under the FGCA and is authorized by an existing EPA assistance
authority [e.g., Clean Air Act (CAA), Clean Water Act (CWA)].
B. EPA Independent Program Statutory Authorities (Alternative IAG
Authorities)
Although the Economy Act is the primary authority for lAGs, EPA also has independent
"cooperation" statutory authorities to enter into lAGs [e.g., CWA, Section 104(b)(2);
CAA, Section 103(b)(2); Resource Conservation and Recovery Act]. Under ESF #10
CERCLA or OPA may serve as additional independent authority:
CERCLA
EPA is the fiduciary for Superfund as established under the Comprehensive
Environmental Response, Compensation, and Liability Act of 1980 (CERCLA), as
amended. Section 104 of CERCLA (42 USC 9604) authorizes the President to
act"... whenever (A) any hazardous substance is released or there is a substantial ",
threat of such a release into the environment, or (B) there is a release or
substantial threat of release into the environment of any pollutant or contaminant
which may present an imminent and substantial danger to the public health or
welfare..." Executive Order 12580 delegates certain authority and responsibility
for response to the Administrator of EPA and the Secretary of the Department of
Transportation (DOT). On October 9, 1981, and May 27, 1988, the USCG
redelegated authority back to EPA for certain response actions at hazardous waste
sites that require response action. The EPA "cooperation" authority which is the
basis for transfer of funds is: CERCLA, as amended, including Sections 105(a)(4)
and 115; and Executive Order 12580 superseding Executive Order 12316.
OPA
The Oil Pollution Act of 1990 (OPA), 33 USC 2701 et seq., as implemented by
E.O. 12777 (and subsequent delegations), authorizes Federal agencies to carry out
oil removal activities under the Clean Water Act and the National Contingency
Plan (NCP). The EPA "cooperation" authority which is the basis for transfer of
funds is: CWA, Section 311, as amended by OPA.
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APPENDIX 4. SAMPLE ACTIVATION LETTER AND REQUEST FOR FEDERAL
ASSISTANCE (DRAFT)
35
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SAMPLE ACTIVATION LETTER
Mr/'/Ms. (ESF #10 Regional Chair)
U.S. Environmental Protection Agency
Office of Health & Emergency Planning
75 Hawthorne Street, Mail Code H8
San Francisco, CA 94105-3901
Dear Mr. /Ms . : '
The Governor of the State of California has requested' a major
disaster declaration as a result of severe winter storms and
flooding. . . " '
Pursuant to the provisions of-Public Law 93-288, as amended by
PL-100-707; Executive Order 12148; and Title 44, Code of Federal
Regulations (CFR) Subpart 206 (Federal Disaster Assistance); and
the.Federal Response Plan, your agency is hereby mission assigned
to receive taskings and provide the following technical
assistance outlined in the enclosed Request for Federal Resource
Assistance form (RFA). ,
Reimbursement, for expenses tincurred in complying with this
request shall 'be iri- accordance with the provisions of 44 CFR
206.8, Subpart A. Reimbursement of Other Federal Agencies, and'
shall not exceed the amount indicated for each tasking '
identified. 'Expenses incurred for activities not expressly
requested -.or above the stated limitation will not be eligible for
reimbursement" unless approved by the Federal Emergency Management'
Agency (FEMA) Regional Director through the Disaster Recovery
Manager by amendment _to this letter and enclosed RFA. In order . ,
to receive additional obligating authority above the cited
limitations, your agency must, prior to the time the limitation
is reached, submit a request to the Disaster Recovery .Manager,
for revision of that limitation to include-
1) An accounting of actual costs incurred to'date under
. the' cited limitation and any amendment'thereto;
' . ' i
,2) An .estimate of the revised total cost of the project;
and', ' - ; -
3) Any specific information necessary to support this
't request. ' .. ' , ' - ' ' '
Additional funding may then be-authorized" for that specific
tasking and/or tasking-category by amendment to this letter.
Request for reimbursement (SF 1080,SF 1081, and On-Line Payments
and Collection'process) must bfe submitted in accordance with
" . . . . ' . 36 -' : .''-.': " '
-------
Section 206.8 of the previously cited regulations and contain
sufficient detailed information on. which to base an approval.
