Public Assistance Program and Policy Guide Version 4

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TABLE OF CONTENTS

Page Numbers

FOREWORD ............................................................................................................................. 12

LIST OF CHANGES AND CLARIFICATIONS GROUPED BY GENERAL TOPIC ...............12

INTRODUCTION .........................................................................................................................17

I. Public Assistance Program Overview ............................................................................... 17

II. Authorities......................................................................................................................... 17

A. Statutes ...................................................................................................................... 17

B. Regulations ................................................................................................................ 18

III. Document Purpose and Use .............................................................................................. 18

IV. Scope ................................................................................................................................. 19

V. Applicability ..................................................................................................................... 19

VI. Document Management and Maintenance........................................................................ 19

CHAPTER 1: PRE-AWARD ACTIVITIES ...............................................................................21

I. Preliminary Damage Assessment ..................................................................................... 21

II. Declaration Request .......................................................................................................... 21

III. Declaration Evaluation...................................................................................................... 22

A. State and Territorial Governments ............................................................................ 22

B. Tribal Governments ................................................................................................... 23

IV. Presidential Declaration .................................................................................................... 23

A. Type of Incident ........................................................................................................ 24

B. Incident Period........................................................................................................... 24

C. Designated Areas ....................................................................................................... 24

D. Types of Assistance ................................................................................................... 24

E. Federal Cost Share ..................................................................................................... 25

V. Recipient Administrative Requirements ........................................................................... 26

A. Application for Federal Assistance ........................................................................... 26

B. FEMA-State/Territory/Tribe Agreement ................................................................... 26

C. Payment Management System .................................................................................. 27

D. Administrative Plan ................................................................................................... 27

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E. Hazard Mitigation Plan.............................................................................................. 27

CHAPTER 2: OPERATIONAL COORDINATION ..................................................................29

I. Operational Priorities ........................................................................................................ 30

A. Community Lifelines ................................................................................................. 30

B. Incident Action Plan .................................................................................................. 30

II. Response and Recovery Coordination .............................................................................. 31

A. Response Coordination .............................................................................................. 31

B. Recovery Coordination .............................................................................................. 32

1. Field Operations .................................................................................................. 32

C. Public Assistance Coordination and Planning ........................................................... 33

CHAPTER 3: APPLICANT COORDINATION AND ELIGIBILITY ......................................35

I. Public Assistance Web-based Systems ............................................................................. 35

II. Applicant Briefing ............................................................................................................ 36

III. Request for Public Assistance ........................................................................................... 36

IV. Written Correspondence ................................................................................................... 37

V. Eligibility Determinations ................................................................................................. 38

A. Requests for Information ........................................................................................... 38

B. Notification of an Ineligibility Determination ........................................................... 38

C. Appeal Rights and Requirements .............................................................................. 39

1. Appeal Deadlines................................................................................................. 39

2. Appeal Content .................................................................................................... 40

3. Appeal Review .................................................................................................... 40

4. Appeals for Alternative Procedures Projects ....................................................... 41

D. Arbitration ................................................................................................................. 41

VI. Applicant Eligibility.......................................................................................................... 42

A. State and Territorial Governments ............................................................................ 42

B. Tribal Governments ................................................................................................... 42

C. Local Governments ................................................................................................... 42

D. Private Nonprofit Organizations ................................................................................ 43

1. Private Nonprofit Critical Services ..................................................................... 45

2. Private Nonprofit Essential Social Services ........................................................ 46

3. Private Nonprofit Ineligible Services .................................................................. 47

4. Private Nonprofit Application Documentation Requirements ............................ 47

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VII. Exploratory Call ................................................................................................................ 48

VIII. Recovery Scoping Meeting ............................................................................................... 49

CHAPTER 4: GENERAL WORK AND FACILITY ELIGIBILITY .........................................51

I. General Work Eligibility................................................................................................... 51

A. Categories of Work.................................................................................................... 51

B. Minimum Work Eligibility Criteria........................................................................... 51

1. Result of Declared Incident ................................................................................. 51

2. Within Designated Area ...................................................................................... 52

3. Legal Responsibility ............................................................................................ 52

C. Environmental and Historic Preservation Requirements .......................................... 54

II. Facility Eligibility ............................................................................................................. 55

A. Public Facility ............................................................................................................ 56

B. Private Nonprofit Facility .......................................................................................... 56

1. Mixed-Use Facility .............................................................................................. 56

2. Small Business Administration Loan Requirement ............................................ 57

C. Inactive or Partially Inactive Facility ........................................................................ 58

D. Facility Scheduled for Repair or Replacement .......................................................... 59

CHAPTER 5: DAMAGE AND IMPACT INFORMATION ......................................................60

I. List of Impacts .................................................................................................................. 60

II. Grouping Impacts into Projects ........................................................................................ 61

A. Initial Emergency Work Grouping ............................................................................ 61

B. Initial Permanent Work Grouping ............................................................................. 61

C. Final Grouping........................................................................................................... 63

III. Site Inspections and Obtaining Damage Information ....................................................... 63

A. Damage Information .................................................................................................. 63

B. Site Inspections .......................................................................................................... 64

CHAPTER 6: COST ELIGIBILITY ...........................................................................................65

I. Reasonable Costs .............................................................................................................. 65

A. Analysis ..................................................................................................................... 65

II. Applicant (Force Account) Labor ..................................................................................... 68

A. Labor Policies ............................................................................................................ 69

B. Eligibility Criteria Based on Type of Employee and Work Performed .................... 69

1. Reassigned Employees ........................................................................................ 70

2. Reassigned Employees Funded from an External Source ................................... 70

3. Backfill Employees ............................................................................................. 70

4. Essential Employees Called Back from Furlough ............................................... 71

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5. Supervisors .......................................................................................................... 71

6. Other .................................................................................................................... 71

7. Standby Time....................................................................................................... 71

III. Applicant-Owned and Purchased Equipment ................................................................... 72

A. FEMA Rates .............................................................................................................. 73

B. State, Territorial, or Tribal Rates ............................................................................... 73

C. Local Rates ................................................................................................................ 73

D. Equipment with No Established Rate ........................................................................ 73

IV. Leased Equipment ............................................................................................................. 74

V. Supplies ............................................................................................................................. 74

VI. Disposition of Purchased Equipment and Supplies .......................................................... 75

A. Disposition of Purchased Equipment ........................................................................ 75

B. Disposition of Purchased Supplies ............................................................................ 76

VII. Disposition of Real Property ............................................................................................. 76

VIII. Procurement and Contracting Requirements .................................................................... 76

A. Procurement and Contracting Requirements for State and Territorial Government

Entities ....................................................................................................................... 77

1. Procurement ......................................................................................................... 77

2. Contracting .......................................................................................................... 77

B. Procurement and Contracting Requirements for Tribal and Local Government

Agencies and Private Nonprofits ............................................................................... 78

1. Pre-procurement Considerations ......................................................................... 78

2. General Federal Procurement Requirements ....................................................... 78

3. Procurement Methods .......................................................................................... 80

4. Contract Types..................................................................................................... 82

5. Additional Contracting Considerations ............................................................... 83

C. Required Contract Clauses ........................................................................................ 84

D. Documentation Requirements ................................................................................... 85

IX. Mutual Aid ........................................................................................................................ 85

A. Post-Incident Agreements ......................................................................................... 86

B. Eligibility ................................................................................................................... 86

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X. Prisoners ............................................................................................................................ 87

XI. National Guard .................................................................................................................. 87

XII. Direct Federal Assistance ................................................................................................. 88

XIII. Increased Federal Cost Share for a Limited Timeframe ................................................... 88

XIV. Donated Resources .......................................................................................................... 88

A. Offset Amounts ......................................................................................................... 90

B. Documentation Requirements ................................................................................... 91

XV. Project Management and Design Services ........................................................................ 92

XVI. Grant Management and Administration .......................................................................... 92

XVII. Surveys to Assess or Locate Damage or Debris Impacts .................................... 92

XVIII. Duplication of Benefits........................................................................................ 93

A. Insurance Proceeds .................................................................................................... 93

B. Non-Federal Grants and Cash Donations .................................................................. 94

C. Third-Party Liability .................................................................................................. 95

D. Other Federal Awards................................................................................................ 95

XIX. Duplication of Funding Between FEMA Programs ........................................................ 95

XX. Interest on Loans ............................................................................................................... 96

XXI. Ineligible Costs ................................................................................................................ 96

A. Loss of Revenue ........................................................................................................ 96

B. Loss of Useful Service Life ....................................................................................... 96

C. Tax Assessments ....................................................................................................... 96

D. Increased Operating Costs ......................................................................................... 96

CHAPTER 7: EMERGENCY WORK ELIGIBILITY ...............................................................97

I. Debris Removal (Category A) .......................................................................................... 99

A. Alternative Procedures for Debris Removal ............................................................ 101

B. Hazardous Limbs, Trees, and Stumps ..................................................................... 101

1. Broken Limb or Branch Removal ..................................................................... 102

2. Tree Removal .................................................................................................... 102

3. Stump Removal ................................................................................................. 102

4. Documentation Requirements for Hazardous Limbs, Trees, and Stumps ......... 103

C. Waterways ............................................................................................................... 103

1. Navigable Waterways ........................................................................................ 104

2. Non-navigable Waterways, Including Flood Control Works and Natural

Waterways ......................................................................................................... 104

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3. Identifying Debris Impact Locations ................................................................. 105

D. Privately Owned Vehicles and Vessels on Public Property .................................... 105

E. Disposal ................................................................................................................... 105

1. Recycling Revenue ............................................................................................ 105

2. Temporary Staging Sites ................................................................................... 106

3. Hand-Loaded Trucks and Trailers ..................................................................... 106

4. Landfills and Tipping Fees ................................................................................ 106

F. Monitoring Contracted Debris Removal Operations ............................................... 107

G. Debris Removal from Private Property ................................................................... 107

1. Approval Process ............................................................................................... 108

2. Removal from Private Roads ............................................................................. 108

3. Removal from Private Residential Property ...................................................... 109

4. Removal from Commercial Property (Requires FEMA’s Pre-approval) .......... 109

5. Duplication of Benefits...................................................................................... 109

II. Emergency Protective Measures (Category B) ............................................................... 110

A. Saving Lives and Protecting Public Health and Safety ........................................... 110

B. Protecting Improved Property ................................................................................. 111

C. Emergency Protective Measures on Private Property ............................................. 112

D. Emergency Protective Measures Conducted by Private Nonprofit Organizations . 112

E. Pre-positioning Resources ....................................................................................... 113

F. Expenses Related to Operating a Facility or Providing a Service ........................... 113

G. Emergency Public Transportation and Communication (DFA only) ...................... 114

H. Flood Fighting ......................................................................................................... 114

I. Emergency Operations Centers ............................................................................... 115

J. Emergency Access................................................................................................... 115

K. Hazardous Materials ................................................................................................ 116

L. Supplies and Commodities ...................................................................................... 116

M. Meals ....................................................................................................................... 117

N. Medical Care ........................................................................................................... 117

O. Evacuation and Sheltering ....................................................................................... 119

1. Evacuation ......................................................................................................... 119

2. Sheltering ........................................................................................................... 120

3. Childcare Services ............................................................................................. 124

4. Host-State or Host-Tribe Evacuation and Sheltering ........................................ 124

P. Infectious Disease Incident...................................................................................... 126

Q. Mosquito Abatement ............................................................................................... 126

R. Residential Electrical Meter Repair ......................................................................... 126

S. Safety Inspections .................................................................................................... 127

T. Animal Carcasses .................................................................................................... 128

U. Demolition of Private Structures ............................................................................. 128

1. Conditions for Eligibility ................................................................................... 128

2. Commercially Owned Structures ...................................................................... 129

3. Eligible Work .................................................................................................... 129

4. Ineligible Work .................................................................................................. 130

V. Temporary Relocation of Essential Services ........................................................... 130

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1. Eligible for Temporary Relocation: ................................................................... 130

2. Ineligible for Temporary Relocation ................................................................. 131

3. Determining Eligibility of Temporary Relocation ............................................ 131

4. Lease, Purchase, or Construct ........................................................................... 131

5. Safe Rooms for Temporary School Facilities ................................................... 132

6. Temporary Relocation Costs ............................................................................. 132

7. Time Limitations ............................................................................................... 133

8. Disposition Requirements ................................................................................. 134

W. Snow-Related Activities .......................................................................................... 134

1. Limited Time Period.......................................................................................... 134

2. Eligible Work .................................................................................................... 135

X. Emergency Repair or Stabilization .......................................................................... 135

1. Operation Blue Roof (DFA Only) ..................................................................... 135

2. Slope Stabilization ............................................................................................. 136

3. Mold Remediation ............................................................................................. 136

4. Emergency Berms on Beaches .......................................................................... 137

III. Damage Caused During Performance of Emergency Work ........................................... 138

CHAPTER 8: PERMANENT WORK ELIGIBILITY ..............................................................140

I. Environmental and Historic Preservation Considerations .............................................. 141

II. Requirement to Obtain and Maintain Insurance ............................................................. 144

A. Insurance Reductions and Impact on Facility Eligibility in Subsequent Disasters . 145

III. Codes and Standards ....................................................................................................... 145

A. Eligibility Criteria .................................................................................................... 145

1. Applies to the Type of Restoration Required .................................................... 145

2. Appropriate to Pre-disaster Use ......................................................................... 146

3. Reasonable ......................................................................................................... 146

4. Written, Formally Adopted, and Implemented .................................................. 147

5. Applies Uniformly ............................................................................................. 148

6. Enforced ............................................................................................................ 148

B. FEMA Consensus-Based Codes, Specifications and Standards .............................. 149

C. Ineligible Upgrades ................................................................................................. 149

D. Historic Preservation Compliance ........................................................................... 149

1. Federal Requirement ......................................................................................... 149

2. State, Territorial, or Tribal Government Requirement ...................................... 149

E. Floodplain Management and Wetland Protection ................................................... 149

F. Requirement for Communities Participating in the National Flood Insurance

Program ................................................................................................................... 151

G. Accessibility for Individuals with Disabilities ........................................................ 151

H. Permit Requirements ............................................................................................... 153

IV. Hazard Mitigation ........................................................................................................... 153

A. Public Assistance Hazard Mitigation ...................................................................... 154

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B. Public Assistance Mitigation Funds for Capped Projects ....................................... 156

1. Improved Project ............................................................................................... 156

2. Alternate Project ................................................................................................ 156

3. Alternative Procedures Project .......................................................................... 156

V. Repair vs. Replacement .................................................................................................. 157

A. Calculation ............................................................................................................... 157

B. Written Request ....................................................................................................... 158

C. Eligible Funding ...................................................................................................... 158

D. Replacement of Components of a Facility or System ............................................. 159

VI. Relocation ....................................................................................................................... 160

A. Eligible Work and Funding ..................................................................................... 161

B. Sale or Lease of Property at Original Site ............................................................... 161

VII. Facility Located in or Impacting a Floodplain ................................................................ 161

A. 8-Step Decision-making Process ............................................................................. 162

B. Facility Located in a Special Flood Hazard Area .................................................... 162

1. National Flood Insurance Program .................................................................... 162

VIII. Capped Projects .............................................................................................................. 163

A. Capped Project Funding .......................................................................................... 164

B. Use of Capped Project Funds .................................................................................. 164

1. Use of Alternative Procedures Project Funds .................................................... 165

2. Use of Improved Project Funds ......................................................................... 166

3. Use of Alternate Project Funds.......................................................................... 167

C. Disposition of Original Facility ............................................................................... 168

IX. Eligibility Considerations by Facility ............................................................................. 168

A. Roads and Bridges (Category C) ............................................................................. 168

1. Maintenance ...................................................................................................... 169

B. Water Control Facilities (Category D) .................................................................... 170

1. Restoring the Capacity of Channels, Basins, and Reservoirs ............................ 171

2. Flood Control Works ......................................................................................... 171

C. Buildings and Equipment (Category E) .................................................................. 171

1. Buildings............................................................................................................ 172

2. Equipment and Supplies .................................................................................... 172

3. Files ................................................................................................................... 173

4. Research-Related Contents ................................................................................ 173

5. Animals.............................................................................................................. 173

6. Irreplaceable Collections and Individual Objects .............................................. 175

7. Library Books and Publications ........................................................................ 176

D. Utilities (Category F) ............................................................................................... 176

1. Right-of-Way Clearance .................................................................................... 176

2. Power: Transmission and Distribution System Conductor Replacement ......... 177

E. Parks, Recreational, Other (Category G) ................................................................. 179

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1. Beaches .............................................................................................................. 180

F. Landslides and Slope Stabilization .......................................................................... 181

CHAPTER 9: SCOPE OF WORK AND COST DEVELOPMENT .........................................183

I. Scope of Work Development .......................................................................................... 183

II. Cost Development ........................................................................................................... 183

A. Project Thresholds ................................................................................................... 183

B. Expedited Projects for Emergency Work ................................................................ 184

C. Costs for Projects with All Work Completed .......................................................... 185

D. Estimating Emergency Work Projects with Work to be Completed ....................... 186

E. Estimating Permanent Work Projects with Work to be Completed ........................ 186

1. Projects Requiring Engineering Analysis .......................................................... 186

2. Applicant Estimates ........................................................................................... 187

3. FEMA Estimates ............................................................................................... 187

4. Expert Panel Review ......................................................................................... 187

5. Insurance Reductions......................................................................................... 188

6. Fixed-Cost Offer for Alternative Procedures Projects ...................................... 188

III. Compliance Reviews ...................................................................................................... 189

CHAPTER 10: OBLIGATION AND RECOVERY TRANSITION ..........................................190

I. Final Review and Obligation .......................................................................................... 190

A. Recipient Review..................................................................................................... 190

B. Final Review ............................................................................................................ 190

C. Obtaining Funds ...................................................................................................... 190

II. Recovery Transition Meeting ......................................................................................... 191

III. Transition Field Operation to Regional or Recovery Office .......................................... 191

CHAPTER 11: POST AWARD MONITORING .......................................................................193

I. Large Project Quarterly Progress Reports ...................................................................... 193

II. Financial Status Reports ................................................................................................. 193

III. Federal Funding Accountability and Transparency Act ................................................. 194

IV. Post Award Change in Scope of Work ........................................................................... 194

A. Scope of Work Changes on Permanent Work Alternative Procedures Projects ..... 195

V. Work Completion Deadlines........................................................................................... 196

VI. Audits .............................................................................................................................. 197

A. Single Audits ........................................................................................................... 198

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B. Government Accountability Office ......................................................................... 198

C. Office of the Inspector General ............................................................................... 198

D. Recovery of Improper Payments ............................................................................. 198

CHAPTER 12: FINAL RECONCILIATION AND CLOSEOUT ..............................................199

I. Project Reconciliation and Closeout ............................................................................... 199

A. Small Projects .......................................................................................................... 199

B. Large Projects .......................................................................................................... 200

C. Alternative Procedures Permanent Work Projects .................................................. 202

D. Subrecipients ........................................................................................................... 202

II. Stafford Act Section 705 ................................................................................................. 203

III. Public Assistance Award Closeout ................................................................................. 203

IV. Documentation Retention Requirements ........................................................................ 203

ABBREVIATIONS AND ACRONYMS ....................................................................................204

REFERENCES AND RESOURCES ..........................................................................................207

TERMS AND DEFINITIONS ....................................................................................................213

APPENDIX A: ENVIRONMENTAL AND HISTORIC PRESERVATION COMPLIANCE ..221

APPENDIX B: PRIVATE NONPROFIT FACILITY ELIGIBILITY EXAMPLES ..................227

APPENDIX C: WELDED STEEL MOMENT FRAME ............................................................230

APPENDIX D: FREQUENT COMPLIANCE ISSUES WITH COOPERATIVE PURCHASING

PROGRAMS ......................................................................................................232

APPENDIX E: STUMP CONVERSION TABLE ......................................................................233

APPENDIX F: HAZARDOUS STUMP WORKSHEET ............................................................235

APPENDIX G: MOSQUITO ABATEMENT .............................................................................236

APPENDIX H: SNOW ASSISTANCE .......................................................................................238

APPENDIX I: MOLD REMEDIATION .....................................................................................240

APPENDIX J: COST-EFFECTIVE PUBLIC ASSISTANCE HAZARD MITIGATION

MEASURES .......................................................................................................242

APPENDIX K: CONTRACT PROVISIONS .............................................................................247

APPENDIX L: VALIDATION OF APPLICANT-PROVIDED COST ESTIMATES ..............260

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APPENDIX M: ALTERNATIVE PROCEDURES FOR PERMANENT WORK .....................263

APPENDIX N: WORK ELIGIBILITY CONSIDERATIONS BY TYPE OF FACILITY ........265

FIGURES

Figure 1. PA Program Delivery Process ....................................................................................... 19

Figure 2. Map of FEMA Regions ................................................................................................. 37

Figure 3. PA Eligibility Pyramid .................................................................................................. 38

Figure 4. Applicant Eligibility ...................................................................................................... 42

Figure 5. PNP Eligibility............................................................................................................... 43

Figure 6. Categories of Work........................................................................................................ 51

Figure 7. Facility Eligibility .......................................................................................................... 55

Figure 8. SBA Loan Outcomes ..................................................................................................... 58

Figure 9. Cost Eligibility............................................................................................................... 65

Figure 10. Emergency Work Eligibility........................................................................................ 97

Figure 11. Debris on Private Property ........................................................................................ 107

Figure 12. Determining Eligibility of Emergency Berms on Beaches ....................................... 138

Figure 13. Permanent Work Eligibility ....................................................................................... 140

Figure 14. Path of Travel ............................................................................................................ 152

Figure 15. FEMA Hazard Mitigation Programs ......................................................................... 154

Figure 16. Typical Beach Profile ................................................................................................ 181

Figure 17. Work Completion Deadlines ..................................................................................... 196

TABLES

Table 1. PNP Eligible Critical Services ........................................................................................ 45

Table 2. PNP Eligible Noncritical, Essential Social Services ...................................................... 46

Table 3. PNP Ineligible Services .................................................................................................. 47

Table 4. PNP RPA Documentation and Information Requirements ............................................. 47

Table 5. Emergency Work Labor Eligibility ................................................................................ 70

Table 6: Deadlines for Submitting Quarterly Progress Reports ................................................. 193

Table 7. Information to Support SOW Changes ......................................................................... 195

Table 8. Information to Support a Time Extension .................................................................... 197

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FOREWORD

On behalf of the Federal Emergency Management Agency (FEMA), I am pleased to issue this

Fourth Edition (Version 4) of the Public Assistance Program and Policy Guide (PAPPG).

FEMA has archived previous editions at www.fema.gov/assistance/public/policy-guidance-fact-

sheets/policy-archives. FEMA applies this Version 4 to incidents declared on or after June 1,

2020. This version supersedes Version 3.1.

As part of this version of the PAPPG, FEMA has incorporated the Public Assistance Alternative

Procedures for Permanent Work Pilot Policy (FP 104-009-7). This establishes Alternative

Procedures as the first option considered for all large permanent work projects in order to ensure

the ability of Applicants to drive their own recovery. It standardizes a single process for the

development and consideration of fixed cost estimates for all permanent work projects.

Applicants will be able to agree to a fixed cost estimate or choose to pursue funding under

standard, actual cost procedures. This approach maximizes Applicant awareness of the

opportunities and benefits provided by the Alternative Procedures, which include, but are not

limited to:

• Flexibility in meeting post-disaster recovery needs, as opposed to being limited to

rebuilding back to what existed prior to the disaster;

• Ability to share funds across all Alternative Procedures Permanent Work Projects;

• Ability to retain and use excess funds to reduce risk and improve future disaster

operations (subject to timely closeout); and

• Eligibility for cost-effective hazard mitigation on replacement projects.

Appendix M: Alternative Procedures for Permanent Work Pilot, provides additional information

along with a summary of benefits in comparison to the standard Public Assistance (PA)

procedures.

Additionally, this PAPPG Version 4 incorporates the following:

List of Changes and Clarifications Grouped by General Topic

Administrative

Reorganized and simplified language throughout the PAPPG

Incorporated the Program Delivery Process throughout the PAPPG

Updated References and Resources list

Updated Appendix A: Environmental and Historic Preservation Compliance

Added language on outcome-driven recovery (Chapter 2. Operational Coordination)

Incorporated key Grants Management language and requirements such as work completion

definition and deadline requirements throughout the PAPPG

Moved documentation checklists to relevant sections and specified required documents

throughout the PAPPG

Defined policy on logical grouping of damage (Chapter 5:II. Grouping Impacts into Projects)

Incorporated Documentation Retention Requirement (Chapter 12:IV. Documentation Retention

Requirements)

Incorporated Appeal policy (Chapter 3:V.C. Appeal Rights and Requirements)

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Administrative

Incorporated Determination Memo and Administrative Record guidance (Chapter 3:V.B.

Notification of Ineligibility Determination)

Added Closeout policy and documentation requirements (Chapter 12. Final Reconciliation and

Closeout)

Added standard Request for Information deadlines (Chapter 3:V. Eligibility Determinations)

Added definition for site (Chapter 5: Damage and Impact Information)

Added FEMA validation of Applicant-submitted damage information and documentation (Chapter

5:III.B. Site Inspections)

Added requirement for all documentation to be submitted within 90 days of work completion

regardless of obligation status (Chapter 9:II.C. Costs for Projects with All Work Completed)

Applicant Eligibility

Added animal control services, center-based childcare, and food banks to eligible private

nonprofit (PNP) list (Chapter 3:VI.D.2. Private Nonprofit Essential Social Services)

Proration of emergency work on PNP mixed-use facilities (Chapter 4:II.B.1. Mixed-Use Facility)

Clarified that PNP facilities that provide flood control are ineligible (Chapter 3:VI.D.3. Private

Nonprofit Ineligible Services)

Clarified requirements for PNPs exempt from 501c requirement (Chapter 3:VI.D. Private

Nonprofit Organizations)

Clarified Community Development District requirement to serve the public (Chapter 3:VI.D.

Private Nonprofit Organizations)

Moved public broadcasting to PNP critical service table based on Stafford Act (Chapter 3:VI.D.1.

Private Nonprofit Critical Services)

Emergency Work Eligibility

Clarified demolition versus debris (Chapter 7:I.G. Debris Removal from Private Property)

Added reference to Operation Blue Roof (Chapter 7:II.X.1. Operation Blue Roof)

Clarified that FEMA may provide exceptions to demolish commercial structures in limited,

extraordinary circumstances (Chapter 7:II.U.2. Commercially Owned Structures)

Clarified and aligned standby time and pre-positioning of resources (Chapters 6:II.B.7. Standby

Time and 7:II.E. Pre-positioning Resources)

Simplified the opt-in procedure for debris removal Alternative Procedures (Chapter 7:I.A.

Alternative Procedures for Debris Removal)

Removed “temporary” from emergency repair language (Chapter 7:II.X. Emergency Repair or

Stabilization)

Clarified debris clearance vs. debris removal (Chapter 7:II.J. Emergency Access)

Reduced list of services eligible for temporary relocation and added examples of eligible and

ineligible support services (Chapter 7:II.V. Temporary Relocation of Essential Services)

Clarified that Mosquito Abatement may be eligible if any one of the bullet scenarios exists

(Appendix G: Mosquito Abatement)

Eliminated requirement to make at least 10 percent of sheltering capacity available in Host-State

sheltering (Chapter 7:II.O.4. Host-State or Host-Tribe Evacuation and Sheltering)

Refined beach eligibility language (Chapter 7:II.X.4. Emergency Dunes or Berms on Beaches)

Clarified language on essential employees being called-back from leave (Chapter 6:II.B.4.

Essential Employees Called Back from Furlough)

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Emergency Work Eligibility

Clarified that the return of evacuees is eligible (Chapter 7:II.O.1. Evacuation)

Clarified language regarding damage caused during Emergency Work (Chapter 7:III. Damage

Caused During Performance of Emergency Work)

Permanent Work Eligibility

Eliminated Alternate Project reduction (Chapter 8:VIII.A. Capped Project Funding)

Clarified that replacement of moldy construction materials is only eligible as Permanent Work

(Appendix I: Mold Remediation)

Clarified cost-effective mitigation for low slope roofs (Appendix J: Cost-Effective Public

Assistance Hazard Mitigation Measures)

Refined beach eligibility language (Chapter 8:IX.E.1. Beaches)

Clarified eligibility of Americans with Disability Act requirements (Chapter 8:III.G. Accessibility

for Individuals with Disabilities)

Refined hazard mitigation policy language (Chapter 8:IV.A. Public Assistance Hazard Mitigation)

Defined which Flood Control Works are under authority of the Natural Resources Conservation

Service (Chapter 8:IX.B.2. Flood Control Works)

Cost Eligibility

Added language on cost share matching with Other Federal Agency funds (Chapter 1:IV.E.

Federal Cost Share)

Clarified PNP cost ineligibility when a PNP declines or misses the deadline to apply for a disaster

loan from the Small Business Administration (Chapter 4:II.B.2. Small Business Administration

Loan Requirement)

Clarified Small Business Administration loan requirement for PNP mixed-use facilities (Chapter

4:II.B.2. Small Business Administration Loan Requirement)

Incorporated additional language on procurement and contracting (Chapter 6:VIII. Procurement

and Contracting Requirements)

Added language on what costs are covered by increased cost shares (Chapter 6:XIII. Increased

Federal Cost Share for a Limited Timeframe)

Explained difference between project management and grant management costs (Chapter 6:XV.

Project Management and Design Services and XVI. Grant Management and Administration)

Clarified eligibility of costs related to pursuing insurance proceeds (Chapter 6:XVIII.A. Insurance

Proceeds)

Added language on eligibility of interest on loans (Chapter 6.XX. Interest on Loans)

Incorporated increased operating cost clarifications, including ineligibility of costs related to

transportation of students to alternate schools or temporary facilities, staff being held-over to cover

shifts, and new landfills (

Chapter 7:II.F. Expenses Related to Operating a Facility or Providing a

Service)

Clarified that the minimum threshold does not apply to Donated Resources or Management Costs

(Chapter 9:II.A. Project Thresholds)

Allowing Small Project completed work to be estimated and certified (Chapter 9:II.C. Costs for

Projects with All Work Completed)

V4 2020 Page 15

Cost Eligibility

Added language conveying that FEMA does not re-evaluate reasonable costs on Alternative

Procedure Permanent Work Pilot projects (Chapter 9:II.E.6. Fixed-Cost Offer for Alternative

Procedures Projects)

Eliminated allowance for insurance adjustments on individual small projects (Chapter 12:I.A.

Project Reconciliation and Closeout, Small Projects)

Policy and Guidance Documents Incorporated and Superseded

FEMA Recovery Policy, Public Assistance Donated Resources

FEMA Recovery Policy FP 104-09-12, Public Assistance Alternative Procedures Pilot

Program for Debris Removal

FEMA Recovery Policy FP 104-009-7, Public Assistance Alternative Procedures Pilot

Program - Permanent Work Standard Operating Procedures

Public Assistance Alternative Procedures for Permanent Work Pilot (Version 4)

FEMA Fact Sheet, Public Assistance: Procurement Conducted Under Exigent or

Emergency Circumstances

FEMA Fact Sheet, Public Assistance: Purchasing Goods or Services through Cooperative

Purchasing Programs

FEMA Fact Sheet, Public Assistance: Private Property Debris Removal

FEMA Fact Sheet, Public Assistance: Contracting Requirements Checklist

FEMA Job Aid, Public Assistance: Reasonable Cost Evaluation

FEMA’s Public Assistance Program Interim Guidance on 2 C.F.R. Part 200

March 15, 2019, memo: FEMA’s Approved Cost Estimating Methodology

July 9, 2018, memo: Policy Clarification for Public Assistance Hydrologic and Hydraulic

Study Requirements for Drainage Structures and Culverts

March 15, 2019, memo: FEMA Public Assistance Repair Versus Replacement Policy

Clarification

April 11, 2018, memo: FEMA Public Assistance Eligibility of Private Nonprofit Elementary

and Secondary Schools

Public Assistance Program Field Operations Pocket Guide

Public Assistance Program Management and Grant Closeout Standard Operating

Procedure (SOP 9570.14), December 2013

FEMA Instructional Guidance, Public Assistance Expedited Projects

Guidance Documents Summarized and Referenced

FEMA Fact Sheet Public Assistance Appeals and Arbitration Under the Disaster Recovery

Reform Act

V4 2020 Page 16

Guidance Documents Summarized and Referenced

State Led Public Assistance Guide

Damage Assessment Operations Manual

FEMA Recovery Policy FP 104-11-2, Public Assistance Management Costs (Interim)

FEMA Recovery Interim Policy FP 104-009-11, Consensus-Based Codes, Specifications

and Standards for Public Assistance (Chapter 8:III.B, FEMA Consensus-Based Codes,

Specifications and Standards)

FEMA makes updates to the PAPPG at www.fema.gov/assistance/public/policy-guidance-fact-

sheets on an annual basis when necessary and conducts a comprehensive review no less than

every three years. We look forward to your feedback to help inform the next version. FEMA

staff may send policy recommendations through the PA Change Control Tool at

usfema.sharepoint.com/teams/ORRApps/NewPA/Pages/SubmitRequest-CCT-P3.aspx. Recipients and

Applicants may request changes via email at FEMA-Recovery-PA-Policy@fema.dhs.gov.

Keith Turi

Assistant Administrator

Recovery Directorate

V4 2020 Page 17

INTRODUCTION

I. Public Assistance Program Overview

The mission of the Federal Emergency Management Agency’s (FEMA’s) Public Assistance

(PA) Program is to provide assistance to State, local, Territorial, or Tribal, and local (SLTT)

governments, and certain types of private nonprofit (PNP) organizations so that communities can

quickly respond to and recover from major disasters or emergencies declared by the President.

Through the PA Program, FEMA provides supplemental Federal grant assistance for debris

removal, emergency protective measures, and the restoration of disaster-damaged, publicly

owned facilities and specific facilities of certain PNP organizations. The PA Program also

encourages protection of these damaged facilities from future incidents by providing assistance

for hazard mitigation measures. FEMA provides this assistance based on authority in statutes,

executive orders (EOs), regulations, and policies.

II. Authorities

FEMA provides assistance based on authorities defined in statutes and regulations. These

authorities also specify requirements that must be met. When the PAPPG uses the words “must”

or “required,” it is a legal requirement. The Applicant jeopardizes its PA funding if it does not

comply with these requirements.

A. Statutes

Statutes are Federal laws passed by the U.S. Congress and signed by the President. All PA

Program assistance must comply with all applicable statutes. The statute that authorizes FEMA

to provide assistance via the PA Program is the Robert T. Stafford Disaster Relief and

Emergency Assistance Act, as Amended (Stafford Act), Title 42 of the United States Code

(U.S.C.) § 5121 et seq.

The following sections of the Stafford Act specifically authorize the

assistance FEMA provides under the PA Program:

• Title I – Findings, Declarations and Definitions

• Title III – Major Disaster and Emergency Assistance Administration

o Sec. 311. Insurance

o Sec. 312. Duplication of Benefits

o Sec. 324. Management Costs

• Title IV – Major Disaster Assistance Programs (applies to Major Disaster Declarations)

o Sec. 403. Essential Assistance

o Sec. 406. Repair, Restoration, and Replacement of Damaged Facilities

o Sec. 407. Debris Removal

o Sec. 428. Public Assistance Program Alternative Procedures

 Section 428 of the Stafford Act authorizes FEMA to provide specific exceptions,

or “Alternative Procedures,” to PA Program regulations.

FEMA is currently

www.fema.gov/disasters/stafford-act.

The Robert T. Stafford Disaster Relief and Emergency Assistance Act, Public Law 93-288, as Amended (Stafford

Act) § 428, Title 42 of the United States Code (U.S.C.) § 5189f.

V4 2020 Page 18

piloting these Alternative Procedures as optional procedures. These procedures

are available to each Applicant on a voluntary basis. The specific alternatives are

presented throughout this document, where applicable.

• Title V – Emergency Assistance Programs (applies to Emergency Declarations)

o Sec. 502. Federal Emergency Assistance

• Title VII – Miscellaneous

o Sec. 705. Disaster Grant Closeout Procedures

B. Regulations

Regulations are Federal rules with the force and effect of law that implement a statute based on a

Federal agency’s interpretation of that statute.

FEMA and any

entity receiving PA assistance must comply with all applicable

Federal Regulations.

FEMA publishes PA Program rules in the following parts of Title

44 of the Code of Federal Regulations (C.F.R.), Emergency

Management and Assistance:

• Part 206 Subpart G, Public Assistance Project

Administration;

• Part 206 Subpart H, Public Assistance Eligibility; and

• Part 206 Subpart I, Public Assistance Insurance

Requirements.

The Office of Management and Budget establishes regulations

regarding administrative requirements, cost principles, and audit

requirements in 2 C.F.R. Part 200, Uniform Administrative Requirements, Cost Principles, and

Audit Requirements for Federal Awards.

III. Document Purpose and Use

FEMA issues policy to articulate the Agency’s intent and direction in applying statutory and

regulatory authority to achieve desired outcomes. The purpose of the Public Assistance Program

and Policy Guide (PAPPG) is to define FEMA’s PA Program and its policy and procedural

requirements. Only the Assistant Administrator of Recovery at FEMA Headquarters has the

authority to modify or waive PA Policy.

The PAPPG provides high-level program delivery information and describes important PA

functions that occur throughout the entire program delivery lifecycle.

FEMA staff use the PAPPG to guide decision-making and ensure consistent implementation of

the PA Program across the Nation. Separate FEMA policies and guidance documents that apply

Stafford Act § 321, 42 U.S.C. § 5164.

Title 44 of the Code of Federal Regulations (C.F.R.) § 206.200(b). The electronic version of the C.F.R. is available

at www.ecfr.gov

Stafford Act § 325, 42 U.S.C. § 5165c; 44 C.F.R. § 1.4.

V4 2020 Page 19

to the PA Program are referenced where applicable and listed in the References and Resources

section at the end of the PAPPG.

IV. Scope

The PAPPG provides comprehensive PA policy to use when evaluating eligibility. It includes

FEMA’s policy statements and provides a summary of each step of the PA Program lifecycle

beginning with pre-declaration activities through closure of the PA Program award for a declared

incident. Figure 1 below provides an overview of the PA Program delivery process. The PAPPG

references and provides weblinks to other FEMA policies and documents such as standard

operating procedures and job aids that provide detailed instructions for individuals involved with

implementing each of the various steps.

Figure 1. PA Program Delivery Process

V. Applicability

FEMA applies Version 4 of the PAPPG to incidents declared on or after June 1, 2020.

Individuals who have responsibilities managing, implementing, or pertaining to the PA Program

should refer to the PAPPG for PA policy and procedural requirements.

VI. Document Management and Maintenance

FEMA generally publishes proposed PA policy language for public comment prior to publishing

in this document.

When the policy is deemed significant, FEMA publishes it in the Federal

Stafford Act § 325, 42 U.S.C. § 5165c.

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FEMA conducts a comprehensive review of this publication no less than every three

years. FEMA staff may send policy recommendations through the PA Change Control Tool at

usfema.sharepoint.com/teams/ORRApps/NewPA/Pages/SubmitRequest-CCT-P3.aspx.

Recipients and Applicants may request changes via email at FEMA-Recovery-PA-

Policy@fema.dhs.gov.

FEMA is required to publish policies for comment if they are deemed “significant” by the Office of Management

and Budget, pursuant to Executive Order 12866.

V4 2020 Page 21

CHAPTER 1: PRE-AWARD ACTIVITIES

The Stafford Act

authorizes the President to provide Federal assistance when the magnitude of

an incident or threatened incident exceeds the affected State,

local

Territorial, and Indian

Tribal

government capabilities to respond or recover. This chapter explains procedures and

requirements for activities that occur during the pre-award phase, including the process for

requesting a Presidential declaration, FEMA’s evaluation criteria, the contents of the declaration,

and the initial administrative requirements for a State, Territorial, or Tribal government to

receive assistance.

I. Preliminary Damage Assessment

When a State, Territorial, or Tribal government determines that an incident may exceed SLTT

capabilities to respond, it requests a joint Preliminary Damage Assessment (PDA) with FEMA.

Federal, SLTT government, and certain PNP organization officials work together to estimate and

document the impact and magnitude of the incident.

Accurate and comprehensive PDAs are

critical to enabling efficient response and recovery. FEMA’s Damage Assessment Operations

Manual

provides detailed information to assist staff involved with damage assessments and

describes how FEMA utilizes the information when evaluating requests for Major Disaster

Declarations.

II. Declaration Request

The Governor

or Tribal Chief Executive

may request a declaration from the President

through FEMA. A Tribal government may elect to be a Recipient

or a Subrecipient

under a

www.fema.gov/disasters/stafford-act.

Stafford Act § 102(4), 42 U.S.C. § 5122; 44 C.F.R. § 206.2(a)(22), State governments include the District of

Columbia, American Samoa, the Commonwealth of the Northern Mariana Islands, Guam, Puerto Rico, and the U.S.

Virgin Islands.

Stafford Act § 102(8), 42 U.S.C. § 5122; 44 C.F.R. § 206.2(a)(16), local governments include counties,

municipalities, cities, towns, townships, local public authorities, school districts, special districts established under

State law, intrastate districts, councils of governments (regardless of whether the council of governments is

incorporated as a nonprofit corporation under State law), regional or interstate government entities, agencies or

instrumentalities of a local government; State-recognized Tribes; and rural communities, unincorporated towns or

villages, or other public entities, for which an application for assistance is made by a State or political subdivision of

a State.

Stafford Act § 102(6), 42 U.S.C. § 5122; 44 C.F.R. § 206.201(i), an Indian Tribal Government is any Indian or

Alaska Native tribe, band, nation, pueblo, village, or community listed as an Indian Tribe under the Federally

Recognized Indian Tribe List Act of 1994. Hereinafter referred to as Tribal Government.

44 C.F.R. § 206.33(a).

44 C.F.R. § 206.33(b).

www.fema.gov/disasters/preliminary-damage-assessment-reports/guide.

Stafford Act § 102(5), 42 U.S.C. § 5122; 44 C.F.R. § 206.2(12).

Stafford Act § 102(12), 42 U.S.C. § 5122.

44 C.F.R. § 206.201(e). Per 2 C.F.R. § 200.86, A Recipient is an entity that receives a Federal award directly from

a Federal awarding agency to carry out an activity.

Per 2 C.F.R. § 200.93, a Subrecipient is an Applicant that receives a subaward from a pass-through entity to carry

out part of a Federal program.

V4 2020 Page 22

State or Territorial declaration or request its own declaration as a Recipient.

The Governor,

and/or the Tribal Chief Executive if the Tribal

Government wishes to be its own Recipient, must

submit the request no later than 30 days after the

incident occurs.

FEMA may extend the deadline

if the Governor or Tribal Chief Executive submits

a written time extension request within 30 days of

the incident stipulating the reason for the delay.

When a severe or catastrophic incident occurs, the

Governor or Tribal Chief Executive may submit a

declaration request prior to completion of the

PDA.

This is referred to as an expedited

declaration request. In such circumstances,

assistance is generally limited to that which would

address immediate needs based on rapid

assessments until the PDA is completed.

III. Declaration Evaluation

FEMA uses PDA information to evaluate the need for assistance under the PA Program.

A. State and Territorial Governments

For State and Territorial governments, FEMA’s evaluation is based on six primary factors:

• Estimated cost of assistance;

• Insurance coverage;

• Other Federal agency programs;

• Localized impacts;

• Hazard mitigation; and

• Recent multiple disasters.

FEMA reviews the facility and cost information to ensure that the estimated costs include all

appropriate insurance reductions and do not include costs related to facilities under the authority

of another Federal agency. FEMA then compares the estimated eligible amounts to the

established annual per capita indicators. To account for localized impacts when the statewide per

A Tribal Governmental may also receive one type of assistance under a State or Territorial declaration and another

type of assistance under its own declaration, provided there is no duplication of benefits. Additional information for

Tribal declarations is available at www.fema.gov/about/organization/tribes.

