Spreadsheet: 022e4759-a666-407d-8de0-74b32c4c5ea3
Sheet: Instructions

NORTH CAROLINA DEPARTMENT OF ENVIRONMENT & NATURAL RESOURCES
LEAKING PETROLEUM UNDERGROUND STORAGE TANK CLEANUP FUNDS
INSTRUCTIONS FOR COMPLETING AN ePATA (ELECTRONIC PREAPPROVAL) FORM
Preapproval Requirement
 |  | Written preapproval of both tasks and associated costs must be received from the appropriate regional office before work is performed in order to receive reimbursement from the Cleanup Funds [N.C.G.S. 143-215.94E(e2) and 15A NCAC 2P.0402(b)(9)].  [NAME] must be obtained even if Fund eligibility has not been determined where later reimbursement will be sought.  Except where otherwise noted, work performed during emergency response actions (such as vapor/explosion hazards, initial abatement actions for a new release, and immediate free product recovery responses, etc.) and the risk assessment phase (Limited Site Assessment) do not require preapproval.
 | Tasks or phases of work requiring preapproval include:
 |  | Any work not defined by the Department as an Emergency Response (typically immediate surface water cleanup actions, initial free product recovery events in response to the discovery of free-phase hydrocarbons, vapor/explosion hazard investigations, the Initial Abatement Action done within 90 days of the release discovery, etc.) or part of the site's initial Risk Assessment (typically the LSA).
 |  | All work performed after a Risk, Rank and Abatement determination is made for the site (typically, but not always, following completion of a Limited Site Assessment) including any corrective action excavations done as following a tank closure event performed after the RRA score is assigned.
 |  | All aggressive fluid-vapor recovery events after completion of the first emergency response event.
 |  | Any task in the Reasonable Rate Document that is defined as requiring preapproval.
 |  | Note that any Initial Abatement Action or Limited Site Assessment activity that varies from or exceeds the scopes of work defined in the STIRA (tank closure) or ACA (assessment) guidelines, and/or the Reasonable Rate Document, (excepting only those variations specifically allowed in the aforementioned documents) should be approved in writing by the Incident Manager.  Formal 'Preapproval' is not required, but may be used as documentation of the work as reasonable and necessary.
Preapproval Procedures
 | 1 | Complete the Electronic Preapproval Task Authorization Form (ePATA) excel worksheet included in this file.  DO NOT MODIFY the form or alter the other worksheets in the file, as this will impact the ability to have the information uploaded into the State Trust Fund Preapproval database in a timely manner.  If additional room is needed, break the requested scope into related task groupings and submit a separate ePATA file for each group.
 | 2 | The Preapproval form must be completed in full, with the exception of those portions explicitly reserved for UST Section personnel (designated as 'Incident Manager', 'RO', 'CO', and 'UST Section').  This includes the completion of the required text in the form header, as well as the 'Task/Lab', 'Unit/Type', and 'Rate/Price' columns.
 | 3 | Complete the TA by first selecting the merged cell with the TA title in it (Cells A1-J2) then picking the applicable [NAME] type in the dropdown menu (Directed, NonDirected, Free Product Program). [Note that a NonDirected preapproval request will require that a scanned copy of the NonDirected Certification (notarized statement from the RP acknowledging the delayed reimbursement schedule for NonDirected work) be attached to the submittal, with the original subsequently submitted by mail to the Regional Office.]
 |  | If you receive an error message when entering data, it likely means that the cell you are using either has a specific format type (like dates) or has a preset list available via dropdown menu (text can still be entered manually for these, but it must match the style/options in the dropdown.)  Please follow the instructions on the error message to match the appropriate data validation rules.
 | 4 | Next, enter in all of the associated Site, Responsble Party, and Consultant Information at the top of the TA.  Do not enter any information in the "Reserved for Incident Manager" box.  Where known, the RP and Consultant ID numbers may be entered at this time as well.  Though not required, these ID numbers may be obtained by contacting [NAME] at [EMAIL] or by referencing previous ePATA's for this or other sites where this information was already provided (the ID #'s are consistent for each RP and Consultant across multiple sites.)