The request for reimbursement will be accompanied by
documentation which specifically details personnel services,
travel, equipment, and all other expenses by object class, as
specified in Office 'of Management and Budget (OMB) Circular A-12,
and by any sub-object classification used in the agency's
accounting system. All reimbursement requests should cite the
specific letter of activation^ tasking number, and funding.
limitation under which the tasking was performed. ;
Any single item for materials, equipment, or supplies costing
$5,000.00 or more must be specifically identified and referenced
to a material requisition number, purchase order number, canceled
check, or voucher number.' Prior to final billing, non-expendable
materials, equipment, and supplies purchased in -accomplishment of
this mission will be properly accounted for and either turned
over to -FEMA, or retained by your office with an appropriate
reduction indicated in the request for reimbursement.
The ^ final billing for each line item tasking against this
assignment should be received in accordance with specified
requirements. This bill should be clearly identified as a final
bill to facilitate closing, of the tasking once final payment has
been forwarded to your agency.
All financial records, supporting documents, statistical records,
and other documents pertinent to the assignment shall be retained
and shall be accessible to duly authorized representatives of
FEMA and the U.S. Comptroller General for a period of six years
and three months, starting from the date'of submission of the
final billing.
In accordance with the provisions of Title 44, CFR, Section
206.11, you shall assure that the activities authorized to be
performed by this letter and attachments are accomplished in an
equitable and impartial manner without discrimination on the
grounds of race, color, religion, nationality, sex, age, or ~
economic status. ,
i
All reimbursement requests and other communications related to
this assignment must cite the specific tasking number under which'
the work was performed, the funding limitation, and the major
disaster or emergency declaration number. Please forward all
bills for payment to: FEMA Disaster Finance Center, P.O. Box
800, Berryville, Virginia 22611, ALC: 5801-0020.
Sincerely,
FEMA Regional Director
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DRAFT
REQUEST FOR FEDERAL ASSISTANCE FORM (RFA)
Tracking Information (FEMA Use Only)
State:
Disaster*:
1. Assistance Req
Internal
Reference #
Request/Log*
Date/Time Rec'd:
uested
Assistance Requested Qty Date/Time Deliver to:
, Needed Name/Address/Phone
-
See attached
Requestor/Phone #: . ,
State Approving Official Of applicable):
II. Description
Assigned Agency:
New MA " . Amendment to MA#
Mission Statement:
Cost Share:
Yes -No -See attached
Total Cost Estimate: $ Projected completion date:
Agency POC and Phone #: "
'
III. Coordination (FEMA Use Only)
1
Type of Assistan
Difect Fee
1 Technical
Fed'IOpe
Mission Assignmei
FEMA Project Offk
f
Funds Control (fur
V. Approval
i .
ce State Cost Share Fund Citation
'Assistance 0,10,25% 1997-06-__ -'4400-250 -D
Assistance 0%
rations Support 0 %
it Coordinator (preparer)
;er/Branch Chief (program approval)
ds review)
State Approving Official.
Federal Approving
Official -'-';: .-'-,'
V. Obligation (FEMA Use Only)
Mission Assignment No.: Arht This Action: $ Date Obligated
Amendment Number: Cumulative Ami: $ Initials
. ' ' .'. . 38 - - ';.""
1
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DRAFT
REQUEST FOR FEDERAL ASSISTANCE FORM (RFA) (Continued)
Purpose
This form is the official obligating document for taskings by FEMA to other Federal agencies
(OF As). RFA's may be initiated by a State request for assistance, FEMA, OF A, or other entity.
This form is used to record Taskings and obligations before and after Presidential declarations of
. a major disasters or emergency.
Specific Instructions by Section
Location
*>
To be completed for all requests. Enter State or territory. If a disaster has been
declared enter DR-xxxx-State.
I. Assistance Requested
Assistance Requested: Completed by requestor; should detail the what, where, when,
how, quantity, date/time needed, and specific deliverables.
Deliver to: Should be completed if items are for delivery. Attach any additional
information.
Requestor/Phone #: The action officer for any further information for the request.
State Approving Official: Signs certifying that the request is valid and beyond the
capability of State and local government to provide. .
H. Description
Assigned Federal Agency: Completed by FEMA for all requests whether initiated by -
the State or in support of Federal operations.
Statement of Work: Developed by OF A, should detail the specific requirements to
complete the request. .
Project Completion Date: When work is expected to be complete.
Total Cost Estimate: Self explanatory.
OFA POC Name and Phone #: Action Officer.
HI. Coordination (FEMA Use Only)
Type: The MAC determines if the type of assistance is Direct Federal, Technical or
Federal Operations Support.