Stafford Act §§ 401 and 501, 42 U.S.C. §§ 5170 and 5191; 44 C.F.R. §§ 206.35 and 206.36. For Emergency

Declarations, the Governor or Tribal Chief Executive must submit the request within 5 days after the need for

assistance becomes apparent. For Major Disaster Declarations, the Governor or Tribal Chief Executive should

submit the request as soon as possible after completion of the Joint PDA. Information and forms for Presidential

declaration requests are available at www.fema.gov/disasters/request-for-presidential-disaster-declaration, and for

Tribal governments specifically, www.fema.gov/disasters/tribal-declarations.

44 C.F.R. §§ 206.35(a) and 206.36(a).

44 C.F.R. § 206.33(d).

44 C.F.R. § 206.48(a).

Terminology: Recipients,

Subrecipients, and Applicants

When an entity applies for PA funding, it is the

Applicant. Once the Applicant receives funding,

it is either the Recipient, pass-through entity or

a Subrecipient. For simplicity, FEMA uses the

term Applicant throughout this document when

referring to the responsible entity for a project

rather than making distinctions between an

entity as the Applicant, Recipient, pass-through

entity, or Subrecipient. FEMA uses the terms

Recipient and Subrecipient when necessary to

differentiate between the two entities.

Page 23

capita impact is low, FEMA evaluates whether there are extraordinary concentrations of damage

resulting in significantly high per capita impacts at the local government level.

To encourage hazard mitigation, FEMA considers whether SLTT government mitigation

measures taken prior to the incident likely reduced the damage impacts, especially if such

mitigation averted damage that would have increased the estimated eligible cost above the per

capita indicator.

Understanding that the effects of multiple disasters in a confined period of time can affect

response and recovery capabilities, FEMA also evaluates the overall impacts of Federal and

State, Territorial, or Tribal declarations that have occurred within the past 12 months and the

extent to which the State, Territorial, or Tribal government has spent its own funds. If there were

disasters prior to the 12-month period that still have substantial impacts on SLTT governments,

FEMA may also consider impacts from these disasters.

B. Tribal Governments

Tribal governments requesting a declaration have different declaration factors than State and

Territorial governments. PA declaration factors for tribes include:

• Estimated cost of assistance (minimum damage amount of $250,000);

• Insurance coverage;

• Other Federal agency programs;

• Hazard mitigation;

• Recent multiple disasters (previous 24 months);

• Types and amounts of damage;

• Economic impact of the damage to the community and government;

• Tribal resources available for response and recovery;

• Demographics of the impacted community;

• Impact on community infrastructure;

• Unique conditions that affect Tribal governments (e.g., remoteness, economy, cultural

considerations); and

• Other relevant information.

Additional detail is provided in the Tribal Declaration Pilot Guidance.

IV. Presidential Declaration

For FEMA to provide assistance, the President must declare that an emergency or major disaster

exists. The declaration

establishes the:

• Type of incident;

• Incident period;

• Designated areas;

• Types of assistance;

• Federal cost share; and

www.fema.gov/disasters/tribal-declarations.

Each Presidential declaration is available at www.fema.gov/disasters/disaster-declarations.

V4 2020

V4 2020 Page 24

• Federal Coordinating Officer (FCO).

A. Type of Incident

The declaration designates the type of incident (e.g., hurricane, tsunami, or earthquake). For

Emergency Declarations, an incident is any instance that the President determines warrants

supplemental emergency assistance to save lives and protect property and public health and

safety, or to lessen or avert the threat of a catastrophe.

For Major Disaster Declarations, an

incident is any natural catastrophe (including any hurricane, tornado, storm, high water, wind

driven water, tidal wave, tsunami, earthquake, volcanic eruption, landslide, mudslide,

snowstorm, or drought), or, regardless of cause, any fire, flood, or explosion.

Major Disaster

Declarations may include a combination of incident types, such as storms and landslides.

B. Incident Period

The declaration designates the incident period. The incident period is the span of time during

which the federally declared incident occurs.

This period varies in length, depending on the

incident.

C. Designated Areas

The declaration designates which areas (e.g., county, parish, city, or Tribal government) are

eligible to receive Federal assistance.

FEMA may add additional areas after the initial

designation. However, for FEMA to consider adding an additional area, the Governor or

Governor’s Authorized Representative (GAR)

or, for Tribal declarations, the Tribal Chief

Executive or Tribal Authorized Representative (TAR) must request the addition within 30 days

of the declaration date or the end of the incident period, whichever is later.

FEMA may extend

the deadline if the Governor, GAR, Tribal Chief Executive, or TAR submits a written time

extension request within the 30-day deadline with justification of the inability to meet the

deadline.

D. Types of Assistance

The declaration designates the types of Federal assistance authorized.

The President may

authorize assistance to individuals, households, and SLTT governments, and certain types of

PNP organizations. FEMA provides assistance to individuals and households via its Individual

Assistance (IA) programs. FEMA provides assistance to SLTT governments and certain types of

PNP organizations via its PA Program. The type of assistance authorized may vary among

designated areas.

FEMA may add additional types of assistance after the declaration. However,

for FEMA to consider adding additional types of assistance, the Governor or GAR or, for Tribal

declarations, the Tribal Chief Executive or TAR must request the assistance within 30 days of

Stafford Act § 102(1), 42 U.S.C. § 5122; 44 C.F.R. § 206.2(a)(9).

Stafford Act § 102(2), 42 U.S.C. § 5122; 44 C.F.R. § 206.2(a)(17).

44 C.F.R. § 206.32(f).

44 C.F.R. §§ 206.2(a)(6) and 206.40(b).

44 C.F.R. §§ 206.2(a)(13) and 206.41(d).

44 C.F.R. § 206.40(c).

44 C.F.R. § 206.40(d).

44 C.F.R. § 206.40(a).

Page 25

the declaration date or the end of the incident period, whichever is later.

FEMA may extend the

deadline if the Governor, GAR, Tribal Chief Executive,

or TAR submits a written time extension request within

the 30-day deadline with justification of the inability to

meet the deadline.

Tribal governments may receive one

type of assistance under a State or Territorial declaration

as a Subrecipient and another type of assistance under its

own declaration as a Recipient, provided there is no

duplication of benefits.

FEMA Regional Administrators (RAs)

have the

authority to issue Fire Management Assistance Grant

(FMAG) declarations for wildfires that threaten such

destruction that would constitute a major disaster.

The FMAG Program is separate and distinct

from the PA Program. FMAG declaration criteria, eligibility, and other program information are

available at 44 C.F.R. Part 204, Fire Management Assistance Grant Program, and in FEMA’s

Fire Management Assistance Grant Program Guide (FEMA P-954).

If significant damage occurs as a result of one or more FMAG fire incidents, the Governor or

Tribal Chief Executive may subsequently request a Major Disaster Declaration for the fire

incident(s). FEMA evaluates such requests based on damage and costs not covered under the

FMAG Program, such as public infrastructure damage. If the President declares a Major Disaster

and authorizes the PA Program, FEMA usually funds all costs related to those fire incidents

under the PA Program for efficiency in administration of assistance and to avoid a duplication of

benefits between programs.

E. Federal Cost Share

The assistance FEMA provides through its PA Program is subject to a cost share.

The cost

share ensures local interest and involvement through financial participation. The Federal share is

not less than 75 percent of the eligible costs.

FEMA may recommend an increase up to 90

percent if actual Federal obligations, excluding administrative costs, meet or exceed a qualifying

threshold.

For Emergency Work specifically, the Federal cost share may be increased in limited

circumstances, and for limited periods of time, if warranted.

See Chapter 6:XIII, Increased

Federal Cost Share for a Limited Timeframe, for details on how FEMA applies the increased

Federal cost share.

44 C.F.R. § 206.40(c).

44 C.F.R. § 206.40(d).

44 C.F.R. § 206.2(a)(21).

Stafford Act § 420, 42 U.S.C. § 5187; 44 C.F.R. Part 204.

www.fema.gov/assistance/public/fire-management-assistance.

44 C.F.R. § 206.203(b).

Stafford Act §§ 403(b), 406(b), 407(d), and 503(a), 42 U.S.C. §§ 5170b, 5172, 5173, 5193; 44 C.F.R. §

206.47(a) and 206.65.

44 C.F.R. § 206.47(b).

44 C.F.R. § 206.47(d).

V4 2020

Terminology

A project is a logical grouping of work

required as a result of the declaration.

The damage description, scope of

work, and costs are documented in the

project, which is the basis for PA

funding. 44 C.F.R. § 206.201(k).

V4 2020 Page 26

The Applicant can only apply other Federal award funds toward the PA non-Federal cost share if

the other Federal agency has specific statutory authority allowing its funds to be used to meet

cost-share requirements.

For example, the U.S. Department of Housing and Urban

Development’s (HUD’s) Community Development Block Grant (CDBG) program may be used

for the non-Federal share on PA projects if certain requirements are met. FEMA applies the cost

share at the project level. Therefore, any other agency’s Federal funds must be applied at the

project level and may not be used across multiple projects (with exception of Permanent Work

Alternative Procedure projects as described in Chapter 8:VIII. Capped Projects). Further, if the

Applicant uses funds from another Federal agency to meet the non-Federal share, it must meet all

requirements of the other agency as well as all PA Program requirements. The Applicant cannot

apply PA funds toward the non-Federal cost share of other Federal agency awards.

V. Recipient Administrative Requirements

When the Presidential declaration authorizes

assistance to SLTT governments and certain types

of PNP organizations, FEMA implements the PA

Program. The Recipient is responsible for

completing an application for assistance and

submitting required documents before FEMA can

provide PA funding. This section describes the

required documents. The Recipient may upload

these documents into PA Grants Portal at the Event

Level (see Chapter 3:I, Public Assistance Web-

based Systems). If the document is related to

multiple disasters, such as a Hazard Mitigation Plan,

the Recipient should upload it to its Organizational

Profile.

A. Application for Federal Assistance

The declared State, Territorial, or Tribal government must complete and submit Standard Form

(SF) 424, Application for Federal Assistance, and SF-424D, Assurances for Construction

Programs

before FEMA provides assistance. The SF-424 includes the period of performance

(POP) for the PA award (referred to as the prime award). The prime award POP begins on the

first day of the incident period and initially extends four years from the declaration date.

B. FEMA-State/Territory/Tribe Agreement

After every declaration, the applicable State, Territorial, or Tribal government enters into an

agreement with FEMA regarding the understanding, commitments, and conditions under which

FEMA provides assistance (FEMA-State/Territory/Tribe Agreement). FEMA and the Governor

or Tribal Chief Executive must sign this agreement before FEMA provides assistance. If

necessary, because of exigent circumstances, FEMA may authorize essential emergency services

Stafford Act § 312, 42 U.S.C. § 5155.

44 C.F.R. § 206.202(e). The SF-424 forms are available at www.grants.gov/web/grants/forms/sf-424-family.html.

Recipient-Led Public Assistance

Disasters

FEMA may approve a Recipient to manage PA

disasters. Recipients may choose a scalable

approach by performing any one or more of

the following key functions: customer

service, site inspections, and scoping and

costing. The State-Led Public Assistance

Guide provides guidance on the processes,

resources, and capabilities required

(www.fema.gov/sites/default/files/2020-07/

fema_state-led-public-

assistance_Guide_2-1-2019.pdf).

V4 2020 Page 27

or housing assistance under the Individuals and Households Program (IHP) while the agreement

is in process for signature.

C. Payment Management System

FEMA provides PA funding to Recipients via the U.S. Department of Health and Human

Services (HHS) Payment Management System. Therefore, if an entity is a Recipient for the first

time, it must request access to the Payment Management System and complete the Direct

Deposit Form (SF-1199A) to obtain a FEMA-specific account before FEMA can provide

funding.

D. Administrative Plan

Recipients must have a FEMA-approved Administrative Plan that describes how it intends to

administer the PA Program before FEMA provides PA funding for any project. At a minimum,

the Administrative Plan must include:

• The agencies responsible for program administration;

• Identification of staffing functions, the source of staff to fill the functions, the

management and oversight responsibilities of each function; and

• Procedures for:

o Notifying potential Applicants of the availability of the PA Program;

o Conducting Applicant Briefings;

o Assisting FEMA in determining Applicant eligibility;

o Participating with FEMA in conducting PDAs;

o Participating with FEMA in establishing PA mitigation and insurance requirements;

o Processing appeals, time extension requests, and other project-related

correspondence;

o Complying with Environmental and Historic Preservation (EHP) requirements;

o Complying with PA administrative requirements including, but not limited to,

procurement, contracting, and closeout;

o Complying with audit requirements;

o Requesting reimbursement or advanced funds; and

o Determining staffing and budgeting requirements for proper management of the PA

Program.

A Recipient must submit its Administrative Plan to FEMA on an annual basis and an amendment

for each incident that occurs within the year if needed to meet current policy guidance or to

address the specifics of the new incident. The Recipient must incorporate the approved

Administrative Plan into its State, Territorial, or Tribal emergency plan.

E. Hazard Mitigation Plan

Hazard mitigation is most effective when implemented under a comprehensive, long-term

mitigation plan. SLTT governments engage in hazard mitigation planning to identify risks and

44 C.F.R. § 206.44(a).

The Payment Management System Access Form and the SF-1199A are available at pms.psc.gov/.

44 C.F.R. § 206.207(b). An administrative plan template is available here.

V4 2020 Page 28

vulnerabilities associated with natural disasters and develop long-term strategies for protecting

people and property from future incidents. Recipients must have a FEMA-approved Hazard

Mitigation Plan before FEMA can provide PA funding for any Permanent Work.

The Recipient

must show in its plan how it intends to reduce risks from natural hazards and must update the

plan every 5 years.

Tribal governments must meet the requirements of 44 C.F.R. § 201.7, Tribal Mitigation Plans.

States and Territories must meet the requirements of 44 C.F.R. § 201.4, Standard State

Mitigation Plans or have an Enhanced Mitigation Plan that meets the requirements of 44 C.F.R.

§ 201.5, Enhanced State Mitigation Plans.

44 C.F.R. § 201.3(c)(1) and (e)(1).

Additional information about the mitigation plan requirement is available here.

Page 29

CHAPTER 2: OPERATIONAL

COORDINATION

FEMA leads implementation of Stafford Act authorities and coordination of Federal assistance to

impacted communities. FEMA’s goal is to help communities recover by focusing on their

desired goals and outcomes. FEMA refers to this as outcome-driven recovery. This is a problem-

solving approach that promotes unity of effort among stakeholders to identify recovery needs,

vision, and goals, and to resource holistic recovery solutions. It emphasizes the need for

integration of all partners in recovery, appropriate and consistent coordination, and transparency

to ensure that a community can set its own goals and priorities, identify strategies to access

funding and other resources to meet its goals, and effectively implement projects. This chapter

describes how Federal, State, Territorial, and

Tribal leadership coordinate during response and

recovery operations to ensure successful

outcomes.

FEMA conducts incident operations based on the

national comprehensive, systematic approach set

forth by the National Incident Management System

(NIMS).

NIMS is designed to ensure that local

jurisdictions retain command, control, and

authority over response and recovery activities for

their jurisdictional areas. It establishes consistent

structure, concepts, principles, processes, and

language at a national level enabling efficient

coordination of emergency management

operations across all levels of government.

The National Response Framework (NRF) and

National Disaster Recovery Framework (NDRF)

build upon NIMS by defining the core capabilities

necessary for response and recovery and fostering

a holistic, collaborative approach, emphasizing the

need for the involvement of the whole community

(individuals, families, households, communities,

private and nonprofit sectors, faith-based

organizations, and all levels of government). The

NRF and NDRF detail Federal and SLTT

government roles and responsibilities during

response and recovery operations.

www.fema.gov/emergency-managers/nims.

www.fema.gov/emergency-managers/national-preparedness/frameworks/recovery.

V4 2020

Incident Command System

The Incident Command System (ICS) is a key

component of NIMS and is the organizing

principle for Federal response and recovery

operations. Refer to the Incident Management

Handbook for more information on how FEMA

applies ICS.

Basic elements of ICS include:

• Establishes common terminology

• Allows organizational structures to be

scalable based on the size, complexity,

and needs of the operation.

• Establishes a common set of objectives to

develop strategies, issue assignments,

establish tactics, and document results.

• Utilizes a centralized, coordinated Incident

Action Plan (IAP) to guide all activities and

manage all resources including personnel,

teams, equipment, supplies, and facilities.

• Promotes effective management by

ensuring:

o Unity-of-command;

o Chain-of-command; a

o Span-of-control.

V4 2020 Page 30

I. Operational Priorities

A. Community Lifelines

Lifelines are the most fundamental services in the community, that, when stabilized, enable all

other aspects of society. FEMA and other Emergency Management organizations use community

lifelines to establish and track operational priorities during incident stabilization. The seven

lifelines are:

• Safety and security;

• Food, water, and sheltering;

• Health and medical;

• Energy (power and fuel);

• Communications;

• Transportation; and

• Hazardous materials.

Lifelines provide indispensable service to enable the continuous operation of critical business

and government services. Analyzing impacts to each of the lifelines allows decision-makers to:

• Rapidly determine whether an incident is large or complex;

• Prioritize and focus response efforts to maintain or restore the most critical services and

infrastructure;

• Ensure limited resources can go toward a common goal that requires involvement across

the whole community; and

• Promote a response that fosters better integration and communication across the whole

community since lifeline management transcends public and private sector boundaries.

FEMA’s Community Lifelines Implementation Toolkit

provides comprehensive information

and resources for implementing lifelines during incident response.

B. Incident Action Plan

The Incident Action Plan (IAP) is a written plan

defining the objectives for managing the overall

incident and addressing the operational priorities.

FEMA and the State, Territory, or Tribe develop

the IAP through a series of meetings which occur

once during each Operational Period (O-Period).

The O-Period is the timeframe designated to

execute a specific set of actions. During the

response phase, this is typically 12-24 hours and

FEMA usually expands it to 48-96 hours or longer

as the operation shifts into the recovery phase. The

IAP is initially organized by lifeline stabilization

priorities and shifts to recovery outcome priorities

as the lifelines stabilize.

www.fema.gov/emergency-managers/practitioners/lifelines-toolkit.

IAP Collaborative Meetings

FEMA and the State, Territorial, or Tribal

government conduct a series of meetings

throughout the IAP process to identify

incident objectives and share situational

awareness. The meetings include:

• Initial incident briefing

• Command and general staff meeting

• Operational tactics meeting

• Planning meeting

• Operations briefing

A meeting schedule (ICS Form 230) describes

meeting locations and required attendees.

Page 31

The IAP provides the following information:

• Work assignments delineated by division and group;

• Resources required to complete work assignments;

• Operational facilities and reporting locations for plan execution; and

• Organization charts, contact information, and medical, safety, and communications plans.

The PA Group Supervisor (PAGS) ensures that PA Program work assignments, information, and

contributions toward larger recovery outcomes are accurately reflected in the IAP. For additional

information on the IAP process, see the Incident Action Planning Guide.

II. Response and Recovery Coordination

Federal, State, Territorial, and Tribal government coordination begins with response during the

pre-award phase and continues through the completion of recovery operations and closeout of

the award. Response operations begin to transition to recovery when immediate threats to health

and safety begin to stabilize. This timeframe varies by entity depending on the level of impact

and response capabilities.

A. Response Coordination

FEMA operates 24-hour National and Regional Watch Centers that provide national and regional

awareness on potential, developing, or ongoing situations that may require a coordinated Federal

response. When warranted, based on situational awareness provided by the Watch Centers,

FEMA activates its National and Regional Response Coordination Centers (NRCC/RRCC).

These coordination centers function as multi-agency coordination facilities to prepare for and

respond to the immediate needs of an incident, as identified by the State, Territorial, or Tribal

government. The RA determines when to activate the RRCC. The FEMA Administrator may

activate the NRCC when incidents cross regional borders, have broad geographic implications,

or are nationally significant. The NRCC allocates and prioritizes national resource deployments

and coordinates with the RRCC to provide additional support for immediate needs.

As described in the NRF various agencies that provide response capabilities are grouped into

Emergency Support Functions (ESFs). During response, ESFs are a critical mechanism to

coordinate functional capabilities and resources provided by Federal departments and agencies,

along with certain private-sector and nongovernmental organizations. ESFs are activated

selectively and may not be activated for all incidents. The NRF describes the composition and

mission functions of each of the ESFs.

When FEMA activates the RRCC or NRCC, it also activates representatives from the appropriate

ESFs to deploy to the RRCC or NRCC to support incident objectives consistent with the purpose

and scope defined in the NRF annex for each of the ESFs. PA typically staffs a position in the

RRCC or NRCC to support incident objectives related to debris removal and critical

infrastructure (facilities that provide transportation, energy, communications, water, or

emergency services). This position coordinates activities of ESFs 1 (Transportation), 3 (U.S.

Army Corps of Engineers), 10 (U.S. Environmental Protection Agency), and 12 (Energy).

The Incident Action Planning Guide is available at www.fema.gov/sites/default/files/2020-07/

Incident_Action_Planning_Guide_Revision1_august2015.pdf.

The NRF is available at www.fema.gov/emergency-managers/national-preparedness/frameworks/response.

V4 2020

V4 2020 Page 32

FEMA’s National Incident Support Manual (NISM) provides additional information on NRCC

operations.

B. Recovery Coordination

FEMA’s goal throughout the recovery phase is to assist communities and Applicants with

achieving desired outcomes and building resilience. The National Preparedness Goal

identifies

eight core capabilities that are critical for recovery. Various agencies that provide these recovery

capabilities are grouped into the following six Recovery Support Functions (RSFs)

Community Planning and Capacity Building; Economic Recovery; Health and Social Services;

Housing; Infrastructure Systems; and Natural and Cultural Resources. As ESF activities subside,

RSF activities ramp up and require continued information sharing and coordination.

RSFs support SLTT recovery efforts by coordinating among Federal and SLTT agencies and

nongovernmental and private organizations to problem-solve and improve access to needed

resources. The NDRF further describes the composition and mission of each RSF.

Activation

of each RSF depends on incident-specific recovery issues.

The Federal Interagency Operational Plan (FIOP)

describes how Federal recovery field

leadership, RSFs, and related entities work in coordination with nongovernmental and private

organizations to support SLTT recovery efforts. It provides a flexible structure for disaster

recovery leaders to address the specific needs of the incident and enhance sustainability and

resilience of communities in a unified and collaborative manner.

1. Field Operations

Prior to a declaration, FEMA may deploy a Regional

or National Incident Management Assistance Team

(IMAT) to provide additional situation awareness

and manage Federal response operations from the

field in the initial days or weeks after an incident.

Once the President issues an Emergency or Major

Disaster Declaration, the Regional Watch Center or

RRCC deploys key personnel to set up the initial

field operations structure and assume primary

responsibility for response coordination. At this

point, primary responsibility for infrastructure-related

tasks conducted at the RRCC are transitioned to the

Infrastructure Branch Director (IBD) or PAGS.

The NISM is available here.

www.fema.gov/emergency-managers/national-preparedness/goal.

Recovery Support Functions are teams of Federal and national partners with a Coordinating Agency, primary and

supporting agencies, State and Territorial agencies, and other organizations. The Coordinating Agency is usually the

entity that can bring in resources to address needs, whereas the support agencies provide technical and subject matter

expertise along with additional information. Additional information is available here.

See Table 3 of The National Disaster Recovery Framework, which is available here.

www.fema.gov/emergency-managers/national-preparedness/frameworks/federal-interagency-operational-plans.

Public Assistance Program

Leadership

In large-scale operations, the IBD is

responsible for leading delivery of the PA

Program and providing operational

direction to FEMA PA staff and

infrastructure-related ESFs. PAGS serve as

deputies to the IBD. When ESFs are not

activated, delivery of the PA Program is

led by the PAGS. For simplicity, the PAPPG

uses the term PAGS for functions that an

IBD may also perform.

Page 33

The declaration identifies the FCO.

The FCO works in partnership with the State or Territorial

Coordinating Officer (SCO)

and Governor’s Authorized Representative (or for Tribal

declarations, the Tribal Coordinating Officer (TCO) and TAR) to coordinate Federal resources

and disaster assistance programs.

FEMA and the State, Territorial, or Tribal government may

initially operate at an Initial Operating Facility (IOF)

until a facility is identified and established as a Joint

Field Office (JFO). The IOF is usually at the State,

Territorial, or Tribal Emergency Operations Center

(EOC). The JFO is a temporary facility in proximity to

the area affected by the incident that becomes the central

location for coordination of response and recovery

activities. Staff at the IOF transition to the JFO once it is

established, typically several days to two weeks. FEMA’s

Incident Management Handbook

provides additional

information on field operating structures and functional

responsibilities.

C. Public Assistance Coordination and Planning

Primary responsibility for management and delivery of the PA Program rests with the PAGS.

The PAGS coordinates with the Recipient to efficiently implement the PA Program.

Additionally, the PAGS fosters collaboration and information sharing with other federal agencies

(OFAs) and nongovernmental partners through participation in the RSFs and other operational

task forces.

PA staff usually deliver the program from the JFO and receive project development and

processing support from the designated Consolidated Resource Center (CRC). CRCs are

permanent FEMA offices where subject matter experts and specialized resources provide support

to all PA operations. The PAGS coordinates with the CRC Director to provide situational

awareness and ensure efficient, synchronized operations. CRC responsibilities include project

scoping, costing, validation, and compliance reviews.

PA staff at the JFO are responsible for providing customer service to each Applicant, conducting

site inspections, obtaining project information and documentation, determining eligibility, and

awarding projects. PA staff at the JFO receive policy support from the respective FEMA regional

office. When necessary, the FEMA regional office engages FEMA Headquarters on complex

policy matters.

FEMA and the Recipient coordinate closely on various operational planning elements. FEMA

uses both PDA and Recipient-provided information to determine the initial needs of the

operation. This information enables the PAGS and Recipient to determine initial staffing and

training requirements, organizational structure, and logistical needs. Additionally, it provides

awareness on various operational aspects such as potential policy issues or the need for task

forces or specialized personnel for specific types of infrastructure.

Stafford Act §§ 302(a) and (d), 42 U.S.C. § 5143; 44 C.F.R. §§ 206.2(a)(11) and 206.41(a).

Stafford Act § 302(c), 42 U.S.C. § 5143; 44 C.F.R. §§ 206.2(a)(23) and 206.41(c).

Stafford Act § 302(b), 42 U.S.C. § 5143; 44 C.F.R. § 206.42.

www.fema.gov/emergency-managers/nims.

V4 2020

Virtual Joint Field Office

Virtual JFOs allow for the management

and coordination of response and

recovery operations from a FEMA

Regional Office. During select

incidents, a Virtual JFO may be a

preferred alternative to a conventional

JFO for managing field operations.

V4 2020 Page 34

The PA Program is only one of many programs across numerous agencies that contribute to

recovery projects in communities. Various agencies require incident impact information to focus

their support appropriately and PA staff require assistance from other agencies to provide the

best customer service possible to Applicants. Therefore, it is crucial for PA staff to foster

partnerships and keep open lines of communication.

V4 2020 Page 35

CHAPTER 3: APPLICANT COORDINATION

AND ELIGIBILITY

FEMA and the Recipient work in partnership to administer the PA Program and provide

customer service to each Applicant. The Recipient sets operational priorities for the incident and

each Applicant identifies its priorities. This chapter describes the PA activities that occur

throughout Phase I of the PA Program delivery process, Operational Planning and Applicant

Coordination, which includes the initial stages of Applicant coordination and Applicant

eligibility determinations. Key milestones include conducting all Applicant Briefings, receiving

and processing all Requests for Public Assistance (RPAs), and completing all Recovery Scoping

Meetings. This chapter defines RPA requirements and PA policy on Applicant eligibility. It

describes the web-based systems that FEMA, Recipients, and Applicants need to use for PA

award processing, including submittal of information. This chapter also defines correspondence

requirements and how FEMA documents its eligibility determinations.

I. Public Assistance Web-based Systems

FEMA uses web-based systems to provide transparency to all stakeholders throughout the PA

Program delivery process. FEMA uses PA Grants

Manager to review RPAs, develop and review all

aspects of a project application, track the status of

project application development, and receive

information from Recipients and Applicants.

Recipients and Applicants use PA Grants Portal to

submit all documentation and information to

FEMA, review all aspects of PA project

applications, and track the status of PA project

applications. PA Grants Manager and Grants

Portal interface and are updated on an ongoing basis for continuous improvement.

Applicants upload documentation and information to different areas within Grants Portal.

Once

an entity has an Organizational Profile in PA Grants Portal, it can upload documents to its

Organizational Profile anytime regardless of whether it has a current disaster. This section of the

portal is not incident-specific. Therefore, Applicants should upload documents that may apply

across multiple incidents, such as labor or insurance policies, to this location. Applicants upload

any documents that pertain to a specific disaster, but not a specific project to the Applicant

Profile. If the documentation is specific to one project, Applicants upload it to the project

section. If it pertains to a specific damage line item, Applicants upload it to the damage section.

FEMA staff may submit change requests through the PA Change Control Tool at

usfema.sharepoint.com/teams/ORRApps/NewPA/Pages/SubmitRequest-CCT-P3.aspx. Recipients and Applicants

may request changes via email at FEMA-Recovery-PA-G[email protected].

PA Grants Portal user manuals are available in the resource tab in the portal.

Technical Assistance for PA Grants

Manager and Grants Portal

FEMA provides technical assistance to

individuals using PA Grants Manager and

Grants Portal via a Help Line at 1-866-337-

8448 and email correspondence at

FEMA-

Recovery-PA-Grants@fema.dhs.gov.

Page 36

II. Applicant Briefing

As soon as possible following the President’s declaration, the Recipient conducts briefings for all

potential Applicants (i.e., SLTT government entities and PNPs).

The Recipient is responsible

for notifying potential Applicants of the date, time, and location of the Applicant Brieﬁng.

FEMA attends the Applicant Briefing to support the Recipient. During these briefings, the

Recipient provides high-level information regarding the PA Program, such as:

• Overview of the PA Program delivery process (e.g., PA Grants Portal, application

procedures);

• Program deadlines;

• General eligibility criteria;

• Project funding;

• Hazard mitigation;

• Alternative Procedures;

• Compliance requirements (procurement, EHP, and insurance); and

• Administrative requirements, including documentation and recordkeeping.

To obtain maximum benefit from the information presented at the briefing, a potential Applicant

should send representatives from its management, emergency response, public works, and

finance department and designate a primary point of contact to interact with the Recipient and

FEMA.

III. Request for Public Assistance

The RPA

is an application for the PA Program. If a SLTT government entity or PNP wishes to

seek PA funding, it must first submit an RPA to FEMA, through the Recipient. FEMA accepts

RPAs through PA Grants Portal. If a Tribal government is its own Recipient, it submits its RPA

directly to FEMA via PA Grants Portal. Prior to submitting RPAs to FEMA, the Recipient must

review and approve each RPA and provide its assessment of the Applicant’s risk of

noncompliance as required by 2 C.F.R. § 200.331(b).

Using the RPA, the Applicant provides general information about its organization, including

physical location and point of contact. Given the necessity to collaborate with each Applicant

early in the PA Program implementation process, FEMA’s expectation is that the Recipient

collect RPAs as soon as possible after the respective area is designated in the declaration.

However, FEMA accepts RPAs up to 30 days from the date the respective area was designated.

FEMA may extend the deadline for submitting an RPA if the Recipient submits a request in

writing with justification based on extenuating circumstances beyond the Applicant’s or

Recipient’s control.

Only certain PNPs are eligible Applicants. Therefore, FEMA requires additional documentation

and information with PNP RPAs to evaluate eligibility. PNP Applicants must also submit its

44 C.F.R. § 206.207(b)(1)(iii)(B).

www.fema.gov/assistance/public/apply.

44 C.F.R. § 206.202(c).

44 C.F.R. § 206.202(f)(2).

V4 2020

V4 2020 Page 37

facility-specific information in Grants Portal with all applicable documentation listed in Chapter

3:VI.D.4, Private Nonprofit Application Documentation Requirements.

IV. Written Correspondence

Throughout this document, FEMA notes specific instances in which the

Applicant must obtain FEMA approval. All requests for FEMA approval must

be submitted in writing through the Recipient. The Recipient must forward the correspondence to

FEMA with its recommendation. One exception is Request for Information (RFI) responses.

When the Applicant submits a response to an RFI, it may submit the response simultaneously to

the Recipient and FEMA for expediency. Unless otherwise noted, FEMA calculates all deadlines

based on calendar days. The RA has the authority to respond to all written correspondence unless

otherwise noted. The RA usually delegates this authority to the FCO upon a Presidential

declaration.

The RA or FCO may further delegate authorities as appropriate. FEMA usually

provides its response to the Recipient, which subsequently forwards FEMA’s determination to

the Applicant (in some instances FEMA may send correspondence simultaneously to the

Recipient and the Applicant, such as with notifications of ineligibility determinations, appeal

responses, and RFIs). See Figure 2. Map of FEMA Regions for the geographical responsibilities

of each FEMA Region.

igure 2. Map of FEMA Regions

44 C.F.R. § 206.41(b).

V4 2020 Page 38

V. Eligibility Determinations

The four basic components of PA eligibility are:

• Applicant;

• Facility;

• Work; and

• Cost.

FEMA refers to these components as the building blocks

of an eligibility pyramid. FEMA evaluates each building

block to determine eligibility, starting at the foundation

(Applicant) and working up to cost at the top of the

pyramid (see Figure 3. PA Eligibility Pyramid). There

are two exceptions to the standard eligibility pyramid.

For PNPs, FEMA must determine whether the PNP owns or operates a facility that provides an

eligible service in order to determine whether the Applicant is eligible (see Chapter 3:VI.D.

Private Nonprofit Organizations, for additional information and a pyramid specific to PNP

eligibility). Secondly, for SLTT government Applicants, evaluating facility eligibility is not a

necessary step for most Emergency Work, as described in Chapter 7. Emergency Work

Eligibility.

A. Requests for Information

FEMA may require additional information or documentation to evaluate eligibility. In these

cases, FEMA requests the information or documentation by submitting an RFI. Responses to

RFIs are due by the deadline specified in the RFI. FEMA usually requires responses within 15

days of the Applicant’s receipt of the RFI. FEMA establishes the deadline based on the nature of

the request and consideration of the type and volume of information or documentation requested.

Therefore, the amount of time allowed may vary.

B. Notification of an Ineligibility Determination

The Program Delivery Task Force Leader (PDTFL) coordinates with the PAGS to address

eligibility issues as projects are developed.

When determining that the Applicant, facility, work,

or cost is ineligible, FEMA provides written notice

via a Determination Memorandum (DM) or a letter

that includes:

• Explanation of what assistance FEMA denied

and, as applicable, the amount of assistance

denied for each item;

• The basis for FEMA’s denial, including the

provisions of law, regulation, or policy that

support the determination;

• A complete list of all documents reviewed

(clearly titled for future reference); and

• Information regarding the Applicant’s rights and procedures to appeal.

Figure 3. PA Eligibility Pyramid

Complex Eligibility Issues

For complex eligibility issues, the PAGS in

coordination with the FCO and the Region

consults the PA Policy and Regulations

Branch at FEMA Headquarters.

When FEMA approves funding for an item

with complex eligibility, it documents its

decision-making in a DM.

V4 2020 Page 39

FEMA transmits the letter or DM simultaneously to the Recipient and Applicant via a method

that confirms receipt.

This serves as the formal notification of FEMA’s determination setting

forth the Applicant’s appeal rights.

The PDTFL is responsible for ensuring all information and documentation directly or indirectly

considered in FEMA’s eligibility determination is in PA Grants Manager. This may include, but

is not limited to:

• Projects and project amendments;

• Notifications of eligibility determinations;

• Supporting backup documentation;

• Correspondence;

• Photographs;

• Technical reports; and

• Other relevant information.

FEMA considers this the Administrative Record.

C. Appeal Rights and Requirements

The Applicant may appeal any FEMA determination related to an application for, or the

provision of, assistance under the PA Program.

This includes, but is not limited to, Applicant

eligibility denials, nonconcurrence on eligible damage or scopes of work (SOWs), denial of time

extensions, closeout determinations, and deobligations resulting from an audit.

FEMA provides the Applicant with two opportunities to appeal a determination:

• The first appeal is to the RA.

• If the Applicant disagrees with the first appeal determination, it may submit a second

appeal to the Assistant Administrator of the Recovery Directorate at FEMA

Headquarters

At any point in the appeal process, the Applicant may withdraw its appeal by submitting a

written request simultaneously to the Recipient and FEMA. FEMA sends a written

acknowledgment simultaneously to the Recipient and Applicant.

All second appeal decisions represent the agency’s final administrative decision on the matter.

1. Appeal Deadlines

The Applicant must submit a written appeal to the Recipient within 60 days of receiving

FEMA’s written notification of its determination (FEMA’s eligibility determination or first

appeal decision).

The Recipient must forward the appeal with its written recommendation to

FEMA may transmit the document via any method that confirms receipt such as PA Grants Manager, certified or

return receipt mail, or an email with read-receipt acknowledgement.

Stafford Act § 423, 42 U.S.C. § 5189a; 44 C.F.R. § 206.206. FEMA requires Applicants to waive appeal rights on

Permanent Work Alternative Procedures Projects unless it is related to a cost adjustment made by FEMA after the

Fixed-Cost Offer is accepted.

44 C.F.R. § 206.206(b)(1).

44 C.F.R. § 206.206(b)(2).

44 C.F.R. § 206.206(c)(1).

V4 2020 Page 40

FEMA within 60 days of its receipt of the appeal.

If either the Applicant or Recipient does not

meet the respective 60-day deadlines, FEMA will deny the appeal as untimely.

2. Appeal Content

The Applicant must include:

 All relevant documentation supporting its position;

 The specific funding amount (or amounts if there are multiple issues on appeal) in

dispute, as applicable; and

 Citations to the provisions of law, regulation, or policy (applicable to the respective

disaster) with which the Applicant believes FEMA’s determination was inconsistent.

3. Appeal Review

Upon receipt of the appeal, FEMA reviews the appeal content and uses the Administrative

Record and the laws, regulations, and policies applicable to the respective incident to analyze the

appeal. FEMA may request additional information via an RFI to adequately adjudicate the appeal

or it may make its decision based on the documentation and information provided at the time of

appeal submission. Within 90 days of receiving the appeal, FEMA takes one of the following

three actions:

• Requests additional information specifying the date FEMA must receive the information

(usually 30 days). Within 90 days of receiving the information (or within 90 days of the

expiration of the deadline to respond), FEMA provides its appeal decision simultaneously

to the Recipient and Applicant;

• Submits the appeal to an independent expert, or experts, for technical review and

recommendations. Within 90 days of receiving the technical review recommendations,

FEMA provides its appeal decision simultaneously to the Recipient and Applicant;

• Provides its written decision simultaneously to the Recipient and Applicant using a

method that confirms receipt.

(a) Requests for Information on Appeals

When FEMA issues an RFI, it includes a deadline for the Applicant to submit the information,

usually 30 days.

FEMA issues the RFI simultaneously to the Recipient and Applicant via a

method that confirms receipt.

FEMA generally issues an RFI when:

• It identifies specific documentation or information that, if provided, might impact the

outcome of the appeal or assist FEMA in adequately responding to the appeal; or

44 C.F.R. § 206.206(c)(2).

44 C.F.R. § 206.206(a).

44 C.F.R. § 206.206(c)(3).

44 C.F.R. § 206.206(d).

FEMA may transmit notification via PA Grants Manager, certified or return receipt mail, email with read-receipt

acknowledgement, or other methods that confirm receipt.

FEMA establishes the deadline based on the nature of the request and consideration of the type and volume of

information or documentation requested.

V4 2020 Page 41

• The original eligibility determination is incorrect based on applicable law, regulation, or

policy, but FEMA has identified a new basis for denying all, or a portion of, the appeal.

On first appeal, if FEMA identifies potentially ineligible SOW or costs that were not previously

denied it issues an RFI that includes an explanation of the:

• New eligibility issue(s);

• Basis for the determination including an explanation of the applicable provisions of law,

regulation, or policy justifying the decision;

• Amount of funding subject to denial and deobligation; and

• Specific information or documentation required to justify or further evaluate the

eligibility issue(s).

FEMA proceeds with its review upon receipt of the Applicant’s response to the RFI or expiration

of the deadline to respond.

(b) Remanding a Second Appeal

When reviewing a second appeal, the Assistant Administrator of the Recovery Directorate at

FEMA headquarters, or designee, may identify an issue that necessitates sending the appeal back

to the RA. This should be reserved for cases when there is no other acceptable way to resolve the

issue.

4. Appeals for Alternative Procedures Projects

FEMA is piloting Alternative Procedures on Permanent Work Projects. Due to the goals, intent,

and benefits of the Alternative Procedures, FEMA does not consider appeals on Alternative

Procedures Permanent Work Projects (see Chapter 8:VIII. Capped Projects) unless it is related to

a cost adjustment made by FEMA after the Fixed-Cost Offer is accepted (i.e., related to

insurance, noncompliance, or an audit). Any disagreement on damage, SOW, or cost must be

resolved prior to accepting the fixed-cost offer. Additionally, FEMA does not consider appeals

on time extension denials for Alternative Procedures Projects.

D. Arbitration

Under certain circumstances, an Applicant that disputes a FEMA determination related to its PA

application, including eligibility for assistance or repayment of assistance, have a right of

arbitration.

Additional information is provided in FEMA’s Fact Sheet Public Assistance

Appeals and Arbitration under the Disaster Recovery Reform Act at www.fema.gov/sites/

default/files/2020-07/fema_DRRA-1219-public-assistance-arbitration-right_fact-sheet.pdf.

Stafford Act § 423(d), 42 U.S.C. § 5189a, as amended by the Disaster Recovery Reform Act § 1219.

V4 2020 Page 42

VI. Applicant Eligibility

FEMA provides assistance to eligible Applicants,

which are defined below.

As shown in Figure 4.

Applicant Eligibility, FEMA must first determine

whether the Applicant is eligible before

evaluating the Applicant’s claim. FEMA and the

Recipient review the RPA to determine whether

the Applicant is eligible for assistance.

This

section provides FEMA’s policy on Applicant

eligibility.

A. State and Territorial Governments

State and Territorial governments, including the District of Columbia, American Samoa, the

Commonwealth of the Northern Mariana Islands, Guam, Puerto Rico, and the U.S. Virgin

Islands, are eligible Applicants. This includes any agency or instrumentality thereof, exclusive of

local governments.

The State or Territorial government designates one of the agencies (usually

the emergency management agency) as the Recipient. The Recipient serves as the pass-through

entity to the other agencies, which are Subrecipients.

B. Tribal Governments

Federally recognized Indian Tribal governments, including Alaska Native villages and

organizations, are eligible Applicants. Alaska Native Corporations are ineligible as they are

privately owned.

C. Local Governments

The following types of local governments are eligible Applicants:

• Counties and parishes;

• Municipalities, cities, towns, boroughs, and townships;

• Local public authorities;

• School districts;

• Intrastate districts;

• Councils of governments (regardless of whether incorporated as nonprofit corporations

under State law);

• Regional and interstate government entities;

• Agencies or instrumentalities of local governments;

• State recognized Tribes; and

• Special districts established under State law.

44 C.F.R. § 206.222.

44 C.F.R. § 206.207(b)(1)(iii)(C).

Stafford Act § 102(4), 42 U.S.C. § 5122; 44 C.F.R. §§ 206.2(a)(22) and 206.222(a); and 2 C.F.R. § 200.90.

Stafford Act § 102(6), 42 U.S.C. § 5122; 44 C.F.R. §§ 206.201(i) and 206.222(c); and 2 C.F.R. § 200.54.