 | 5 | Enter in the requested 'Tasks', 'Units' and unit 'Type' (e.g., ft, hrs, mw, 6200b, etc.), then the 'Rate' per unit or lump 'Price' (if bidded) in the appropriate columns, and, if applicable, designate the task as being a Third Party Deductible/Damages Task in the far left column with a 'Y'.  If not a Third Party Damages cost, leave the leftmost column blank.  [Note that that the "Total Applied as Third Party Deductible/Damages Costs" relates to a separate deductible for costs associated with bodily injury or property damage, including loss of normal use of their property, for neighboring property owners (or a new non-RP site owner) impacted by the release (NCGS 143-215.94B(b)(5) and 143-215.94D(b1)(2)). It is not for costs related to 'Third-Party' vendors or service providers (which are not tracked separately.)]
 | 6 | Confirm that the Proposed Task Subtotal is accurate, that the summed Requested Totals are accurate, and enter a submittal date at the bottom of the form.  Then save a copy of the submittal as < incident#-TA# Site Name yyyy-mm-dd >  (e.g., "123456-78 John Doe Residence 2012-01-31" and email a copy of the finalized TA Excel file to the appropriate Regional Office Incident Manager, along with a copy of the workplan/proposal justifying the work included within the TA and any necessary maps or tables.  [A submittal PM signature should not be included at this time. See #7 below.]
 | 7 | Once preapproval is authorized by both Branches, the Regional Office will send a copy of the finalized Preapproval form directly to the Main Consultant/Contractor.  Upon receipt, the PM should also sign and date the final hard copy in the space provided. After receiving the finalized Preapproval form, the approved activities may be initiated. Any costs incurred prior to the final UST Section authorization date on the Preapproval may not be claimed as a "preapproved" cost under that form.
 | 8 | If the Main Consultant/Contractor discovers that unexpected tasks must be performed and/or costs will be incurred that exceed the preapproved amount, a 'supplementary' ePATA change order must be submitted (using the same file, but designated as such where applicable in the form header.)  List all previous PATA numbers associated with this revised request and include scans/copies of the earlier approved PATA form(s) along with a written justification to the Regional Office.  This form must be approved by all applicable UST Section staff prior to conducting the additional work.  The supplementary [NAME] form should include only the additional requested tasks and costs, and should not carry forward any previously-approved costs from an earlier PATA.
 | 9 | If verbal preapproval is authorized over the telephone or by email, it is the responsibility of the consultant to prepare a formal ePATA submittal as outlined above and ensure that this file is submitted to the Regional Office within one week of the verbal authorization.  Failure to acquire this document will result in non-payment of the costs.
Claim Procedures
 | 1 | After the work has been completed, the finalized Preapproval form will serve as the cover to the Main Consultant/Contractor invoices submitted with the reimbursement claim. Please note that multiple PATA's may be submitted with a single reimbursement claim.  Once claimed, however, each Preapproval Task Authorization (including associated PATA supplements/change orders, whether claimed or not) is closed and no other costs may be claimed under that preapproval.  Additionally, except where a claim exceeds $20,000, only one claim may be submitted for a given site during a 90-day period.
 | 2 | Complete the "Final Reimbursement" section of all Preapproval forms included with a reimbursement claim. Designate the applicable date(s) of work specific to each task and the amount claimed for these dates under each [NAME].  This portion of the Preapproval form must be completed for the reimbursement request to be properly reviewed.  Any failure to properly document the required information will result in the return of any filed claim, unprocessed.
 | 3 | Ensure that the aforementioned dates and subtotals correspond correctly to any information on the invoices, Primary Forms, and Secondary Forms submitted with the reimbursement claim.  Inconsistencies within the provided documentation will result in reimbursement reductions or denials.