State Cost Share %/$: The MAC records the Federal/State cost share percentage and
dollar amount.
Fund Citation: The MAC assigns the appropriate fund citation.
Mission Assignment Coordinator (preparer): MAC signature.
FEMA Project Officer/Branch Chief (program approval): Project Officer/Branch Chief
signature.
Funds Control (funds review): Mission Assignment Analyst verifies funds availability.
39
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DRAFT
REQUEST FOR FEDERAL ASSISTANCE FORM (RFA) (Continued)
IV. Approval
State Approving Official: Signs for Direct Federal Assistance and Technical Assistance
to State and local governments.
Federal (FEMA) Approving Official: Signs ALL RFA's. "'.'-.
V. FEMA Use Only ' N -.
MAC enters MA#, Amendment #, Amount for this action, and cumulative amount and
forwards to the Finance Branch. Finance Branch records obligation, date and initials.
40
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APPENDIX 5. EMERGENCY FUNDING AUTHORIZATION FORM
41
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U.S. ENVIRONMENTAL PROTECTION AGENCY
EMERGENCY FUNDING AUTHORIZATION
1. Other Federal Agency (OFA):
2. OFA's Project Identification Number:
3. OFA's Point of Contact:
4. Address:
Telephone: ( )
5. EPA (IAG) Identification Number:
6. EPA Point of Contact: Telephone: (
7. FEMA Mission Assignment Identification Number:
8. Scope of Work and Reimbursement Limit:
9. Project Period:
10. Reimbursement Procedure: Upon completion of scope of work, the recipient
other Federal agency will submit a bill with detailed records of expenditures and
activities for which reimbursement is sought. The agency must submit the final request
for reimbursement within 60 days following the disaster response completion date to
the EPA ESF#10 Regional Chair or designee.
11. Statutory Authority: Robert T. Stafford Disaster Relief and Emergency Assistance
Act of 1988, as amended, 42U.S.C. 5121-5201; and Economy Act of 1932, as
amended, 31 U.S.C. 1535
12. Authorizing Officials: :
ESF #10 Regional Chair or Designee -
U.S. Environmental Protection Agency
Date
Action Official on behalf of
U.S. Environmental Protection Agency
Date
Authorizing Official on behalf of
Other Federal Agency
13. Accounting Data:
Date
Site Name
!
DCN
FY
Approp.
Budget
Org.
Prg.
El.
Object
Site Project
''
Cost
Org.
Obligation
42
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EMERGENCY FUNDING AUTHORIZATION (EFA) FORM
INSTRUCTIONS
' ' >'
This form is a simpler version of EPA's interagency agreement,(IAG) form (EPA Form 1610-1)
and should only be used to task other Federal agencies (OFAs) for disaster response support. The
EFA is one page while the standard EPA IAG form is three pages. If the OFA agrees, the EFA
may also be used when EPA provides support to non-ESF #10 lead disaster responses. All EFAs
must be managed in a manner consistent with EPA's Interagency Agreement Policy and
Procedures Compendium of September 1988. ,
This form is to be used hi conjunction with EPA's Mission Assignment Guidance and any other
supplemental information.
1. Enter the other Federal agency's (OFA's) name.
2. Enter the OFA's project (e.g., IAG) identification number (if known).
3. Enter name and telephone number of the OF A's point of contact (e.g., project officer).
4. Enter the OF A's point of contact mailing address. -
5. The EPA (IAG) identification number will be assigned by the Regional Grants Management
Office servicing the Regional program office initiating the action. This may occur after the
disaster response has begun.
6. Enter name and telephone number of the EPA's point of contact (e.g., project officer).
7. Enter the FEMA mission assignment identification number.
8. Provide a brief description of the support tasking scope of work to be performed by the OFA
under the EFA, including the dollar amount limit of EPA reimbursement to the OFA.
9. Enter the beginning and ending dates of entire period needed for OFA support.
10. Self explanatory.
11. Self explanatory.
12. Enter the names of the EPA ESF #10 Regional Chair or Designee, EPA Action Official
(Regional Administrator or designee - can be delegated down to and including the Regional
Division Director level), and the name and title of the OF A's authorizing official.