Stafford Act § 102(8), 42 U.S.C. § 5122; 44 C.F.R. §§ 206.2(a)(16) and 206.222(a); and 2 C.F.R. § 200.64.

Figure 4. Applicant Eligibility

V4 2020 Page 43

o Community Development Districts are special districts that ﬁnance, plan, establish,

acquire, construct or reconstruct, operate, and maintain systems, facilities, and basic

infrastructure within their respective jurisdictions. To be eligible, a Community

Development District must own and be legally responsible for maintenance, and

operation of an eligible facility that is open to and serves the general public.

The State or a political subdivision of the State may submit applications on behalf of rural

communities, unincorporated towns or villages, and other public entities not listed above.

D. Private Nonprofit

Organizations

Only certain PNPs are eligible

Applicants. To be an eligible PNP

Applicant, the PNP must show that it

has:

• A ruling letter from the U.S.

Internal Revenue Service that

was in effect as of the

declaration date and granted tax exemption under sections 501(c), (d), or (e) of the

Internal Revenue Code; or

• Documentation from the State substantiating it is a non-revenue producing, nonprofit

entity organized or doing business under State law.

If the organization is not required to obtain 501(c)(3) status or tax-exempt status under applicable

State law, the organization must provide articles of association, bylaws, or other documents

indicating that it is an organized entity, and a certification that it is compliant with Internal

Revenue Code section 501(c)(3) and State law requirements.

Additionally, as shown in Figure 5. PNP Eligibility, prior to determining whether the PNP is

eligible, FEMA must first determine whether the PNP owns or operates an eligible facility.

For

PNPs, an eligible facility is one that provides one of the services listed below (the declared

incident must have damaged the facility):

• A facility that provides a critical service, which is defined as education, utility,

emergency, or medical

(see Table 1. PNP Eligible Critical Services);

• A facility that provides a noncritical, but essential social service AND provides those

services to the general public (see Table 2. PNP Eligible Noncritical, Essential Social

Services).

PNP facilities generally meet the requirement of serving the general public if

ALL of the following conditions are met.

Community Development Districts generally meet the requirement of serving the public based on the same

criteria used for PNPs in Chapter 3:VI.D. Private Nonprofit Organizations

Stafford Act § 102(8)(c), 42 U.S.C. § 5122; 44 C.F.R. § 206.2(a)(16)(iii).

44 C.F.R. § 206.221(f).

44 C.F.R. § 206.222(b).

Stafford Act § 406(a)(3)(B), 42 U.S.C. § 5172; 44 C.F.R. § 206.221(e).

44 C.F.R. § 206.221(e)(7).

FEMA also uses this criteria to determine whether a Community Development District serves the public.

Figure 5. PNP Eligibility

V4 2020 Page 44

o Facility use is not limited to any of the following:

 A certain number of individuals;

 A defined group of individuals who have a financial interest in the facility, such

as a condominium association;

 Certain classes of individuals; or

 An unreasonably restrictive geographical area, such as a neighborhood within a

community;

o Facility access is not limited to a specific population (such as those with gates or

other security systems intended to restrict public access); and

o Any membership fees meet all of the following criteria:

 Are nominal;

 Are waived when an individual can show inability to pay the fee;

 Are not of such magnitude to preclude use by a significant portion of the

community; and

 Do not exceed what is appropriate based on other facilities used for similar

services.

• Certain types of facilities, such as senior centers, that restrict access in a manner clearly

related to the nature of the facility, are still considered to provide essential social services

to the general public.

In cases where the facility provides multiple services, such as a community center, FEMA

reviews additional items to determine the primary service that facility provides. Facilities

established or primarily used for political, athletic, recreational, vocational, or academic training,

conferences, or similar activities are ineligible (see Table 3. PNP Ineligible Services).

FEMA considers the provision of services with a high membership initiation fee or high annual dues to be

restrictive to certain populations. FEMA may consider the provision of services with a low fee that only covers

administrative processing costs or a fee that can be waived upon demonstration of need to be accessible to the

general public.

Per Stafford Act §§ 102(11)(B) and 406(a)(3)(C), 42 U.S.C. §§ 5122 and 5172, organizations operating houses of

worship that limit leadership or membership to persons who share a religious faith or practice still provide essential

social services to the general public.

V4 2020 Page 45

1. Private Nonprofit Critical Services

Table 1. PNP Eligible Critical Services

PNP ELIGIBLE CRITICAL SERVICES

EDUCATION

•

Primary or secondary education as determined under State

law and provided in a day or residential school, including

parochial schools; OR

•

Higher-education institutions that meet all of the following

criteria:

o Admit students or persons having a high school diploma or

equivalent;

o Are legally authorized to provide education beyond a

secondary level;

o Award a bachelor’s degree or 2-year degree that is

acceptable as full credit toward a bachelor’s degree or

provides at least a 1-year training program to prepare

students for gainful employment in a recognized

occupation; and

o Are accredited by a nationally recognized agency or

association (as determined by the Secretary of Education).

• Educational facilities that meet the above criteria are eligible

without regard to religious character or use for religious

instruction.

EMERGENCY MEDICAL

•

Emergency medical care (diagnosis or treatment of mental or

physical injury or disease) provided in:

o Clinics

o Dialysis facilities

o Facilities that provide in-patient care for convalescent or

chronic disease patients

o Hospices and nursing homes

o Hospitals and related facilities, including:



Central service facilities operated in connection with

hospitals

 Extended-care facilities

 Facilities related to programs for home-health

services

 Laboratories

 Self-care units

 Storage, administration, and record areas

o Long-term care facilities

o Outpatient facilities

Rehabilitation centers

UTILITY

•

Communications transmission and switching, and distribution

of telecommunications traffic

•

Electric power generation, transmission, and distribution.

•

Irrigation to provide water for drinking water supply, fire

suppression, or electricity generation

•

Sewer and wastewater collection, transmission, and treatment

•

Water treatment, transmission, and distribution by a water

company supplying municipal water

EMERGENCY SERVICES

•

Ambulance

•

Fire protection

•

Rescue

•

Public broadcasting that monitor, receive, and distribute

communication from the Emergency Alert System to the

public

Administrative and support facilities essential to the provision of the PNP critical service are eligible facilities.

V4 2020 Page 46

2. Private Nonprofit Essential Social Services

Table 2. PNP Eligible Noncritical, Essential Social Services

PNP ELIGIBLE NONCRITICAL, ESSENTIAL SOCIAL SERVICES

Community centers established and primarily used for the

following services (or similar) to the general public:

•

Art services authorized by a SLTT government,

including, but not limited to:

• Arts administration

• Art classes

• Management of public arts festivals

• Performing arts classes

•

Community center activities that serve the public

•

Educational enrichment activities that are not

vocational, academic, or professional training.

Examples include hobby or at-home pursuits, such as:

o Car care

o Ceramics

o Gardening

o Personal financial and tax planning

o Sewing

o Stamp and coin collecting

•

Multi-purpose arts programming

•

Senior citizen projects, rehabilitation programs,

community clean-up projects, blood drives, local

government meetings, and similar activities

•

Services and activities intended to serve a specific

group of individuals (e.g., women, African Americans,

or teenagers) provided the facility is otherwise

available to the public on a non-discriminatory basis

•

Social activities to pursue items of mutual interest or

concern, such as:

o Community board meetings

o Neighborhood barbecues

o Various social functions of community groups

o Youth and senior citizen group meetings

•

Performing arts centers with a primary purpose of

producing, facilitating, or presenting live perf

ormances,

including:

o Construction of production materials

o Creation of artistic works or productions

o Design

o Professional training

o Public education

o Rehearsals

Facilities that do not provide medical care, but provide:

•

Alcohol and drug treatment and other rehabilitation services

•

Assisted living

•

Custodial care, even if the service is not provided to the general public

(including essential administration and support facilities)

•

Childcare

•

Center-based childcare, even if not provided to the public

•

Day care for individuals with disabilities or access and functional needs

(for example, those with Alzheimer’s disease, autism, muscular

dystrophy)

•

Food assistance programs, including Food Banks and storage of food for

Food Banks

•

Health and safety services, including animal control services

•

Homeless shelters

•

Houses of worship

•

Libraries

•

Low-income housing (as defined by Federal or SLTT law or regulation)

•

Museums:

o Constructed, manufactured, or converted with a primary purpose

of preserving and exhibiting a documented collection of artistic,

historic, scientific, or other objects

o Buildings, associated facilities, fixed facilities, and equipment

primarily used for the preservation or exhibition of the collection,

including:

 Permanent infrastructure, such as walkways and driveways of

outdoor museum-type exhibition areas

 Historic buildings, such as barns and other outbuildings,

intended for the preservation and exhibition of historical

artifacts within a defined area

 Permanent facilities and equipment that are part of

arboretums and botanical gardens

 Infrastructure, such as utilities, and administrative facilities

necessary for support

o The grounds at museums and historic sites are ineligible.

o Open natural areas/features or entities that promote the

preservation/conservation of such areas are ineligible.

•

Residential and other services for families of domestic abuse

•

Residential services for individuals with disabilities

•

Senior citizen centers

•

Shelter workshops that create products using the skills of individuals

with disabilities

•

Zoos

With exception of custodial care facilities and museums, administrative and support facilities essential to the provision of PNP

noncritical service are ineligible facilities.

V4 2020 Page 47

3. Private Nonprofit Ineligible Services

Table 3. PNP Ineligible Services

PNP INELIGIBLE SERVICES

COMMUNITY CENTER SERVICES

•

Training individuals to pursue the same activities as

full-time paying careers (for example, vocational,

academic, or professional training)

•

Meetings or activities for only a brief period, or at

irregular intervals

•

Other education or training including:

Athletic, vocational, academic training, or

similar activities

Political education

OTHER COMMUNITY SERVICES

•

Advocacy or lobbying groups not directly providing health services

•

Cemeteries

•

Conferences

•

Day care services not included in previous table of eligible services

•

Flood control (e.g., levees, berms, dunes)

•

Land reclamation facilities

•

Irrigation solely for agricultural purposes

•

Job counseling

•

Property owner associations with facilities such as roads, bridges,

and recreational facilities (except utilities or emergency facilities)

•

Public housing, other than low-income housing

•

Recreation

•

Parking not in direct support of eligible facility

4. Private Nonprofit Application Documentation Requirements

Table 4. PNP RPA Documentation and Information Requirements

All PNP Applicants

 A ruling letter from the Internal Revenue Service that was in effect on the declaration date and granted tax

exemption under sections 501(c), (d), or (e) of the Internal Revenue Code; OR documentation from the State

substantiating it is a non-revenue producing, nonprofit entity organized or doing business under State law. If

exempt from both the requirement to apply for 501(c)(3) status and tax-exempt status under State law, the

organization must provide articles of association, bylaws, or other documents indicating that it is an organized

entity and a certification that it is compliant with Internal Revenue Code section 501(c)(3) and State law

requirements. (required)

 If the Applicant owns the damaged facility, proof of ownership (required)

 If the Applicant leases the damaged facility, provide lease or other proof of legal responsibility to repair the

incident-related damage (required)

 List of services provided in the damaged facility, when, and to whom (required)

Membership Organization

 Who is allowed membership (required)

 What fees are charged (required)

 Policy regarding waiving memberships (required)

44 C.F.R. § 206.221(e)(3).

V4 2020 Page 48

Child Care Facility

 Proof that the State Department of Children and Family Services, Department of Human Services, or similar

agency, recognizes it as a licensed childcare facility (required)

Education

 Proof that the school is accredited or recognized by the State Department of Education (required). State

regulations for private schools vary and some states do not require accreditation. A PNP school must

demonstrate that it is recognized by the state as providing elementary or secondary education. Depending on

state requirements, documentation may include, but is not limited to, the following (must have been in existence

at the time of the incident):

 Accreditation documents

 Certification from the State Department of Education that the Applicant operated the facility as a PNP

school at the time of the incident

 Documentation demonstrating compliance with the State’s compulsory attendance laws

 School-year calendar

 School budget

 Complete list of students and teachers

 Educational instruction property and equipment owned by the PNP

 Tax records for the school

 Documents reflecting school curriculum, transcripts, health and safety, disciplinary, or other records kept

for students

 Tuition receipts

 Financial statements

 Commencement documents

 Inclusion in the U.S. Department of Education’s National Center for Education Statistics Private School

Universe Survey data

 State Department of Education electronic and paper homeschool declaration or registration forms

Mixed-Use Facility (See Chapter 4:II.B.1, Mixed-Use Facility)

 Proof of the established purpose of the facility with documentation (required), such as:

 U.S. Internal Revenue Service documentation;

 Pre-incident charter, bylaws, and amendments; or

 Evidence of longstanding, routine (day-to-day) use (e.g., a calendar of activities).

Once FEMA approves the RPA, the PAGS in coordination with the PDTFL assigns a Program

Delivery Manager (PDMG) to the Applicant (usually within 5 working days of RPA approval).

The PDMG serves as the primary point of contact for the Applicant, providing customer service

and programmatic guidance throughout phases I through V of the PA Program delivery process.

VII. Exploratory Call

The PDMG conducts the Exploratory Call with the Applicant (usually within 7 working days of

Applicant assignment). The Exploratory Call is an introductory discussion conducted by the

PDMG via a conference call. The PDMG reviews the Applicant Profile prior to the Exploratory

The Private School Universe Survey electronic search tool is available at

nces.ed.gov/surveys/pss/privateschoolsearch/

V4 2020 Page 49

Call. The objective for the call is to begin developing a relationship with the Applicant and

prepare for the Recovery Scoping Meeting as follows:

• Understand the Applicant’s incident impacts by gathering information about the type and

level of damage and priority needs for assistance;

• Ensure the Applicant understands the general requirements for a list of impacts;

• Provide key information on documentation, procurement, and EHP requirements; and

• Schedule the Recovery Scoping Meeting and define appropriate attendees.

After the Exploratory Call and prior to the Recovery Scoping Meeting, the Applicant needs to

begin compiling its list of impacts to formally document its claim. Chapter 5:I. List of Impacts,

provides details on how to list the impacts. It is critical that the Applicant work with its PDMG

to submit all impact information early in the process to enable efficient and accurate project

development. FEMA and the Recipient use this information to deploy the appropriate number

and type of resources and need the information as soon as possible to assist Applicants

expeditiously.

VIII. Recovery Scoping Meeting

FEMA and the Recipient should conduct the Recovery Scoping Meeting within 21 working days

of assigning a PDMG to the Applicant.

While the Applicant Briefing provides high-level information for all potential Applicants, the

Recovery Scoping Meeting addresses the specific needs of each eligible Applicant. At the

Recovery Scoping Meeting, FEMA, the Recipient, and the Applicant review and refine the list of

impacts and discuss:

• PA delivery process;

• Details of the Applicant’s impacts from the incident;

• Hazard mitigation opportunities;

• Eligibility criteria for facilities, work and costs;

• Logical grouping of damage;

• Procurement requirements;

• Insurance reductions and requirements;

• EHP compliance requirements;

• Documentation requirements;

• Interagency Recovery Coordination;

• Deadlines; and

• Appeal process.

The Applicant should ensure staff with knowledge of the incident-related damage, emergency

activities performed, and related costs attend the meeting (e.g., public works official, finance

staff, risk manager).

Additionally, the Applicant and PDMG develop the Project Development Plan, which is a 45 to

60-day plan that includes a schedule of key steps to complete the project application

development process. FEMA uses the Project Development Plan to track project application

progress. In creating the plan, the PDMG and Applicant discuss:

V4 2020 Page 50

• Weekly Applicant Status Meeting schedule;

• Site inspection schedule;

• Applicant’s role in approving the Damage Descriptions and Dimensions;

• Timeline to gather and submit documentation; and

• Timeline to develop SOWs and cost estimates.

V4 2020 Page 51

CHAPTER 4: GENERAL WORK AND

FACILITY ELIGIBILITY

This chapter provides the general requirements for work to be eligible and provides PA policy on

facility eligibility. Although eligibility determinations may occur later in the process, FEMA

conducts much of its eligibility evaluation of facilities and work throughout Phase II: Impacts

and Eligibility.

I. General Work Eligibility

Through the PA Program, FEMA provides grant funding for:

• Emergency protective measures and debris removal (Emergency Work); and

• Permanent restoration of damaged facilities, including cost-effective hazard mitigation to

protect the facilities from future damage (Permanent Work).

If an entity does not comply with all applicable statutes, EOs, regulations, and policies, FEMA

may take one of several actions including disallowing all or part of the cost of the project not in

compliance.

A. Categories of Work

To facilitate the processing of PA funding, FEMA separates Emergency Work into two

categories and Permanent Work into five categories based on general types of facilities. These

categories are shown in Figure 6. Categories of Work.

B. Minimum Work Eligibility Criteria

At a minimum, work must meet each of the

following three general criteria to be eligible:

• Be required as a result of the declared

incident;

• Be located within the designated area;

and

• Be the legal responsibility of an

eligible Applicant.

100

Work eligibility is discussed in detail in

Chapters 7. Emergency Work Eligibility and

8. Permanent Work Eligibility.

1. Result of Declared Incident

The Applicant is responsible for showing that work is required:

• Due to an immediate threat resulting from the declared incident (Emergency Work); or

2 C.F.R. § 200.338.

100

44 C.F.R. § 206.223(a).

Figure 6. Categories of Work

V4 2020 Page 52

• To address damage caused by the declared incident (Permanent Work, temporary repairs,

and mold remediation).

The Applicant must demonstrate that the debris causing an immediate threat was generated by

the declared incident during the declared incident period.

The Applicant must demonstrate that damage was caused directly by the declared incident.

FEMA does not provide PA funding for repair of damage caused by:

• Deterioration;

• Deferred maintenance;

• The Applicant’s failure to take measures to protect a facility from further damage; or

• Negligence.

101

When necessary to validate damage, the Applicant may be required to provide:

 Pre-incident photographs of the impacted site or facility; and/or

 Documentation supporting pre-disaster condition of the facility (e.g., facility maintenance

records, inspection/safety reports).

If a facility was functioning prior to the disaster and the disaster caused damage that rendered the

facility non-functional, the facility may be eligible provided the pre-disaster condition was not a

significant contributing factor in the cause of failure.

2. Within Designated Area

To be eligible, the facility must be located, and work must be performed, in the designated area

defined in the declaration [except for sheltering, evacuation, and EOC activities]. The sheltering,

evacuation and EOC activities must be used for a declared area.

102

Emergency Work or

Permanent Work performed on a facility located outside of the designated area is ineligible. This

is true even if an eligible Applicant is legally responsible for the work, including work performed

outside the designated area to protect a facility within the designated area.

Tribal governments do not always have geographical boundaries, and some have boundaries that

cross State lines. Therefore, declarations do not usually define specific designated geographical

areas for Tribal governments. For Tribal governments, FEMA determines eligibility based on

legal responsibility and whether the work is directly related to the declared incident.

3. Legal Responsibility

To be eligible, work must be the legal responsibility of the Applicant requesting assistance.

103

To determine legal responsibility for Emergency Work, FEMA evaluates whether the Applicant

requesting the assistance either had jurisdiction over the area or the legal authority to conduct the

work related to the request at the time of the incident.

To determine legal responsibility for Permanent Work, FEMA evaluates whether the Applicant

claiming the costs had legal responsibility for disaster-related restoration of the facility at the

time of the incident based on ownership and the terms of any written agreements (such as for

facilities under construction, leased facilities, and facilities owned by a Federal agency).

101

44 C.F.R. § 206.223(e).

102

44 C.F.R. § 206.223(a)(2).

103

44 C.F.R. § 206.223(a)(3).

V4 2020 Page 53

(a) Documentation to Support Legal Responsibility

Documents that support legal responsibility include:

 Deeds;

 Titles;

 Lease agreements (required for leased facilities); and

 Contract (required for facilities under construction at the time of the incident).

(b) Facility Ownership

When the Applicant requests PA funding to restore a facility, it is the Applicant’s responsibility

to provide proof that it owns the facility. To determine ownership, FEMA may review deeds,

title documents, and local government tax records.

Ownership of a facility is usually sufficient to establish the Applicant’s legal responsibility to

restore the facility, provided it is not under construction by a contractor or leased to another

entity at the time of the incident.

If the facility is under construction by a contractor at the time of the incident, FEMA reviews the

contract to determine whether the Applicant is legally responsible for the repair of damage

caused by the incident.

104

At a minimum, FEMA evaluates the contract to determine if it:

• Identifies the contractor or owner as being responsible for disaster-related repairs;

• Requires a builder’s risk policy for losses that occur while the contractor has control of

the facility;

• Has a Force Majeure provision, which is a clause that relieves the contractor from

responsibility for damage beyond its reasonable control, such as natural disasters (often

referred to “acts of God”) or acts of war; or

• Has a provision that identifies the point at which the contractor transfers legal

responsibility for the facility, or portions of the facility, back to the owner.

(d) Leased Facilities

The Applicant may own a facility and lease it to a tenant, or the Applicant may lease a facility

owned by another party. In either case, FEMA reviews the lease agreement to determine legal

responsibility for repair of damage caused by the incident. If the lease does not specify either

party as responsible, FEMA considers the owner of the facility legally responsible for the costs

to restore the facility.

If the lease is between two eligible Applicants, FEMA provides PA funding to the Applicant

legally responsible for the restoration.

(e) Federal Facilities

Facilities owned and maintained by Federal agencies are ineligible. If a Federal agency

constructed a facility and formally designated the Applicant as the legally responsible entity for

104

Stafford Act § 406(e)(2), 42 U.S.C. § 5172.

V4 2020 Page 54

facility operation, maintenance, and repairs, then the facility may be eligible. FEMA reviews the

other Federal agency’s authority and agreement between the Federal agency and the Applicant to

confirm the legally responsible entity.

(f) Jurisdiction over an Area

In general, the Applicant only has legal responsibility to conduct Emergency Work activities

within its jurisdiction. If the Applicant conducts Emergency Work activities outside its

jurisdiction, it must demonstrate its legal basis and responsibility to conduct those activities.

(g) Conducting Activities on Private Property

Work on private property is the legal responsibility of the property owner and generally

ineligible for PA funding. In rare cases, FEMA may provide PA funding for specific, limited

activities. In such cases, at a minimum, the Applicant must have legal authority to conduct the

activity. To determine whether a SLTT government has legal authority to conduct activities on

private property, FEMA reviews the Applicant’s legal basis and specific authority to conduct the

activities. See Chapter 7:I.E. Debris Removal from Private Property and 7:II.C. Emergency

Protective Measures on Private Property for additional eligibility requirements.

(h) Work Under the Authority of Other Federal Agencies

OFAs have authority to conduct work that may overlap with FEMA’s authority. FEMA’s

authority is broad and most OFA authorities are more specific than FEMA’s authorities.

FEMA evaluates its authorities against OFA authorities. Some of the Factors that FEMA

considers when evaluating whether an OFA has more specific authority are whether the OFA’s

authority is specifically and exclusively:

• Available for a particular type of facility, work, or activity;

• Applicable to a Presidential Declaration under the Stafford Act;

• Specific to an incident or type of incident; or

• Delineated under direction by Congress.

In such cases, FEMA does not provide assistance for the facilities or work even if that OFA does

not provide funding for the facility or work.

105

This restriction includes any activities or costs

related to the work that falls under OFA authorities as the costs are not related to eligible work.

The Applicant should apply to the respective agency for assistance with a facility or work under

that agency’s authority.

C. Environmental and Historic Preservation Requirements

Several statutes, EOs, and regulations establish requirements to protect the environment and

preserve the Nation’s historic and archaeological resources. FEMA reviews each PA project to

ensure the work complies with applicable Federal EHP laws and implementing regulations, and

applicable EOs.

106

The Applicant is responsible for complying with applicable Federal, State,

Territorial, or Tribal EHP laws even if FEMA is not providing PA funding for all of the work.

105

44 C.F.R. § 206.226(a).

106

2 C.F.R. § 200.300.

V4 2020 Page 55

See Appendix A: Environmental and Historic Preservation Compliance for a description of

frequently encountered EHP statutes, EOs, and regulations.

FEMA provides technical support to Applicants throughout the recovery process to help ensure

compliance with all EHP laws, regulations, and EOs, as well as to identify opportunities to

incorporate conservation measures in the project area for the protection and preservation of

environmental or historic resources.

II. Facility Eligibility

In general, a facility must be determined eligible for work to be eligible. There are exceptions for

some emergency work activities as shown in Figure 7. Facility Eligibility and discussed in

Chapter 7. Emergency Work Eligibility.

A facility is a building, system, or

equipment, built or manufactured, or

an improved and maintained natural

feature.

107

An example of a system that

qualifies as a facility is a water

distribution system. Mechanical,

electrical, plumbing, and other

systems that are components of a

facility in which they operate are

considered part of that facility.

A natural feature is improved and

maintained if it meets all of the following conditions:

• The natural feature has a designed and constructed improvement to its natural

characteristics, such as a terraced slope or realigned channel;

• The constructed improvement enhances the function of the unimproved natural feature;

and

• The Applicant maintains the improvement on a regular schedule to ensure that the

improvement performs as designed.

Only the section of a natural feature that meets the criteria above is eligible. For example, if only

150 linear feet of a natural channel bank is armored with rip rap and maintained, the eligible

facility would be limited to that 150-linear-foot section.

The following are ineligible facilities:

• Unimproved property (e.g., a hillside or slope, forest, natural channel bank); and

• Land used for agricultural purposes.

108

107

44 C.F.R. § 206.201(c).

108

Ibid.

Figure 7. Facility Eligibility

V4 2020 Page 56

A. Public Facility

An eligible public facility is one that a SLTT government owns or has legal responsibility for

maintaining, including any:

• Flood control, navigation, irrigation, reclamation, public power, sewage treatment and

collection, water supply and distribution, watershed development, or airport facility;

• Non-Federal-aid street, road, or highway;

• Other public building, structure, or system, including those used for educational,

recreational, or cultural purposes; or

• Park.

109

When a facility maintained by a Community Development District is not open to the general

public or does not provide a service to the general public, the facility is ineligible.

B. Private Nonprofit Facility

An eligible PNP facility is one that provides educational, utility, emergency, medical, or

custodial care, including for senior citizens or individuals with disabilities, and other essential

social-type services to the general public (see Table 1. PNP Eligible Critical Services and Table

2. PNP Eligible Noncritical, Essential Social Services).

110

If a PNP operates multiple facilities, or a single facility composed of more than one building,

FEMA must evaluate each building independently, even if all are located on the same grounds.

Buildings that are part of a complex that includes outdoor facilities (e.g., swimming pools,

athletic fields, or tennis courts) are not evaluated separately from the rest of the complex when

determining eligibility of the building. For example, an outdoor pool usually has a building for

bathrooms and controlling entry. In such cases, FEMA does not evaluate the building for

eligibility separately because it is an intrinsic part of the pool complex.

See Appendix B: Private Nonprofit Facility Eligibility Examples, for examples of PNP facilities

and corresponding eligibility determinations.

1. Mixed-Use Facility

PNP facilities that provide both eligible and ineligible services are considered mixed-use

facilities. Eligibility of mixed-use PNP facilities is dependent on the primary use of the facility,

which is determined by the amount of physical space dedicated to eligible and ineligible

services. “Primary use” is the use for which more than 50 percent of the physical space in the

facility is dedicated. FEMA evaluates the entire structure when determining primary use; it does

not separately address individual areas, such as floors, basements, or wings. Common space,

such as bathrooms, hallways, lobbies, closets, stairways, and elevators, is not included when

calculating mixed-use space.

If FEMA determines that 50 percent or more of physical space is dedicated to ineligible services,

the entire facility is ineligible. If the facility is eligible, FEMA prorates Permanent Work funding

based on the percentage of physical space dedicated to eligible services. Depending on the

specifics of the scenario, FEMA either prorates Emergency Work funding or limits Emergency

109

Stafford Act § 102(10), 42 U.S.C. § 5122; 44 C.F.R. § 206.221(h).

110

Stafford Act § 102(11), 42 U.S.C. § 5122; 44 C.F.R. § 206.221(e).

V4 2020 Page 57

Work funding to what is eligible, necessary, and reasonable. The Applicant is responsible for the

balance of costs to restore the facility and must restore the entire facility to receive funding for

repairs to the eligible-use portions of the facility.

Eligible PNP irrigation and eligible PNP public broadcasting facilities are exempt from primary

use requirements. However, in consideration of irrigation, FEMA will evaluate whether the

facility was designed to provide eligible irrigation and whether it has ever been used for that

purpose. If the facility was not designed for an eligible irrigation purpose, and has never been

utilized for that purpose, it is not eligible.

(a) Mixed-Use Space

In cases where the same physical space is used for both eligible and ineligible services, the

primary use is the use for which more than 50 percent of the operating time is dedicated in that

shared physical space. If space is available for use, but the Applicant cannot support that it is

used for eligible services for more than 50 of the percent of operating time, this criterion is not

met.

If FEMA determines that 50 percent or more of the operating time in the shared physical space is

dedicated to ineligible services, then FEMA does not include that physical space when

evaluating primary use.

(b) Use by Multiple Entities

In cases where a PNP Applicant shares use of a facility, it is only eligible if the facility is

primarily owned by the PNP Applicant and meets the primary use requirement. FEMA prorates

funding for these facilities based on the percentage of physical space that the Applicant owns and

dedicates to eligible services. The following guidelines are used to determine the eligibility of

such facilities:

• If the eligible PNP owns the entire facility and leases a portion of it to another entity, the

facility is eligible provided that the PNP dedicates more than 50 percent of the facility for

eligible services. If the PNP leases 50 percent or more of the facility to an ineligible

Applicant, or for ineligible services, then the facility is ineligible.

• If the eligible PNP only owns a portion of the facility, it is eligible provided that the PNP

owns more than 50 percent of the facility and dedicates more than 50 percent of physical

space for eligible services.

2. Small Business Administration Loan Requirement

Following a Major Disaster Declaration, the U.S. Small Business Administration (SBA) can

provide loans to individuals and businesses for facility restoration. For PNPs with facilities that

provide noncritical, essential social services, FEMA only provides PA funding for eligible

Permanent Work costs that an SBA loan will not cover for those facilities. Therefore, noncritical

PNPs must also apply for a disaster loan from the SBA and receive a determination for

Permanent Work on facilities that:

111

• Provide noncritical services; or

111

Stafford Act § 406(a)(3)(A)(ii), 42 U.S.C. § 5172; 44 C.F.R. § 206.226(c). For online applications to SBA, The

Applicant should visit the SBA website at disasterloan.sba.gov/ela/

. For additional assistance with the application

process, the Applicant should contact the SBA Disaster Customer Service Center at 1-800-659-2955.

V4 2020 Page 58

• Are mixed-use facilities and the eligible portion of the facility is used to provide services

that are entirely noncritical.

If the PNP misses the SBA application deadline, including any SBA approved extension, the

Permanent Work is ineligible for FEMA PA funding. If the PNP declines an SBA loan, PA

funding is limited to the costs that the loan would not have otherwise covered. This applies even

when the PNP cannot accept the terms of the loan, and SBA therefore denies the loan, which

may occur when the entity does not meet a collateral requirement. Possible outcomes are shown

in Figure 8. SBA Loan Outcomes.

Figure 8. SBA Loan Outcomes

PNPs do not need to apply for a disaster loan from the SBA for facilities that:

• Provide critical services; or

• Are mixed-use and the eligible portion is either entirely or partially used to provide

critical services.

C. Inactive or Partially Inactive Facility

To be eligible, a facility must have been in active use at the start of the incident period. Inactive

facilities are ineligible, unless one of the following conditions is met:

• The facility was only temporarily inactive for repairs or remodeling (provided a

contractor is not responsible for repair of disaster-related damage);

• The Applicant firmly established future active use in an approved budget; or

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• The Applicant can clearly demonstrate its intent to begin use within a reasonable amount

of time.

112

The above criteria also apply to facilities that are partially inactive at the start of the incident

period. Inactive portions are ineligible unless one of the exceptions noted above applies.

When eligible repairs benefit an area that was not in active use, FEMA prorates funding based on

the percentage of the facility that was in active use. For example, if the roof of a partially used

building is destroyed, FEMA limits the eligible cost to a prorated amount of the total cost to

replace the roof based on the percentage of the building that was in active use.

For PNP mixed-use facilities to be eligible, more than 50 percent of the facility had to be in

active use for an eligible purpose at the time of the incident.

D. Facility Scheduled for Repair or Replacement

Facilities that are not yet under contract but are scheduled for repair or replacement using non-

Federal funds are eligible provided that the claimed damage did not exist prior to the incident

(FEMA may review procurement and contract documents to validate). If damage existed prior to

the incident, only the repair of damage caused by the incident is eligible.

A facility scheduled for replacement within 12 months of the start of the incident period using

Federal funds is ineligible. In such a case, the Applicant should coordinate with the agency

funding the project to expedite replacement, if possible.

112

44 C.F.R. § 206.226(k)(2).

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CHAPTER 5: DAMAGE AND IMPACT

INFORMATION

This chapter provides information on procedures conducted during Phase II, Impacts and

Eligibility, which include finalizing the list of impacts, logically grouping the impacts and

associated damage and work into project applications;

113

conducting site inspections to develop a

detailed description of the incident-related damage and dimensions; and collecting project

information and documentation.

I. List of Impacts

The Applicant is required to identify and report all of its incident-related impacts to FEMA

within 60 days of the Recovery Scoping Meeting.

114

FEMA may extend the deadline to identify

and report the impacts if the Applicant submits a request with justification based on extenuating

circumstances beyond the Recipient’s or Applicant’s control.

115

For example, if a site is

inaccessible, FEMA may extend the deadline for that site.

The Applicant needs to submit this identification in

the form of a list of impacts that includes all facility

damage, debris quantities, and emergency protective

measures to address immediate threats that the

Applicant is claiming for PA funding. The Applicant

lists the information by location with a rough

estimate of the associated cost. The list does not

include detailed descriptions of impacts, damaged

components within a facility, or a final estimate of

costs.

Each line item in the list needs to include the

following:

 Unique Identifier (e.g., facility name and

site) (required);

 Specific location of debris impacts or facility

damage (required);

 General description of damage, emergency

protective measures, or approximate

quantities of debris;

 Approximate cost (required)

 Status of work; and

 Project priority level.

113

44 C.F.R. § 206.201(l).

114

44 C.F.R. § 206.202 (d)(1)(ii).

115

44 C.F.R. § 206.202 (f)(2).

Terminology

A site is defined as an individual building,

structure, location, or system section.

Examples include each:

• Individual building or structure

inclusive of its contents and supplies

• Beach or park inclusive of equipment

and other items within the area that

are not structures or buildings, such

as benches or playground equipment

• Lift or pump station

• Dam

• Section of roadway that has damage

within a reasonable distance

throughout that section

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II. Grouping Impacts into Projects

This section defines logical grouping of work and damage.

116

The PDMG works with the Applicant and PDTFL to identify sites and facilities that can be

combined into one project. This is a two-step process: 1) Create groups based on categories of

work and facility types. 2) Identify sites or facilities that should be formulated into separate

projects.

Before grouping work or damage, the PDMG must identify and remove any damaged sites or

facilities that are under the authority of another Federal agency. The PDMG must also identify

and remove any facilities that were not in use at the time of incident in accordance with Chapter

4:II.C. Inactive or Partially Inactive Facility. The Applicant must either withdraw these sites and

facilities from its list of impacts or FEMA will issue a Determination Memorandum.

A. Initial Emergency Work Grouping

The bullets below identify emergency work that FEMA usually groups together (each bullet

stands for one initial grouping):

• All debris removal from public property (Category A);

• All debris removal from waterways (Category A);

• All debris removal from private residential property (Category A);

• All debris removal from commercial property (Category A);

• All private property demolition (Category B);

• All emergency response activities (except those conducted on private property) (Category

B);

• Any emergency protective measures performed on private property (Category B);

• All emergency protective measures that involve facility construction or repairs (Category

B);

• Each individual temporary facility (Category B); and

• All donated resources for Emergency Work (Category B).

B. Initial Permanent Work Grouping

The bullets below identify damaged facilities that FEMA considers initially grouping together

(each bullet stands for one initial grouping). The list is based on infrastructure categories.

Transportation:

• All roads, bridges, low water crossings, and culverts (Category C);

• All mass transit facilities such as subways and railways (Category G);

• All airports (Category G); and

• All ports and harbors (Category G).

Flood Control:

• All dams and reservoirs (Category D);

116

44 C.F.R. § 206.201(k).

V4 2020 Page 62

• All canals, drainage channels, and aqueducts (Category D);

• All stormwater retention and detention basins (Category D); and

• All coastal shoreline protection facilities (levees, berms, seawalls, sand revetments, etc.)

(Category D).

Education:

• All school campuses (Category E).

Housing:

• All public housing campuses (Category E).

Health:

• All hospital campuses (Category E).

Emergency Service Facilities:

• All police, fire, emergency operation centers, prisons, etc. (Category E).

Other Government Facilities:

• All courthouses, administrative buildings, and other non-emergency buildings (Category

E).

Energy:

• All power generation facilities and plants - Include all wind turbines, generators,

substations, and other facilities within the confines of the plant. (Category F);

• Entire power transmission and distribution system (Category F); and

• Entire natural gas transmission and distribution system (Category F).

Water/Waste-water:

• All water and wastewater treatment plants (Category F);

• Entire water distribution system (Category F);

• Entire wastewater collection system (Category F); and

• Entire irrigation system (Category F).

Communications/Information Technology:

• All communication systems (Category F).

Natural and Cultural Resources:

• All parks, golf courses, and fish hatcheries (Category G);

• All beaches (Category G); and

• All cemeteries (Category G).

FEMA includes ancillary (support) facilities at a site in the same project as the primary facility at

that site. Ancillary facilities may include but are not limited to: buildings, outside structures (e.g.

maintenance and storage sheds, restroom facilities, bath houses, pumping stations, etc.),

communication towers and antennas, contents, supplies, equipment, vehicles, fences, parking

V4 2020 Page 63

lots, stairs, ramps, access roads, runways, signage, lighting, sidewalks, gutters, ditches, guard

rails, integral ground, catch basins, outfall structures, piers, docks, trails, benches, picnic tables,

swimming pools, golf courses, ball fields, etc. Any donated resources for Permanent Work must

also be included in the Permanent Work Project.

C. Final Grouping

After initially grouping sites and facilities into one project, identify sites or facilities that need to

be separated from the initial grouping and formulated into separate projects. Sites or facilities

that need to be separated include those that:

• Are anticipated to require extensive EHP reviews. The PDMG works with EHP staff to

identify these sites and facilities;

• Are in a Special Flood Hazard Area;

• Need Architectural/Engineering design funding prior to determining SOW and cost;

• Have 100% of the work completed;

• Are complex and require specialized technical support for project formulation, such as

significantly damaged waste water treatment plants, dams, hospitals, or schools;

• Have ineligible work;

• Would make a project too unwieldy to review due to the number of sites and facilities

combined (consider separating into two projects or creating separate projects based on

geographical locations); and/or

• The Applicant and PDTFL agree have specific circumstances that make it illogical to

combine.

PNP Applicants should also separate critical service facilities into separate projects from

noncritical service facilities so that projects with critical service facilities are not delayed

pending the Small Business Administration determination described in Chapter 4:II.B.2. Small

Business Administration Loan Requirement.

III. Site Inspections and Obtaining Damage Information

FEMA gathers project-specific information by conducting site inspections and obtaining

documentation. These activities occur concurrently.

A. Damage Information

FEMA requests information and documentation required to substantiate the eligibility of a

project. The Applicant is responsible for providing this information and documentation to

support that its facilities, work, and costs are eligible based on the applicable laws, regulations,

EOs, and policies. At a minimum, FEMA usually requires the “who, what, when, where, why,

and how much” for each item claimed.

The Applicant answers questions for each project, which trigger information and documentation

that the Applicant needs to provide. Various documents may provide the information required;

therefore, FEMA usually accepts a variety of documentation to substantiate eligibility. If FEMA

requires specific information or documentation to support eligibility, FEMA specifies the

requirement in checklists throughout the PAPPG; however, these checklists are not all-inclusive

lists. FEMA and the Recipient work with the Applicant to evaluate submitted documentation and

V4 2020 Page 64

determine whether it supports eligibility. If the Applicant does not provide sufficient

documentation to support its claim as eligible, FEMA cannot provide PA funding for the work.

B. Site Inspections

Damage information is the foundation of the overall project award (i.e., SOW and cost eligibility

are tied to the eligible damage). Therefore, FEMA and the Applicant need to reach agreement on

the disaster-related damage description and dimensions, emergency protective measures, and

debris impacts before proceeding with SOW development. If there are unresolved issues, FEMA

documents the decision in a DM. Applicants should still concur on the portion of the damage that

is agreed-upon so that the process can move forward.

FEMA conducts inspections at sites with work to be completed. The purpose of the inspection is

to validate, quantify, and document the cause, location, and details of the reported damage and

debris impacts. FEMA may also identify EHP issues, project-related conservation opportunities,

and PA mitigation opportunities during the site inspection.

To expedite the process, in lieu of FEMA inspections at all sites, the Applicant may submit

damage information and documentation for FEMA to review and validate using a sampling

methodology. FEMA works with the Recipient and Applicant to determine when sampling and

validation is appropriate. Sampling may not be appropriate for some damage sites.

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CHAPTER 6: COST ELIGIBILITY

This chapter provides PA policy on cost eligibility. Although costs are the final component

evaluated for eligibility, as shown in Figure 9. Cost Eligibility, this criterion applies to all costs

claimed. Not all costs incurred as a result of the incident are eligible. To be eligible, costs must

be:

• Directly tied to the performance of eligible

work;

• Adequately documented;

117

• Reduced by all applicable credits, such as

insurance proceeds and salvage values;

118

• Authorized and not prohibited under Federal or

SLTT government laws or regulations;

• Consistent with the Applicant’s internal

policies, regulations, and procedures that apply

uniformly to both Federal awards and other

activities of the Applicant; and

• Necessary and reasonable to accomplish the

work properly and efficiently.

119

I. Reasonable Costs

A cost is reasonable if, in its nature and amount, it does not exceed that which would be incurred

by a prudent person under the circumstances prevailing at the time the Applicant makes the

decision to incur the cost.

120

A. Analysis

In conducting a reasonable cost analysis, FEMA performs a preliminary review of the documentation

to assess the complexity of the project and expertise required to complete the analysis. If specialized

expertise is required, a subject matter expert with the appropriate specialized skills, knowledge,

experience, or capability in the appropriate field such as engineering, architecture, or cost estimating

conducts the analysis.

FEMA determines reasonableness by evaluating whether the:

• Cost is of a type generally recognized as ordinary and necessary for the type of facility or

work.

121

FEMA evaluates the skill level and level of effort necessary to complete the

required activity. If the type of employee or skill level is not appropriate for the specific

task, FEMA limits PA funding to a rate based on the appropriate employee type or skill

level. For complex projects, staff with a higher level of technical proficiency and

experience may be appropriate.

117

2 C.F.R. § 200.403(g).

118

Stafford Act § 312, 42 U.S.C. § 5155, and 2 C.F.R. § 200.406.

119

2 C.F.R. § 200.403.

120

2 C.F.R. § 200.404.

121

2 C.F.R. § 200.404(a).

Figure 9. Cost Eligibility

V4 2020 Page 66

• Applicant participated in ethical business practices, ensuring parties to a transaction are

independent of each other, without familial ties or shared interests and on equal footing

without one party having control of the other.

122

• Individuals concerned acted with prudence under the circumstances considering their

responsibility to the Applicant, its employees, its students or membership, the public, and

the Federal government.

123

If exigent or emergency circumstances existed, FEMA

evaluates the length of time the circumstances existed compared to the length of time

costs were incurred.

• Applicant deviated from its established practices and policies.

124

FEMA generally

considers the Applicant’s own labor, equipment, and supply costs reasonable provided the

costs are consistent with the entity’s policies including, but not limited to, pay rates, labor

policies, and cost schedules utilized during its normal operations.

• Applicant complied with procurement requirements (see Chapter 6:VIII. Procurement

and Contracting Requirements). FEMA generally considers contract costs reasonable

when the Applicant adheres to full and open competition under applicable Federal

procurement requirements, and the scope of services or work in the contract and level of

effort is consistent with respect to the eligible SOW. FEMA evaluates reasonableness

when price competition is lacking or when the selection was noncompliant with the

applicable procurement under grant requirements even though there may have been price

competition.

o Cost or Price Analysis: The cost or price analysis is one component of documentation

that FEMA may review as part of its evaluation of reasonable costs. If the Applicant

does not submit a cost or price analysis, FEMA may evaluate the elements that would

have been part of such analysis.

125

The Applicant may need to provide this

information if it is not included in the documentation submitted.

o Selection Criteria: FEMA evaluates whether the Applicant selected the lowest

responsible bidder based on the selection criteria. If the Applicant selected a contractor

with a higher bid than others, it must substantiate its selection based on the selection

criteria set forth in its Request for Proposal.

• Cost is comparable to the current market price

126

for similar goods or services in the

same geographical area. FEMA makes its determination based on one or more of the

following:

o Historical documentation (previous contracts, invoices, or other documentation).

o FEMA may compare costs to the Applicant’s historical costs for similar SOW or

items. FEMA considers inflation and other factors such as code or standard

changes, availability of in-kind construction material, quantity, delivery

schedules, and the economy. FEMA’s Cost Estimating Format (CEF) employs a

nationally recognized economic inflation factor. Some types of work may have a

different inflation rate than others.

122

2 C.F.R. § 200.404(b).

123

2 C.F.R. § 200.404(d).

124

2 C.F.R. § 200.404(e).

125

FEMA’s Pro

curement Guidance for Recipients and Subrecipients Under 2 C.F.R. Part 200 provides information

on how to conduct a cost or price analysis (www.fema.gov/sites/default/files/2020-07/fema_procurement-disaster-

assistance-PDAT_field-manual.p

df).

126

2 C.F.R. § 200.404(c).

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o Average costs in the area.

o Weighted average unit pricing: FEMA may determine the average costs in the

area using weighted average unit prices. These are comprised of the average costs

of historical bid tabulations and related specifications from competitive bid

pricing solicitations respective to the area and usually includes all factors required

to bid public works projects, such as performance bonds, bid bonds, overhead and

profit, and general conditions. The Applicant or respective State, Territorial, or

regional agency, such as the State’s Department of Transportation may provide

weighted average unit pricing and related specifications for FEMA’s review.

o Other Applicant’s project costs: FEMA may compare the costs with other

Applicant’s projects of similar SOW and similar circumstances such as event

impacts, magnitude, comparable shortages, market factors, and any other unique

circumstances that may impact either of the costs.

o Published unit costs from national cost estimating databases. When using this

method, FEMA confirms that the cost publication is current and prepares the estimate

using its CEF and the appropriate locality adjustment factor.

o Industry cost estimating resources: When appropriate local data cannot be

developed or obtained, FEMA uses industry standard construction cost estimating

resources to prepare an estimate against which to evaluate reasonableness of the

Applicant’s actual costs. These costing methods include, but may not be limited

to, RSMeans, BNi Costbooks, Marshall and Swift, and Sweet’s Unit Cost Guide,

which are widely accepted in the industry and available for nationwide use.

o Federal, State, or Territorial unit costs: When industry standard construction

cost estimating resources do not provide work items that are appropriate or

applicable to the construction activities required to complete the project,

FEMA considers local cost data from OFAs or State or Territorial agencies

responsible for construction of similar facilities in or near the locality.

o FEMA Cost Codes: FEMA maintains regional and national unit prices (cost

codes). FEMA cost codes may be used when a cost is not found in other

published unit costs or if the cost codes are otherwise more applicable than other

published costs, such as for force account equipment.

• Following factors or other extenuating circumstances existed and caused escalation in

costs:

o Shortages in equipment, materials, supplies, labor, or contractors. When escalating

costs are due to shortages, FEMA considers whether the Applicant’s work continued

beyond the period of shortages and whether there was an opportunity for the

Applicant to obtain more reasonable pricing.

o Project-specific complexities: Complexities may include environmental or historic

issues, remote access or location, provision of a unique service with few providers, or

elements requiring an extraordinary level of effort.

o Economy of Scale: FEMA considers the amount of work that may impact the unit price

(for example, smaller projects may have higher rates and larger projects may have lower

rates due to various efficiencies that are realized with larger projects. Additionally, when

hauling is involved, such as with debris projects, some projects may have longer haul

routes due to landfill locations or road blockages).

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o Applicant’s Justification: When a reasonable cost analysis has been conducted and costs

appear high for a project, FEMA reviews the Applicant’s justification to determine

whether there are any additional factors that justify the higher cost as a reasonable

amount.

The Applicant is responsible for providing documentation to demonstrate its claimed costs are

reasonable. Documentation may include, but is not limited to:

 Documentation showing current market price for similar goods or services, such as:

o Historical documentation;

o Average costs in the area; or

o Published unit costs from national cost estimating databases.

 Documentation supporting necessity of unique services or extraordinary level of effort

 Documentation supporting shortages, challenging procurement circumstances, and length

of time shortages or procurement challenges existed, such as news stories or supply chain

vendor reports

Appendix L: Validation of Applicant-Provided Cost Estimates includes a checklist that FEMA

staff use when evaluating the reasonableness of costs claimed. After completing the evaluation

and ensuring that all appropriate costs and factors are included as described above, if FEMA

determines any of the costs to be unreasonable based on its evaluation, FEMA may disallow all

or part of the costs by adjusting eligible funding to an amount it determines to be reasonable.

When determining the reasonable amount, FEMA may use the least-cost alternative, the lowest

bid received by the Applicant, or the pricing of another Applicant’s properly procured and

selected contractor.

II. Applicant (Force Account) Labor

FEMA refers to the Applicant’s personnel as “force account.” FEMA reimburses force account

labor based on actual hourly rates plus the cost of the employee’s actual fringe benefits. FEMA

calculates the fringe benefit cost based on a percentage of the hourly pay rate. Because certain

items in a beneﬁt package are not dependent on hours worked (e.g., health insurance), the

percentage for overtime is usually different than the percentage for straight-time. Fringe benefits

may include:

• Holiday leave;

• Accrued vacation leave;

• Sick leave;

• Social security matching;

• Medicare matching;

• Unemployment insurance;

• Workers compensation;

• Retirement;

• Health insurance;

• Life and disability insurance; and/or

• Administrative leave.

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The Applicant needs to submit the following to support labor costs claimed (not an all-inclusive

list):

 Summary of actual costs for completed work (required)

 For each individual:

o Name (required);

o Job title and function (required);

o Type of employee (i.e., full-time exempt, full-time non-exempt, part-time, temporary,

etc.) (required);

o Days and hours worked (required);

o Pay rates and fringe benefit rate (required); and

o Description of work performed (required) with representative sample of daily

logs/activity reports, if available

 Timesheets (representative sample required when requested)

 Fringe benefit calculations (required)

 Pay policy (required)

A. Labor Policies

FEMA determines the eligibility of overtime, premium pay, and compensatory time costs based

on the Applicant’s pre-disaster written labor policy, provided the policy:

• Does not include a contingency clause that payment is subject to Federal funding;

• Is applied uniformly regardless of a Presidential declaration; and

• Has set non-discretionary criteria for when the Applicant activates various pay types.

If these requirements are not met, FEMA limits PA funding to the Applicant’s non-discretionary,

uniformly applied pay rates.

All costs must be reasonable and equitable for the type of work being performed.

FEMA determines whether the number of hours claimed are reasonable and necessary by

evaluating:

• The severity of the incident;

• Whether the work was performed at a time when it was necessary to work extraordinary

hours based on the circumstances of the incident;

• The function of the employee for which the hours are claimed; and

• The number of consecutive hours the employee worked.

B. Eligibility Criteria Based on Type of Employee and Work Performed

FEMA’s criteria for reimbursing straight-time labor costs differ depending on the type of

employee and whether that employee is performing Emergency Work or Permanent Work.

For Permanent Work, both straight-time and overtime labor costs are eligible for both budgeted

and unbudgeted employee hours.

127

For Emergency Work, only overtime labor is eligible for

budgeted employee hours.

128

For unbudgeted employees performing Emergency Work, both

127

Stafford Act § 406(a)(2)(C), 42 U.S.C. § 5172; 44 C.F.R. § 206.228(a)(2)(i).

128

44 C.F.R. § 206.228(a)(2)(iii).

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straight-time and overtime labor are eligible. Table 5. Emergency Work Labor Eligibility,

indicates different types of budgeted and unbudgeted employees. Overtime is time worked

beyond an employee’s scheduled working hours as defined by the Applicant’s pre-disaster pay

policy.

Under the Alternative Procedures authorized by Section 428 of the Stafford Act, straight-time

labor costs are eligible for budgeted employees conducting eligible debris removal (Category A)

activities.

Table 5. Emergency Work Labor Eligibility

Emergency Work Labor Eligibility

Budgeted Employee Hours

Overtime

Straight-Time

Permanent employee



Part-time or seasonal employee working during normal

hours or season of employment



Unbudgeted Employee Hours

Overtime

Straight-Time

Reassigned employee funded from external source



Essential employee called back from furlough



Temporary employee hired to perform eligible work



Part-time or seasonal employee working outside normal

hours or season of employment

 

1. Reassigned Employees

The Applicant may assign an employee to perform work that is not part of the employee’s

normal job. For example, a police officer may clear debris. FEMA provides PA funding based on

the reassigned employee’s normal pay rate, not the pay level appropriate to the work, because the

Applicant’s incurred cost is the employee’s normal pay rate.

2. Reassigned Employees Funded from an External Source

Straight-time of a permanent employee funded from an external source (such as a grant from a

Federal agency or statutorily dedicated funds) is eligible if the employee is reassigned to perform

eligible Emergency Work that the external source does not fund. FEMA must confirm that no

duplication of funding exists prior to approval.

3. Backfill Employees

The Applicant may need to temporarily replace an employee who is responding to the incident.

Overtime costs for the backfill employee are eligible even if the backfill employee is not

performing eligible work as long as the employee that he/she is replacing is performing eligible

Emergency Work.

FEMA also provides PA funding for straight-time if the backﬁll employee is a:

• Contracted or temporary employee; or

• Permanent employee called in on a normally scheduled day off (weekend or other off

day).

If the backfill employee is called in from scheduled leave, only overtime is eligible.

V4 2020 Page 71

4. Essential Employees Called Back from Furlough

Straight-time of essential employees called back to work from a budget-related furlough due to

the declared incident is eligible if the costs are not budgeted.

5. Supervisors

Second-level supervisors and above (e.g., commissioners, mayors, department directors, police

and fire chiefs) are usually exempt employees.

129

Therefore, overtime costs related to these types

of employees are ineligible, unless the Applicant:

• Demonstrates that the employee was directly involved with a specific project;

• Normally charges that individual’s time to specific projects regardless of Federal

funding; and

• Incurs overtime costs for the employee in accordance with a labor policy that meets the

criteria in Chapter 6:II.A. Labor Policies.

6. Other

Extraordinary costs (such as call-back pay, night-time and weekend differential pay, and

hazardous duty pay) for essential employees who are called back to duty during administrative

leave to perform eligible Emergency Work are eligible if costs are paid in accordance with a

labor policy that meets the criteria above.

Administrative leave or similar labor costs incurred for employees sent home or told not to report

due to emergency conditions are ineligible.

7. Standby Time

FEMA may provide PA funding for labor costs related to intermittent standby time for staff

conducting eligible evacuation or sheltering, search and rescue, or emergency medical care. All

of the following criteria must be met:

• Standby use and pay are consistent with the Applicant’s labor policy (or contractual

obligation based on a labor agreement) and consistent with its practice in non-federally

declared incidents;

• The standby time occurred when it was necessary to have resources available to conduct

the respective life-saving action;

• The number of hours and individuals were reasonable and necessary based on the number

of resources required;

• The employee was conducting the respective life-saving action; and

• All other labor cost eligibility criteria were met.

Examples of when FEMA may reimburse labor costs for standby time include, but are not

limited to:

• When bus drivers are deployed to transport evacuees;

• When first responders are deployed for the purpose of evacuating or providing

emergency medical care to survivors in order to save lives; and

• When a contract or union agreement requires payment for standby time.

129

These employees are exempt from the overtime pay requirements set forth in the Fair Labor Standards Act.

V4 2020 Page 72

Additionally, the Applicant may be required to pay firefighter costs from portal-to-portal, which

may result in paying for 24-hour shifts with periods of rest. FEMA will reimburse costs based on

such requirements. In these instances, FEMA limits its reimbursement to costs and timeframes

that are reasonable and necessary, not to exceed 14 calendar days from the start of the incident

period. The Applicant must provide the data that led to its decisions and actions.

Standby time is separate and distinct from pre-positioning resources, which is addressed in

Chapter 7:II.E. Pre-positioning Resources.

III. Applicant-Owned and Purchased Equipment

FEMA provides PA funding for the use of Applicant-owned (force account) equipment,

including permanently mounted generators, based on hourly rates.

130

FEMA may provide PA

funding based on mileage for vehicles, if the mileage is documented and is less costly than

hourly rates.

There are instances when the Applicant does not have sufficient equipment to effectively

respond to an incident. If the Applicant purchases equipment that it justifiably needs to respond

effectively to the incident, FEMA provides PA funding for both the purchase price and either:

• The use of the equipment based on equipment rates (without the ownership and

depreciation components); or

• The actual fuel and maintenance costs.

FEMA only applies equipment rates to the time the Applicant is actually operating equipment.

Although costs associated with transporting equipment (e.g., labor and equipment costs used to

transport equipment) to an eligible site are eligible, costs for standby time (time spent on hold or

in reserve) are ineligible unless the equipment operator uses the equipment intermittently for

more than half of the working hours for a given day. In this case the intermittent standby time is

eligible.

The Applicant should submit the following to support Applicant-owned or purchased equipment

costs claimed (not an all-inclusive list):

For each piece of equipment:

 Type of equipment and attachments used, including year, make, and model

(required);

 Size/capacity (e.g., horsepower, wattage) (required);

 Locations and days and hours used (required) should include usage logs

 Operator name (required when requested); and

 Schedule of rates, including rate components (required if not using FEMA rates)

Purchased Equipment:

 Invoices or receipts (required); and

 Locations and days and hours used (required)

130

44 C.F.R. § 206.228(a)(1).

V4 2020 Page 73

FEMA provides PA funding for force account equipment usage based on FEMA or SLTT

equipment rates in accordance with the specific criteria noted below.

A. FEMA Rates

FEMA publishes equipment rates applicable on a national basis.

131

FEMA’s rate schedule

includes any item powered by fuel or attached to any item powered by fuel. FEMA develops

equipment rates based on all costs associated with ownership and operation of equipment (except

for operator labor). FEMA equipment rate components include depreciation, overhead,

equipment overhaul (labor, parts, and supplies), maintenance (labor, parts, and supplies),

lubrication, tires, ground engaging component (if applicable), and fuel. Because the rates include

maintenance costs, a mechanic’s labor costs to maintain Applicant-owned equipment are

ineligible.

B. State, Territorial, or Tribal Rates

State, Territorial, or Tribal rates are those established under State, Territorial, or Tribal

guidelines for use in normal day-to-day operations. FEMA provides PA funding based on State,

Territorial, or Tribal rates up to $75 per hour.

132

FEMA only provides PA funding for a rate

above $75 per hour if the Applicant demonstrates that each of the components of the rate is

comparable to current market prices.

133

C. Local Rates

Local rates are those developed under local government guidelines for use in normal day-to-day

operations. FEMA generally provides PA funding for equipment usage based on the lower of

either the local rate or the FEMA rate. However, if the local rate is lower, but it does not reflect

all of the costs associated with operating the equipment, FEMA may provide PA funding based

on the higher FEMA rate. Additionally, if the local rate is higher, the Applicant must document

the basis for that rate and obtain approval from FEMA for the higher rate.

134

If determining the lowest rate for each piece of equipment is overly burdensome because of the

number of different types of equipment used, or if the Applicant prefers, FEMA will reimburse

all equipment use based on the lower of the two rate schedules, rather than based on a

comparison of each individual rate. In these cases, the PA Division at FEMA Headquarters

determines which schedule of rates is lower.

D. Equipment with No Established Rate

If the Applicant uses equipment that has no established SLTT rate, FEMA reimburses that

equipment based on the FEMA rate.

135

If FEMA does not have a rate established for the

equipment, the Applicant may either submit a rate for approval or request that FEMA provide a

rate. If the Applicant submits a rate, it must include documentation demonstrating that each

component of the rate is comparable to current market prices. The rate cannot be based on rental

131

www.fema.gov/schedule-equipment-rates.

132

44 C.F.R. § 206.228(a)(1)(i).

133

Per 44 C.F.R. § 206.228(a)(1)(i), reimbursement of rates in excess of $75 is determined on a case-by-case basis

by FEMA. FEMA evaluates the rate for approval based on current market prices.

134

Ibid.

135

44 C.F.R. § 206.228(a)(1)(iii).

V4 2020 Page 74

rates as such rates include cost components, such as profit, that are above and beyond what is

necessary to operate and maintain force account equipment.

IV. Leased Equipment

When the Applicant leases equipment, FEMA provides PA funding based on the terms of the

lease. Leasing costs are eligible if:

• The Applicant performed an analysis of the cost of leasing versus purchasing the

equipment;

136

and

• The total leasing costs do not exceed the cost of purchasing and maintaining equipment

during the life of the eligible project.

If the leasing costs exceed the cost of purchasing and maintaining the equipment, FEMA

determines the amount of eligible costs based on an evaluation of the reasonableness of the costs

claimed, including whether the Applicant acted with prudence under the circumstances at the

time it leased the equipment.

If the Applicant has a lease-purchase agreement and obtains ownership during completion of

eligible work, FEMA provides PA funding for the equipment use based on the hourly equipment

rate, as described in Chapter 6:III. Applicant-Owned Equipment and Purchased Equipment.

If the Applicant has a lease-purchase agreement and completes the eligible work prior to

obtaining ownership, FEMA provides PA funding based on the cost to lease the equipment.

The Applicant needs to submit the following to support leased equipment costs claimed (not an

all-inclusive list):

 Lease agreements (required);

 Invoices or receipts (required);

 Locations and days used (required);

 Hours used (required if lease agreement charges hourly rates); and

 Amount of fuel used, if not included in rental cost (required)

V. Supplies

The cost of supplies, including materials, is eligible if:

• Purchased and justifiably needed to effectively respond to and/or recover from the

incident; or

• Taken from the Applicant’s stock and used for the incident.

The Applicant must track items taken from stock with inventory withdrawal and usage records.

FEMA provides PA funding for these items based on invoices, if available. If invoices are not

available for items used from stock, FEMA provides PA funding based on the Applicant’s

established method of pricing inventory.

137

If the Applicant does not have an established method,

FEMA provides PA funding based on historical data or prices from area vendors.

136

2 C.F.R. § 200.318(d).

137

2 C.F.R. § 200.453(b).

V4 2020 Page 75

FEMA consults with the U.S. Department of Homeland Security Office of Inspector General

Emergency Management Oversight Team in cases where it has difficulty determining a

reasonable value.

The Applicant must submit the following to support costs claimed for supplies (not an all-

inclusive list):

Supplies from Stock:

 Cost documentation such as original invoices or other historical cost records (required);

 Inventory records (required);

 Type of supplies and quantities used (required – should include support documentation

such as daily logs); and

 Location used (required)

Purchased Supplies:

 Receipts or invoices (required);

 Quantities used (required); and

 Justification (required if supplies were not used)

VI. Disposition of Purchased Equipment and Supplies

The discussion below describes disposition requirements when purchased equipment or supplies

(including materials) are no longer needed for federally funded projects.

In the context of disposition, equipment is any

tangible personal property (including information

technology systems) having a useful life of more

than 1 year and a per-unit acquisition cost that

equals or exceeds the lesser of the capitalization

level established by the Applicant for financial

statement purposes, or $5,000.

138

Tangible personal

property that does not fall under this definition of

equipment is a supply.

139

A. Disposition of Purchased Equipment

In accordance with Federal regulations, State and Territorial government Applicants dispose of

equipment in accordance with State and Territorial laws and procedures.

140

When equipment purchased with PA funding are no longer needed for response to or recovery

from the incident, Tribal and local governments and PNP Applicants may use the items for other

federally funded programs or projects.

141

138

2 C.F.R. § 200.33.

139

2 C.F.R. § 200.94.

140

2 C.F.R. § 200.313(b).

141

2 C.F.R. § 200.313(c).

Terminology

Personal property means property other than

real property.

Real property means land, including land

improvements, structures, and appurtenances

thereto, but excludes moveable machinery and

equipment.

V4 2020 Page 76

When an individual item of equipment is no long needed for federally funded programs or

projects, Tribal and local governments and PNP Applicants

must calculate the current fair market value of the individual

item of equipment. The Applicant must provide the current

fair market for items that have a current fair market value of

$5,000 or more. FEMA reduces eligible funding by this

amount.

142

If the individual item of equipment has a current

fair market value less than $5,000, FEMA does not reduce

the eligible funding.

143

Tribal and local governments and PNP Applicants must

comply with all disposition requirements described in 2 C.F.R. 200.313(e), Disposition.

B. Disposition of Purchased Supplies

When supplies are no long needed for federally funded programs or projects, all Applicants,

including State and Territorial government Applicants, must calculate the current fair market

value of any unused residual supplies (including materials) that FEMA funded for any of its

projects and determine the aggregate total.

The Applicant must provide the current fair market value if the aggregate total of unused residual

supplies is greater than $5,000. FEMA reduces eligible funding by this amount.

144

If the

aggregate total of unused residual supplies is less than $5,000, FEMA does not reduce the

eligible funding.

VII. Disposition of Real Property

If the Applicant acquires or improves real property with PA funds, disposition and reporting

requirements apply when acquired or improved real property is no longer needed for the

originally authorized purpose.

145

The PA Division at FEMA Headquarters provides disposition

instructions.

146

VIII. Procurement and Contracting Requirements

FEMA provides PA funding for contract costs based on the terms of the contract if the Applicant

meets Federal procurement and contracting requirements. Federal procurement and contracting

requirements for State and Territorial government agencies are different than those for Tribal and

local government agencies and PNPs. This section provides information on Federal procurement

and contracting requirements.

FEMA PA staff coordinate with FEMA’s Office of Chief Counsel when evaluating whether the

Applicant complied with Federal procurement requirements. In the case of noncompliance,

FEMA applies an appropriate remedy in accordance with its authorities.

147

FEMA has

determined an appropriate remedy under these circumstances is to either deny all costs

142

2 C.F.R. § 200.313(e)(2).

143

2 C.F.R. § 200.313(e)(1).

144

2 C.F.R. § 200.314(a).

145

2 C.F.R. §§ 200.311 and 200.329.

146

2 C.F.R. § 200.311(c). Recipients and Applicants must obtain specific disposition instructions from FEMA.

147

2 C.F.R. § 200.338.

Terminology

Fair market value is either the selling

price or the advertised price for a

similar item in a competitive market.

V4 2020 Page 77

associated with the contract or, if sufficient information is provided to substantiate a reasonable

amount for the eligible work completed, FEMA may reimburse the portion of the costs it

determines are reasonable and allowable based on all available information and documentation

provided. In addition to monetary remedies, FEMA may also take non-monetary actions against

the Applicant as authorized by 2 C.F.R. §§ 200.207 and 200.338.

FEMA’s Procurement Guidance for Recipients and Subrecipients Under 2 C.F.R. Part 200

(Uniform Rules) provides additional details regarding Federal procurement and contracting

requirements.

148

A. Procurement and Contracting Requirements for State and Territorial Government

Entities

Applicants must comply with Federal procurement requirements as a condition of receiving PA

funding for contract costs for eligible work.

1. Procurement

State and Territorial government Applicants

149

must comply with Federal procurement

procedures at 2 C.F.R. § 200.317, which include:

• Following the same policies and procedures they would use for procurements with non-

Federal funds; and

• Complying with the Environmental Protection Agency (EPA) guidelines in 2 C.F.R. §

200.322, Procurement of recovered materials.

FEMA does not typically review State or Territorial procurement policies or procedures. In

certain circumstances, FEMA may review State or Territorial procurement policies or procedures

or request that a State or Territorial attorney certify in writing whether the Applicant complied

with the State’s or Territorial’s procurement policies and procedures.

2. Contracting

State and Territorial government Applicants must include required provisions detailed in 2

C.F.R. § 200.326 in all contracts awarded.

150

Some provisions are based on sound contracting

practices while others are required by Federal law, EO, and regulations. Some provisions do not

apply under the PA Program (e.g. Davis Bacon Act

151

and Rights to Inventions Clause) while

others require verbatim language.

Although time and material (T&M) contracts without a ceiling price and cost-plus-percentage-

of-cost or percentage-of-construction contracts may be allowed under State or Territorial

government standards, the use of these contracts has a high risk of noncompliance with the

requirement that all costs be reasonable.

152

148

www.fema.gov/sites/default/files/2020-07/fema_procurement-under-grants-field-manual-supplement_1.pdf.

149

See Chapter 3:VI.A. State and Territorial Governments for a description of which Applicants are State or

Territorial government entities.

150

2 C.F.R. § 200.326.

151

The Davis Bacon Act requires “prevailing wage” payment to contracted workers based on the local union wage

scale defined by the U.S. Department of Labors.

If the Applicant incorporates prevailing wage rates as part of its

normal practice for all contracts regardless of the funding source, then those rates are eligible.

152

2 C.F.R. § 200.403(a).

V4 2020 Page 78

B. Procurement and Contracting Requirements for Tribal and Local Government

Agencies and Private Nonprofits

Tribal and local governments, including Tribal Recipients, and PNPs

153

must comply with:

• Their own documented procurement procedures;

• Applicable SLTT government laws and regulations; and

• Applicable Federal laws and regulations.

154

If a Federal requirement is different than the SLTT requirement, or the Applicant’s own

requirements, it must use the more restrictive requirement. Additionally, Territorial governments

should consult their legal counsel when a project involves a public building or public works

facility as the Buy American Act may apply to the procurement process.

1. Pre-procurement Considerations

Tribal and local governments and PNPs must:

• Establish or update written procurement procedures that reflect applicable SLTT laws

and regulations;

155

and

• Maintain required written standards of conduct covering conflicts of interest and

governing the performance of employees who engage in the selection, award, and

administration of contracts.

156

Tribal and local governments and PNPs should also create a prequalified list of responsible

contractors identified to possess the qualifications and technical abilities to satisfy the

Applicant’s potential requirement.

157

Although not a contract, many entities have prequalified

lists that serve as contract research.

A prequalified contractor is one that the Applicant evaluated and determined to be qualified to

perform the work based on capabilities, such as technical and management skills, prior

experience, past performance, and availability. A prequalified contractor is not entitled to a

“standby” contract. The Applicant must still conduct full and open competition. The Applicant

cannot exclude potential bidders or offerors from qualifying during the solicitation period, even

if they were not on the prequalified list.

2. General Federal Procurement Requirements

Federal procurement requirements for Tribal and local governments and PNPs are found at 2

C.F.R. § 200.318 through 200.326. The requirements include, but are not limited to:

• Providing full and open competition

158

(Tribal government Applicants may provide

preference to Indian organizations or Indian-owned economic enterprises

159

if the

153

See Chapter 3:VI. Applicant Eligibility for a description of which Applicants are Tribal or local governments or

PNPs.

154

2 C.F.R. § 200.318(a).

155

Ibid.

156

2 C.F.R. § 200.318(c)(1).

157

2 C.F.R. § 200.319(d).

158

2 C.F.R. § 200.319(a).

159

Per the Indian Financing Act of 1974, Pub. L. No. 93-262, § 2(e), 88 Stat 77 (codified as amended at 25 U.S.C. §

1452(f)), an Indian organization is the governing body of any federally recognized Tribe or an entity established or

V4 2020 Page 79

Applicant substantiates that it met the Indian Self-Determination and Education Act

requirements).

• Conducting the following steps to ensure the use of small and minority businesses,

women’s business enterprises, and labor surplus area firms when possible:

160

o Place such organizations that are qualified on solicitation lists;

o Ensure such organizations are solicited whenever they are potential sources;

o Divide total requirements, when economically feasible, into smaller tasks or

quantities;

o Establish delivery schedules, where the requirement permits, which encourage

their participation;

o Use the services and assistance, as appropriate, of the Small Business

Administration and the Minority Business Development Agency of the

Department of Commerce; and

o Require prime contractor to conduct the above steps if subcontracting.

Note that Tribal government Applicants using the Indian Self-Determination and

Education Assistance Act preference do not need to separately follow the six

socioeconomic steps outlined above.

• Performing a cost or price analysis in connection with every procurement action above

the simplified acquisition threshold,

161

including contract modifications. The Applicant

must make independent estimates before receiving bids or proposals.

162

Additionally, the

Applicant must negotiate profit as a separate element of the price when it performs a cost

analysis and for each contract in which there is no price competition.

163

• Evaluating and documenting the contractor’s integrity, compliance with public policy,

record of past performance, and financial and technical resources.

164

• Ensuring that the contractor was not suspended or debarred.

165

• Prohibiting the use of statutorily or administratively imposed SLTT geographic

preferences in evaluating bids or proposals except where expressly encouraged by

applicable Federal law.

166

• Excluding contractors that develop or draft specifications, requirements, statements of

work, or invitations for bids or requests for proposals from competing for such

procurements to ensure objective contractor performance and eliminate unfair

competitive advantage.

167

recognized by the governing body. An Indian-owned economic enterprise is any commercial, industrial, or business

activity established or organized by a member of a Federal recognized Tribe for the purpose of profit, provided that

such Indian ownership constitutes 51 percent or more of the enterprise.

160

2 C.F.R. § 200.321.

161

The simplified acquisition threshold is set by the Federal Acquisition Regulation at 48 C.F.R. § 2.101. The

threshold is adjusted periodically for inflation.

162

2 C.F.R. § 200.323(a).

163

2 C.F.R. § 200.323(b).

164

2 C.F.R. § 200.318(h).

165

2 C.F.R. § 200.213.

166

2 C.F.R. § 200.319(b).

167

2 C.F.R. § 200.319(a).

V4 2020 Page 80

• Maintaining records to detail the history of

the procurement including, but are not

limited to:

o Rationale for the method of

procurement;

o Selection of contract type;

o Contractor selection or rejection; and

o The basis for the contract price.

168

3. Procurement Methods

Tribal and local governments and PNPs must use

one of the following procurement methods:

169

• Micro-purchase;

• Small purchase procedure;

• Sealed bid (formal advertising);

• Competitive proposal; or

• Noncompetitive proposal (sole-sourcing).

(a) Noncompetitive Procurement

FEMA may reimburse costs incurred under a

contract procured through a noncompetitive

proposal, also referred to as sole-source, only when

one or more of the following circumstances apply:

• The item is only available from one source;

• The public exigency or emergency for the

requirement will not permit a delay resulting

from competitive solicitation (this exception

to competitive procurement is only for work

specifically related to the circumstance and

only while the circumstances exists.

Therefore, Applicants need to immediately

begin the process of competitively procuring

similar goods and services and transition to a

competitively procured contract as soon as

the circumstances cease to exist);

• FEMA or the Recipient expressly authorizes

a noncompetitive proposal in response to a written request from the Applicant; or

• After solicitation of several sources, competition is determined inadequate.

170

168

2 C.F.R. § 200.318(i).

169

2 C.F.R. § 200.320.

170

2 C.F.R. § 200.320(f).

Terminology

Exigency: The existence of a need to avoid,

prevent or alleviate serious harm or injury,

financial or otherwise, to the Applicant.

Emergency: The existence of a threat to life,

public health or safety, or improved property

requiring immediate action to alleviate the

threat.

Terminology: Procurement Methods

Micro-purchase: purchase of supplies or

services where the total cost does not exceed

the micro-purchase threshold set by the

Federal Acquisition Regulation at 48 C.F.R.

Subpart 2.1.

Small purchase procedure: relatively simple

and informal procurement method for

securing services, supplies, or other property

that do not cost more than the simplified

acquisition threshold set by the Federal

Acquisition Regulation at 48 C.F.R. Subpart 2.1.

Sealed bid: publicly solicited bid awarded via a

firm fixed price contract to the lowest

responsive and responsible bidder.

Competitive proposal: normally conducted

with more than one source submitting an offer

and generally used when conditions are not

appropriate for the use of sealed bids.

Noncompetitive proposal: solicitation of a

proposal from only one source.

See 2 C.F.R. § 200.320 for Federal rules that

apply to each individual method.

V4 2020 Page 81

For each noncompetitive procurement, the Applicant must identify which of the four

circumstances listed above apply and provide all of the following information, documentation,

and justification:

 A brief description of the product or service being procured, including the expected

amount of the procurement;

 Explanation of why a noncompetitive procurement is necessary. If there was a public

exigency or emergency, the justification should explain the specific conditions and

circumstances that clearly illustrate why competitive procurement would cause

unacceptable delay in addressing the public exigency or emergency. (Failure to plan for

transition to competitive procurement cannot be the basis for continued use of

noncompetitive procurement based on public exigency or emergency);

 Length of time the noncompetitive contract

will be used for the defined SOW, and the

impact on that SOW should the

noncompetitively procured contract not be

available for that amount of time (e.g., how

long does the Applicant anticipate the exigency

or emergency circumstances to continue; how

long it will take to identify requirements and

award a contract that complies with all

procurement requirements; or how long it

would take another contractor to reach the

same level of competence);

 The specific steps taken to determine that the

Applicant could not have used, or did not use,

full and open competition for the SOW (e.g.,

research conducted to determine that there were limited qualified resources available that

could meet the contract provisions);

 Any known conflicts of interest and any efforts that the Applicant made to identify

potential conflicts of interest before the noncompetitive procurement occurred. If the

Applicant made no efforts, explain why; and

 Any other justification.

Procurement of Real Property

The purchase or lease of real property is a

unique transaction that might not readily

allow use of one of the competitive

methods of procurement. If the Applicant

is unable to conduct a competitive

procurement, it may use a noncompetitive

method in accordance with the

requirements in this section. The

appropriate method will depend on the

facts and circumstances of each

procurement.

Page 82

If FEMA determines that none of the allowable circumstances existed or did not preclude the

Applicant from adhering to competitive procurement requirements, FEMA may disallow all or

part of the associated costs.

171

4. Contract Types

FEMA reimburses costs incurred by Tribal and local governments and PNPs using three types of

contract payment obligations: fixed price, cost-reimbursement, and, to a limited extent, T&M.

The specific contract types related to each of these are described in FEMA’s Procurement

Guidance for Recipients and Subrecipients Under 2 C.F.R. Part 200 (Uniform Rules).

172

Tribal and local governments and PNPs must maintain oversight on all contracts to ensure

contractors perform according to the conditions and specifications of the contract and any

purchase orders.

173

(a) Time and Material Contracts

T&M contracts do not provide incentives to the contractor for cost control or labor efficiency.

Therefore, use of T&M contracts are only allowed if all of the following apply:

• No other contract type was suitable;

• The contract has a ceiling price that the contractor exceeds at its own risk; and

• The Applicant maintains a high degree of oversight to obtain reasonable assurance that

the contractor is using efficient methods and effective cost controls.

174

171

2 C.F.R. § 200.338.

172

www.fema.gov/sites/default/files/2020-07/fema_procurement-under-grants-field-manual-supplement_1.pdf.

173

2 C.F.R. § 200.318(b).

174

2 C.F.R. § 200.318(j).

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Example of an Exigent Situation

A tornado impacts a city in June and causes widespread and catastrophic damage, including damage to a city

school. The city wants to repair the school and have it ready for use by the beginning of the school year in

September. The city estimates, based on experience, that awarding a contract using a sealed bidding process

would require at least 90 days, and the city’s engineer estimates that the repair work would last another 60

days. This would extend the project beyond the beginning of the school year. Rather than conducting a sealed

bidding process, the city—in compliance with State and local law—wants to sole source with a contractor it

has contracted with previously.

Example of an Emergency Situation

Severe weather impacts a city and causes widespread and catastrophic damage, including loss of life,

widespread flooding, loss of power, damage to public and private structures, and millions of cubic yards of

debris across the city, leaving majority of the jurisdiction inaccessible. The city needs to begin debris removal

activities immediately to restore access to the community, support search and rescue operations, power

restoration, and address health and safety concerns.

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FEMA generally limits the use of T&M contracts to a reasonable timeframe based on the

circumstances during which the Applicant could not define a clear SOW. Therefore, the

Applicant should define the SOW as soon as possible to enable procurement of a more

acceptable type of contract.

Some entities, such as Rural Electrical Cooperatives, provide the materials necessary to restore

the facilities and refer to such contracts as Time and Equipment (T&E) contracts. The limitations

and requirements that apply to T&M contracts also apply to T&E contracts.

(b) Cost-Plus-Percentage-of-Cost or Percentage-of-Construction

In addition to limiting reimbursement to costs that can be determined to be reasonable, FEMA

does not reimburse the increased cost associated with the percentage on a cost-plus-percentage-

of-cost calculation or percentage-of-construction cost method.

175

This type of contract billing is

prohibited as it does not provide incentive to contractors to control costs because the contractor’s

profit increases as the costs of performance increase. Instead, it provides a financial interest to

the contractor to increase costs so that its profit increases. FEMA identifies these cost methods

by determining whether:

• Payment is on a predetermined percentage rate;

• The predetermined percentage rate is applied to actual performance costs;

• The contractor’s total payment amount is uncertain at the time of contracting; and

• The contractor’s payment increases commensurately with increased performance

costs.

176

5. Additional Contracting Considerations

(a) Pre-Positioned Contracts

Some Applicants have pre-positioned contracts, which are contracts awarded before an incident

occurs for the potential performance of work. These contracts are also referred to as advance or

standby contracts. FEMA may reimburse reasonable costs under a pre-positioned contract if:

• It was originally procured in compliance with Federal procurement requirements;

• The scope of work was adequate to cover the work performed;

• The work performed was eligible; and

• The contract term covers time when work was performed.

(b) Cooperative Purchasing

A cooperative purchasing program is a cooperative arrangement for acquiring goods or services that

involves aggregating the demand of two or more entities to obtain a more economical purchase.

177

Program membership may provide entities with access to lists of agreements or contracts for goods

and services at pre-negotiated rates or prices. Typically, the member then purchases the goods or

175

2 C.F.R. § 200.323(d).

176

See Federation Aviation Administration -Request for Advance Decision, 58 Comp.Gen. 654, 655 (1979), 79-2

CPD 34; Marketing Consultants International Limited, 55 Comp.Gen. 554, 562 (1975), 75-2 CPD 384.

177

Cooperative purchasing programs are distinguishable from joint procurements. A joint procurement is a method

of contracting in which two or more purchasers agree from the outset to use a single solicitation and enter into a

single contract with a vendor for the delivery of goods or services. Joint procurements must still comply with

Federal procurement requirements. However, FEMA sees fewer compliance issues with joint procurements.

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services by negotiating with participating vendors and placing purchase orders or entering into

contracts based on the pre-negotiated rates or prices. FEMA advises against the use of cooperative

purchasing programs due to frequent compliance issues with Federal procurement requirements.

Appendix D: Frequent Compliance Issues with Cooperative Purchasing Programs provides a list of

frequent compliance issues with cooperative purchasing programs for procurements above the

simplified acquisition threshold.

Applicants must document and explain how its use of the program

complied with all procurement requirements.

Piggyback contracting is a type of cooperative purchasing and occurs when one entity assigns the

contractual rights it has in a contract to another entity. FEMA advises against the use of piggyback

contracts. Piggyback contracts are usually not compliant with Federal requirements as the scope of

work pertains to the needs of a different entity.

C. Required Contract Clauses

Applicants must include required provisions detailed in 2 C.F.R. § 200.326 in all contracts

awarded.

178

Some provisions are based on sound contracting practices while others are required

by Federal law, EO, and regulations.

Required contract provisions include:

 Remedies Clause;

 Termination for Cause;

 Termination for Convenience;

 Equal Employment Opportunity;

 Contract Work Hours and Safety Standards Act;

 Homeland Security Acquisition Regulation Class Deviation 15-01 clauses; “Safeguarding

of Sensitive Information” and “Information Technology Security and Privacy Training”

for existing and new contracts and solicitations that have a high risk of unauthorized

access to or disclosure of sensitive information;

179

 Clean Air Act;

 Federal Water Pollution Control Act;

 Debarment and Suspension;

 Byrd Anti-Lobbying Amendment Clause;

 Byrd Anti-Lobbying Amendment Certification; and

 Procurement of Recovered Materials.

In addition to the required provisions, FEMA also recommends the following contract provisions

be included in all contract awards:

 Changes Clause;

178

2 C.F.R. § 200.326.

179

“Sensitive Information” is defined in Homeland Security Acquisition Regulation clause 3052 204-71, Contractor

Employee Access, as any information, which if lost, misused, disclosed, or without authorization is accessed, or

modified, could adversely affect the national or homeland security interest, the conduct of Federal programs, or the

privacy to which individuals are entitled under 5 U.S.C. § 552a (the Privacy Act), but which has not been

specifically authorized under criteria established by an Executive Order or an Act of Congress to be kept secret in

the interest of national defense, homeland security or foreign policy.

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 Access to Records;

 Department of Homeland Security Seal, Logo, and Flags;

 Compliance with Federal Law, Regulations, and EOs Clause;

 No Obligation by Federal Government; and

 Program Fraud and False or Fraudulent Statements or Related Acts.

Some provisions do not apply under the PA Program (e.g. Davis Bacon Act

180

and Rights to

Inventions Clause) while others require verbatim language. Appendix K: Contract Provisions

provides the exact language for the provisions that require verbatim language and provides

sample language for some of the other provisions.

D. Documentation Requirements

The Applicant should submit the following to support contract costs claimed (not an all-inclusive

list):

 Procurement policy (required when requested);

 Procurement documents (i.e., requests for proposals, bids, selection process, etc.)

(required when requested);

 A cost or price analysis (required for contracts above the simplified acquisition threshold)

 Contracts, change orders, and summary of invoices (required);

 Dates worked (required when requested);

181

and

 Documentation that substantiates a high degree of contractor oversight, such as daily or

weekly logs, records of performance meetings (required for T&M contracts when

requested).

IX. Mutual Aid

When the Applicant does not have enough resources to respond to an incident, it may request

resources from another jurisdiction through a “mutual aid” agreement. FEMA refers to the entity

requesting resources as the Requesting Entity. FEMA refers to the entity providing the requested

resource as the Providing Entity.

FEMA provides PA funding to the Requesting Entity as it is legally responsible for the work.

FEMA does not provide PA funding directly to the Providing Entity. For the work to be eligible,

the Requesting Entity must have requested the resources provided.

Some States have a statewide mutual aid agreement that designates the State as being responsible

for reimbursing mutual aid costs. In these States, the Providing Entity may request funding

directly from the State, with prior consent of the Requesting Entity, in accordance with

applicable State laws and procedures. If the Requesting entity and the State approve the request

and the State pays the Providing Entity, FEMA provides PA funding to the State. The

180

The Davis Bacon Act requires “prevailing wage” payment to contracted workers based on the local union wage

scale defined by the U.S. Department of Labors.

If the Applicant incorporates prevailing wage rates as part of its

normal practice for all contracts regardless of the funding source, then those rates are eligible.

181

FEMA may request this information to validate work was completed within the project’s approved period of

performance and when applicable for Emergency Work, to determine cost share application per

Chapter 6:XIII.

Increased Federal Cost Share for a Limited Timeframe)

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Requesting Entity may be responsible for reimbursing the State for any non-Federal local cost

share, depending on specific State requirements.