\
13. Enter the appropriate fiscal information identifying the funds being used. If the EFA is being
used when EPA provides support to another Federal agency identify the funds received,
43
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APPENDIX 6. MISSION ASSIGNMENT REIMBURSEMENT REQUEST (DRAFT)
44
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DRAFT
MISSION ASSIGNMENT REIMBURSEMENT REQUEST
SECTION I: ESF AGENCY SUBMISSION
Agency:
Address:
Current bill amount ,
Fiscal POC:
Phone Fax
Type of billing: 'n SF 1080 n SF 1081 (OP AC) o Other Treasury-approved form
Agency Location Code:
ESF Agency Bill ID Number:
MA Number: .
ESF#: ' .-'.''.' ... ,
p Primary ESF tasking n Support ESF tasking
FEMA Disaster Number:
Mission Description: ' '.
Projected Completion Date (from RFA):
Revised Completion Date:
This bill is a n Partial n Resubmittal n Final bill with no further obligations pending.
P The expenditures claimed have been reviewed and are relevant to the mission assigned; costs are reasonable '
and supported by records maintained by this agency. [Include applicable signatures.] ,
Primary ESF Agency Project/Program Administrator Date Phone
Support ESF Agency Project/Program Administrator Date Phone
Primary ESF Agency Financial Officer Date Phone
Support ESF Agency Financial Officer Date . Phone
Attachments: Reimbursement Forms
n SF 1081 (OPAC) n Other Treasury approved
D SF 1080 form
Attachments: Purchase of Equipment Forms
Refer to the Financial Management Annex to the FRP for
applicable forms.
- " W
SECTION II: FEMA USE ONLY
Loa# PAYMENT AMOUNT APPROVED $
State Cost Share % Amount
ROUTING
Financial Review , . ,'
Exception: Returned to Agency
Program Review
Mission Assignment Coordinator Review
Logistics Review nYesnNo
DRM Approval .
Forward for Reimbursement/Payment '. v /
Final Payment/Deobligation
SIGNATURE AND DATE
Reasons: . '
Deobligated amount: .,
To receive reimbursement, completion of this form is required.
' ".- -'. 1 -..." .'.;._
-.,-- i .- - L '
.- '.".''.: 45 -
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MISSION ASSIGNMENT REIMBURSEMENT REQUEST (Continued)
SECTION III: BILL SUBMISSIONS
ESF Agency Bill ID Number:1 - Previously billed cumulative total
Number of bills submitted for this MA (including this bill): Current bill amount
Total MA obligation (from RFA): Total billed to date (including this bill)
CURRENT CHARGES $ AMOUNT
11xx Salaries and OT (total from the block below)
Regular hours Amount
Overtime or premium pay hours Amount >
21xx Travel of persons
22xx Transport of things
25xx Service contracts
25xx Equipment lease contracts
26xx Materials
31xx Equipment
31xx: "Sensitive" items Amount
31xx: Agency stock replacement/repair'"0- Amount
Overhead (List each line item) , Rate
.
'. , >
All other (list each line item)
TOTAL AMOUNT BILLED
$
After FEMA reimburses an agency for equipment, FEMA usually assumes ownership. However, agencies may be
reimbursed for equipment purchases to replace their own equipment stocks consumed, lost, stolen, or damaged
during performance of an MA by completing FF 61 -5, Report of Survey. Agencies may be reimbursed for"
purchases of property subsequently lost, damaged or stolen by submitting the original invoice or receiving report
and completing FF 61-5, Report of Survey.
2
46 .. .. " ,. .
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'
MISSION ASSIGNMENT REIMBURSEMENT REQUEST (continued)
. . ~. SECTION IV: ITEMIZED COSTS
OBJECT CLASS 25xx: SERVICE CONTRACT COSTS
Contract Name
* '
*
TOTAL
Contract
#
Purpose
'"
- -
$ Billed to
Date
-
Contract
Total
$ ' :
OBJECT CLASS 25xx: EQUIPMENT LEASE CONTRACTS '
Vendor
TOTAL
Description
-:.'
' - . ' " " - .
Serial*
Cost
' - ' ' '' : 3 . ..'"''
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MISSION ASSIGNMENT REIMBURSEMENT REQUEST (Continued)
OBJECT CLASS 31xx: EQUIPMENT COSTS: ITEMS OVER $5000/SENSITIVE ITEMS(1)
INVOICE/
REC RPT
AT^'DV
1
Vendor
Description
Serial #
Equipment
Location
,
PLANNED
RELEASE
DATE
Cost
*
(1>Sensitive items include microcomputers, pagers, cellular telephones, tape recorders, video equipment
and TVS, calculators and office equipment, cameras, and microwaves and other appliances.