The Requesting Entity or State, if applicable, must provide a description of the services

requested and received, along with documentation of associated costs (e.g., labor, equipment,

supplies, or materials) to FEMA in support of a request for PA funding.

A. Post-Incident Agreements

When the Requesting and Providing Entities do not have a written agreement, OR where such an

agreement exists but is silent on reimbursement, the entities may verbally agree on the resources

to be provided and on the terms, conditions, and costs of such assistance.

The agreement should be consistent with past practices for mutual aid between the entities. For

example, if the Requesting Entity does not normally reimburse a Providing Entity for its costs, it

should not agree to do so specifically for the declared incident.

Prior to funding, the Requesting Entity must document the verbal agreement in writing, have it

executed by an official of each entity with the authority to request and provide assistance, and

submit it to FEMA (preferably within 30 days of the Applicant’s Briefing).

182

B. Eligibility

Mutual aid resources are eligible when used for Emergency Work, emergency utility restoration

(regardless of whether it is deemed Category B or F) or grant management activities [subject to

the criteria in FEMA Recovery Policy FP 104-11-2, Public Assistance Management Costs

(Interim)]. Mutual aid work is subject to the same eligibility criteria as contract work. Costs to

transport the Providing Entity’s equipment and personnel to the declared area are eligible.

Ineligible work performed by a Providing Entity includes, but is not limited to:

• Preparing to deploy;

• Dispatch operations outside the receiving State, Territory, or Tribe;

• Training and exercises; and

• Support for long-term recovery and mitigation operations.

The Emergency Management Assistance Compact (EMAC) is a national

interstate mutual aid agreement that enables States and Territories to share

resources in response to an incident. Work performed outside the receiving State

or Territory that is associated with the operation of EMAC, including tracking of

resources, is ineligible unless the work is associated with the receiving State’s or

Territory’s emergency operations for the incident.

The Providing Entity’s straight-time and overtime labor are eligible, including fringe benefits.

When the Requesting Entity is a SLTT government and the Providing Entity is another division

within the same SLTT government, straight-time for budgeted employees of the Providing Entity

is ineligible.

182

The Recipient conducts Applicant Briefings to provide PA Program information to potential Applicants. This

briefing is described in Chapter 3:II. Applicant Briefing

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If the Providing Entity backfills deployed personnel, overtime for backfill personnel is eligible

even if they are not performing eligible work. However, straight-time for backfill personnel is

ineligible.

FEMA reimburses the use of equipment provided to a Requesting Entity based on either the

terms of the agreement or equipment rates (detailed in Chapter 6:III. Applicant-Owned

Equipment and Purchased Equipment). FEMA provides PA funding to repair damage to this

equipment the same way as it provides PA funding to repair damage to Applicant-owned

equipment (detailed in Chapter 7:IV. Damage Caused During Performance of Emergency Work).

The Applicant needs to submit the following to support mutual aid costs claimed (not an all-

inclusive list):

 Written agreement (required);

 Services requested and received (required);

 Same information listed for labor, equipment, and supplies (required as applicable); and

 Invoices (representative sample required when requested).

X. Prisoners

FEMA provides PA funding for prisoner labor costs based on the rate that the Applicant

normally pays prisoners. FEMA also provides PA funding for prisoner transportation to the

worksite and extraordinary costs of security guards, food, and lodging.

183

The Applicant should submit the following to support prison labor costs claimed (not an all-

inclusive list):

 Estimated hours and rates for work to be completed;

 Prison labor pay policy and pay rate (required); and

 For each individual:

o Name (required);

o Days and hours worked (required);

o Description of work performed (required) should include a representative sample

of daily logs or activity reports; and

o Locations worked (required).

XI. National Guard

The Governor may activate National Guard personnel to State Active Duty in response to an

incident. Labor costs and per diem, if applicable, are eligible for State Active Duty personnel

performing eligible work. Both straight-time and overtime are eligible, including fringe benefits.

The U.S. Department of Defense funds National Guard personnel activated under Full-Time

National Guard Duty (Title 32) or Active Duty (Title 10). Therefore, Title 32 and Title 10

personnel costs, and any other costs funded by the U.S. Department of Defense, such as training,

are ineligible.

183

Stafford Act § 406(a)(2)(B), 42 U.S.C. § 5172.

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XII. Direct Federal Assistance

When the impact of an incident is so severe that the SLTT governments lack the capability to

perform or contract eligible Emergency Work, the Recipient may request that the Federal

government provide this assistance directly. FEMA may task another Federal agency to perform

or contract the work provided it is an eligible activity under Chapter 7. Emergency Work

Eligibility

184

unless the work falls under the authority of another Federal agency.

185

FEMA

issues a “Mission Assignment” to task the work and refers to it as Direct Federal Assistance

(DFA).

186

DFA has the same cost-share provisions applicable to the declaration (as described in

Chapter 1:IV.E. Federal Cost Share).

XIII. Increased Federal Cost Share for a Limited Timeframe

When the president authorizes an increased Federal cost share for a limited timeframe, FEMA

applies it to all eligible costs related to work performed through 11:59 p.m. on the date of

expiration. Therefore, the Applicant needs to delineate costs for work performed prior to the

deadline versus costs for work performed after the deadline. The following bullets further define

how FEMA applies the increased Federal cost share:

• Employees: Costs for hours worked up to the date and time of expiration.

• Purchased Material and Equipment: Cost to purchase each item that the Applicant needed

and used to perform eligible work during the increased funding period. In this case,

FEMA also applies the increased Federal cost share to the usage cost up to the date and

time of expiration.

• Leased Equipment and Facilities: Lease costs up to date and time of expiration. FEMA

may calculate the cost based on a proration of time (i.e., if a facility is leased for six

months based on a monthly rate and the period for the increased Federal cost share

expired 45 days from the start of the lease, FEMA applies the increased Federal cost

share to the cost to lease the facility for 45 days based on a proration of the monthly rate).

• Contract Costs: Costs for work performed up to the date and time of expiration. If costs

cannot be distinguished by date performed, FEMA may prorate costs based on the

percentage of work completed prior to the deadline versus the percentage of work

remaining. However, Applicants should work with contractors to delineate dates

associated with work.

XIV. Donated Resources

Individuals and organizations often donate resources to assist with response activities. FEMA

does not provide PA funding for donated resources. However, FEMA allows the Applicant to use

the value of donated resources (non-cash contributions of property or services)

187

related to

eligible Emergency Work to offset the non-Federal cost share of its eligible Emergency Work

projects and DFA; and to use the value of donated resources related to eligible work on a

Permanent Work Project to offset the non-Federal cost share of that specific Permanent Work

184

44 C.F.R. § 206.208(a).

185

44 C.F.R. § 206.208(c)(2).

186

44 C.F.R. § 206.208(c)(1).

187

2 C.F.R.) § 200.96.

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Project. FEMA applies the offsets regardless of the cost share arrangements between the

Recipient and its Subrecipients.

For Emergency Work specifically, if there is a time-limited 100 percent Federal cost share period

(see Chapter 6:XIII. Increased Federal Cost Share for a Limited Timeframe) and the Applicant

uses resources donated during this time period, it may use the value of those donated resources to

offset the non-Federal cost share incurred after the 100 percent Federal cost share period expires.

If the Applicant uses resources from its stock that were donated during a previous incident or

timeframe, it may use the value of those donated resources to offset its non-Federal cost share if

the Applicant has not claimed the resources as an offset in a previous incident.

The Applicant may apply the offset if all of the following conditions are met:

• The donated resource is from a third party. A third party includes private entities or

individuals, including individuals that are normally paid employees of the Applicant or

Federal, State, Territorial, or Tribal government, but are volunteering as unpaid

individuals and not on behalf of the employer);

• The donated resource is necessary and reasonable;

188

• The Applicant uses the resource in the performance of eligible work

189

and within the

respective Project’s period of performance;

190

and

• The Applicant or volunteer organization tracks the resources and work performed,

including description, specific locations, and hours.

191

The Applicant must track the

donated resources for Permanent Work to the specific Project for which it is associated.

FEMA considers unpaid individuals who volunteer their labor to the Applicant to be third-party

even if they are officially members or employees of the Applicant organization (e.g. volunteer

fire fighters at a PNP volunteer fire department performing eligible Emergency Work).

Resources donated to the Applicant by an organization that would normally provide the same

resources under its mission, such as the American Red Cross, are eligible as an offset provided

the organization is not federally funded. Additionally, if a mutual aid agreement provides for

assistance at no cost to the Applicant, the Applicant may use the value of that assistance to offset

its non-Federal cost share.

The value of a donated resource is ineligible as an offset toward the non-Federal cost share if the

resource is:

• Donated by a Federal agency;

• Donated by another federally funded source;

• Funded through a Federal award;

192

• Used as an offset to any other Federal award;

193

• Used for ineligible work.

188

2 C.F.R. § 200.306(b)(3).

189

Applicants may not use the value of standby time as a donated resource as no work is being performed.

190

2 C.F.R. § 200.309. For Emergency Work, the end of the period of performance is equal to the latest Emergency

Work Project’s period of performance.

191

2 C.F.R. §§ 200.434(d) and 306(b)(1).

192

2 C.F.R. § 200.306(b)(5).

193

2 C.F.R. § 200.306(b)(2).

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Requesting donated resources from contractors during the solicitation phase of a procurement

may violate Federal procurement rules as it may be considered overly burdensome or restrictive

of competition.

194

To remain compliant, the Applicant can do the following:

• Accept unsolicited donated resources from contractors;

• Maintain a list of donors; and

• Ask contractors that are donating resources to work with other organizations.

If the Applicant accepts donated resources from contractors, it must not do any of the following:

• Solicit donations in its requests for proposals or solicitations for bids;

• Directly solicit donations or requests for proposals from contractors who are actively

bidding on its contracts;

• Grant an award to a contractor which has donated resources for the specific work covered

by the contract;

• Show favoritism or give the appearance of showing favoritism to a contractor who has

donated resources; and

• Limit competition among contractors based on donated resources, especially for smaller

contractors (including women or minority owned businesses) that might not be able to

afford to donate resources.

A. Offset Amounts

FEMA applies values to donated resources as follows:

• Volunteer Labor: The offset is based on the same straight-time hourly labor rate, and

fringe benefits, as a similarly qualiﬁed person in the Applicant’s organization who

normally performs similar work. FEMA does not offset volunteer labor based on

overtime or premium rates. If the Applicant does not have employees performing similar

work, FEMA credits the non-Federal share based on a rate consistent with those

ordinarily performing the work in the same labor market that the Applicant would

otherwise compete for that type of work.

195

• Equipment: The offset is based on equipment rates and must not exceed the fair rental

value (if loaned) or the fair market value of equipment that is in similar age and condition

at the time of donation (if donated with a transfer of title). See Chapter 6:III. Applicant-

Owned Equipment and Purchased Equipment for information on equipment rates.

196

• Supplies or Materials: The offset is based on current commercial rates; which FEMA

validates based on invoices from previous purchases or information available from

vendors in the area. The amount must not exceed the fair market value at the time of

donation.

197

• Buildings or Land: For buildings or land donated permanently (i.e., with a transfer of

ownership), the offset is based on the fair market value at the time of donation as

established by an independent appraisal and certified by the Applicant.

194

2 C.F.R. § 200.319.

195

2 C.F.R. § 200.306(e) and (f).

196

2 C.F.R. § 200.306(g), (h), and (i).

197

2 C.F.R. § 200.306(g).

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• Space: For building or land space donated for temporary use, the offset is based on the

fair rental value of comparable privately-owned space in the same locality as established

by an independent appraisal.

198

• Logistical Support: Reasonable logistical support for volunteers doing eligible work, such

as donations warehousing and management related to eligible work, may be eligible

either for funding (if the Applicant provides the logistical support) or as a donated

resource offset (if a third party provides the logistical support), subject to approval by

FEMA.

For Emergency Work, FEMA applies the donated resource offset against the combined non-

Federal cost share for all the Applicant’s Emergency Work Projects (Category A and B) under

the declared incident. The offset may not exceed the total out-of-pocket costs and is capped at

the total non-Federal cost share of these projects. FEMA prepares the Emergency Work donated

resource project as a Category B Project separate from Emergency Work Projects for the

Applicant’s incurred costs. FEMA does not obligate the donated resource Project until after it

obligates all Emergency Work Projects for the Applicant.

For Permanent Work, FEMA applies the donated resource offset against the non-Federal cost

share of the specific Permanent Work Project for which the resources were donated. The offset

may not exceed the total out-of-pocket costs. FEMA caps the offset at the non-Federal cost share

of that specific Permanent Work Project. The type and amount of resources donated must

directly correlate to, and may not exceed, the type and amount approved in the scope of work of

the Permanent Work Project (e.g., if the approved scope of work includes replacement of 10

chairs and 15 chairs are donated, the donated resource offset is limited to 10 chairs). FEMA

adjusts the Permanent Work Project to capture any donated resource offsets related to the Project

upon receipt of the donated resource information and no later than closeout.

B. Documentation Requirements

The Applicant needs to submit the following to support donated resources (not an all-inclusive

list):

For each individual:

 Sign-in sheet (required);

 Name (required);

 Title and function (required for professional services);

 Days and hours worked (required); and

 Location of work and work performed (required).

Equipment:

 Same information listed under Chapter 6:III. Applicant-Owned Equipment and Purchased

Equipment (required); and

 Who donated each piece of equipment (required).

Supplies or materials:

198

2 C.F.R. § 200.306(i)(3).

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 Quantity used (required);

 Who donated (required);

 Location(s) used (required); and

 Invoices or other documentation to validate claimed value (required).

XV. Project Management and Design Services

FEMA provides PA funding for costs related to project management and design activities as part

of the project. Project management includes activities performed to manage the actual project.

These are activities that would be required regardless of whether the entity is receiving PA

funding and differ from management costs, which are costs for activities related to the receipt

and administration of PA funding.

Project management activities may include procurement actions, legal review of contracts,

monitoring contractor work, construction oversight and inspections, environmental and historic

preservation permitting actions, completing load tickets for debris operations. These activities

are eligible provided they are tracked and directly related to a specific, eligible project.

Architectural, engineering, and design services for the approved scope of work, including hazard

mitigation, are also eligible provided the services are reasonable. Some projects do not need

these services or require only basic services, while others require specialized engineering and

design.

When evaluating the eligibility of project management and design services, FEMA considers

whether the project includes improvements that are ineligible for funding (costs for management

and design services associated with improvements or other ineligible work are not eligible).

XVI. Grant Management and Administration

FEMA provides contributions for management costs that a Recipient or Subrecipient incurs in

administering and managing PA awards. For Recipients, FEMA provides PA funding for

management costs based on actual costs incurred up to 7 percent of the total award amount. For

Subrecipients, FEMA provides PA funding for management costs based on actual costs incurred

up to 5 percent of the Subrecipient’s total award amount.

199

Additional information is available

in FEMA’s interim policy, FEMA Recovery Policy FP 104-11-2, Public Assistance Management

Costs (Interim) and FEMA’s Public Assistance Management Costs Standard Operating

Procedures.

200

XVII. Surveys to Assess or Locate Damage or Debris Impacts

The Applicant is responsible for identifying locations of incident-related damage or debris

impacts. Costs related to assessing overall impacts of an incident, locating damage or debris

impacts, and conducting PDAs are not eligible project costs, but may be eligible as management

costs (see Chapter 6:XVI. Public Assistance Grant Management and Administration).

199

Stafford Act § 324(a), 42 U.S.C. § 5165b as amended by the Disaster Recovery Reform Act; and 2 C.F.R. §

200.56 and 200.412.

200

www.fema.gov/sites/default/files/2020-07/pa_mgmt_costs_sop_final.pdf.

Page 93

If, during a survey after the declaration, the Applicant identifies incident-related damage to a

facility, the costs related to the inspection of that facility are eligible as management costs

provided the facility is eligible.

Further detailed inspections of that damage to determine the extent of damage or quantity of

debris and method of repair or removal, including professional evaluations, are eligible as part of

the work to restore the facility or work to remove the debris. If the Applicant performs a detailed

inspection of a partially damaged system, eligible costs are based on the percentage of the system

that was damaged. For example, if after inspecting 500 linear feet of sewer line, the Applicant

identified 100 linear feet of line damaged by the incident, only one-fifth of the inspection costs

are eligible.

FEMA has specific eligibility criteria for inspecting earthquake damage to buildings constructed

with welded steel-moment frames. FEMA bases the eligibility criteria on Recommended Post

Earthquake Evaluation and Repair Criteria for Welded Steel Moment Frame Buildings (FEMA

352).

201

The criteria are summarized in Appendix C: Welded Steel Moment Frame. Safety

inspections are discussed in Chapter 7:II.S. Safety Inspections.

XVIII. Duplication of Benefits

FEMA is legally prohibited from duplicating benefits from other sources. If the Applicant

receives funding from another source for the same work that FEMA funded, FEMA reduces the

eligible cost or de-obligates funding to prevent a duplication of benefits.

202

A. Insurance Proceeds

FEMA cannot provide PA funding that duplicates insurance proceeds.

203

Consequently, FEMA

reduces eligible costs by the amount of:

• Actual insurance proceeds, if known;

204

• Anticipated insurance proceeds based on the Applicant’s insurance policy, if the amount

of actual insurance proceeds is unknown. FEMA subsequently adjusts the eligible costs

based on the actual amount of insurance proceeds the Applicant receives.

FEMA requires the Applicant to take reasonable efforts to pursue claims to recover insurance

proceeds that it is entitled to receive from its insurer(s). FEMA may limit funding if the

insurance policy provides coverage that should be pursued. If the Applicant expends costs to

pursue its insurance claim, FEMA offsets the insurance reduction with the Applicant’s

reasonable costs to pursue the claim if:

• The incurred cost resulted from pursuing insurance proceeds for FEMA-eligible work;

and

• The Applicant can provide documentation to show that the incurred cost was attributed to

pursuing more insurance proceeds than the initial settlement amount.

201

www.nehrp.gov/pdf/fema352.pdf.

202

Stafford Act § 312, 42 U.S.C. § 5155, and 2 C.F.R. § 200.406.

203

Ibid.

204

44 C.F.R. §§ 206.252(c) and 253(a).

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V4 2020 Page 94

If the Applicant receives insurance proceeds for ineligible losses (e.g., business interruption),

FEMA calculates a relative apportionment of insurance proceeds to determine the insurance

reduction based on:

• The proceeds received per type of loss as specified by the insurance policy or settlement

documentation;

• Policy limits for categories of loss as specified in the insurance policy; or

• The ratio of total eligible losses to total ineligible losses.

FEMA Recovery Policy (FP) 206-086-1, Public Assistance Policy on Insurance, describes

insurance reductions in detail.

205

The Applicant should upload the following documentation in PA Grants Portal at the Applicant

Level (not an all-inclusive list):

 Summary of insurance coverage

 Actual insurance proceeds, if available (required before project is closed)

 General Property Insurance Policy (required if applicable):

o Property policy declaration pages;

o Schedule of covered locations;

o Property policy forms and endorsements;

o Inland marine coverage section; and

o Equipment breakdown section

 Flood insurance policy (required for flood loss)

 Wind policy, which may include a separate wind only insurance policy issued by a state

Wind Pool or Association [required for wind-related loss (hurricane, tornado, severe

weather incident)]

 Auto insurance policy (required for vehicle damage)

 Insurance settlement information (required if available):

o Final Statement of loss;

o Adjuster’s estimates;

o Settlement checks;

o Correspondence explaining the settlement amount and allocation; and

o Letter of denial

B. Non-Federal Grants and Cash Donations

Grants and cash donations from non-Federal sources are subject to the following criteria based

on whether the funds are provided toward a specific purpose and whether that specific purpose is

otherwise eligible for PA funding.

• If the funds are designated for the same purpose as eligible work, the following apply:

o The Applicant may use the funds toward its non-Federal cost share.

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o If the funds are not used toward the non-Federal cost share, FEMA considers the

donation or non-Federal grant a duplication of benefits and reduces eligible costs by

the duplicated amount.

o If the funds exceed the amount of the non-Federal cost share, FEMA reduces eligible

costs by the excess amount.

• If the funds are designated for non-specific purposes, FEMA does not consider the funds

a duplication of beneﬁts. The Applicant may use the funds toward its non-Federal cost

share. If the funds exceed the amount of the non-Federal share, the Applicant can apply

the excess amount toward ineligible work.

• If the funds are designated for a specific purpose that is ineligible, FEMA does not allow

the Applicant to apply the funds toward its non-Federal cost share.

C. Third-Party Liability

When a third party

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causes damage (e.g., an oil spill) or increases the cost of repair or cleanup

and the Applicant requests FEMA funding for the costs, FEMA requires the Applicant to make

reasonable efforts to pursue claims to recover costs it is entitled to receive from the third party.

If the costs recovered are not adequate despite the Applicant’s good faith effort, FEMA reduces

eligible costs based on the recovered amount. If the Applicant receives funds from the third party

for eligible and ineligible work or losses, FEMA determines the offset amount based on:

• The proceeds received for eligible losses as specified by the settlement documentation; or

• The ratio of total eligible losses to total ineligible losses.

D. Other Federal Awards

If the Applicant receives funds from another Federal agency for the same purpose as PA funding,

it is a duplication of benefits. FEMA cannot duplicate funds provided by another Federal agency.

XIX. Duplication of Funding Between FEMA Programs

FEMA provides assistance under other Programs, such as its IA programs and Hazard Mitigation

Grant Program (HMGP), that could duplicate assistance that is available under the PA Program.

FEMA must ensure it does not duplicate funds in areas where its programs overlap.

For IA, individuals may receive assistance for work that, under certain circumstances, is also

eligible under PA when a SLTT government has legal authority to perform the work. For

example, a homeowner may receive IHP assistance for debris clearance from a privately-owned

road and the local government may request PA funding for debris clearance from the same road

for emergency vehicle access. FEMA must ensure it does not provide PA funding for the same

work to two different entities.

For HMGP, FEMA can provide funding for a wide range of mitigation measures, including

measures that may also be eligible under the PA Program. FEMA must ensure that PA funds do

not duplicate HMGP funds.

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A third party is a private entity or individual that is not involved in the Federal award, i.e., not the Applicant or

Federal, State, Territorial, or Tribal Government.

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XX. Interest on Loans

Applicants may need to obtain a loan to complete work. Financing costs for a loan is only

eligible when it meets the conditions established in 2 C.F.R. § 200.449.

XXI. Ineligible Costs

The Stafford Act authorizes FEMA to provide PA funding for specific work performed as a

result of the incident. It does not authorize FEMA to provide PA funding for all losses or costs

resulting from the incident. The following costs are ineligible because the Stafford Act does not

authorize FEMA to provide PA funding for these items.

A. Loss of Revenue

FEMA cannot provide PA funding for revenue lost due to the incident. The following are

examples of when loss of revenue may occur because of an incident:

• Hospitals release noncritical patients to make room for survivors;

• Hospitals sustain damage that reduces pre-existing capacity;

• Waiving toll fees on a toll road, even if for evacuation purposes;

• Waiving the normal fee for ferry service to encourage alternate transportation;

• Waiving tipping fees;

• A utility system is shut down; and

• Events are cancelled due to an entity using a venue for incident-related activities, such as

sheltering.

B. Loss of Useful Service Life

FEMA cannot provide PA funding for the projected loss of useful service life of a facility. For

example, if a road has been inundated by flood waters for an extended timeframe, FEMA cannot

provide PA funding for the value of the projected loss of useful life of the road due to the long-

term effects the inundation might have on the road. Similarly, FEMA cannot fund the value of

the loss of landfill capacity due to incident-related debris.

C. Tax Assessments

SLTT governments may conduct tax assessments to re-assess real property values after an

incident. Costs related to conducting these assessments are ineligible because the assessments are

neither essential to addressing an immediate threat to life or improved property, nor connected

with the permanent restoration of eligible facilities.

D. Increased Operating Costs

Increased costs of operating a facility or providing a service are generally ineligible, even when

directly related to the incident. However, short-term increased costs that are directly related to

accomplishing specific emergency health and safety tasks as part of emergency protective

measures may be eligible, as discussed in Chapter 7:II.F. Expenses Related to Operating a

Facility or Providing a Service.

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CHAPTER 7: EMERGENCY WORK

ELIGIBILITY

FEMA is authorized to provide PA funding for Emergency Work,

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including emergency

protective measures and debris removal. This chapter includes PA policy for Emergency Work,

which is work that must be done immediately to:

• Save lives;

• Protect public health and safety;

• Protect improved

property; or

• Eliminate

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or lessen an

immediate threat of

additional damage.

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“Immediate threat” is the threat of

additional damage or destruction

from an incident that can

reasonably be expected to occur

within 5 years of the declared

incident.

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For flood incidents specifically, an immediate threat is a threat from a 5-year flood (a flood that

has a 20 percent chance of occurring in any given year). For other incidents, an immediate threat

means imminent danger from an incident that can reasonably be expected to occur within 5 years

of the declared incident. The declared incident must have caused the immediate threat

to exist.

However, the threat itself can be from any type of incident; it is not limited to the type of

incident that caused the initial damage or threat.

The deadline to complete Emergency Work is 6 months from the declaration date unless the

Recipient or FEMA authorize an extension.

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Although regulations allow 6 months to complete

Emergency Work, eligible Emergency Work is that which is necessary to address an immediate

threat (as shown in Figure 10. Emergency Work Eligibility). FEMA considers the urgency with

which the Applicant proceeds with work when evaluating eligibility. The Applicant should not

delay in following its normal policies and procedures when taking actions to address threats to

life, public health and safety, and improved property.

For PNP Applicants, eligible Emergency Work is generally limited to that associated with an

eligible PNP facility as follows:

• Debris removal from the facility property; and

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44 C.F.R. § 206.201(b).

208

While the regulatory definition of the term “Emergency Work” includes the term “avert,” the regulatory language

used for the specific eligibility criteria for debris removal and emergency protective measures includes the term

“eliminate,” not “avert.”

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In addition to addressing immediate threats to life, health and safety, and improved property, debris removal may

be authorized to ensure economic recovery of the affected community.

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44 C.F.R. § 206.221(c).

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44 C.F.R. §§ 206.204(c) and (d).

Figure 10. Emergency Work Eligibility

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• Emergency protective measures to prevent damage to the facility and its contents.

In limited circumstances, PNPs may be eligible for other types of Emergency Work when

essential components of a facility are urgently needed to save lives or protect health and safety

(see Chapter 7:II.D. Emergency Protective Measures Conducted by Private Nonprofit

Organizations for details).

For SLTT Applicants, evaluating facility eligibility is not necessary for most Emergency Work.

For these Applicants, eligibility of Emergency Work is primarily based on evaluation of an

immediate threat and legal authority to perform the work. The Applicant must provide the

following:

 Detailed description of work performed (required);

 Description of immediate threat (required if requested); and

 Records demonstrating presence of immediate threat (e.g., technical reports, safety

inspector reports, photographs) (required if requested).

Environmental and Historic Preservation Considerations

The Applicant should make every effort to inform the Recipient and FEMA of necessary

Emergency Work prior to performing the work, when appropriate, to afford FEMA the

opportunity to perform EHP reviews and consultations. The Applicant is responsible for

obtaining all required EHP permits from the appropriate agencies before proceeding with

Emergency Work. FEMA EHP staff is available to assist the Applicant with ensuring the work is

compliant with EHP laws, regulations, and EOs.

When performing Emergency Work, the Applicant should avoid new ground disturbance when

possible. If the Applicant cannot avoid new ground disturbance, it must consider impacts to

natural and cultural resources and obtain all necessary permits. To facilitate EHP review, the

Applicant should provide:

 Site map (including geographical coordinates in latitude, longitude in decimal degrees)

showing the location of all proposed areas where the Applicant will conduct site work or

construction and the extent of ground disturbance (including any staging areas, access

roads, parking, landscaping, grading, or utilities);

 Construction dates and photographs of all facilities in the project area;

 Any known environmental issues or historic preservation concerns, such as, but not

limited to, threatened and endangered species including their critical habitat, location in

floodplain or wetlands, presence of asbestos within the facility, or facility’s location in an

archaeologically sensitive area;

 Environmental assessments;

 Historic property designations or surveys, including archaeological surveys; and

 Copies of permits and correspondence with regulatory agencies, including but not limited

to:

o State, Territorial, or Tribal Historic Preservation Officer (SHPO/THPO) (historic

properties);

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o U.S. Army Corps of Engineers (work in navigable waters, work involving dredging

or discharging dredged materials or fill in waterways or wetlands);

o U.S. Fish and Wildlife Service (federally listed threatened and endangered species,

migratory birds, bald and golden eagles, work in Coastal Barrier Resource System

areas, work in or near waterways or wetlands);

o National Oceanic and Atmospheric Administration (federally listed threatened and

endangered species, work in in essential fish habitat, work in National Marine

Sanctuaries);

o EPA (work involving underground injection, work with the potential to increase

contamination of sole source aquifers); and

o State, Territorial, or Tribal environmental agencies (permits for burning, staging, or

disposing of debris).

I. Debris Removal (Category A)

Debris removal activities, such as clearance, removal, and disposal, are eligible as Category A if

the removal is in the public interest based on whether the work:

• Eliminates immediate threats to lives, public health, and safety;

• Eliminates immediate threats of signiﬁcant damage to improved public or private

property;

• Ensures economic recovery of the affected community to the benefit of the community at

large;

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• Mitigates risk to life and property by removing Substantially Damaged

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structures and

associated structures and appurtenances as needed to convert property acquired using

HMGP funds to uses compatible with open space, recreation, or wetlands management

practices. Such removal must be completed within 2 years of the declaration date unless

extended by the FEMA Assistant Administrator of the Recovery Directorate.

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Debris includes, but is not limited to, vegetative debris, construction and demolition debris, sand,

mud, silt, gravel, rocks, boulders, white goods, and vehicle and vessel wreckage.

For a PNP, eligible debris removal is limited to that associated with an eligible facility, including

debris on the property of the eligible facility.

Removal of debris from improved public property and public rights-of-way (ROWs), including

Federal-aid roads,

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is eligible. If SLTT governments authorize residents to place incident-

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This condition is generally restricted to debris removal from large commercial areas when a signiﬁcant

percentage of the commercial sector of a community is impacted and coordinated debris removal is necessary to

expedite restoration of the economic viability of the affected community.

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Substantial Damage is damage of any origin sustained by a structure whereby the cost of restoring the structure to

its before-damaged condition would equal or exceed 50 percent of the market value of the structure before the

damage occurred.

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Stafford Act § 407, 42 U.S.C. § 5173; 44 C.F.R. § 206.224(a).

215

The term “Federal-aid roads” means the highways on the Federal-aid highway system and all other public roads

not classified as local roads or rural minor collectors. The Federal-aid highway system means the National Highway

System and the Dwight D. Eisenhower National System of Interstate and Defense Highways (the Interstate System).

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related debris on public ROWs, FEMA provides PA funding to remove the debris from the

ROWs for a limited timeframe.

The Applicant needs to provide:

 Estimated debris quantities by type (required for all uncompleted work);

 Photographs of debris impacts, if available;

 Location of temporary reduction sites and permanent disposal sites (required);

 Copies of permits for reduction and disposal sites (required);

 Quantities of debris removed, reduced, disposed, and recycled (by type) with load tickets

to support quantities (required if contracted, FEMA reviews a representative sample);

 Tower logs (required if contracted, FEMA reviews a representative sample);

 Documentation to substantiate legal responsibility (required);

 The basis of the immediate threat determination (required);

 Location of debris (required); and

 Documentation to substantiate the debris was deposited by the incident and was not pre-

existing (e.g., waterway soundings that show pre-and post-incident levels) (required).

Removal of debris placed on the public ROWs from commercial properties is ineligible unless it

is pre-approved by FEMA (see Chapter 7:I.F.2(c). Removal from Commercial Property

(Requires FEMA’s Pre-approval). Additionally, removal of materials related to the construction,

repair, or renovation of either residential or commercial structures is ineligible.

Debris removal from the following is ineligible:

• Federally maintained navigable channels

and waterways;

• Flood control works under the authority of

the Natural Resources Conservation

Service (NRCS). Flood control works

under the specific authority of NRCS are

those that are part of the Watershed and

Flood Prevention Operations (WFPO)

Program under PL 83-566;

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• Agricultural land; and

• Natural, unimproved land, such as heavily wooded areas and unused areas.

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Removing debris to restore the pre-disaster capacity of engineered facilities may be eligible as

Permanent Work if the Applicant can substantiate the pre-disaster capacity and maintenance of

that facility as described in Chapter 8:IX.B.1. Restoring the Capacity of Channels, Basins, and

Reservoirs.

Removal and disposal of pollutants and hazardous substances are eligible as Category B work in

accordance with Chapter 7:II.K. Hazardous Materials.

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www.nrcs.usda.gov/wps/portal/nrcs/main/national/programs/landscape/wfpo.

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44 C.F.R. § 206.224(b).

Terminology

Flood control works are those structures such

as levees, flood walls, flood control channels,

and water control structures designed and

constructed to have appreciable effects in

preventing damage by irregular and unusual

rises in water levels.

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Environmental and Historic Preservation Considerations

Although debris removal is usually statutorily excluded from NEPA review,

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FEMA must

ensure compliance with other Federal laws, regulations, and EOs prior to funding the work.

Accordingly, FEMA must ensure that the Applicant’s debris removal operations avoid impacts to

such resources as floodplains, wetlands, federally listed threatened and endangered species and

their critical habitats, and historic properties (including maritime or underwater archaeological

resources if waterways are impacted). The Applicant must stage debris at a safe distance from

property boundaries, surface water, floodplains, wetlands, structures, wells, and septic tanks with

leach fields. Additional coordination may be necessary for debris removal from waterways,

stump removal, and use of fill.

The Applicant should contact applicable Federal, State, Territorial, and Tribal regulatory

agencies to ensure compliance with requirements and permits for debris-related operations. Upon

completion of debris removal and disposal, site remediation may be necessary at staging sites

and other impacted areas. See more detailed discussion of EHP considerations above in Chapter

7, I.

A. Alternative Procedures for Debris Removal

The Applicant may elect to participate in the Alternative Procedures for debris removal and

receive reimbursement for straight-time for the Applicant’s budgeted employees that conduct

debris removal activities. The Applicant opts-in by including straight-time in their debris

removal (Category A) project claims.

B. Hazardous Limbs, Trees, and Stumps

Eligible vegetative debris may include tree limbs, branches, stumps, or trees that are still in

place, but damaged to the extent they pose an immediate threat. These items are ineligible if the

hazard existed prior to the incident, or if the item is in a natural area and does not extend over

improved property or public-use areas, such as trails, sidewalks, or playgrounds.

Contractors typically charge debris removal based on a unit price for volume (cubic yards) or

weight (tons). A hazardous tree or stump may be collected individually. When these items are

collected individually, contractors often charge a price per tree or stump based on its size. FEMA

encourages Applicants to procure branch or limb removal from trees on a one-time charge per

tree basis as opposed to a unit price per limb or branch to facilitate more cost-effective

operations. FEMA has specific eligibility criteria and documentation requirements for funding

these items based on a price per each item instead of by volume or weight. If the Applicant does

not provide sufficient documentation, it jeopardizes its PA funding.

Bracing a tree is eligible (as Category B) only when doing so is less costly than removal and

disposal. If the Applicant chooses to brace a tree rather than remove it, the tree is ineligible for

removal later if it dies.

Pruning, maintenance, trimming, and landscaping are ineligible.

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Stafford Act § 316, 41 U.S.C. § 5159.

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1. Broken Limb or Branch Removal

Removal of broken limbs or branches that are 2 inches or larger in diameter (measured at the

point of break) that pose an immediate threat are eligible. An example is a broken limb or branch

that is hanging over improved property or public-use areas, such as trails, sidewalks, or

playgrounds if it could fall and cause injury or damage to improved property.

FEMA does not fund removal of broken limbs or branches located on private property unless:

• The limbs or branches extend over the public ROW;

• The limbs or branches pose an immediate threat; and

• The Applicant removes the hazard from the public ROW (without entering private

property).

Only the minimum cut necessary to remove the hazard is eligible. For example, cutting a branch

at the trunk is ineligible if the threat can be eliminated by cutting it at the closest main branch

junction.

2. Tree Removal

FEMA considers incident-damaged trees to be hazardous and eligible if the tree has a diameter

of 6 inches or greater measured 4.5 feet above ground level, and the tree:

• Has a split trunk;

• Has a broken canopy; or

• Is leaning at an angle greater than 30 degrees.

For trees that have 50 percent or more of the root-ball exposed, removal of the tree and root-ball

and filling the root-ball hole are eligible. For contracted removal of a tree with a root-ball,

FEMA will not reimburse two separate unit costs to remove the tree and its root-ball.

For trees that have less than 50 percent of the root-ball exposed, FEMA only provides PA

funding to flush cut the item at ground level and dispose of the cut portion based on volume or

weight. Grinding any residual stump after cutting the tree is ineligible.

3. Stump Removal

For stumps that have 50 percent or more of the root-ball exposed, removal of the stump and

filling the root-ball hole are eligible. If grinding a stump in-place is less costly than extraction,

grinding the stump in-place is eligible.

Stump removal in areas with known or high potential for archaeological resources usually

requires that FEMA further evaluate and consult with SHPO or THPO. If the Applicant

discovers any potential archeological resources during stump removal, the Applicant must

immediately cease work and notify FEMA.

(a) Contracted Stump Removal

FEMA only reimburses contracted costs charged on a per-stump basis if:

• The stump is 2 feet or larger in diameter measured 2 feet above the ground; and

• Extraction is required as part of the removal.

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The Applicant needs to ensure the price for stump removal includes extraction, transport,

disposal, and filling the root-ball hole.

For stumps that have less than 50 percent of the root-ball exposed, FEMA only provides PA

funding to flush cut the item at ground level and dispose of the cut portion based on volume or

weight. Grinding any residual stump is ineligible.

For stumps smaller than 2 feet in diameter, or for stumps of any size that do not require

extraction, FEMA only provides PA funding based on volume or weight as removal of these

stumps does not require special equipment. If the Applicant claims reimbursement of these

stumps on a per stump basis, FEMA limits PA funding based on a unit price for volume or tons,

calculated using Appendix E: Stump Conversion Table.

If the Applicant incurs additional costs in picking up stumps 2 feet or larger in diameter that the

contractor did not extract, it should complete Appendix F: Hazardous Stump Worksheet and

present documentation to substantiate the costs as reasonable based on the equipment required to

perform the work.

4. Documentation Requirements for Hazardous Limbs, Trees, and Stumps

The Applicant must retain, and provide when requested, all of the following documentation to

support the eligibility of contracted work to remove tree limbs, branches, stumps, or trees that are

still in place:

 Specifics of the immediate threat with the location (geographical coordinates in latitude,

longitude) and photograph or video documentation that establishes the item is on public

property (required, FEMA reviews a representative sample);

 Quantity removed (Note: If a contractor charged an individual price for each limb, tree,

or stump removed, FEMA requires the diameter of each item removed. For stumps, the

measurement must be 2 feet up the trunk from the ground. For trees, it must be 4.5 feet

up from the ground.) (required);

 Quantity, location, and source of material to fill root-ball holes (required); and

 Equipment used to perform the work (required).

C. Waterways

Debris removal from waterways that is necessary to eliminate the immediate threat to life, public

health and safety, or improved property is eligible. Removal of debris in a waterway that does

not meet this criterion is ineligible, even if the debris is deposited by the incident.

The EPA and U.S. Coast Guard (USCG) have the specific authority to remove hazardous

materials, as described in the previous section. EPA is responsible for removing such material

from inland water zones and USCG is responsible for coastal water zones. Debris removal from

waterways usually requires coordination with the U.S. Army Corps of Engineers (USACE) for

the use of a Nationwide permit and with the National Marine Fishery Service (NMFS) and U.S.

Fish and Wildlife Service (USFWS) to ensure compliance with Section 7 of the Endangered

Species Act (ESA).

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1. Navigable Waterways

If the Applicant has legal responsibility for maintenance of a navigable waterway, removal and

disposal of debris that obstructs the passage of vessels is eligible to a maximum depth of 2 feet

below the low-tide draft of the largest vessel that utilized the waterway prior to the incident. Any

debris below this zone is ineligible unless it is necessary to remove debris extending upward into

an eligible zone.

If a tree is still rooted to an embankment and is floating or submerged, the cost to cut the tree at

the water’s edge is eligible.

Debris removal from federally maintained navigable waterways is ineligible. USCG and the

USACE have specific authorities for removal of hazardous substances, vessels, and other

obstructions from federally maintained navigable waterways.

2. Non-navigable Waterways, Including Flood Control Works and Natural

Waterways

Debris deposited by the incident may obstruct a natural waterway (that is, a waterway that is not

improved or maintained) or a constructed channel, including flood control works. In these cases,

removal of the debris from the channel is eligible if the debris poses an immediate threat, such as

when the debris:

• Obstructs, or could obstruct, intake structures;

• Could cause damage to structures, such as bridges and culverts; or

• Is causing, or could cause, flooding to improved public or private property during the

occurrence of a 5-year flood.

Removal of the obstruction is eligible in streams where

debris removal might also be eligible under the NRCS

Emergency Watershed Protection Program (EWP)

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unless NRCS provides assistance for the debris removal.

However, FEMA, the Recipient, and the Applicant need

to coordinate with NRCS first to ensure that any work

performed does not jeopardize other assistance that may

be eligible under the EWP.

Debris removal from flood control works that are under

the specific authority of NRCS is ineligible for PA

funding, even if NRCS does not have sufficient funding

or does not provide assistance. Flood control works

under the specific authority of NRCS are those that are

part of the WFPO Program under PL 83-566.

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For flood control works that are eligible for the USACE

Rehabilitation and Inspection Program (RIP),

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debris

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www.nrcs.usda.gov/wps/portal/nrcs/main/national/programs/landscape/ewpp.

220

www.nrcs.usda.gov/wps/portal/nrcs/main/national/programs/landscape/wfpo.

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www.usace.army.mil/Missions/CivilWorks/LeveeSafetyProgram/LeveeInspections.aspx.

NRCS EWP and USACE RIP

The NRCS EWP is an emergency recovery

program designed to relieve imminent hazards

to life and property caused by floods, fires,

windstorms, and other natural occurrences.

Activities include, but are not limited to,

providing financial and technical assistance to:

• Remove debris from stream channels,

road culverts, and bridges

• Reshape and protect eroded banks

• Correct damaged drainage facilities

• Establish cover on critically eroding lands

• Repair levees and structures

• Repair conservation practices

The USACE RIP provides rehabilitation

assistance for flood risk reduction structures.

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removal is eligible for PA funding. USACE does not reimburse Applicants for debris removal

but conducts this activity directly when necessary.

3. Identifying Debris Impact Locations

The Applicant is responsible for identifying debris deposited by the incident that poses an

immediate threat. Random surveys to look for debris, including surveys performed using side

scan sonar, are ineligible. However, if the Applicant identifies an area of debris impacts and

demonstrates the need for a survey to identify specific immediate threat, FEMA may provide PA

funding for the survey in that location, including the use of side scan sonar.

D. Privately Owned Vehicles and Vessels on Public Property

Removal of privately-owned vehicles and vessels from public property is eligible if all of the

following conditions are met:

• The vehicle or vessel blocks access to a public-use area;

• The vehicle or vessel is abandoned;

• The Applicant follows applicable SLTT government ordinances or laws for private

vehicle or vessel removal; and

• The Applicant documents the handling of the vehicle or vessel.

The Applicant needs to retain documentation to support it met these criteria.

A limited timeframe for vehicle and vessel storage is eligible if it is necessary to remove the item

prior to being able to identify the owner. If the owner is identified, the Applicant should work

with private property owners to pursue and recover storage and removal costs and credit FEMA

the Federal share of any funds received.

E. Disposal

FEMA provides PA funding for various costs related to disposing of debris. The Applicant

should dispose of debris in an efficient and cost-effective manner.

Vegetative debris is bulky and can consume a significant volume of landfill space. To minimize

the use of landfill space, FEMA encourages the Applicant to reduce the volume of vegetative

debris before burying. Costs to reduce vegetative debris using methods such as mulching,

grinding, or burning are eligible.

When removing sand, disposal of sand spoils on a public beach may be eligible as part of the

debris removal project when it is the most cost-effective method of disposal.

Certain types of construction and demolition debris are reusable or recyclable. The Applicant

should conserve landfill space by separating materials for reuse or recycling.

1. Recycling Revenue

If the Applicant receives revenue for recycling debris, FEMA reduces PA funding by the amount

of revenue received. The Applicant may deduct costs for administering and marketing the sale of

the salvageable materials from the fair market value.

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If a contract allows the contractor to take possession of salvageable material and benefit from its

sale to lower bid prices, there is no salvage value to be recovered at the end of the project.

Therefore, the Applicant has no further obligation to FEMA.

2. Temporary Staging Sites

Establishing and operating a temporary staging site necessary for debris separation and reduction

is eligible. The cost to lease property is eligible. Additionally, if the terms of the lease require

that the Applicant restore the leased property back to its condition prior to the Applicant’s use,

the costs related to that restoration are also eligible as part of the Category A project. If leased,

the Applicant must provide the lease agreement.

3. Hand-Loaded Trucks and Trailers

FEMA has determined that, for vegetative debris, hand-loaded trucks and trailers achieve

approximately half the compaction level of mechanically loaded trucks and trailers. Therefore,

FEMA only provides PA funding for 50 percent of the vegetative debris in hand-loaded trucks

and trailers.

Similarly, trucks without solid tailgates cannot be compacted to full capacity. Therefore, FEMA

only funds up to a maximum of 85 percent of the debris in trucks without solid tailgates.

The Applicant must document the types and total quantity of hand-loaded debris, and the types

and total quantity of debris hauled in trucks without solid tailgates and provide this information

to FEMA to ensure appropriate reductions are taken for this debris.

4. Landfills and Tipping Fees

Landfill tipping fees usually include fixed and

variable costs, along with special taxes or fees

assessed by the jurisdiction in which the landfill is

located. Eligible tipping fee costs are limited to the

variable and fixed costs that are directly related to

landfill operations, such as recycling tax. The

components of tipping fees that are not directly

related to landfill operations, such as special taxes or

fees related to other government services or public

infrastructure, are ineligible as part of the tipping fee.

When providing PA funding for tipping fees, FEMA

removes any ineligible components.

The Applicant may use a significant portion of the

available capacity of a landfill to dispose of incident-

related debris. Although FEMA provides PA funding

for tipping fees, it cannot provide PA funding for the

value of the loss of landfill capacity due to incident-

related debris.

Eligible Tipping Fee

Components

Eligible fixed costs include:

• Equipment

• Construction

• Permits

• Landfill closure

• Post-closure activities

• Amortized costs for facilities that

support the landfill

Eligible variable costs include:

• Labor

• Supplies

• Maintenance

• Operation of utilities

• Operation of gas recovery systems

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F. Monitoring Contracted Debris Removal Operations

FEMA requires the Applicant to monitor all contracted debris operations to ensure that the

quantities and work claimed are accurate and eligible. This includes documenting debris

quantities by types, quantities reduced, reduction methods, and pickup and disposal locations. If

the Applicant does not monitor contracted debris removal operations, it jeopardizes its PA

funding for that work.

The Applicant may use force account resources (including temporary hires), contractors, or a

combination of these for monitoring. It is not necessary, or cost-effective, to have Professional

Engineers or other certified professionals perform debris monitoring duties. FEMA considers

costs unreasonable when associated with the use of staff that are more highly qualified than

necessary for the associated work. If the Applicant uses staff with professional qualifications to

conduct debris monitoring, it must document the reason it needed staff with those qualifications.

FEMA provides training to the Applicant’s force account debris monitors (including its

temporary hires) upon request.

Eligible activities associated with debris monitoring include, but are not limited to:

• Field supervisory oversight;

• Monitoring contracted debris removal at both the loading and disposal sites

• Compiling documentation, such as load tickets and monitor reports, to substantiate

eligible debris; and

• Training debris monitors on debris removal operations, monitoring responsibilities and

documentation processes, and FEMA debris eligibility criteria.

G. Debris Removal from Private Property

Debris removal from private property (PPDR) is

the responsibility of the property owner and is

usually ineligible under the PA Program. In

limited circumstances, based on the severity of the

impact of an incident and whether debris on

private property is so widespread that it threatens

public health and safety or the economic recovery

of the community, FEMA may determine that

debris removal from private property is eligible

under the PA Program. In such cases, FEMA

works with the SLTT governments to designate

specific areas where debris removal from private property, including private waterways, is

eligible. The debris removal must be in the public interest, not merely benefiting an individual or

a limited group of individuals. Figure 11. Debris on Private Property is an example of the level

of debris impacts that may warrant FEMA assistance for PPDR.

Figure 11. Debris on Private Property

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1. Approval Process

The Applicant must submit a written request to FEMA identifying the specific properties or areas

of properties where private property debris removal

activities will occur. Once FEMA receives the

request, it engages with the Recipient and Applicant

to review the request and conduct site inspections.

With exception of debris removal from commercial

property, the Applicant does not need to wait for

FEMA approval to start work. However, for the

Applicant to receive PA funding, FEMA must

determine that the PPDR work at each property is

eligible.

FEMA only approves PA funding for PPDR if the

Applicant demonstrates all of the following with

sufficient documentation:

(a) Legal Authority and Indemnification

FEMA accepts a written statement from an authorized Applicant official that:

 Certifies the Applicant has legal authority and responsibility to remove debris from

private property;

 Cites all applicable sources of authority (law, ordinance, code, contract, etc.); and

 Indemnifies the United States for any claim arising from the debris removal.

(b) Public Interest.

The Applicant must demonstrate that the PPDR was in the public interest.

222

This includes:

 The basis for the determination that removing the debris from the private property

locations requested was in the public interest. The determination must be made by the

State, Territorial, Tribal, county, or municipal government’s public health authority or

other public entity that has legal authority to make a determination that disaster-generated

debris on private property constitutes an immediate threat to life, public health, or safety,

or to the economic recovery of the community at large.

 The established, speciﬁc legal requirements for declaring the existence of a threat to

public health and safety.

FEMA evaluates the submission to determine if it concurs that PPDR is in the public interest and

provides a written response specifying any properties or area of properties for which it approves

funding for debris removal.

2. Removal from Private Roads

Private roads are those that are not owned or operated by or otherwise the legal responsibility of

a Federal or SLTT entity (including orphan roads, roads in gated communities, homeowners’

association roads, etc.). If the public has unrestricted access (no locks, gates, or guards) and

222

Stafford Act § 407, 42 U.S.C. § 5173; 44 C.F.R. § 206.224(b).

Clarification of Demolition versus

Debris

If more than one wall of a structure is

standing and not in immediate danger of

collapsing, FEMA considers the removal of

that structure to be demolition and not debris

removal. Demolition is subject to additional

requirements and must comply with

Chapter

7:II.U. Demolition of Private Structures.

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frequently uses the private road, then removal and disposal of the debris, including debris placed

at the curbside by residents, is in the public interest and the Applicant is not required to submit

documentation demonstrating the debris removal is in the public interest. This does not include

debris on private driveways or parking lots. It also does not include removal and disposal

activities from private roads in areas with restricted access (roads behind locks, gates, or guards)

or private roads that are unrestricted but rarely used by the public. The Applicant must provide

further documentation to establish that removal is in the public interest in these areas and, though

not required, Applicants should consider obtaining approval from FEMA prior to starting

removal and disposal. Debris clearance (push or cut and toss) for emergency access may be

eligible as Category B work if it meets the criteria in Chapter 7:II.J. Emergency Access.

3. Removal from Private Residential Property

Debris removal from residential property is usually not in the public interest because the debris

does not typically present an immediate health and safety threat to the general public. If the

incident generates debris quantities and/or types of debris on residential property that is so

widespread or of such magnitude that it creates an immediate threat to public health and safety,

debris removal may be in the public interest. To determine if removal of debris from private

residential property is in the public interest, FEMA evaluates the public health determination (see

Chapter 7:I.E.1(b). Public Interest, and will consider:

• Whether the debris is located in open areas accessible to the public (e.g., in a yard with

no fence barrier next to a public sidewalk), located in maintained areas, or creating a

health and safety hazard (such as a rodent infestation);

• Volume of debris;

• Height of debris;

• Number of houses and blocks with large volumes of debris; and

• Amount of the public population affected.

Given these additional considerations, Applicants should consider obtaining approval from

FEMA prior to starting work.

4. Removal from Commercial Property (Requires FEMA’s Pre-approval)

Removal of debris from commercial properties, such as industrial parks, golf courses,

cemeteries, apartments, condominiums, and trailer parks is generally ineligible because

commercial enterprises are expected to retain insurance that covers debris removal. In very

limited, extraordinary circumstances, FEMA may provide an exception. In such cases, the

Applicant must meet the requirements of Chapter 7:I.E.1. Approval Process and FEMA must

approve the work prior to the Applicant removing the debris.

5. Duplication of Benefits

The Applicant needs to work with private property owners to pursue and recover insurance

proceeds and credit FEMA the Federal share of any insurance proceeds received. In some

circumstances, FEMA may provide IA assistance to individuals for debris removal;

consequently, FEMA PA staff coordinate closely with IA staff to ensure FEMA does not fund

the same work under both programs.

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II. Emergency Protective Measures (Category B)

Emergency protective measures conducted before, during, and after an incident are eligible if the

measures:

• Eliminate or lessen immediate threats to lives, public health, or safety; OR

• Eliminate or lessen immediate threats of significant additional damage to improved

public or private property in a cost-effective manner.

223

FEMA may require certification by Federal or SLTT government officials that a threat exists,

including:

• Identification and evaluation of the threat; and

• Recommendations of the work necessary to cope with the threat.

224

Environmental and Historic Preservation Considerations

Although emergency protective measures are usually statutorily excluded from NEPA review,

FEMA must ensure compliance with other Federal laws, regulations, and EOs prior to funding

the work. Accordingly, FEMA must ensure that the Applicant’s emergency protective measures

avoid impacts to such resources as floodplains, wetlands, federally listed threatened and

endangered species and their critical habitats, and historic properties. Additional coordination

may be necessary for projects such as, but not limited to, new construction related to the

temporary relocation of emergency services, mosquito abatement, disposal of contaminated

sandbags, or the construction of temporary levees, roadways, or bridges. See more detailed

discussion of EHP considerations above in Chapter 7:I.

A. Saving Lives and Protecting Public Health and Safety

Emergency protective measures save lives or protect public health or safety. Eligible emergency

protective measures and costs include, but are not limited to:

• Transporting and pre-positioning equipment and other resources for response;

• Flood fighting;

• EOC-related costs;

• Emergency access;

• Supplies and commodities;

• Medical care and transport;

• Evacuation and sheltering, including that provided by another State or Tribal

government;

• Childcare;

• Safety inspections;

• Animal carcass removal;

225

223

44 C.F.R. § 206.225(a)(3).

224

44 C.F.R. § 206.225(a)(2).

225

FEMA may fund the removal of animal carcasses as Category A if the removal is part of the Applicant’s overall

debris disposal operation as opposed to a separate and distinct operation.

V4 2020 Page 111

• Demolition of structures

226

;

• Search and rescue to locate survivors, household pets, and service animals requiring

assistance;

• Firefighting;

• Security, such as barricades, fencing, or law enforcement;

• Use or lease of temporary generators for facilities that provide essential community

services;

• Dissemination of information to the public to provide warnings and guidance about

health and safety hazards using various strategies, such as flyers, public service

announcements, or newspaper campaigns;

• Searching to locate and recover human remains;

• Storage and interment of unidentified human remains; and

• Mass mortuary services.

The following are eligible under limited circumstances based on specific criteria described in

each of the referenced sections:

• Expenses related to operating a facility or providing an emergency service (see Chapter

7:II.F. Expenses Related Operating a Facility or Providing a Service);

• Mosquito abatement (see Chapter 7:II.Q. Mosquito Abatement);

• Temporary relocation of essential services (see Chapter 7:II.V. Temporary Relocation of

Essential Services); and

• Snow-related activities when specifically authorized in the declaration (see Chapter

7:II.W. Snow-Related Activities).

B. Protecting Improved Property

Eligible emergency protective measures to protect improved property

227

include, but are not

limited to:

• Constructing emergency berms or temporary levees to provide protection from

floodwaters or landslides;

• Emergency repairs necessary to prevent further damage, such as covering a damaged roof

to prevent infiltration of rainwater;

• Buttressing, shoring, or bracing facilities to stabilize them or prevent collapse;

• Emergency slope stabilization;

• Mold remediation;

• Removal and storage of contents from eligible facilities for the purpose of minimizing

additional damage;

• Extracting water and clearing mud, silt, or other accumulated debris from eligible

facilities if the work is conducted expeditiously for the purpose of addressing an

immediate threat (if the work is only necessary to restore the facility, it is Permanent

Work, not Emergency Work);

226

FEMA usually reimburses demolition of a public structure as part of the Permanent Work project to replace the

facility.

227

44 C.F.R. § 206.221(d). Improved property means a structure, facility or item of equipment which was built,

constructed or manufactured. Land used for agricultural purposes is not improved property.

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• Taking actions to save the lives of animals that are eligible for replacement (see Chapter

8:IX.C.5. Animals).

C. Emergency Protective Measures on Private Property

In limited circumstances, FEMA may determine that emergency protective measures conducted

on private property are eligible under the PA Program if:

 The immediate threat is widespread, affecting numerous homes and businesses such that

it is a threat to the health and safety of the general public;

 The Applicant has legal authority to perform the work; and

 The Applicant obtained rights-of-entry and agreements to indemnify and hold harmless

the Federal government.

Situations where this may occur are generally limited to:

• Demolition of unsafe private structures that endanger the public (Chapter 7:II.U.

Demolition of Private Structures);

• Installation of fiber-reinforced sheeting to cover damaged roofs, commonly referred to as

Operation Blue Roof (DFA only) (Chapter 7:II.X.1. Operation Blue Roof);

• Provision of emergency access (Chapter 7:II.J. Emergency Access);

• Pumping of ﬂooded basements;

• Pumping of septic tanks or decontamination of wells causing a pollution threat (Chapter

7.II.K. Hazardous Materials);

• Residential electric meter repair (Chapter 7:II.R. Residential Electrical Meter Repair);

• Safety inspections (Chapter 7:II.S. Safety Inspections); and

• Stabilizing a slope (Chapter 7:II.X.2. Slope Stabilization).

Upon submittal of its claim, the Applicant must include the following support documentation for

the work to be eligible:

 A detailed explanation documenting the Applicant’s legal authority and responsibility to

enter private property;

 The basis for the determination that a threat exists to the general public; and

 Copies of the rights-of-entry and agreements to indemnify and hold harmless the Federal

government.

If the above criteria are not met, the private property owner may be eligible for assistance under

FEMA’s IA Programs. FEMA PA and IA staff coordinate closely to ensure FEMA does not fund

the same work under both programs.

D. Emergency Protective Measures Conducted by Private Nonprofit Organizations

For PNPs, eligible emergency protective measures are generally limited to activities associated

with preventing damage to an eligible facility and its contents.

Emergency services are usually the responsibility of SLTT governments. Therefore, PNPs are

generally not legally responsible for those services and FEMA does not provide PA funding to

PNPs for the costs associated with providing those services. When a PNP provides emergency

services at the request of, and certified by, the legally responsible government entity, FEMA

V4 2020 Page 113

provides PA funding through that government entity as the eligible Applicant. These services

include:

• Fire and rescue activities;

• Animal control;

• Emergency ambulance service for evacuation;

• 211 call services, if tracked and related to eligible work; and

• Other similarly urgent governmental services.

PNPs that own or operate a medical or custodial care facility are eligible for direct

reimbursement of costs related to patient evacuation. In limited circumstances, FEMA may also

reimburse a PNP directly when essential components of a facility are urgently needed to save

lives or protect health and safety, such as an emergency room of a PNP hospital or a PNP sewage

or water treatment plant.

Additionally, if a PNP volunteer fire department operates based on established agreements with a

SLTT government that designates the volunteer fire department as an official recognized entity

legally authorized to provide emergency services in areas of coverage specifically designated by

the SLTT government, FEMA may reimburse the volunteer fire department directly as an

eligible Applicant.

E. Pre-positioning Resources

Costs related to pre-positioning resources specifically for the declared incident are eligible if the

resources are used in the performance of eligible Emergency Work.

Additionally, costs related to pre-positioning resources outside of the declared area are eligible

when related to conducting search and rescue, evacuation, sheltering, or providing emergency

medical care during the evacuation period (such as ambulances, buses, and staff) provided the

resources were ultimately used for the declared area.

F. Expenses Related to Operating a Facility or Providing a Service

The Applicant may incur increased costs related to operating a facility or providing a service as a

result of the incident because of an increased demand for the services the facility provides.

These additional costs are only eligible if:

• The services are specifically related to eligible emergency actions to save lives or protect

public health and safety or improved property;

• The costs are for a limited timeframe based on the emergency or exigency of the

circumstances; and

• The Applicant tracks and documents the additional costs.

Increased operating costs that may be eligible for a limited time, include but are not limited to,

costs for:

• Generators at a hospital or police station;

• Water testing and treatment, including supplies, in the immediate aftermath of the

incident to counter a speciﬁc threat;

• Fuel for increased use of a pumping station; and

• EOC facility costs (e.g., utilities).

V4 2020 Page 114

Increased operating costs that are ineligible, even for a limited time, include but are not limited

to, costs for:

• Patient care, except as noted in Chapter 7:II.N. Medical Care;

• Administrative activities;

• Provision of food, except as noted in Chapter 7:II.L. Supplies and Commodities; and M.

Meals;

• Costs related to staff that were retained to work additional hours, but did not perform

eligible Emergency Work (e.g., staff working additional shifts due to other staff’s

inability to get to work);

• Obtaining electrical power from an alternate source;

• Obtaining water from an alternate source;

• School make-up days, including contracted costs for bus service for make-up days;

• Provision of school bus service including fuel or mileage for transporting students from

alternate locations or to alternate schools or temporary facilities; and

• Modification or construction of a new landfill to add landfill capacity.

For PNPs, operating costs are generally ineligible even if the services are emergency services,

unless the PNP performs an emergency service at the request of and certified by the legally

responsible government entity. In such case, FEMA provides PA funding through that

government entity as the eligible Applicant.

G. Emergency Public Transportation and Communication (DFA only)

A SLTT government may provide emergency communication services and public transportation

when existing systems are damaged to the extent vital functions of community life or incident

response are disrupted. The costs of these services are ineligible for reimbursement.

228

However,

FEMA may provide short-term DFA for these services.

229

H. Flood Fighting

Flood fighting activities may include, but are not limited to, sandbagging, dewatering behind a

levee by breaching or pumping, or increasing the height of a levee. These activities are eligible if

necessary to reduce an immediate threat to life, public health and safety, or improved property.

These activities are eligible even if they are associated with a facility that is eligible for the

USACE RIP, as USACE cannot reimburse the Applicant for flood fighting. However, they are

ineligible if associated with flood control works under the specific authority of NRCS.

The repair of deliberate breaches made by the Applicant to accomplish dewatering is eligible as

part of the Emergency Work Project.

Dewatering agricultural and natural areas behind levees and other water control structures is

ineligible.

228

Transportation costs for the purpose of evacuation are eligible for reimbursement as described in Chapter 7:II.O.

Evacuation and Sheltering.

229

Stafford Act §§ 418 and 419, 42 U.S.C. §§ 5185 and 5186; 44 C.F.R. §§ 206.225(c) and (d).

V4 2020 Page 115

I. Emergency Operations Centers

The Applicant may use its EOC to direct and coordinate resources and response activities for a

period of time. Response activities conducted at EOCs are eligible provided they are associated

with eligible work. Costs associated with operating the EOC are also eligible, including, but not

limited to:

• Increased utility costs;

• Costs to lease a facility;

• Supply costs; and

• Meal costs, as described in Chapter 7:II.M. Meals.

J. Emergency Access

There are times when the incident causes damage or debris blockage to access routes to an

essential community service, or to a community

with survivors. If the extent of damage or

blockage makes these areas inaccessible, work

related to providing access is eligible. This

includes clearing debris from or conducting

emergency repairs to an access facility, such as a

road or bridge. Eligible work is limited to that

necessary for the access to remain passable. Any

debris removal or additional debris clearance is

Category A and funded based on the criteria in

Chapter 7:I. Debris Removal (Category A).

Private roads are those that are not owned or

operated by or otherwise the legal responsibility of a local, county, Tribal, Territorial, State, or

Federal entity. Clearance of debris from private roads including orphan roads, roads in gated

communities, homeowners’ association roads, etc. is in the public interest if the debris impairs

emergency access by local emergency responders, ambulances, fire, and police. For example,

downed trees may be cut and moved off the roadway. Eligible work is limited to that necessary

for roads to remain passable but might include removal and disposal during the initial pass as

necessary to ensure emergency access. The Applicant is not required to submit documentation

demonstrating that debris clearance is in the public interest.

The Applicant must complete all necessary legal processes or obtains rights-of-entry and

agreements to indemnify and hold harmless the Federal Government.

Emergency repairs to privately-owned roads, including those within gated communities, are

eligible only when all of the following conditions are met:

• There is no other access point;

• Repair of the damage economically eliminates the need for temporary housing; and

• The Applicant completes all legal processes and obtains rights-of-entry and agreements

to indemnify and hold harmless the Federal Government.

Upon submittal of its claim, the Applicant must include documentation supporting that it met the

conditions above in order for the work to be eligible.

Debris Clearance versus Debris

Removal

Debris Clearance is the clearance of debris to

allow passage only. It does not include hauling

or disposing of the debris. Debris clearance is

often referred to as “cut and toss” or “push”.

Debris Removal includes hauling and

disposing of debris at a temporary or final

disposal site.

V4 2020 Page 116

K. Hazardous Materials

Removal and disposal of pollutants and hazardous substances are eligible. Eligible activities

include:

• Separation of hazardous materials from other debris;

• Specialized procedures for handling and disposing of hazardous materials;

• Control or stabilization of the hazardous material;

• Pumping water contaminated with the hazardous material; and

• Clean-up and disposal of the hazardous material.

Testing for contaminants in water, air, or soil necessary to ensure elimination of the immediate

threat is eligible in accordance with Chapter 7:II.F. Expenses Related to Operating a Facility or

Providing a Service. However, testing for the purpose of long-term cleanup actions is ineligible.

The Applicant must comply with Federal and SLTT government environmental requirements for

handling hazardous materials. Before handling or disposing of hazardous materials, the

Applicant should contact the appropriate Federal or SLTT agency to obtain required permits,

notify proper agencies of hazardous materials storage, and to coordinate the creation of any

required facility specific Emergency Response Plans for spills, safety and proper handling.

Additionally, appropriate certified hazardous waste specialists should handle, capture, recycle,

reuse, or dispose of hazardous materials. When providing PA funding for work involving the

handling of hazardous materials, FEMA must ensure compliance with the Resource

Conservation and Recovery Act (RCRA).

Additionally, the Comprehensive Environmental Response Compensation and Liability Act

(CERCLA) authorizes the Federal Government to respond directly to releases or threatened

releases of hazardous substances that may endanger public health or the environment. Under

CERCLA and the Clean Water Act (CWA), EPA

230

and the USCG have the authority to respond

to actual or potential discharges of oil, hazardous substances, pollutants, and contaminants that

may present an imminent and substantial danger to public health or welfare. EPA has

responsibility for responses in the inland zone

231

and the USCG has responsibility for responses

in the coastal zone.

232

Response actions may include containment, stabilization, decontamination,

collection (e.g., orphan tanks, drums), and disposal.

L. Supplies and Commodities

The purchase of supplies and commodities required for emergency protective measures is

eligible.

Costs related to the Applicant purchasing supplies or using its own stock to perform Emergency

Work are eligible and reimbursed in accordance with Chapter 6:III.5. Supplies. Examples

230

See Recovery Policy 9523.8, Mission Assignments for ESF#10, for discussion on U.S. Environmental Protection

Agency (EPA) and U.S. Coast Guard (USCG) authority with respect to removal of hazardous waste:

www.fema.gov/sites/default/files/2020-07/fema_ESF_10_Oil-Hazardous-Materials.pdf.

231

The inland zone is the environment inland of the coastal zone, excluding the Great Lakes and specified ports and

harbors on inland rivers. Precise boundaries are identified in Federal regional contingency plans.

232

The coastal zone includes coastal waters (including the lands therein and thereunder) and the adjacent shorelands

(including the waters therein and thereunder), strongly influenced by each other and in proximity to the shorelines of

coastal States, including islands, transitional and intertidal areas, salt marshes, wetlands, and beaches.

V4 2020 Page 117

include, but are not limited to, safety equipment, personal protective equipment, radios, power

tools, sand, and tarps.

Purchasing and packaging life-saving and life-sustaining commodities and providing them to the

impacted community are eligible. Examples of such

commodities include, but are not limited to, food,

water, ice, personal hygiene items, cots, blankets, tarps,

plastic sheeting for roof damage, and generators, as

well as food and water for household pets and service

animals. The cost of delivering these same

commodities to unsheltered residents in communities

where conditions constitute a level of severity such that

these items are not easily accessible for purchase is also

eligible. This includes food and water for household

pets whose owners are in shelters.

The cost of leasing distribution and storage space for the commodities is also eligible.

M. Meals

Applicants often provide meals for emergency workers. Provision of meals, including beverages

and meal supplies, for employees and volunteers engaged in eligible Emergency Work, including

those at EOCs, is eligible provided the individuals are not receiving per diem and one of the

following circumstances apply:

• Meals are required based on a labor policy or written agreement that meets the

requirements of Chapter 6. Cost Eligibility;

• Conditions constitute a level of severity that requires employees to work abnormal,

extended work hours without a reasonable amount of time to provide for their own meals;

• Food or water is not reasonably available for employees to purchase.

FEMA only reimburses the cost of meals that are brought to the work location and purchased in

a cost-effective and reasonable manner, such as bulk meals. FEMA does not reimburse costs

related to group outings at restaurants or individual meals.

233

N. Medical Care

When the emergency medical delivery system within a declared area is destroyed, severely

compromised or overwhelmed, FEMA may fund extraordinary costs associated with operating

emergency rooms and with providing temporary facilities for emergency medical care of

survivors. Costs associated with emergency medical care should be customary for the emergency

medical services provided. Costs are eligible for up to 30 days from the declaration date unless

extended by FEMA.

233

FEMA reimburses meal costs as part of a contract in accordance with the contract terms provided it meets the

requirements in Chapter 4:VIII. Procurement and Contracting Requirements

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Eligible medical care includes, but is not limited to:

• Triage and medically necessary tests and

diagnosis;

• Treatment, stabilization, and monitoring;

• First-aid assessment and provision of first

aid;

• A one-time 30-day supply of prescriptions

for acute conditions or to replace

maintenance prescriptions;

• Vaccinations for survivors and emergency

workers to prevent outbreaks of infectious

and communicable diseases;

• Durable medical equipment;

• Consumable medical supplies;

• Temporary facilities, such as tents or

portable buildings for treatment of

survivors;

• Leased or purchased equipment for use in

temporary medical care facilities;

• Security for temporary medical care

facilities; and

• Use of ambulances for distributing

immunizations and setting up mobile

medical units.

Long-term medical treatment is ineligible. FEMA determines the reasonableness of these costs

based on Medicare’s cost-to-charge ratio (a ratio established by Medicare to estimate a medical

service provider’s actual costs in relation to its charges).

FEMA does not provide PA funding for these costs if underwritten by private insurance,

Medicare, Medicaid, or a pre-existing private payment agreement.

234

The Applicant must take

reasonable steps to provide documentation on a patient-by-patient basis verifying that insurance

coverage or any other source funding including private insurance, Medicaid, or Medicare, has

been pursued and does not exist for the costs associated with emergency medical care and

emergency medical evacuations.

Ineligible costs include:

• Medical care costs incurred once a survivor is admitted to a medical facility on an

inpatient basis;

• Costs associated with follow-on treatment of survivors beyond 30 days of the declaration;

and

• Administrative costs associated with the treatment of survivors.

234

Stafford Act § 312, 42 U.S.C. § 5155.

Terminology

Durable medical equipment is reusable

medical equipment necessary for the

treatment of an illness or injury or to prevent

a patient’s further deterioration. The

equipment includes, but is not limited to:

• Oxygen equipment

• Wheelchairs

• Walkers

• Hospital beds

• Crutches

• Other medical equipment

Consumable medical supplies are medical

supplies that are ingested, injected, or applied

or are for one-time use only, including, but

not limited to:

• Medical supplies

• Medications

• Diapers

• Adult incontinence briefs

•

Bandages

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O. Evacuation and Sheltering

Evacuation and sheltering of survivors are eligible activities. This includes household pets and

service and assistance animals, but not exhibition or livestock animals.

1. Evacuation

Transportation to evacuate (and subsequently

return) survivors, household pets, service

animals, assistance animals, luggage, and

durable medical equipment is eligible. This

includes emergency medical transportation. The

mode of transportation should be customary and

appropriate for the work required.

Eligible activities include, but are not limited to:

• Transferring patients from inoperable,

compromised, or overwhelmed eligible

medical or custodial care facilities to

another medical facility or to a shelter;

• Transferring patients back to original

medical or custodial care facility, when

appropriate;

• Transporting survivors, including

shelterees, who require emergency

medical care to and from the nearest

existing or temporary medical care

facility equipped to adequately treat the

medical emergency. Transport may

include emergency air, sea, or ground

ambulance services if necessary;

• Use of equipment such as buses, trucks,

or other vehicles (including accessible

vehicles) to provide one-time

transportation to evacuate survivors and their household pets and service and assistance

animals to emergency shelters from pre-established pick-up locations. This includes

standby time for drivers and contracted equipment while waiting to transport survivors;

• Paratransit transportation services, such as vans, minibuses, and buses, (including

accessible vehicles) to transport senior citizens, individuals with disabilities (including

mobility disabilities) or access and functional needs, individuals in nursing homes and

assisted-living facilities, and homebound individuals impacted by the incident;

• Tracking of evacuees, household pets, service animals, luggage, and durable medical

equipment. This includes the use of animal microchips for the purpose of tracking

evacuated animals;

• Food and water provided during transport;

• Emergency medical care provided during transport, including emergency medical

personnel and supply costs;

• Stabilization of individuals injured during evacuation; and

Terminology

Household pets are domesticated animals that:

• Are traditionally kept in the home for

pleasure rather than for commercial

purposes

• Can travel in commercial carriers

• Can be housed in temporary facilities

Examples are dogs, cats, birds, rabbits, rodents,

and turtles.

Household pets do not include reptiles (except

turtles), amphibians, fish, insects, arachnids,

farm animals (including horses), or animals kept

for racing purposes.

Service animals

are dogs that are individually

trained to do work or perform tasks for people

with disabilities or access and functional needs.

Assistance animals are animals that work,

provide assistance, or perform tasks for the

benefit of a person with a disability, or provide

emotional support that alleviates identified

symptoms or effects of a person’s disability.

Although dogs are the most common type of

assistance animal, other animals can also be

assistance animals.

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• Costs incurred in advance of an incident necessary

to prepare for evacuations in threatened areas.

Costs may include mobilization of ambulances and

other transport equipment. Contracts for staging

ambulance services must be part of the State,

Territorial, Tribal, or regional evacuation plan.

Costs of staging ambulances are eligible even if the

incident does not impact the area normally served

by those ambulances. PA funding for activating, staging, and using ambulance services

ends when any of the following occurs:

o FEMA, and the State, Territorial, or Tribal government, determines that the incident

did not impact the area where it staged ambulances;

o Evacuation and return of medical patients and individuals with disabilities or access

and functional needs is complete; or

o The immediate threat caused by the incident has been eliminated and the demand for

services has returned to normal operation levels.

FEMA does not provide PA funding for ambulance services that are covered by private

insurance, Medicare, Medicaid, or a pre-existing private payment agreement.

235

2. Sheltering

FEMA provides PA funding to SLTT government Applicants for costs related to emergency

sheltering for survivors. Typically, such sheltering occurs in facilities with large open spaces,

such as schools, churches, community centers, armories, or other similar facilities. FEMA refers

to these shelters as congregate shelters.

Eligible costs related to sheltering include, but are not limited to, the items listed below, as

necessary based on the type of shelter and the specific needs of the shelterees. If any of the items

listed are donated, including labor, the Applicant may offset the non-Federal share of its eligible

Emergency Work Projects in accordance with Chapter 6:XIV. Donated Resources. Sheltering

and caring for household pets is only eligible while the pet owner is in an emergency shelter.

(a) Shelter Facility Costs

Eligible shelter facility costs include, but are not limited to:

• Facility lease or rent, including space for food preparation;

• Utilities such as power, water, and telephone;

• Minor facility modifications if necessary to make the facility habitable, compliant with

the Americans with Disabilities Act (ADA), functional as a childcare facility, or

functional as an animal shelter;

• Restoration to return the facility to its condition prior to use;

• Generator costs; and

• Secure storage space for medical supplies.

If an eligible SLTT government Applicant owns or leases the shelter facility, and a volunteer

agency operates the shelter, the facility costs described above are eligible. However, the labor

235

Ibid.

V4 2020 Page 121

costs for the volunteer agency’s workers are ineligible (except as a donated resource in

accordance with the criteria in Chapter 6:XIV. Donated Resources).

(b) Shelter Staff Costs

Eligible shelter staff costs include, but are not limited to:

• Medical staff;

• Personal assistance service staff;

• Veterinary and animal care staff;

• Public Information Officer;

• Social workers;

• Food service workers;

• Custodial and facilities staff; and

• National Guard personnel (See Chapter 6:XI. National Guard).

Eligible shelter supplies and commodities include, but are not limited to:

• Hot and cold meals, snacks, beverages, and related supplies for survivors;

• Cooking and serving supplies;

• Food, water, and bowls for household pets and service and assistance animals;

• Durable medical equipment;

• Consumable medical supplies;

• Medication for animal decontamination and parasite control;

• Infant formula, baby food, and diapers;

• Refrigerators, microwaves, and crock pots;

• Cots, cribs, linens, blankets, pillows, tables, and chairs;

• Crates, cages, leashes, and animal transport carriers;

• Personal hygiene kits with items such as shampoo, soap, toothpaste, a toothbrush, towels,

and washcloths;

• Animal cleaning tables and supplies;

• Televisions or radios – one per 50 shelterees;

• Basic cable service;

• Computers – one per 25 shelterees;

• Internet service, including Wi-Fi;

• Washers and dryers – one of each per 50 shelterees; and

• Toys and books.

(d) Shelter Services

Shelter services are only eligible for the time the facility is actively used to shelter survivors.

Eligible shelter services include, but are not limited to:

• Shelter management;

• Supervision of paid and volunteer staff;

• Cleaning the shelter, linens, and animal crates;

• Shelter safety and security;

V4 2020 Page 122

• Use of equipment, such as ambulances, buses, trucks, or other vehicles, to provide

sheltering support;

• Phone banks for survivors;

• Care for survivors with disabilities or access and functional needs, including the

provision of the following personal assistance services:

o Grooming, eating, walking, bathing, toileting, dressing, and undressing;

o Transferring (e.g., movement between a cot and wheelchair or wheelchair to restroom

facilities);

o Maintaining health and safety;

o Assistance with self-administering medications; and

o Communicating or accessing programs and services;

• Emergency medical and veterinary services for sheltered survivors, household pets, and

service and assistance animals, including:

o Emergency and immediate life stabilizing care, including necessary prescriptions (not

to exceed 30-day supply);

o Triage, medically necessary tests, diagnosis, treatment, stabilization, and monitoring;

o First-aid assessment;

o Provision of first aid and health information;

o Care for evacuees with chronic conditions;

o Administering vaccinations to shelterees and workers for transmissible or contagious

diseases, including, but not limited to, tetanus and hepatitis;

o Administering vaccinations to household pets, and service and assistance animals, for

transmissible or contagious diseases, including, but not limited to, Bordetella (kennel

cough). The vaccinations need to be effective while the animal is in the shelter;

o Medical waste disposal;

o Mental-health care;

o Outpatient costs for sheltered survivors requiring emergency life-sustaining treatment

not available at the shelter for the period of time that a survivor is housed in the

shelter. Eligible outpatient services are limited to:

• Physician services in a hospital outpatient department, urgent care center, or

physician’s office;

• Related outpatient hospital services and supplies, including X-rays, laboratory and

pathology services, and machine diagnostic tests; and

• Local professional transport services to and from the nearest hospital equipped to

adequately treat the emergency.

• Sheltering self-evacuees (self-evacuee transportation costs are ineligible); and

• Costs paid to the American Red Cross (ARC) or other Non-governmental Organizations

(NGO) to operate shelters under a written agreement (costs that ARC or other NGOs

incur under their own organizational mission – i.e., independent of any Federal or SLTT

request – are ineligible for reimbursement).

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(e) Non-congregate Sheltering

Generally, FEMA does not provide PA funding for emergency sheltering in non-congregate

environments, which are locations where each individual or household has living space that

offers some level of privacy (e.g., hotels, motels, casinos, dormitories, retreat camps, etc.). In

limited circumstances, such as when congregate shelters are not available or sufficient, FEMA

may reimburse costs related to emergency sheltering provided in non-congregate environments.

FEMA’s Assistant Administrator for Recovery has the authority to approve this policy

exception. The Applicant must submit a request for PA funding for costs related to emergency,

non-congregate sheltering and obtain FEMA approval prior to sheltering survivors in non-

congregate facilities. At a minimum, the Applicant

should include the following information in its

request:

• Justification for the necessity of non-

congregate sheltering;

• Whether the State, Territorial, or Tribal

government has requested Transitional

Sheltering Assistance;

• The type of non-congregate sheltering

available and which type the Applicant

intends to utilize;

• An analysis of the available options with

the associated costs of each option; and

• The timeframe requested (i.e., date of

activation and length of time).

236

FEMA limits any approval to that which is reasonable and necessary to address the needs of the

incident (usually no more than 30 days). FEMA determines the eligible costs based on the

contractual agreement, including reimbursement for repairing damage if it is the Applicant’s

legal responsibility based on the agreement. The Applicant must obtain FEMA approval for any

time extensions, which should include a detailed justification for the continued need and a

revised analysis of options, including the costs for each option.

If FEMA approves the request, the Recipient must provide sufficient data and documentation to

establish eligibility (including the need for non-congregate sheltering resulting from the disaster,

reasonableness, and costs). Sufficient documentation includes:

• The number of non-congregate shelterees:

o By age groups 0-2, 3-6, 7-12, 13-17, 18-21, 22-65, and 66+;

o With disabilities or access and functional needs;

o Registered for assistance from FEMA’s IA Programs; and

o Referred to State, Territorial, Tribal, or non-governmental organization programs for

assistance;

• Number of household pets, and assistance and service animals sheltered, and the type of

shelter provided (e.g., stand alone, co-located, or co-habitational;

• Length of stay per “household unit”; and

236

44 C.F.R. §§ 206.225(a)(2) and 206.202(c) and (d).

Transitional Sheltering Assistance

Program

FEMA’s Transitional Sheltering Assistance

(TSA) is a

type of short-term non-congregate

sheltering assistance provided as Direct

Federal Assistance. The intent of TSA is to

provide temporary sheltering for survivors

transitioning from emergency shelters to

temporary or permanent housing solutions.

Additional information is available in FEMA’s

Individual Assistance Program and Policy

Guide at www.fema.gov/assistance/

individual/program-policy-guide.

V4 2020 Page 124

• Number of meals and other services provided.

As with any activity, lack of full documentation may result in FEMA determining that some or

all of the costs are ineligible.

3. Childcare Services

FEMA reimburses SLTT governments for the cost of providing licensed childcare services to

support sheltered populations. This includes the cost of the labor, facility, supplies, and

commodities. Additionally, FEMA may provide PA funding for the cost of childcare services

that the eligible Applicant provides to other survivors, and beyond the period of emergency

sheltering, with certification that temporary childcare is necessary to meet immediate threats to

life, public health and safety, or property.

Childcare includes services such as:

• Day care for children; and

• Before- and after-school care.

The Applicant may provide these services within a shelter facility or in a separate facility, as

appropriate. FEMA PA and IA staff coordinate to ensure no duplication with IHP assistance.

4. Host-State or Host-Tribe Evacuation and Sheltering

If the impacted State or Tribe (Impact-State or Impact-Tribe)

237

has evacuation and sheltering

needs beyond its ability to address within its jurisdictional area, it may request assistance either

from another State or Tribal government (Host-State or Host-Tribe)

238

through mutual aid

agreements such as EMAC, or from FEMA.

If the Impact-State/Tribe requests assistance

directly from another State or Tribal government,

FEMA reimburses costs based on the mutual aid

agreement as described in Chapter 6:IX. Mutual

Aid. FEMA may also provide PA funding to the

Host-State/Tribe directly, even if the Impact-

State/Tribe already requested assistance directly

from that Host-State/Tribe, provided that:

• The Impact-State/Tribe requested the

assistance;

• The Host-State/Tribe agrees to accept

evacuees based on need—without restriction;

• An authorized official from the Host-State/Tribe transmits a written agreement to FEMA;

and

237

Impact-State or Impact-Tribe means the State or Tribal Government for which the President declared an

Emergency or Major Disaster and requested FEMA assistance because of a need to evacuate and/or shelter affected

individuals outside the State.

238

Host-State or Host-Tribe means a State or Tribal Government that by agreement with FEMA provides sheltering

or evacuation support to evacuees from an Impact-State or Impact-Tribe.

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• The Governor or Tribal Chief Executive of the Host-State/Tribe signs the FEMA/Host-

State or FEMA/Host-Tribe Agreement pursuant to the terms and conditions in 44 C.F.R.

§ 206.44, FEMA-State Agreements, to establish the Host-State/Tribe as the Recipient.

239

If the Impact-State/Tribe requests assistance from FEMA, FEMA determines whether potential

Host-States/Tribes have sufficient capability to meet some or all of the sheltering and evacuation

needs of the Impact-State/Tribe. If FEMA determines a Host-State/Tribe has sufficient capability

and the Host-State/Tribe meets the three conditions described above, FEMA provides PA

funding to the Host-State/Tribe directly.

240

When FEMA provides PA funding directly to the Host-State/Tribe, FEMA reimburses 100

percent of the Host-State/Tribe’s eligible costs, including straight-time and benefits of the Host-

State/Tribe’s permanent employees

241

so that it does not have any out-of-pocket costs. In these

cases, the Impact-State/Tribe is responsible for the non-Federal cost share and must subsequently

reimburse FEMA for the non-Federal cost share of the eligible costs incurred by the Host-

State/Tribe. The non-Federal cost share is based on the Category B cost-share amount designated

in the declaration. The Impact-State/Tribe cannot offset its non-federal cost share with the Host-

State/Tribe’s volunteer labor.