^Completion of the vendor, description, serial number and cost columns is not required if the invoice or
receiving report is attached and includes these items. Complete the Equipment Location and Planned
Release Date columns.
Provide appropriate equipment cost documentation as follows:
D To receive reimbursement for procured property, attach the original acquisition document or
receiving report.
Q To retain custody of property after reimbursement, coordinate with FEMA Operations and Logistics
officials to receive and complete FEMA Form 61-9, Custody Receipt for Government Property on
Personal Charge.
Q If property is lost, damaged, stolen, or consumed in the performance of an MA, attach the following
documentation:
Original acquisition document or receiving report.
FEMA Form 61-5, Report of Survey.
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MISSION ASSIGNMENT REIMBURSEMENT REQUEST [Reverse of page 1).
Complete FF , Request for Reimbursement with the following information.
SECTION I: ESF AGENCY SUBMISSION '
- - - [ - " -
a. Your agency name and address.
b. Current bill amount: the amount of the bill you are submitting.
c. The name, fax number, and telephone number of your agency's fiscal point of contact with FEMA.
d. The type of billing form being submitted: SF 1080, SF 1081 or other approved Treasury form. ,
e. Agency Location Code (ALC) for OPAC billings,
f. ESF Number. (Example: ESF-1), if applicable, or FEMA program that the mission assignment is supporting
(Example: Public Information or Human Services). "
g. ESF Agency-assigned Bill ID Number: Your agency's , *
h. Primary ESF Agency Project/Program Administrator identification of the work performed as a primary ESF
tasking or a support ESF tasking. '
L Mission Assignment/Tasking number under which the work was performed (Example: GSA-001).
, j. FEMA-assigned disaster number (Example: DR-1008-CA).
k. Mission Description. A description of the mission accomplished.
: I. Projected Completion Date. The estimated date on the Request for Federal Assistance.
m. Revised Completion Date. The latest estimated completion date for a task.
n. Checkmark to indicate whether'the bill is a partial, a resubmission, or a final bill.
o. Certification by the ESF Agency Project/Program Administrator that the expenditures are in support of the work
tasked and that supporting documentation is accurate and adequate. The Support ESF Agency
Project/Program Administrator must certify the same to the primary ESF agency. The Primary or Support ESF
Agency Financial Officer also may sign the Mission Assignment Reimbursement Request form, but this
signature is optional. The financial point of contact will certify oh the 1080,1081 (OPAC) or other approved
Department of Treasury form for Transfer of Appropriations between agencies. '
p. Checkmarks to identify the attachments submitted with the Mission Assignment Reimbursement Request in this
block.
, . _ . _ /
SECTION II: FEMA USE ONLY
This section will be used to route the Mission Assignment Reimbursement Request within FEMA for financial review,
program review, logistics review (if required), mission assignment coordinator review and Disaster Recovery
Manager approval for payment. FEMA will assign a log number, the amount approved for payment, and the
amount of State cost-share, if any.
49
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MISSION ASSIGNMENT REIMBURSEMENT REQUEST [Reverse of page 2]
SECTION III: BILL SUBMISSIONS .
Agencies may use computer-generated spreadsheets to replace Section III provided that all the data items are
incorporated in the spreadsheets. Agencies should submit proposed spreadsheets to the DFC and receive prior
approval for use as reimbursement documentation.
a. ESF Agency Assigned Bill ID Number.
b. Total number of bills submitted against the billing mission assignment number, including the current bill.
c. Total mission assignment obligation (from RFA).
> '
d. Previously billed cumulative total. ,
e. Current bill amount. , .'-"''
f. Total billed to date (including this bill).
g. An explanation of charges broken down by OMB major object classes:
(1) 11 xx Salaries and OT. Personnel Services including regular time (if eligible) and overtime or other
premium pay category with the number of hours and total cost.
(2) 21 xx Travel of persons. ,
(3) 22xx Transport of things.
(4) 25xx Service contracts. List separately the costs of contracts for services by contract name, contract
number, purpose of contract, amount billed to date and contract total. Costs for rentalspace should be
listed separately.
(5) 25xx Equipment lease contracts. List separately the costs of contracts for equipment by vendor,
equipment description, serial number, and cost.
(6) 26xx Materials. Materials and supplies. Any single item costing $5,000 or more must be identified.
Items of expendable property or supplies costing less than $5,000 need not be identified but should be
accounted for.