In addition to the other eligible evacuation and sheltering costs described in this chapter, FEMA

also reimburses the Host-State/Tribe for the following:

• Straight-time and benefits of entities’ employees that provide assistance under a mutual

aid agreement or a contract with the Host-State/Tribe such as a local government or PNP;

• Costs to provide the requested shelter capacity, even if the shelter was underused or not

used at all;

• Costs related to arrest and incarceration of evacuees who commit unlawful acts in the

Host-State/Tribe congregate shelter, including costs incurred by on-duty law enforcement

officers in order to detain, take into custody, or make an arrest (costs of chemical tests,

processing, charging, booking, and holding such persons are ineligible costs). Costs to

transport a detainee back to the shelter is eligible if the individual was not charged;

• When patients in hospitals in the Impact-State/Tribe are evacuated, transported, and

admitted into hospitals in the Host-State/Tribe through mission assignment with HHS,

and the patients are treated and discharged but require follow-on care while awaiting

transport, and shelters are not available, the costs that the Host-State/Tribe’s hospital

incurs for hotel rooms during patients’ follow-on care until the patients can be

transported back to the Impact-State/Tribe, provided that Medicare, Medicaid, or private

insurance does not cover these costs;

• Bus or shuttle transport to pick up evacuees at the airport, train station, or bus terminal

when the expected plane, train, or bus is re-routed, canceled, or rescheduled;

• Ambulance costs for hospital-to-hospital transfers, provided it is a transfer within the

Host-State/Tribe;

• When the Impact-State/Tribe determines that it is safe for re-entry, it coordinates with the

Host-State/Tribe and FEMA to return evacuees, household pets, and service and

239

44 C.F.R. § 206.202(f)(1)(i).

240

44 C.F.R. § 206.208(c)(3).

241

44 C.F.R. § 206.202(f)(1)(ii).

V4 2020 Page 126

assistance animals to the Impact-State/Tribe by air, rail, or bus. Return transportation

costs are eligible along with food, water, and security during transport;

• Return transportation costs for family members of the Impact-State/Tribe evacuee who

was admitted to a hospital after the congregate shelters close;

• When evacuees are discharged from a hospital after all congregate shelters have closed

and transportation cannot be arranged for departure on the same day discharged, FEMA

reimburses up to 5 nights of hotel lodging while awaiting return transport; and

• FEMA reimburses a State agency from the Impact-State/Tribe for transportation costs

and related expenses to transport deceased evacuees and accompanying family members

to the Impact-State/Tribe. The cost of the State/Tribe-mandated embalming or cremation

of the body prior to return are also eligible.

The Host-State/Tribe must determine whether any ambulance or medical service costs are

covered by a patient’s private insurance, Medicare, Medicaid, or a pre-existing private payment

agreement as FEMA deducts this amount from the Host-State/Tribe’s eligible cost.

Fees that the Host-State/Tribe waives for the use of State parks by self-evacuees with

recreational vehicles (RVs) are ineligible. Additionally, purchase and distribution of gas cards,

bus passes, cash vouchers, debit cards, food vouchers, or direct payments to evacuees are

ineligible.

P. Infectious Disease Incident

The HHS Centers for Disease Control and Prevention (CDC) has primary authority to enable

support and assistance to SLTT governments in response to an infectious disease incident.

FEMA may provide assistance for the rescue, evacuation, and movement of persons; movement

of supplies; and care, shelter, and other essential needs of affected human populations. Any

assistance provided by FEMA in response to an infectious disease incident is done in

coordination with the CDC. The Office of Response and Recovery Fact Sheet FP 104-009-001,

Infectious Disease Event, provides additional details.

242

Q. Mosquito Abatement

Mosquito abatement measures may be eligible when a SLTT government public health official

validates in writing that a mosquito population poses a speciﬁc health threat as discussed further

in Appendix G: Mosquito Abatement. FEMA consults with the CDC to determine the eligibility

of mosquito abatement activities. FEMA only provides PA funding for the increased cost of

mosquito abatement. This is the amount that exceeds the average amount based on the last 3

years of expenses for the same period.

R. Residential Electrical Meter Repair

In rare cases, to reduce the number of survivors needing shelter, FEMA may provide limited PA

funding to a SLTT government to repair residential electrical meters. To receive PA funding, the

SLTT government must:

 Issue a finding of an immediate threat to safety due to loss of power caused by damaged

meters or weather heads;

242

www.fema.gov/sites/default/files/2020-10/fema_infectious-disease-fact-sheet_orr_05-13-2016.pdf.

V4 2020 Page 127

 Request participation in this program; and

 Receive FEMA approval for each identified property.

Only residential properties are eligible for this program. Commercial properties, including

apartment complexes, are ineligible.

If approved, the applicable SLTT government must:

 Obtain a signed right-of-entry from each residential property owner;

 Take reasonable measures to document any known insurance proceeds;

 Contract with licensed electricians to perform electrical meter repair;

 Coordinate the work with the property owner, the power company, and the contracted

electricians; and

 Be responsible for payment of the non-Federal share.

Eligible work is limited to that associated with repairing damage to items otherwise installed and

maintained by a homeowner’s electrician, including the weather head, service cable, and meter

socket.

FEMA generally provides PA funding up to $800 per meter per residential dwelling. This

amount includes equipment, materials, labor, and inspection fees to restore the meter to current

local codes. It is also inclusive of limited debris clearance when necessary to access the damaged

meter or weather head. Removal and disposal of the debris is ineligible. Eligible work is limited

to that completed within 30 days from the declaration date unless extended by FEMA.

FEMA does not provide PA funding for repair costs if it is not safe to restore power to the

residence or if other impacts would restrict the dwelling from being habitable even after power

restoration.

FEMA PA and IA staff coordinate closely to ensure FEMA does not fund the same work under

both programs.

S. Safety Inspections

Post-incident safety inspections for public and private facilities are eligible, as well as posting

appropriate placards (e.g., “red-tagging” a building that is unsafe).

The specific purpose of the inspection must be to determine whether the facility is safe for entry,

occupancy, and lawful use. The Applicant must clearly substantiate that the purpose of the

inspection was for safety and not to assess damage. Building inspections are ineligible if the

purpose of the inspection is to:

• Determine whether the building is Substantially Damaged for the purpose of compliance

with the community’s floodplain management ordinance;

• Determine whether the building needs to be elevated or relocated, in accordance with the

community’s floodplain management ordinance; or

• Ensure that repairs are completed in accordance with the community’s building code or

standard.

V4 2020 Page 128

T. Animal Carcasses

Removal and disposal of animal carcasses, including interim processing,

243

is eligible. If the

removal and disposal is conducted as part of the overall debris removal operations, the work may

be funded as Category A.

FEMA may require certification from the SLTT government health department, HHS, or the

U.S. Department of Agriculture (USDA) that a threat to public health and safety exists.

When few in number, smaller animal carcasses (e.g., rodents, skunks, or possums) do not usually

pose an immediate threat to public health or safety. Removal and disposal of these carcasses is

ineligible.

FEMA does not provide PA funding when another Federal agency has authority to provide

assistance for carcass removal and disposal. NRCS has authority to remove animal carcasses and

to provide technical assistance to the Applicant under its EWP program. The USDA’s Farm

Service Agency may provide assistance for farmland debris cleanup. The EPA and USCG have

authority to provide technical assistance and to remove animal carcasses contaminated with oil,

hazardous substances, pollutants, or contaminants.

244

U. Demolition of Private Structures

Emergency demolition of structures located on private property may be eligible when partial or

complete collapse is imminent, and that collapse poses an immediate threat to the general public.

In some instances, restricting public access to an unsafe structure and the surrounding area, such

as securing the area with a fence, is sufficient to alleviate the immediate threat and is more cost-

effective than demolition. In these cases, demolition is ineligible.

If a structure is condemned prior to the incident, emergency protective measures related to that

structure are ineligible.

FEMA reviews the Applicant’s demolition process for compliance with all applicable EHP laws,

regulations, and EOs.

1. Conditions for Eligibility

For demolition to be eligible, the Applicant must:

• Certify that the structures are unsafe and pose an immediate threat to lives or public

health and safety;

• Provide documentation to confirm its legal authority and responsibility to enter private

property and demolish privately-owned unsafe structures. This includes:

o Citation of the law, ordinance, code, or emergency powers for which it is exercising

its legal authority to demolish privately-owned unsafe structures. The authority cited

must be applicable to the structural condition representing the immediate threat and

not merely the Applicant’s uniform level of services.

243

Interim processing may include bu

rning, incinerating, rendering, mounding, composting, or other pre-processing

activities.

244

See Recovery Policy 9523.8, Mission Assignments for ESF#10, for discussion on EPA and USCG authority with

respect to removal of hazardous waste: www.fema.gov/sites/default/files/2020-07/fema_ESF_10_Oil-Hazardous-

Materials.pdf.

V4 2020 Page 129

o Confirmation that a legally authorized official of the Applicant has ordered the

exercise of public emergency powers or other appropriate authority to enter onto

private property in the designated area in order to demolish privately-owned unsafe

structures and remove the resulting debris; and

• Indemnify the Federal Government and its employees, agents, and contractors from any

claims arising from the demolition of privately-owned unsafe structures and removal of

the resulting debris.

Before FEMA will provide PA funding, the Applicant must provide confirmation that it satisfied

all legal processes and obtained permission requirements from the property owners

(

rights-of-

entry)

and agreements to indemnify and hold harmless the Federal Government. Additionally,

the Applicant must provide documentation to support that it obtained all necessary permits and

complied with EHP requirements.

2. Commercially Owned Structures

Demolition of structures owned by commercial enterprises, including businesses, apartments,

condominiums, and mobile homes in commercial trailer parks, are generally ineligible as it is

expected that the commercial enterprises retain insurance that cover the cost of demolition. In

very limited, extraordinary circumstances, FEMA may provide an exception. In such cases, the

Applicant must meet the requirements of Chapter 7:I.G. Debris Removal from Private Property.

3. Eligible Work

If FEMA approves the demolition of private structures, eligible work associated with the

demolition includes, but is not limited to:

• Capping wells;

• Pumping and capping septic tanks;

• Filling open below-grade structures, such as basements and swimming pools;

• Testing for hazardous materials;

• Securing utilities;

• Obtaining permits and licenses; and

• Performing title searches.

Fees for permits, licenses, and titles issued directly by the Applicant are ineligible unless the

Applicant demonstrates that the fees are above and beyond its normal administrative costs.

Overtime labor directly related to issuing these permits, licenses, and titles for facilities that are

eligible for demolition is eligible.

The following work is also eligible and may be funded as Category A if the removal and disposal

is conducted as part of the overall debris removal operations:

• Removing demolition debris, including personal effects; and

• Removing hazardous materials, such as asbestos and household hazardous waste.

The Applicant should work with the property owner to pursue and recover insurance proceeds

and credit FEMA the Federal share of any insurance proceeds recovered. In some circumstances,

the property owner may be eligible for IA funding. FEMA PA and IA staff coordinate closely to

ensure FEMA does not fund the same work under both programs.

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4. Ineligible Work

Ineligible work associated with the demolition of private structures includes, but is not limited

to:

• Removal or covering of concrete pads and driveways except for structures in a FEMA-

funded buyout program; and

• Removal of slabs or foundations that do not present a health or safety hazard, except for

structures in a FEMA-funded buyout program through the HMGP (the removal of

Substantially Damaged structures and associated facilities acquired through HMGP may

be eligible as Category A, Debris Removal).

V. Temporary Relocation of Essential Services

If the Applicant provides essential community services at a facility that is unsafe, inaccessible, or

destroyed as a result of the incident, temporarily relocation of these services to another facility is

eligible.

245

Essential community services are those services of a governmental nature that are

necessary to save lives, protect property and the public, and preserve the proper function and

health of the community at large. These services differ from the list of eligible PNP essential

social services. FEMA evaluates the criticality of the service and safety of the facility to

determine the need for temporary relocation. FEMA does not incorporate funds from temporary

facilities into fixed cost projects.

1. Eligible for Temporary Relocation:

Essential community services provided by an eligible Applicant are eligible to be relocated. The

following services are considered essential community services (these differ from the list of PNP

essential social services):

• Education;

• Election and polling;

• Emergency, including police, fire, and rescue;

• Homeless and domestic violence shelters;

• Emergency medical care;

• Prison;

• Utility; and

• Other facilities that provide public health and safety services of a governmental nature.

Services provided in administrative and support facilities essential to the provision of the

essential community service are also eligible for relocation. These include administration

buildings, student housing, hospital and prison laundry and cooking facilities, parking, and

storage if items are needed on-site. Athletic fields and student unions are not considered essential

administrative or support services and are ineligible.

If the Applicant provides the service at a leased, private facility prior to the incident, the service

is still eligible to be relocated.

245

Stafford Act § 403(a)(3)(D), 42 U.S.C. § 5170b.

V4 2020 Page 131

2. Ineligible for Temporary Relocation

Facilities that do not provide essential community services are ineligible for temporary

relocation. These include facilities and services such as museums, zoos, community centers,

shelter workshops, performing arts centers, recreation and parking, athletic stadiums, houses of

worship, housing and residential services, custodial care, assisted living, senior citizen centers,

alcohol and drug rehabilitation, childcare, libraries, research and warehouse facilities, burial,

vocational, academic, athletic, political training, and student union buildings.

3. Determining Eligibility of Temporary Relocation

FEMA determines the eligibility of relocating services to another facility based on the safety of

the damaged facility as follows:

• If the facility can be made usable with the performance of emergency protective

measures or minor repairs, a temporary facility may not be eligible.

• If the damage is to the extent that it cannot be occupied safely, and restoration cannot be

completed without suspending operations of the facility for an unacceptable period of

time, then a temporary facility may be eligible.

• If the facility is not damaged but lacks a critical utility or operational item, such as

potable water, electricity, or road access, and a temporary facility will restore services to

the community before the restoration of the disrupted critical utility or operational item at

the current site, then a temporary facility may be eligible.

The capacity of the temporary facility must not exceed the pre-disaster capacity of the facility

that housed the displaced services. The Applicant must use the temporary facility to provide the

eligible service to the same extent and manner as was provided prior to the incident.

Relocation to a site that requires ground disturbance or alteration of an existing property requires

EHP review before the Applicant implements the action.

FEMA does not require the Applicant to obtain and maintain insurance for temporary facilities.

If the Applicant has a facility that does not meet eligibility requirements for temporary relocation

and the facility’s damage is to such an extent that the contents are at risk, FEMA may provide

PA funding for temporary space to store the contents as an emergency protective measure if the

space is:

• Limited to an area necessary to house the contents;

• Used solely for storage; and

• Not intended for public access, alternate office space, exhibits, or other purposes.

FEMA is not responsible for damage that may occur to contents in temporary storage.

4. Lease, Purchase, or Construct

When deciding whether to rent or purchase space and equipment, the Applicant should choose

the most economical option that meets its needs. The Applicant must provide FEMA with a cost

analysis,

246

which should include at least three options with cost estimates based on the timeline

to restore the original facility. Cost estimates for leasing a facility must account for the entire

timeline of the project. FEMA generally reimburses the least costly option of leasing,

246

2 C.F.R. § 200.318(d).

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purchasing, or constructing a temporary facility. However, FEMA also considers whether the

least costly option is practical when determining eligibility (e.g., if the least costly option for a

temporary school is to lease a building in another county, and the next least costly option is to

install modular buildings on the current campus, FEMA may reimburse the cost of the modular

buildings).

If the Applicant relocates a service from a facility it owns, the lease costs of a temporary facility

are eligible if leasing is the least costly option. If the Applicant was leasing the damaged facility

and had to temporarily relocate to another leased facility, the increase in rent is eligible.

Purchasing or constructing a temporary facility is eligible if FEMA confirms that it is the least

costly option. With exception of modular or manufactured units, the Applicant must obtain

FEMA approval prior to purchasing or constructing the facility.

5. Safe Rooms for Temporary School Facilities

Funding for accessible safe rooms as part of a temporary school facility may be eligible if the

damaged school contained a safe room or other space that served as a storm shelter and there are

no other cost-effective, reasonable alternatives available to address the safety needs of the

students and faculty. If approved, the safe room capacity is based on student population and the

number of faculty who are expected to use the temporary school facility. The capacity of the safe

room cannot exceed the pre-disaster capacity of the safe room in the damaged school. The safe

room should be available no later than the opening day of classes at the temporary facility.

If the Applicant wishes to seek funding for a safe room as part of a temporary school facility, it

must obtain prior approval from FEMA. The request needs to include:

• A description of the safe room or safe space that was used as a storm shelter prior to the

incident;

• The population of students and faculty that need access to the safe room;

• Verification that no other cost-effective reasonable alternatives are within proximity that

can be used as a safe space for the school population; and

• An indication that the Applicant will have the safe room installed and operational when

school resumes and students occupy the temporary classroom space.

Safe rooms provided as part of a temporary school facility must comply with the requirements of

Safe Rooms for Tornadoes and Hurricanes, Guidance for Community and Residential Safe

Rooms (FEMA P-361).

247

The timeframe for providing PA funding for the temporary safe room space coincides with the

approved timeframe for providing PA funding for the temporary school facility.

6. Temporary Relocation Costs

Eligible work or costs associated with the provision of temporary facilities include, but are not

limited to:

• Rental or purchase of equipment necessary to continue the services in the temporary

facility;

• Reasonable alterations of the temporary facility, if required to make the space functional

based on the pre-disaster use of the damaged facility;

247

www.fema.gov/sites/default/files/2020-07/safe-rooms-tornadoes-hurricanes.pdf.

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• Restoration of the temporary facility to its pre-disaster condition when no longer needed

• Moving expenses to and from the temporary facility;

• Minimal life-safety or other building upgrades required by an applicable code or standard

in effect at the time the temporary facility is purchased or leased; and

• Public outreach and messaging costs necessary to inform the public that the service will

temporarily be provided at a different location.

FEMA does not provide PA funding for utility, maintenance, or operating costs in a temporary

facility, even if these costs increase.

7. Time Limitations

The regulatory time limitation for temporary facilities (Emergency Work) is 6 months from the

declaration date.

248

Depending on the extent of damage to the facility, the Applicant may be unable to restore the

facility to its pre-disaster design and function within 6 months. Normally, the Recipient has the

authority to extend the deadline for Emergency Work for up to 6 additional months.

249

However,

for temporary facilities, only FEMA has authority to approve any time extensions to the project

deadline.

FEMA considers the timeframe necessary to restore the damaged facility when evaluating time

extensions for temporary facilities. If the Applicant requests funding for a temporary facility and

knows at that time that the restoration of the original facility will exceed 6 months, FEMA may

approve additional time and funding up to 12 months. If the Applicant needs additional time

beyond this 12-month deadline, it must submit a written time extension request that includes the

status of work and a timeline for completion.

FEMA only approves additional time if the Applicant begins construction on the damaged

facility within 12 months of the declaration date, unless circumstances beyond the control of the

Applicant prevented the start of construction within this 12-month timeframe.

(a) Improved Project

If FEMA approves an Improved Project for a facility for which it also approved temporary

relocation of the services to a temporary facility, the temporary facility is only eligible for PA

funding for the estimated amount of time necessary to restore the facility to its pre-disaster

design and function. If the actual time to restore the facility with the improvements extends

beyond this timeframe and causes the Applicant to continue its use of the temporary facility,

FEMA does not reimburse any cost associated with that continued use. However, FEMA may

reimburse costs associated with relocating its services back into the facility as part of the

approved temporary facility project.

(b) Alternate Project

If FEMA approves an Alternate Project for a facility for which it also approved temporary

relocation of the services to a temporary facility, FEMA does not reimburse any temporary

facility costs incurred after the date the Applicant requests that Alternate Project.

248

44 C.F.R. § 206.204(c)(1).

249

44 C.F.R. § 206.204(c)(2)(ii).

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If FEMA approves an Alternative Procedures Project for a facility for which it also approved

temporary relocation of the services to a temporary facility, continued PA funding for the

temporary facility is dependent upon the SOW of the Alternative Procedures Project.

8. Disposition Requirements

If the Applicant purchased or constructed a temporary facility, it must return to FEMA the

Federal share of the equity in the facility. The Applicant must report the equity to FEMA when

the approved deadline has expired or when the facility is no longer needed for the authorized

purpose, whichever occurs first.

If FEMA only funded a portion of the cost of the facility, the Applicant must return to FEMA the

Federal share of FEMA’s proportionate equity in the facility. The amount due FEMA is

computed by applying FEMA’s percentage of participation in the cost of the purchase or

construction to the fair market value or sale proceeds, taking into consideration reasonable out-

of-pocket costs related to the sale.

The Applicant may either retain the facility or sell it. If the Applicant disposes of real property

(land or structures) acquired with PA funding and acquires replacement real property using funds

from the same PA project, it may use the net proceeds of the sale to offset the cost of the

replacement property.

W. Snow-Related Activities

When the President declares an incident as a Snowstorm or specifically authorizes snow

assistance in a declaration for a Severe Winter Storm, FEMA provides PA funding for impacts

related to snow, but the assistance is limited.

250

See Appendix H: Snow Assistance, for detailed

information.

1. Limited Time Period

Snow-related activities are eligible for a continuous 48-hour period to address the most critical

emergency needs.

251

Each Applicant designates the beginning of its 48-hour period. However, a

State or Territorial agency that conducts snow-related activities in multiple locations throughout

the State or Territory, such as a Department of Transportation, may use different 48-hour periods

for different locations.

Once FEMA approves a project for the Applicant’s designated 48-hour period, the Applicant

cannot change its selected period.

If the Applicant awards a contract for periods greater than the 48-hour period, PA funding is

limited to the costs incurred during the 48-hour period.

The FEMA Assistant Administrator of the Recovery Directorate may extend the eligible period

by 24 hours in counties, parishes, or Tribal government areas where the snowfall exceeds the

historical record snowfall by at least 50 percent.

250

44 C.F.R. § 206.227.

251

44 C.F.R. § 206.227.

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2. Eligible Work

Eligible work includes:

• Snow-related activities (for limited time as discussed above):

o Snow removal;

o Snow dumps;

o De-icing;

o Salting; and

o Sanding of roads and other eligible facilities.

• Other emergency protective measures (not restricted to the limited time) including, but

not limited to, search and rescue and sheltering.

Limited snow-related activities necessary to carry out emergency protective measures, such as

clearing snow in the immediate area of a downed power line, are eligible outside of the limited

time period and in counties declared but not designated for snow assistance.

For Severe Winter Storm Declarations that do not specifically authorize snow assistance, FEMA

only provides PA funding for limited snow-related activities that are necessary to perform

otherwise eligible work. For example, snow removal necessary to repair downed power lines is

eligible, while normal snow removal from roads (including salting and sanding) is ineligible.

X. Emergency Repair or Stabilization

Emergency repair or stabilization of an eligible facility is eligible as Emergency Work if it

eliminates or lessens an immediate threat.

252

Work performed under an exigent circumstance that

restores the pre-disaster design and function of the facility in accordance with codes and

standards is Permanent Work,

253

not Emergency Work.

Emergency repair of a facility is ineligible if another Federal agency has the specific authority to

provide assistance for the facility (even if the repair is temporary),

254

such as for:

• Federal-Aid highways – Federal Highway Administration (FHWA); or

• Flood control works – USACE and NRCS.

For Tribal governments specifically, although the Bureau of Indian Affairs’ (BIA) or FHWA

may have authority to provide temporary emergency repairs of Tribal roads, such roads may be

eligible for PA funding provided the Tribal Government does not receive funding from BIA or

FHWA for the work.

1. Operation Blue Roof (DFA Only)

Operation Blue Roof provides homeowners with plastic sheeting to cover damaged roofs until

arrangements can be made for permanent repairs. The purpose of Operation Blue Roof is to

protect property, reduce temporary housing costs, and allows residents to remain in their homes

while recovering from the incident. Therefore, only dwellings that can be safely occupied after

252

44 C.F.R. § 206.201(b).

253

44 C.F.R. § 206.201(j).

254

44 C.F.R. § 206.226(a).

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blue roof installation are eligible. The costs of these services are ineligible for reimbursement.

However, FEMA may provide DFA for these services.

255

2. Slope Stabilization

If a landslide or other slope instability is triggered by the incident and poses an immediate threat

to life, public health and safety, or improved public or private property, emergency protective

measures to stabilize the slope may be eligible.

FEMA only provides PA funding for the least costly option necessary to alleviate the threat.

FEMA limits eligible stabilization measures to the area of the immediate threat, not the entire

slope. Work must be reasonable relative to the size and scope of the area of instability.

FEMA may authorize funding for post-disaster inspections and limited geotechnical

investigations to determine if the instability creates an unsafe condition that poses an immediate

threat.

Eligible emergency protective measures include, but are not limited to:

• Emergency drainage measures;

• Emergency ground protection to better stabilize the mass (rip rap, sheeting);

• Partial excavation at the head of a sliding mass to reduce its driving force;

• Backfilling or buttressing at the toe of a sliding mass using measures such as gabions,

rock toes, cribwalls, binwalls, and soldier pile walls; and

• Installation of barriers to redirect debris flow.

3. Mold Remediation

The incident may cause facilities to be inundated or exposed to wet and humid weather

conditions for extended periods of time. These conditions may cause growth and spreading of

mold in structures and on contents, causing threats to public health and increasing the repair cost.

The following remediation activities may be eligible as emergency protective measures:

• Wet vacuuming, damp wiping, or vacuuming with High-Efficiency Particulate Air

(HEPA) equipment of the interior space;

• Removal of contaminated gypsum board, plaster (or similar wall finishes), carpet or floor

finishes, and ceilings or permanent light fixtures; and

• Cleaning of contaminated heating and ventilation (including ductwork), plumbing, and

air conditioning systems or other mechanical equipment.

Pre-remediation mold sampling is only eligible when the sampling reveals the presence of mold.

Post-remediation sampling is eligible to confirm that remediation is complete.

The Applicant may use a variety of mold cleanup methods to remediate mold damage based on

the extent of damage and type of damaged material. Appendix I: Mold Remediation, provides

information for consideration when developing a SOW for mold remediation. The Applicant

must follow applicable SLTT government guidelines for mold sampling and remediation.

FEMA only provides PA funding for mold sampling performed by an indoor environmental

professional, such as a Certified Industrial Hygienist, Certified Indoor Environmental

255

See www.usace.army.mil/Media/Fact-Sheets/Fact-Sheet-Article-View/Article/475463/temporary-roofing/ for

additional information.

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Consultant, or Certified Microbial Consultant. The indoor environmental professional should not

be employed by the remediation company to avoid a conflict of interest. FEMA considers

technical evaluations performed by licensed professionals when determining the eligibility of

mold remediation.

For mold remediation to be eligible, mold must not be a result of poor facility maintenance or

failure to take protective measures to prevent the spread of mold in a reasonable time after the

incident. If the Applicant can document and justify why it did not take measures to prevent

further contamination, or why measures taken were insufficient to prevent further damage, mold

remediation may be eligible.

Examples of extenuating circumstances include:

• Disruption of power;

• Facility is underwater;

• Facility is inaccessible;

• Heating, ventilation, and air conditioning (HVAC) equipment is damaged; and

• Insufficient resources to remediate the entire facility.

FEMA evaluates whether the facility had pre-existing water infiltration conditions when

determining whether mold remediation is eligible. For this evaluation, FEMA considers whether

there is evidence of:

• Improperly sealed windows or exterior vents;

• Standing water against an exterior wall;

• Poorly maintained drains or gutters with rust or vegetative growth;

• Absence of rain gutters; and

• Leaking ceiling tiles.

4. Emergency Berms on Beaches

If a natural or engineered beach has eroded to a point where flooding from a 5-year storm

256

could damage improved property, cost-effective emergency protective measures on the beach

that protect the improved property against damage from that 5-year storm are eligible.

Eligible measures typically include the construction of emergency sand berms to protect against

additional damage from a 5-year storm. Emergency sand berms are not intended to permanently

restore the beach; they are intended only to provide protection from immediate threats. The

Applicant may construct emergency berms with sand recovered from the beach or with imported

sand. If the Applicant constructs the berms with imported sand, FEMA will only provide PA

funding if the sand is from a source that meets applicable environmental regulations and one of

the following circumstances exists:

• Recoverable quantities are insufficient; or

• SLTT government regulations prohibit placement of the recovered sand.

To show that a 5-year storm could damage improved property, the Applicant must demonstrate

that the stillwater level plus wave runup elevation as determined by computer modeling for a 5-

year storm exceeds the post-incident elevation of the primary dune.

256

44 C.F.R. § 206.221(c). For flood incidents specifically, an immediate threat is a threat from a 5-year flood (a

flood that has a 20 percent chance of occurring in any given year).

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The 5-year Stillwater Level (SWL) is equal to the average water surface elevation of the rise in

seawater level (surge) resulting from a 5-year storm, plus wave setup and the astronomical tide.

The 5-year Total Water Level (TWL) is equal to the elevation of the wave runup predicted for a

5-year storm plus the SWL. Locations where the elevation of the post-incident profile is less than

the TWL are eligible for placement of an emergency berm. See Figure 12 below.

Figure 12. Determining Eligibility of Emergency Berms on Beaches

Based on the average expected erosion for a 5-year storm, FEMA only provides PA funding for

emergency berms constructed with up to 6 cubic yards per linear foot of sand above the 5-year

stillwater level or the berm’s pre-incident profile, whichever is less. In some cases, placing sand

below the 5-year stillwater level may be necessary to provide a base for berm. The placement of

that sand is also eligible as part of the emergency protective measure.

Placement of dune grass on an emergency dune or berm is only eligible if it is required by permit

and is an established, enforced, uniform practice that applies to the construction of all emergency

berms within the Applicant’s jurisdiction, regardless of the circumstance. The Applicant must

include the grass placement cost in the dune or berm construction cost when evaluating cost-

effectiveness. Any maintenance of the dune grass after the initial installation is ineligible.

III. Damage Caused During Performance of Emergency Work

The Applicant may damage improved property, supplies, or equipment during the performance

of eligible emergency response activities or debris removal operations.

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The repair of damage to public property, supplies, or equipment is eligible as part of the

respective Emergency Work (Category A or B) Project

257

if the damage was:

• Due to severe conditions resulting from the incident;

• Unavoidable; and

• Not due to improper or excessive use.

Replacement of damaged crops, trees, shrubs, or other ground cover is ineligible, unless the

replacement meets the criteria in Chapter 8:IX.E. Parks, Recreational, Other (Category G).

For equipment damage, FEMA requires maintenance records to demonstrate that the equipment

was regularly maintained and in good operational order prior to the incident, and details

regarding when, where, and how the damage occurred.

Repair of damage to private property is only eligible if the above criteria is met and one of the

following:

• The property is an easement and the Applicant is legally responsible for repairing the

damage it causes to the easement; or

• The Applicant leased the property either for sheltering or for a temporary debris staging

site, and the lease agreement establishes that the Applicant is legally responsible for the

repair.

Damage caused by snow-related activities conducted outside of the authorized period, as

described in Chapter 7:II.W. Snow-Related Activities, is ineligible.

257

Although the repairs may be Permanent Work, FEMA includes it on the Emergency Work project as damage

resulting from the emergency work.

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CHAPTER 8: PERMANENT WORK

ELIGIBILITY

Permanent Work (Categories C–G) is work required

to restore a facility to its pre-disaster design (size

and capacity) and function in accordance with

applicable codes and standards.

258

Emergency repair

or stabilization to eliminate or lessen an immediate

threat is Emergency Work. All Permanent Work is

subject to the eligibility of the facility as described

in Chapter 4:II. Facility Eligibility and shown in

Figure 13. Permanent Work Eligibility. This chapter

provides PA Policy for Permanent Work.

Pre-disaster design means the size or capacity of a facility as originally constructed or

subsequently modified. It does not mean the capacity at which the Applicant was using the

facility at the time of the incident if different from the most recent designed capacity.

259

Pre-disaster function is the function for which the facility was originally designed or

subsequently modified. For example, if the Applicant designed and constructed an administrative

building, but later altered it in accordance with applicable construction codes or standards to use

as a school, the pre-disaster function would be as a school. If the facility was serving an alternate

function at the time of the incident, but was not altered to provide that function, FEMA provides

PA funding to restore the facility either to the original pre-disaster function, OR pre-disaster

alternate function, whichever costs less.

260

258

44 C.F.R. § 206.201(j). Although this section of 44 C.F.R. does not reference function as part of the definition of

Permanent Work, 44 C.F.R. § 206.203(d)(2) states that if the Applicant does not restore the function, it is an

Alternate Project. See Chapter 8:VIII. Capped Projects

for discussion on Alternate Projects.

259

44 C.F.R. § 206.201(k).

260

44 C.F.R. § 206.226(k)(1).

Example of Restoring to Pre-disaster Design

If a school designed for a capacity of 100 students is damaged beyond repair, the eligible funding for the

replacement facility is limited to that necessary for 100 students, even if more than 100 students were

attending the school prior to the incident.

Example of Restoring to Pre-disaster Function

If the Applicant is using an office building as a storage facility at the time of an incident, and it is less costly to

restore the facility as a storage facility, only those repairs necessary to restore it as a storage facility are

eligible.

Any special lighting or wall and ﬂoor ﬁnishes that are typical of an office building are not necessary for a

storage facility and, therefore, are ineligible.

Figure 13. Permanent Work Eligibility

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FEMA may approve changes to the pre-disaster design or construction method (including

materials) if the changes are required due to access issues, site conditions, or to tie into existing

infrastructure. The changes must not impact the capacity or function of the facility. The

Applicant must show that the changes are reasonable based on the type and extent of restoration

and are consistent with the Applicant’s general construction practices.

In cases where ineligible damage, such as a pre-existing condition, if not repaired, may

compromise repair of eligible damage, FEMA may make PA funding for repair of the eligible

damage contingent upon the Applicant repairing the ineligible damage. For example, FEMA may

determine that repairs to a damaged bridge deck are eligible. However, the deck cannot be

repaired unless the Applicant replaces rotting timbers that support the deck.

While PA funding is always based on pre-disaster size, capacity, and function, FEMA has

developed procedures under Section 428 of the Stafford Act to maximize the ability of

Applicants to drive their own recovery. Under this process, Section 428 Alternative Procedures

are considered for all large Permanent Work Projects. This approach standardizes a single

process for the development and consideration of fixed cost estimates as the first option for all

Permanent Work Projects. This ensures Applicants have awareness of the opportunities and

benefits provided by the Alternative Procedures, including: flexibility in meeting post-disaster

recovery needs, as opposed to being limited to rebuilding back to what existed prior to the

disaster; ability to share funds across all Alternative Procedures Permanent Work Projects;

ability to retain and use excess funds to reduce risk and improve future disaster operations

(subject to timely closeout); and eligibility for cost-effective hazard mitigation on Replacement

Projects. Applicants will be able to agree to a fixed cost estimate or choose to pursue funding

under standard, actual cost procedures.

I. Environmental and Historic Preservation Considerations

The Applicant needs to make every effort to afford FEMA the opportunity to perform EHP

reviews prior to starting any work that has potential to impact the environment or historic

properties, including archaeological resources. This includes, but is not limited to, demolition,

site preparation, and ground disturbing activities. FEMA must ensure that the project complies

with appropriate EHP laws, regulations, and EOs. If the Applicant starts this work prior to

FEMA’s completion of the EHP review, it jeopardizes PA funding for the entire project.

261

Permanent Work Projects that restore a damaged facility essentially to pre-disaster design are

excluded from National Environmental Policy Act (NEPA) review through a statutory exclusion

(STATEX).

262

All others require NEPA review. Many qualify for one of the Categorical

Exclusions (CATEXs) under NEPA which apply to actions that typically have little or no impact

on the environment, as long as there are no “extraordinary circumstances” as defined by DHS.

263

An example of an extraordinary circumstance is a potentially significant impact on species,

habitats, historic properties, or environmentally sensitive areas protected under Federal law. If

any extraordinary circumstances apply, the project does not qualify for a CATEX. Although

261

Stafford Act § 316, 41 U.S.C. § 5159; 2 C.F.R.§ 200.300.

262

Stafford Act § 316, 41 U.S.C. § 5159.

263

See FEMA Instruction 108-1, Section 3.2 and DHS Instruction 023-01-001-01, Appendix A: Environmental and

Historic Preservation Compliance.

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many projects are statutorily excluded from NEPA review or covered by a CATEX, Permanent

Work Projects require review for compliance with other EHP laws, regulations, and EOs.

Projects that involve changes in the location, footprint, alignment, or size of a facility may not

meet a CATEX and may adversely affect or have impacts on wetlands; floodplains, flood

heights, or upstream/downstream velocities; federally listed threatened and endangered species

and their critical habitats; essential fish habitats; historic properties, including archaeological

sites; and other environmental or historic resources. If a project does not meet a CATEX, it will

require a higher level of NEPA analysis. The most common higher-level analysis is referred to as

an environmental assessment (EA).

264

In rare circumstances, a project may require an

environmental impact statement (EIS),

265

the highest level of analysis, which requires a much

more detailed analysis than an EA. FEMA is responsible for NEPA compliance and identifying

the required level of review.

266

FEMA may conduct the EA or EIS. If the Applicant chooses to

conduct the EA or EIS, it must obtain FEMA approval prior to initiating the EA or EIS and

submit the EA or EIS to FEMA for review and approval prior to construction. When the

Applicant conducts the EA or EIS, FEMA reimburses the associated cost based on the cost share

of the project.

FEMA may be required to consult with Federal, State, Territorial, and Tribal government

resource agencies before the Applicant begins work. These agencies may include, but are not

limited to, USFWS and NMFS for impacts to federally listed threatened and endangered species;

USFWS for impacts to Coastal Barrier Resource System zones and bald or golden eagles; NMFS

for impacts to essential fish habitat or marine mammals; USACE for projects in navigable waters

or that involve dredging or filling in U.S. waters; and SHPO or THPO for effects to historic

properties. If the Applicant begins construction work before FEMA completes its EHP review,

the Applicant jeopardizes PA funding for that project. FEMA may not be able to conduct

consultation with resource agencies after the Applicant initiates work on a project because it

forecloses on an agencies’ ability to comment on, or consider, alternatives that would avoid,

minimize, or mitigate adverse impacts to the environment or effects to historic properties.

Similar to NEPA, Section 106 of the National Historic Preservation Act (NHPA) requires

Federal agencies to consider actions on historic properties. While some Permanent Work

Projects meet allowances within a Statewide Programmatic Agreement or only require a

consultation letter to a SHPO/THPO, projects that adversely affect historic properties, including

archaeological sites, may require the negotiation of a Memorandum of Agreement (MOA) or a

project specific Programmatic Agreement to resolve adverse effects. Depending on the historic

property, its level of significance, the level of controversy or if it is a National Historic

Landmark (NHL), in addition to SHPO/THPO, FEMA may be required to invite the Advisory

Council on Historic Preservation (ACHP) and the National Park Service (NPS) to participate in

consultation. These Section 106 agreements to resolve adverse effects may have significant time

and cost implications.

Consultations undertaken pursuant to the ESA will typically include required conservation

measures for threatened and endangered species and their habitat. Applicants should address

environmental planning at the beginning of the project scoping and project development stages

264

FEMA Instruction 108-1, Section 3.2.

265

Ibid.

266

The National Environmental Policy Act of 1969, as amended, Public Law 91-190, 42 U.S.C. §§ 4321–4347.

V4 2020 Page 143

to help avoid delays and additional costs at the EHP compliance stage. Early environmental

planning should include consideration of potential project-related conservation and mitigation

measures. When EHP laws, regulations, or EOs require actions to mitigate adverse effects, the

Applicant is responsible for all costs associated with performing the required mitigation

measures, unless such actions are directly related to the restoration of disaster-related damage.

FEMA is responsible for reviewing connected actions associated with a proposed project, even if

FEMA is not funding the connected action. Actions are connected if they: automatically trigger

other actions; cannot or will not proceed unless other actions are taken previously or

simultaneously; or are interdependent parts of a larger action and depend on the larger action for

their justification.

Some projects, such as Improved or Alternate Projects, may involve significant changes to the

pre-disaster configuration of a facility (e.g., location, footprint, or size). FEMA conducts EHP

compliance reviews on the actual SOW to be performed, prior to approving the project.

To facilitate EHP review, the Applicant should provide:

 Site map (including geographical coordinates in latitude, longitude) showing the location

of all proposed areas where the Applicant will conduct site work or construction and the

extent of ground disturbance (including any staging areas, access roads, parking,

landscaping, grading, or utilities);

 Construction dates and photographs of all facilities in the project area;

 Photographs of all facilities in the project that may be affected by the project;

 Any known environmental issues or historic preservation concerns, such as, but not

limited to, threatened and endangered species including their critical habitat, location in

floodplain or wetlands, presence of asbestos within the facility, or facility’s location in an

archaeologically sensitive area;

 Environmental assessments;

 Historic property designations or surveys, including archaeological surveys;

 Available information about the presence of any resources protected under Federal law

(see Appendix A: Environmental and Historic Preservation Compliance for a list of

frequently-encountered laws); and

 Copies of permits and correspondence with regulatory agencies, including but not limited

to:

o SHPO/THPO (historic properties, including archeological sites);

o USACE (work in navigable waterways, dredging or discharging dredged

materials or fill in waterways or wetlands, culvert repair, culvert installation,

culvert upsizing, riprap work, bridge work, work involved in a stream, or work in

a wetland);

o USFWS (federally listed threatened and endangered species, migratory birds, bald

and golden eagles, work in Coastal Barrier Resource System areas, work in or

near waterways or wetlands);

o National Oceanic and Atmospheric Administration (federally listed threatened

and endangered species, essential fish habitat, work in National Marine

Sanctuaries);

Page 144

o EPA (work involving underground injection, work with the potential to increase

contamination of sole source aquifers); and

o State, Territorial, or Tribal environmental agencies.

II. Requirement to Obtain and Maintain Insurance

Applicants that receive PA funding for permanent work to replace, repair, reconstruct, or

construct a facility must obtain and maintain insurance to protect the facility against future

loss.

267

This requirement applies to insurable facilities or property (buildings, contents,

equipment, and vehicles), including those funded as an Alternate, Improved, or Alternative

Procedures Project. FP 206-086-1 Public Assistance Policy on Insurance, describes these

requirements in detail.

268

The Applicant must insure facilities with the types and extent of insurance reasonably available,

adequate, and necessary to protect against future loss to the property.

269

The type of insurance

refers to the hazard(s) that caused the damage and extent refers to the amount of insurance

required, which is calculated based on the eligible costs prior to any reductions (including the

non-Federal share reduction).

The Applicant is not required to obtain and maintain insurance on facilities with $5,000 or less in

eligible costs (prior to any reductions).

270

The Applicant may request that FEMA modify the insurance requirement when:

• The required insurance is not reasonably available;

• An alternative to the insurance requirement provides adequate protection against future

loss to the property; or

• The required insurance is not necessary to protect against future loss to the property.

Additionally, FEMA does not require greater types and amounts of insurance than are certified

as reasonably available, adequate, or necessary by the appropriate State or Territorial Insurance

Commissioner.

271

The State or Territorial Insurance Commissioner cannot waive Federal

insurance requirements but may certify the types and extent of insurance reasonable to protect

against future loss to an insurable facility.

272

The Applicant may comply with the insurance requirement for both flood and non-flood hazards

with coverage available through commercial property insurance, which may include blanket

insurance policies, standard flood insurance policies, insurance pools, or a combination of these

sources.

273

In some cases, with FEMA approval, the Applicant may comply with the insurance

requirement using a self-insurance plan.

274

If the Applicant does not comply with the requirement to obtain and maintain insurance, FEMA

will deny or deobligate PA funds related to the noncompliance from the current disaster.

267

Stafford Act § 311, 42 U.S.C. § 5154; 44 C.F.R. § 206 Subpart I.

268

FEMA FP 206-086-1 Public Assistance Policy on Insurance.

269

Stafford Act § 311, 42 U.S.C. § 5154; 44 C.F.R. § 206 Subpart I.

270

44 C.F.R. § 206.253(d).

271

44 C.F.R. § 206.253(c).

272

44 C.F.R. §§ 206.252(d) and 206.253(c).

273

44 C.F.R. § 206.253(b)(2).

274

Stafford Act § 311(c), 42 U.S.C. § 5154(c); 44 C.F.R. Part 75.

V4 2020

V4 2020 Page 145

Additionally, the facilities for which the Applicant failed to comply are ineligible for future PA

funding.

A. Insurance Reductions and Impact on Facility Eligibility in Subsequent Disasters

If the Applicant does not maintain the required insurance from a previous disaster, then the

facility is ineligible for PA funding in a subsequent disaster, regardless of the hazard(s) that

caused the damage.