(8) 31xx Equipment. All non-expendable items with a cost greater than $5000 and "sensitive" items should
be listed separately on page'4 of this form. Sensitive items include microcomputers, pagers, cellular
telephones, tape recorders, video equipment and TVS, calculators and office equipment, cameras, and
microwaves and other appliances.
To request reimbursement for equipment that will not become FEMA property because the purchase
replaced agency stocks, enter the total cost after "31 xx: Agency stock replacement/repair" and attach
FEMA Form 61-5, Report of Survey. To seek reimbursement for purchases of equipment subsequently
lost, damaged, or stolen, attach the original acquisition document or receiving report and FEMA Form
61-5, Report of Survey.
(9) Agency overhead costs reimbursable per an agreement with FEMA.
(10) Ailother. ,
SECTION IV: ITEMIZED COSTS
Agencies may,use computer-generated spreadsheets to replace Section IV provided that all the data items are
incorporated in the spreadsheets. Agencies should submit proposed spreadsheets to the DFC and receive prior
approval for use as reimbursement documentation.
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APPENDIX 7. SAMPLE COST DOCUMENTATION PACKAGE FORMAT
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U.S. Environmental Protection Agency
" , ' ' - ::f " ' ' - '
Cost Documentation Package
Disaster Name:
FEMA Mission Assignment Identification Number:
Date:
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Disaster Name:
Pagel
FEMA Mission Assignment Identification Number:
EPA Reimbursable Account Number:
BFY Appr Bud/Ore
PROJECT COST SUMMARY
CATEGORY
EPA Personnel Costs
EPA Personnel Travel Costs
EPA Contractor Costs
Other EPA Costs
Other Federal Agency Costs
TOTAL COSTS
REIMBURSABLE COSTS
. . \
- .
PE
Total Project Cost:
ESF #10 Regional Chair Summary Statement of Cost Documentation
This package presents a summary of and supporting'documentation for costs incurred on the disaster response noted above. All costs are final unless noted in the package.
Signature:
Date:
Printed Name:
ESF #10 Regional Chair
-------
Disaster Name:
Page!
EPA PERSONNEL COSTS
Name
Fixed Acct. No.
!
RegC
Hours
*****
*****
*****
*****
*****
OT
Hours
Reimbursable
Costs
i
TOTAL
Total EPA Personnel Costs:
ATTACHMENTS:
.Time sheets (Copies) .. - "
(NOTE: time sheets and payroll reports must be redacted to remove information protected by the Privacy Act, including Social
Security Numbers, etc.)
Payroll Report "_ ..
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Disaster Name:
PageS
EPA PERSONNEL TRAVEL COSTS
Name
TA Number
"
Period of Travel
Voucher Amount
EPA Personnel Travel Costs Total:
ATTACHMENTS:
Travel Authorizations (Copies)
Travel Vouchers with receipts (Copies) -
(Note: TA's and Vouchers must be redacted to remove information protected by the Privacy Act, including Social Security
Numbers, Home Addresses, etc.)
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Disaster Name:
Page 4
EPA CONTRACTOR COSTS
Contract Name:
Contract Number:
Company Name/
TDD Number(s)
Contractor
Personnel Name(s)
Labor Costs
1
Travel Direct
Costs'
Other Direct
Costs
'
Total
Total Contract Costs:
/ISJKOT
a final cost total.
This IS _
The total is estimated to be .
ATTACHMENTS:
* _ . ""
_^ Letter Report
Technical Direction Document(s) (TDDs) and Amendments
ESF #10 Regional Chair Certification and Invoice Summary
_ Acknowledgment of Completion (AOC)
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Disaster Name:
Page 4 (Continued)
OTHER CONTRACTOR COSTS
Contractor Name
t
Contract Number
Total Cleanup Contractor Cost
ATTACHMENTS:
ESF #10 Regional Chair Certification and Invoice Summary
Authorization to Proceed -
Daily Cost Summaries (These are not required unless other documentation cannot be provided.)
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Disaster Name:
'.--'-'
PageS
OTHER EPA COSTS
Description
' "- ;
Usage (Hours, Days)
Rate
'
.>
Cost
Total Other EPA Costs:
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Disaster Name:
Page 6
OTHER FEDERAL AGENCY COSTS
Agency Name
Activity Description
'
Total Costs
s
Total Other Federal Agency Costs:
ATTACHMENTS:
Interagency Agreement (IAG)
Emergency Funding Authorization (EFA)
Other Federal Agency Cost Summary
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