275

When the Applicant receives PA funding for a facility damaged by the same hazard in a

subsequent disaster, FEMA reduces funding in this subsequent disaster by the amount of

insurance required from the previous disaster. If FEMA or the State or Territorial Insurance

Commissioner certification modified the Applicant’s insurance requirement, FEMA reduces

funding by the modified insurance amount. If the Applicant’s anticipated or actual insurance

proceeds are higher than the amount of insurance required in the previous disaster, FEMA

reduces funding by the anticipated or actual amount of insurance proceeds to avoid a duplication

of benefits.

III. Codes and Standards

FEMA provides PA funding to restore facilities based on pre-disaster design and function in

conformity with current applicable codes, specifications, and standards.

276

The Applicant needs

to provide documentation to support the eligibility of code or standard upgrades, including, but

not limited to, the requirement to apply the codes or standards and to support they were formally

adopted, implemented, and uniformly applied.

A. Eligibility Criteria

Facility repairs and new construction may “trigger” upgrade requirements established by codes

or standards. Upgrades required by Federal or SLTT repair or replacement codes or standards are

eligible only if the code or standard:

277

• Applies to the type of restoration required;

• Is appropriate to the pre-disaster use of the facility;

• Is reasonable, in writing, formally adopted by the SLTT government, and implemented

by the Applicant on or before the declaration date, OR is a legal Federal requirement;

• Applies uniformly; and

• Was enforced during the time it was in effect.

1. Applies to the Type of Restoration Required

Codes and standards must apply to the type of restoration required. Codes and standards for new

construction are often different than codes and standards for repair work. If FEMA determines a

facility is eligible for replacement, compliance with current codes and standards for new

construction is eligible. If FEMA determines a facility is ineligible for replacement, only code-

required upgrades applicable to repairs are eligible.

275

Stafford Act § 311(b), 42 U.S.C. § 5154(c); 44 C.F.R. § 206.253(f).

276

Stafford Act § 406(e), 42 U.S.C. § 5172(e); 44 C.F.R. § 206.226(d).

277

44 C.F.R. § 206.226(d).

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A code or standard may include a trigger that requires:

• Upgrades to all structural components; or

• In addition to upgrading all structural components, bringing the non-structural

components into conformance with current codes or standards for new construction.

If an upgrade to an entire structural or non-structural system within a building is triggered, the

upgrade is only eligible if there is a direct relationship between the upgrade work and eligible

damage.

278

Only upgrade work within the same system as the damage is eligible.

FEMA evaluates the eligibility of the work to upgrade or change the configuration of damaged

systems for reasonableness with respect to the type and extent of damage.

2. Appropriate to Pre-disaster Use

Codes and standards must be appropriate to the pre-disaster use of the facility. FEMA determines

the eligibility of code-required upgrades based on the facility’s pre-disaster design or actual use

at the time of the disaster. The least costly of the following is eligible:

• Pre-disaster use of the facility, if serving the same function for which it was originally

designed; or

• Alternate use of the facility, if serving an alternate function at the time of the incident.

3. Reasonable

Codes and standards must be reasonable. When determining reasonableness, FEMA:

• Examines the general reasonableness of the code or standard and the trigger for

application of the code or standard;

278

44 C.F.R. § 206.223(a)(1).

Examples of Codes or Standards that do Not Apply to the Restoration Required

The Applicant requests PA funding for the repair of a damaged building and the construction of a parking

garage. The Applicant states that while there was no parking garage prior to the incident, zoning codes and

other local ordinances require one. Because parking improvements have no relationship to the disaster-related

repairs, they do not apply to the type of restoration required and are ineligible.

Similarly, if a code or standard that applies to new construction or the rehabilitation of an entire road requires

the construction of paved shoulders, drainage swales, and berms, the construction of these improvements is

ineligible for a project involving repairs to discrete damaged portions of the road shoulders.

Example of a Code or Standard that is Not Appropriate to the Pre-disaster Use of the

Facility

The original design of a facility was a warehouse; however, the Applicant was using the facility as a classroom

before the incident. Restoring the facility as a classroom in conformance with classroom codes or standards

would not be eligible if it would cost more than restoring the facility as a warehouse in accordance with code

or standards applicable to a warehouse.

V4 2020 Page 147

• Determines whether the upgrade and trigger relate to the type of restoration required by

the damage and whether the upgrade and trigger are justified based on the extent of

damage;

• Considers whether the upgrade and the trigger are technically defensible from an

engineering perspective; and

• Determines whether the cost of the upgrade is reasonable.

FEMA may determine a very large upgrade based on a very low trigger to be unreasonable.

4. Written, Formally Adopted, and Implemented

Codes and standards must be in writing, formally adopted by the SLTT government, and

implemented by the Applicant on or before the declaration date, OR be a legal Federal

requirement, such as an ADA or seismic safety requirement. An appropriate legislative body or

regulatory authority within the jurisdiction must:

• Approve the code or standard;

• Make it a matter of public record; and

• Formally incorporate it into the building code or other applicable ordinance.

The code or standard must apply to the facility in question. For example, if a State has

jurisdiction over a particular type of work and formally adopts a code or standard related to that

work, a Tribal or local government in that State does not necessarily have had to formally adopt

the code or standard for it to apply to its facility. The Tribal or local government meets the above

requirement if it shows that it implements the code or standard consistently.

FEMA does not recognize codes or standards adopted by a PNP specifically for its facilities

when determining whether compliance with codes or standards is eligible. FEMA also does not

accept codes or standards adopted by agencies or divisions of SLTT governments that are not

authorized to set codes or standards within the broad governmental jurisdiction of the SLTT

government.

Example of a Standard that is Not in Writing, Formally Adopted, and Implemented

FEMA approves funding to replace a culvert that was washed out by a flood. The State natural resources

department denies the Applicant’s permit application for replacing the culvert, and recommends the Applicant

construct a bridge instead. The decision of the permitting officials is discretionary and not based on a written

and formally adopted code or standard; therefore, the bridge construction is ineligible.

Example of Reasonableness

Installation of a code or standard-required new sprinkler system throughout a building is eligible if that

building is replaced. However, installation of that sprinkler system is ineligible if the eligible work only

involved repair of the building, even if required by the code or standard, unless it is reasonable based on the

eligible repair.

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5. Applies Uniformly

Codes and standards must apply uniformly to all similar types of facilities, whether private or

public, eligible or ineligible, in the Applicant’s jurisdiction or (if applicable) in a particular

hazard zone within its jurisdiction.

For FEMA to find that a code or standard and its triggers are uniformly applied, the code or

standard must meet all of the following conditions. The code or standard must:

• Provide for uniform accountability in the event of noncompliance;

• Not be subject to discretionary enforcement by public officials; and

• Not allow for selective application.

A code or standard must meet three tests to demonstrate that it is not selectively applied:

• The upgrade is generally triggered regardless of the cause of damage and is also triggered

for renovations or improvements.

• The code or standard is applied regardless of the source of funding for the work.

• The code or standard is not applied selectively based on the availability of funds.

6. Enforced

The code or standard must have been enforced during the time it was in effect. FEMA may

provide PA funding for costs related to an upgrade based on confirmation of previous

enforcement and in reliance on continued enforcement. If the local jurisdiction subsequently

violates this criterion, no further work to comply with the code or standard is eligible within the

local jurisdiction.

If FEMA determines a jurisdiction has had no reasonable opportunity to enforce the code or

standard, the upgrade may be eligible. A reasonable opportunity to enforce may be lacking when

a code or standard is new or when a facility affected by the code or standard has not been

damaged during the time the code or standard was in effect.

Example of a Standard that Does Not Apply Uniformly

A local jurisdiction has authority over all facilities, both public and private. A statewide code or standard

imposes seismic retrofit requirements for all public buildings, but not for privately-owned buildings. The

seismic retrofitting is ineligible as it does not apply uniformly to all similar types of facilities within the

Applicant’s jurisdiction.

Example of a Code or Standard that Was Not Enforced While in Effect

The City’s Building Code requires foundation upgrades when installing new or repairing old trailers. Prior to

the incident the City allowed for the installation of several new trailers without the code-required foundation

upgrades. After the incident, the Applicant requests funding to upgrade the foundation of several damaged

trailers citing the City’s Building Code. The upgrades to the foundation of the damaged trailers are ineligible

because the Applicant had not been enforcing the standard.

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B. FEMA Consensus-Based Codes, Specifications and Standards

For buildings, electric power, roads, bridges, potable water supply, and wastewater, FEMA

requires that Applicants incorporate specific codes, specifications, and standards in accordance

with FEMA Recovery Interim Policy FP 104-009-11 Consensus-Based Codes, Specifications

and Standards for Public Assistance.

279

C. Ineligible Upgrades

Upgrades recommended by design standards, guidelines, policies, industry practices, or other

non-mandatory provisions are ineligible if the provisions do not meet all of the criteria noted in

Chapter 8:III.A. Codes and Standards, Eligibility Criteria. Upgrades that are deemed ineligible

but enhance a facility’s ability to resist similar damage in a future incident, may be eligible as

mitigation (See Chapter 8:IV. Hazard Mitigation).

D. Historic Preservation Compliance

1. Federal Requirement

If the facility is listed in, or meets the criteria to be listed in, the National Register of Historic

Places, and an applicable code or standard requires repair in a certain manner, costs associated

with work to comply with that code or standard are eligible, even if repair costs exceed

replacement costs. This is an exception to the regulatory requirement that when a facility is

eligible for replacement, FEMA limits eligible costs to the less expensive of repairs or

replacement (see Chapter 8:V.C. Repair vs. Replacement, Eligible Funding).

280

2. State, Territorial, or Tribal Government Requirement

If a State, Territorial, or Tribal historic building code or standard requires specific work be

performed, FEMA evaluates the code or standard using the eligibility criteria in Chapter 8:III.A.

Codes and Standards, Eligibility Criteria. Most State historic building codes and standards

encourage code officials to allow less intrusive alternatives to requirements of the prevailing

codes or standards, but do not require any particular work be performed. As a result, the codes

and standards usually fail to meet the eligibility criteria.

E. Floodplain Management and Wetland Protection

When providing PA funding for a project in or impacting a floodplain or wetland, the following

requirements apply.

For any structure (walled or roofed buildings, including mobile homes and gas or liquid storage

tanks)

281

built, replaced, or Substantially Improved in a Special Flood Hazard Area (SFHA), the

Applicant must, at a minimum, either elevate or floodproof the lowest floor (including the

basement) to or above the 100-year base flood elevation (BFE).

282

The BFE is based on the best

279

Stafford Act

§ 406(e)(1)(A)(ii), 42 U.S.C. § 5172 as amended by the Disaster Recovery Reform Act. The interim

policy is available here.

280

44 C.F.R. § 206.226(f)(2) and (3).

281

44 C.F.R. § 9.4.

282

44 C.F.R. § 9.11(d)(3)(i) and (iii).

V4 2020 Page 150

available information in accordance with FEMA Policy 104-

008-2: Guidance on the Use of Available Flood Hazard

Information.

283

If the structure contains a critical action and is in the 100 or

500-year floodplain, the Applicant must, at a minimum, elevate

the lowest floor (including the basement) to or above the 500-

year flood elevation.

284

If the structure in the 100 or 500-year

floodplain is nonresidential, the Applicant may

opt to floodproof to the required level instead of

elevating.

285

Critical actions are actions for which even a

slight chance of flooding is too great and are

further defined in 44 C.F.R. § 9.4, which includes

examples of actions that FEMA deems critical.

The minimum floodplain of concern for critical

actions is the 500-year floodplain (also referred

to as the critical action floodplain). If an action is

not specified in 44 C.F.R. § 9.4, FEMA utilizes

the U.S. Water Resource Council Floodplain

Management Guidelines

286

to determine whether

a proposed action is deemed a critical action by

considering the following:

• The potential for additional impacts if the

proposed project is flooded in a future

incident (e.g., the facility contains volatile

or toxic materials);

• The ability for occupants of buildings

such as hospitals, schools, and nursing

homes to evacuate in time to avoid loss of

life and injury given the flood warning

lead-time available in a future incident;

and

• The potential for emergency services and

utilities to become inoperative, or

essential and irreplaceable records to be

lost if a facility is flooded in a future

incident.

Further, if the structure is substantially improved

in a Coastal High Hazard Area, the Applicant

must elevate the facility to the BFE (the 500-year

283

www.fema.gov/sites/default/files/2020-04/Available_Flood_Hazard_Information_Policy_104-008-2.pdf.

284

44 C.F.R. § 9.11(d)(3)(i) and (ii).

285

44 C.F.R. § 9.11(d)(3)(iii).

286

www.energy.gov/nepa/downloads/floodplain-management-guidelines-implementing-eo-11988-water-resources-

council-19

78.

Terminology

FEMA publishes Flood Insurance Rate Maps that

identify the following:

• Special Flood Hazard Area: The land area

subject to inundation during a flood having a 1

percent chance of occurring in a given year (also

referred to as the base flood or 100-year flood).

• Base Flood: The flood which has a one

percent chance of being equaled or exceeded in

any given year (also known as a 100-year flood).

This term is used in the National Flood Insurance

Program (NFIP) to indicate the minimum level of

flooding to be used by a community in its

floodplain management regulations.

• Base Flood Elevation: The computed

elevation to which floodwater is anticipated to

rise during the base flood.

• Coastal High Hazard Area: The area subject

to high velocity waters including, but not limited

to, hurricane waves or tsunamis. On a Flood

Insurance Rate Map (FIRM), this appears as zone

V1-30, VE or V.

• Floodway: The portion of the floodplain

which is effective in carrying flow, within which

this carrying capacity must be preserved and

where the flood hazard is usually highest, i.e.,

where water depths and velocities are the

greatest. It is that area which provides for the

discharge of the base flood so the cumulative

increase in water surface elevation is no more

than one foot.

The term “critical action”

should not be confused with a

PNP “critical service.”

V4 2020 Page 151

flood elevation for critical actions) (including wave height) on open works (walls columns, piers,

piles, etc.) and anchor it properly.

287

New construction is prohibited in a Coastal High Hazard

Area and within regulatory floodways unless the structure has a functionally dependent use; or

facilitates open space use.

288

F. Requirement for Communities Participating in the National Flood Insurance

Program

A community that participates in the National Flood Insurance Program (NFIP) must adopt and

enforce a floodplain management ordinance that meets or exceeds the minimum NFIP

requirements.

289

Such an ordinance must contain construction requirements for new construction

or Substantial Improvement of buildings located in a SFHA. In addition to other requirements,

the ordinance must require that new or Substantially Improved buildings be elevated so that the

lowest floor is at or above the BFE or floodproofed to a level equal to or above the BFE (some

communities have more restrictive ordinances that require elevation or floodproofing to greater

levels.)

Work required for compliance with the floodplain ordinance is eligible provided the ordinance

meets the eligibility criteria for codes and standards and the Substantial Improvements are

disaster-related repairs. If the cost to repair a facility in accordance with the floodplain ordinance

is greater than the cost to replace the facility in accordance with the ordinance, the eligible cost is

capped at the replacement cost.

G. Accessibility for Individuals with Disabilities

The ADA and other disability rights laws such as the Architectural Barriers Act (ABA) require

that all newly constructed facilities be accessible to and usable by individuals with disabilities

290

and that repairs that might affect the ability of individuals with disabilities to use the facility

comply with accessibility standards.

291

In some circumstances, FEMA provides PA funding for

accessibility compliance requirements.

FEMA provides PA funding regardless of whether the facility was in compliance prior to the

incident, provided the Applicant was not cited for a violation. If the Applicant was notified of

being in violation of a requirement prior to the incident and did not bring the facility into

compliance, then accessibility requirements related to the violation are ineligible.

287

44 C.F.R. § 9.11(d)(2) and (7).

288

44 C.F.R. § 9.11(d)(1)

289

44 C.F.R. § 60.3.

290

42 U.S.C. § 12101 et seq.; 28 C.F.R. § 35.151(a)

291

42 U.S.C. § 12147(a); 28 C.F.R. § 35.151(b).

V4 2020 Page 152

Some special provisions apply when

ADA requirements “threaten or

destroy the historic significance of

qualified historic buildings and

facilities.”

292

FEMA addresses these

provisions during its consultation

with the SHPO or THPO and

incorporates them into the agreement

regarding the repairs to the building.

FEMA may also provide PA funding

for additional SLTT government

ADA requirements that meet the

eligibility criteria for codes or

standards, as described in Chapter

8:III.A. Codes and Standards,

Eligibility Criteria.

Facilities Eligible for Repair

If the primary function area sustained

eligible disaster damage, FEMA may

provide PA funding for reasonable

changes required by an eligible code or

standard to increase accessibility to

undamaged elements that serve the

primary function area and the path of

travel to the primary function area such

as an accessible entrance, accessible

routes to the primary function area,

restroom access, accessible drinking

fountains, and other elements.

To be eligible for PA funding, the

required alterations must have a

reasonable and technically supportable

relationship to the damaged elements

of the facility. As a result, there may

be alterations required that are

ineligible for PA funding.

PA funding for alterations to the path

of travel requirements cannot exceed

the ADA requirement of 20 percent of

the total cost to repair the primary

292

28 C.F.R. § 36.405.

Terminology

A primary function area is the area where a major activity occurs

for which the facility is intended. Examples include the dining area

of a cafeteria, meeting rooms of a conference center, and public

offices providing governmental services to the public.

Path of travel includes a continuous, unobstructed way of

pedestrian passage to the primary function area. This includes

interior and exterior approaches such as hallways, doorways,

sidewalks, streets, parking areas, and public transit drop points.

See Figure 14. Path of Travel.

Service facilities to the primary function area include restrooms,

telephones, and drinking fountains.

See

www.access-board.gov/guidelines-and-standards/buildings-

and-sites/about-the-ada-standards/guide-to-the-ada-standards.

Figure 14. Path of Travel

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function area.

293

The 20 percent calculation is defined at 28 C.F.R. § 35.151(b)(4)(iii). If the

costs for ADA upgrades exceed the 20 percent, the Applicant must prioritize the accessible

elements as described in 28 C.F.R. § 35.151 (b)(4)(iv).

If the Applicant engages in repairs that are ineligible for PA funding, the cost of requirements

triggered by those repairs are ineligible.

H. Permit Requirements

If a Federal or SLTT government permitting agency requires additional work based on a code or

standard that does not meet the eligibility criteria in Chapter 8:III.A. Codes and Standards,

Eligibility Criteria, the cost of the additional work is only eligible if the work:

• Does not change the pre-disaster size, capacity, or function of the facility;

• Applies to the type of repair or restoration required;

• Is reasonable based on the type and extent of damage; and

• Is an established, enforced, uniform practice that applies to all similar types of facilities

within the Applicant’s jurisdiction, regardless of the circumstance.

IV. Hazard Mitigation

Hazard mitigation is any sustained action taken to reduce or eliminate long-term risk to people

and property from natural hazards and their effects. FEMA has authority to provide PA funding

for cost-effective hazard mitigation measures for facilities damaged by the incident.

294

In addition to providing funding for hazard mitigation under the PA Program, FEMA also

provides hazard mitigation funding under its Hazard Mitigation Assistance (HMA) programs.

FEMA’s Federal Insurance and Mitigation Administration administers the HMA programs,

which are briefly described in Figure 15. FEMA Hazard Mitigation Programs. The eligibility

criteria, procedures, and timelines for implementation of the hazard mitigation measures funded

under the HMA programs differ from the hazard mitigation measures funded under the PA

Program.

293

For calculation purposes, the total costs of the primary function area repair include the repair costs of the roof,

HVAC system, mechanical rooms, janitorial closets, locker rooms, and private offices directly associated with the

repair of the primary function area.

294

Stafford Act § 406(e), 42 U.S.C. § 5172; 44 C.F.R. § 206.226(e).

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Figure 15. FEMA Hazard Mitigation Programs

FEMA refers to PA-funded hazard mitigation as PA mitigation and mitigation funded under

HMGP as HMGP mitigation.

The Applicant may use both PA mitigation and

HMGP mitigation funds to implement mitigation

measures on the same facility, but not for the

same work. The Applicant cannot use funds from

one of these mitigation programs to meet the

non-Federal cost share of work funded under the

other mitigation program.

This document provides details regarding PA

mitigation funding. FEMA’s Hazard Mitigation

Assistance Guidance provides further details on

HMGP mitigation funding and the HMA

programs.

295

A. Public Assistance Hazard Mitigation

FEMA evaluates proposed PA mitigation

measures for eligibility, cost-effectiveness,

technical feasibility and effectiveness, and

compliance with EHP laws, regulations, and

EOs. In addition, FEMA ensures that the mitigation does not negatively impact the facility’s

operation or surrounding areas or create susceptibility to damage from another hazard.

295

www.fema.gov/grants/mitigation/hazard-mitigation-assistance-guidance.

Hazard Mitigation Grant Program

The Recipient manages HMGP and is responsible

for soliciting applications from STTL government

agencies. Projects submitted to the Recipient

must be in accordance with the Recipient’s

Hazard Mitigation Plan, address severe

detrimental impacts, and have the greatest

potential to reduce future losses. Eligible

projects include acquisition of hazard-prone

property, retrofitting existing buildings and

facilities, elevation of flood-prone structures,

infrastructure protection measures, and hazard

mitigation planning. SLTT government agencies

should direct questions regarding HMGP to the

State, Territorial, or Tribal Hazard Mitigation

Officer:

www.fema.gov/state-hazard-mitigation-

officers.

V4 2020 Page 155

To be eligible for PA funding, the mitigation measures must directly reduce the potential of

future damage to the damaged portion(s) of the facility. Generally, eligible PA mitigation

measures are those the Applicant performs on the damaged portion(s) of the facility. If the

Applicant proposes mitigation measures that are distinct and separate from the damaged

portion(s) of the facility, FEMA evaluates the proposal and determines eligibility on a case-by-

case basis considering how the mitigation measure protects the damaged portion(s) of the facility

and whether the mitigation measure is reasonable based on the extent of damage. Some examples

of such measures include:

• Constructing floodwalls around damaged facilities;

• Installing new drainage facilities (including culverts) along a damaged road;

• Adding fire suppression systems at facilities damaged by wildfire; and

• Dry floodproofing both damaged and undamaged buildings that contain components of a

system that are functionally interdependent (i.e., when the entire system is jeopardized if

any one component of the system fails).

If FEMA determines mitigation measures to undamaged portions ineligible as PA mitigation the

Applicant may request HMGP funding from the State, Territorial, or Tribal government to

provide protection to undamaged portions, while utilizing PA mitigation funds to provide

protection to damaged portions.

PA mitigation opportunities usually present

themselves during facility repair. However, in cases

where the Applicant needs to repair a facility in an

expedited manner, it may miss an opportunity to

implement mitigation measures during repair. If the

Applicant implements mitigation measures after the

PA-funded repair is complete, the mitigation work

may still be eligible for PA funding; however,

FEMA will not provide PA funding for any

duplicative work triggered by the subsequent

mitigation.

In some instances, the Applicant may implement

mitigation measures after the incident occurs but

before the incident is declared or before FEMA has the opportunity to evaluate the measure for

eligibility. In these cases, the mitigation work may still be eligible for PA funding if it is cost-

effective and FEMA confirms compliance with applicable EHP laws, regulations, and EOs.

If FEMA approves PA funding for mitigation and the Applicant does not complete the PA

mitigation work, FEMA will deobligate the PA mitigation funds.

Cost-effective Evaluation

PA mitigation measures must be cost-effective.

296

FEMA considers PA mitigation measures to

be cost-effective if any of the following criteria are met:

296

44 C.F.R. § 206.226(e).

Hazard Mitigation Best Practices

FEMA publishes documents describing best

practices to reduce loss of life and property

when repairing damaged facilities. These

publications are listed in

FEMA P-787,

Catalog of FEMA Building Science Branch

Publications and Training Courses at

Building Science - Multi-Hazard

Publications | FEMA.gov.

V4 2020 Page 156

• The cost for the mitigation measure does not exceed 15 percent of the total eligible repair

cost (prior to any insurance reductions) of the facility or facilities for which the

mitigation measure applies;

• The mitigation measure is specifically listed in Appendix J: Cost-Effective Public

Assistance Hazard Mitigation Measures, AND the cost of the mitigation measure does

not exceed 100 percent of the eligible repair cost (prior to any insurance reductions) of

the facility or facilities for which the mitigation measure applies; and

• The Recipient or Applicant demonstrates through an acceptable benefit-cost analysis

(BCA) methodology that the measure is cost-effective. FEMA’s BCA software

297

provides appropriate BCA methodologies.

Many mitigation measures that do not meet the first two requirements above prove to be cost-

effective based on a BCA. If the mitigation measure is not cost-effective based on the first two

criteria, FEMA, the Recipient, and the Applicant work together to develop a BCA to determine

whether it is cost-effective.

A BCA is based on a comparison of the total estimated cost for the PA mitigation measure to the

total value of expected benefits to society. FEMA’s BCA methodology considers common

project benefits, which include reductions in the magnitude or frequency of:

• Damage to the facility and its contents;

• The need for emergency protective measures;

• The need for temporary facilities;

• Loss of function;

• Casualties (typically included only for earthquake, tornado, and wildfire mitigation); and

• Previous impacts regardless of whether the impacts occurred in Federal declarations

(only if documented).

B. Public Assistance Mitigation Funds for Capped Projects

1. Improved Project

If the capped amount for an Improved Project includes PA mitigation funds and the Applicant

either does not complete the PA mitigation work, or replaces or relocates the original facility,

FEMA deobligates the PA mitigation funds.

2. Alternate Project

If the SOW to restore a facility includes PA mitigation, and the Applicant elects to proceed with

an Alternate Project, FEMA does not include costs related to the PA mitigation in the capped

amount for the Alternate Project.

3. Alternative Procedures Project

When the Applicant is restoring the function, but changing the pre-disaster capacity of a facility,

the proposed PA mitigation SOW is developed based on the actual SOW to be performed;

however, the cost-effectiveness is evaluated based on the fixed-cost amount accepted for the pre-

disaster restoration SOW. If the capacity is increased, the proposed hazard mitigation SOW and

cost is limited to the SOW and cost necessary to mitigate to the pre-disaster capacity of the

297

www.fema.gov/grants/guidance-tools/benefit-cost-analysis.

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damaged facility. If the Applicant does not complete the approved PA mitigation, FEMA

deobligates the portion of the fixed-cost amount related to hazard mitigation.

V. Repair vs. Replacement

When evaluating whether a damaged facility is eligible for replacement, FEMA compares the

repair cost with the replacement cost and evaluates the feasibility of repairing the facility.

298

A facility is considered repairable when:

• The cost to repair the disaster-related damage does not exceed 50 percent of the cost to

replace the facility based on its pre-disaster size, capacity, and function; and

• It is feasible to repair the facility so that it can perform the pre-disaster function as well as

it did prior to the incident.

299

The comparison of the repair cost to the replacement cost results in a fraction that expresses

repair as a percentage of replacement. The percentage is calculated with the repair cost as the

numerator and the replacement costs as the denominator. FEMA refers to this as the “50% Rule.”

The purpose of the 50% Rule is to make an early determination on whether it is more prudent to

repair or replace a facility. It is not intended to be a full calculation of all eligible project costs.

A. Calculation

The repair cost (numerator) is the cost of repairing disaster-related damage only and includes

costs related to compliance with codes and standards that apply to the repair of the damaged

elements only.

300

The numerator does not include costs

associated with:

• Upgrades of non-damaged elements even if

required by codes or standards (e.g., elevation of an

entire facility triggered by repair);

• Demolition beyond that which is essential to repair

the damaged elements;

• Site work;

• Soft costs;

• Contents;

• Hazard mitigation measures; or

• Emergency Work.

The replacement cost (denominator) is the cost of

replacing the facility based on its pre-disaster design (size

and capacity) and function in accordance with applicable

codes or standards. The denominator does not include

costs associated with:

• Demolition;

• Site work;

298

44 C.F.R. § 206.226(f).

299

44 C.F.R. § 206.226(f)(1).

300

This includes consensus-based codes, specifications, and standards.

Terminology

Soft costs are those not considered as

direct construction costs, including:

• Architectural costs

• Engineering costs

• Project management costs

• Financing

• Legal fees

• Other pre-/post-construction

expenses

Site Work is any exterior work at the

site. Examples include:

• Excavation

• Backfill

• Erosion control

• Utility installation

• Paving

V4 2020 Page 158

• Soft costs;

• Contents;

• Hazard mitigation measures; or

• Emergency Work.

Although certain costs are not included in the 50% Rule calculation to determine whether the

facility is eligible for replacement, the costs may be eligible for PA funding subject to all other

eligibility requirements.

B. Written Request

The Applicant should submit its request for replacement within one year of the Declaration. The

request should include both repair and replacement cost estimates with supporting

documentation, prepared in accordance with the requirements described in Chapter 9:II.E.2.

Applicant Estimates.

FEMA professionally licensed engineers and architects, qualified cost estimators, construction

managers, and staff with other technical expertise, as necessary, develop or review and validate

the estimates used in the 50% Rule calculations. For any replacement requests over $5 million,

FEMA submits the estimates to an independent third-party for an additional review of the

estimates. FEMA considers the results of the third-party review prior to approving replacement.

C. Eligible Funding

If the estimated repair cost exceeds 50 percent of the estimated replacement cost,

301

the actual

replacement cost is eligible. The Applicant may

elect to repair the facility in conformance with

applicable codes and standards. In this case,

FEMA limits the eligible cost to the estimated cost

of repair or replacement, whichever is less.

302

If the facility is not eligible for replacement based

on the 50% Rule but the total estimated repair

cost exceeds the total estimated replacement cost

(not the estimated costs used for the 50 percent

calculation), FEMA caps the total eligible cost at

the total estimated replacement cost.

Relocation is only eligible for PA funding if it

meets the requirements of Chapter 8:VI.

Relocations. If compliance with a code or standard

is not feasible without relocating a facility and

301

For repair versus replacement, the term “replacement cost” means the cost of replacement in accordance with

applicable codes and standards.

302

44 C.F.R. § 206.226(f)(2).

Floodplain Management Ordinance

Compliance

The costs to comply with a local floodplain

management ordinance that requires elevation

or floodproofing of a Substantially Damaged

facility in an SFHA are eligible for PA funding.

These costs are not included in the repair cost of

the 50% Rule calculation but are included in the

replacement cost of the calculation. Therefore,

the repair cost for the 50% Rule calculation is

estimated without regard to whether the facility

receives a substantial damage determination or

whether the facility contains a critical action.

V4 2020 Page 159

relocation is not eligible for PA funding based on Chapter 8:VI. Relocations, then FEMA caps

the funding without including the costs related to

relocation and considers it an Improved Project.

Demolition of a facility that is eligible for

replacement is eligible as part of the work to

replace the facility. Eligible costs include removal

of the associated demolition debris.

PA mitigation funding cannot be applied to

replacement facilities, unless the facility is part of

an Alternative Procedures Project (described in

Chapter 8:VIII. Capped Projects) or the mitigation

measure is listed in Appendix J: Cost Effective

Public Assistance Hazard Mitigation Measures.

As discussed in Chapter 8:III.D.1. Historic

Preservation Compliance, Federal Requirement, if

an applicable code or standard requires that a

historic facility be restored in a certain manner and does not allow other options, the cost to

restore the facility in accordance with the code or standard is eligible and may exceed the

estimated replacement cost.

303

A historic facility is defined as one listed in, or eligible for listing

in, the National Register of Historic Places.

D. Replacement of Components of a Facility or System

FEMA does not apply the 50% Rule to a facility’s structural or mechanical components (e.g.,

windows, roofs, HVAC; electrical, plumbing). For example, FEMA does not apply the 50% Rule

to a damaged HVAC system to determine whether the system should be repaired or replaced

because it is a component of a building. If the HVAC system is repairable, as determined by an

inspector or engineer with appropriate technical expertise, FEMA limits its funding to the repair

of the system.

For facilities that are systems composed of multiple components that are easily segregated,

FEMA applies the 50% Rule to individual components of the system, rather than the entire

system. The following are examples of facilities that are systems to which FEMA applies the

50% Rule calculation to individual components:

• Drainage channel or irrigation system: a section from damaged node to damaged node,

which is where there are intersections or connecting points.

• Water or sewer line system: a section of piping from damaged manhole to damaged

manhole, a lift station, or a manhole structure.

• Water or wastewater treatment plant: a control building, clarifier, or sedimentation pond.

• Roadway: each damaged roadway section.

Electrical distribution systems are evaluated for replacement based on the criteria in Chapter

8:IX.D.2. Power: Transmission and Distribution System Conductor Replacement.

303

44 C.F.R. § 206.226(f)(3).

Substantial Damage Determination

A floodplain manager’s Substantial Damage

determination is part of the NFIP eligibility

process and is separate and distinct from the PA

eligibility process for determining whether a

facility is eligible for replacement or relocation.

FEMA determines whether replacement costs are

eligible for PA Program based on the criteria in

Chapter 8:V. Repair vs. Replacement

. FEMA

determines whether relocation costs are eligible

for PA funding based on the criteria in Chapter

8:VI. Relocation and 8:IV. Hazard Mitigation.

Page 160

The following are examples of facilities to which FEMA applies the 50% Rule to the entire

facility:

• Bridges;

• Culverts;

• Buildings;

• Pumping stations;

• Piers;

• Pools, including integral pumping;

• Bath houses or rest rooms;

• Equipment;

• Lighting structures; and

• Signs.

VI. Relocation

FEMA may approve funding for and require restoration of an Applicant’s destroyed (i.e., eligible

for replacement) facility at a new location. FEMA only provides PA funding when all of the

following conditions apply:

• The facility is subject to repetitive heavy damage because of its location. For example,

facilities located in a SFHA or wildland-urban interface

304

and subject to repetitive heavy

flood or fire damage;

• Project approval is not barred by other regulations;

305

and

• The overall project, including all costs, is cost-effective. If the cost to relocate the facility

is less than the eligible cost to replace the facility at its original location (the value of the

land at the original site is not included as part of this evaluation) then the project is cost

effective. In instances where the cost of relocation exceeds the cost to replace the facility

at its original location FEMA may use its BCA process and software to determine cost

effectiveness.

An applicable Federal or SLTT code or standard, such as a floodplain management regulation,

may also require that a damaged facility be relocated away from a hazardous area (e.g.

floodway). If the facility is destroyed (i.e. eligible for replacement), FEMA determines whether

relocation is cost-effective in the same manner as described above.

If the Applicant requests relocation of a facility that FEMA is not requiring to be relocated,

FEMA may provide funding for the relocation if it is more cost-effective than replacing it at the

current location. In the case of a request for relocation, FEMA evaluates the cost effectiveness as

a PA mitigation measure using its BCA process and software

306

to compare the benefits of the

damage prevented to the facility at its original location against the cost of replacement and

relocation at the new location.

304

The wildland-urban interface (WUI) is the area between wildland and urban land.

305

44 C.F.R. § 206.226(g)(1).

306

www.fema.gov/grants/guidance-tools/benefit-cost-analysis.

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V4 2020 Page 161

If relocation is not feasible, cost effective, or eligible for PA funding the Applicant may request

an Improved, Alternate, or Alternative Procedures Project as detailed in Chapter 8:VIII. Capped

Projects.

A. Eligible Work and Funding

Eligible work associated with relocation includes land acquisition and construction of necessary

support facilities, such as roads, parking lots, and utilities. Demolition and removal of the

original facility are also eligible if deemed necessary.

307

FEMA limits PA funding to the amount

necessary to make the relocated facility and its associated components operational.

FEMA considers the proximity of the new site to utilities (water, sewer, and electric) and

approves the least costly solution. Construction of an off-site support facility is only eligible if it

is a utility that would serve the relocated facility exclusively.

For land acquisition, if the facility was located on 10 acres of land at the time of the incident, and

FEMA determines that 10 acres is not necessary for the operation of the facility, FEMA limits

PA funding to the necessary amount of land.

In situations where the Applicant owns the facility, but not the land or the support facilities at the

original location, the cost to purchase the land or build support facilities is ineligible.

When FEMA requires relocation, FEMA does not provide future PA funding for repair or

replacement of the original facility or for other facilities at the original site unless the facility

facilitates an open space use.

308

For example, if the Applicant converts the original site to a park,

FEMA may provide PA funding in the future for park components, such as benches, tables,

restrooms, or gravel roads.

B. Sale or Lease of Property at Original Site

The Applicant may sell or lease the original facility or the land on which a relocated facility was

originally located. The Applicant must inform the purchaser of the property that FEMA will not

provide future PA funding for repair or replacement of the original facility or for other facilities

at the original site unless the facility facilitates an open space use.

The property which the facility is relocated to, and the relocated facility itself, are subject to the

real property provisions of 2 C.F.R. part 200 including disposition and reporting requirements

under 2 C.F.R. §§ 200.311 and 329, respectively.

If the Applicant takes an action, such as demolition, using PA funds at the original site, FEMA

must complete an EHP review before the action occurs.

VII. Facility Located in or Impacting a Floodplain

When FEMA provides PA funding for restoration of a facility located in or impacting a

floodplain, FEMA is required to ensure minimization of harm to or within the floodplain.

307

44 C.F.R. § 206.226(g)(2).

308

44 C.F.R. § 206.226(g)(3).

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A. 8-Step Decision-making Process

FEMA is responsible for determining whether a PA project will have an adverse impact on the

100-year floodplain (500-year floodplain for critical actions). To make this determination,

FEMA initiates the 8-step decision-making process defined in 44 C.F.R. § 9.6. As part of this

process FEMA evaluates the impacts the project may have on the floodplain and practicable

alternatives for environmental, social, economic, technical, and legal factors, as defined in 44

C.F.R. § 9.9. Some alternatives may not be eligible for PA funding. For example, if the 8-step

review process identifies relocation of a facility as a practicable alternative to repairing it in the

SFHA, but the facility is ineligible for relocation as described in Chapter 8:VI. Relocations, then

costs associated with relocating the facility are ineligible for PA funding. FEMA considers

whether each alternative identified is eligible for PA funding and, if not, whether the Applicant

has funding available to proceed with the alternative without PA funding.

Projects in the 100-year floodplain (500-year floodplain for critical actions) are only eligible if,

as a result of completing the 8-step process, FEMA is unable to identify a practicable alternative

to restoring the facility within the floodplain. The 8-step process is not required for projects

where the repair cost is less than $5,000.

309

B. Facility Located in a Special Flood Hazard Area

SFHAs

310

are areas that are subject to inundation during a 100-year ﬂood (a ﬂood having a 1

percent chance of occurrence in a given year).

1. National Flood Insurance Program

For an NFIP-insurable facility located in an SFHA, FEMA must reduce PA funding when the

facility is:

• Located in an area that FEMA has identified as an SFHA for more than 1 year;

• Damaged by flooding; and

• Uninsured for flood loss.

If the Applicant believes that its property is incorrectly identified on a Flood Insurance Rate Map

(FIRM) as being located within the SFHA, it may request a Letter of Map Amendment or Letter

of Map Revision from FEMA within 6 months of the declaration. If the Applicant’s request is

approved and FEMA determines that the property is not located in an SFHA, FEMA may

reinstate PA funding. Costs incurred

in pursuit

of a Letter of Map Amendment or Letter of Map

Revision are ineligible for PA funding.

If the Applicant does not have ﬂood insurance for the facility or carries inadequate ﬂood

insurance for the insurable facility, FEMA reduces eligible project costs by the lesser of:

• The maximum amount of insurance proceeds that could have been obtained from an

NFIP standard ﬂood insurance policy for the building and its contents;

311

• The value of the building and its contents at the time of the incident.

309

44 C.F.R. § 9.5(c)(13).

310

44 C.F.R. § 206.251.

311

44 C.F.R. § 206.252(a).

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FEMA does not apply this reduction to PNP facilities in communities that do not participate in

the NFIP.

312

However, for FEMA to provide PA funding for the PNP facility, the community

must agree to participate in the NFIP within 6 months of the declaration and the PNP must

purchase the required flood insurance; or the PNP must obtain and maintain flood insurance from

another source.

313

VIII. Capped Projects

FEMA provides three options that provide flexibility for the Applicant to use PA funding

differently than restoring the pre-disaster design and function of the facility. For these options,

FEMA caps the amount of PA funding based on the estimated amount to restore the damaged

facility to its pre-disaster design and function, including current eligible codes and standards as

defined in Chapter 8:III. Codes and Standards.

314

The three capped project options are:

• Alternative Procedures Project under Section 428 (Large Projects only):

315

This type of

project offers the maximum amount of flexibility with how the Applicant may use PA

funding, including use of excess funds which are not eligible under the Improved or

Alternate Project options. The Applicant may use funds across all Permanent Work

Alternative Procedures Projects with no requirement to rebuild communities back to what

existed prior to the disaster. Alternative Procedures Projects are subject to acceptance of a

fixed-cost offer within the deadlines described in

Chapter 9:II.E.6(a)

. Fixed Cost Offer

Deadlines.

• Improved Project:

The Applicant may wish to make improvements to a damaged facility

that are not required by eligible codes or standards. A project that restores the pre-disaster

function of a facility and incorporates improvements or changes to the pre-disaster design

is an Improved Project.

• Alternate Project: The Applicant may determine that the public welfare is not best served

by restoring the function of the damaged facility. When this occurs, the Applicant must

obtain FEMA’s approval to apply PA funding toward a different facility (or facilities).

FEMA refers to this as an Alternate Project.

316

The Alternate Project must be a

312

44 C.F.R. § 206.252(b).

313

Ibid.

314

This includes consensus-based codes, specifications, and standards.

315

Stafford Act § 428, 42 U.S.C. § 5189f.

316

44 C.F.R. § 206.203(d)(2).

Intent of Permanent Work Alternative Procedures

The intent of the PA Alternative Procedures for Permanent Work is to provide the Applicant with a flexible

avenue to drive its own recovery outcomes. Instead of driving the Applicant’s recovery within the confines

of what the PA Program can fund, PA staff develop projects and identify the amount of PA funds that are

available for Applicants to use toward a strategic recovery outcome. The Recipient and Applicant may also

work together with various Federal agencies and other stakeholders to identify other available sources of

funding that may also be applied to achieve the desired outcome.

V4 2020 Page 164

permanent project that benefits the general public, serving the same general area that was

being served by the original facility.

Capped projects may involve significant changes to the pre-disaster configuration of a facility

(e.g., location, footprint, or size). FEMA conducts EHP compliance reviews on the actual

proposed SOW to be performed, prior to approving the project.

A. Capped Project Funding

Alternative Procedures Project Funding Under Section 428

FEMA caps Federal funding for an Alternative Procedures Project based on the aggregate

Federal share of the approved estimated cost:

• To restore the damaged facilities to pre-disaster design and function in accordance with

eligible codes and standards; and

• For cost-effective PA mitigation measures associated with the actual restoration SOW

that the Applicant will perform.

Improved Project Funding

FEMA limits Federal funding for an Improved Project to the lesser of the following:

• The Federal share of the approved estimate to restore the damaged facility to its pre-

disaster design and function; or

• The Federal share of the actual costs of completing the Improved Project.

317

FEMA only increases eligible funding for an Improved Project if the Applicant identifies an

error or omission in the original SOW or cost estimate related to restoring the facility to its pre-

disaster design and function.

Alternate Project Funding

FEMA limits Federal funding for an Alternate Project to the lesser of:

• The Federal share of the approved estimate to restore the damaged facility to its pre-

disaster design and function; or

• The Federal share of the actual cost of completing the Alternate Project.

318

B. Use of Capped Project Funds

FEMA has different requirements for how the Applicant can use the funds related to each type of

capped project.

317

44 C.F.R. § 206.203(d)(1).

318

44 C.F.R. § 206.203(d)(2)(ii) and (iii).

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1. Use of Alternative Procedures Project Funds

FEMA will complete a fixed-cost estimate for all

large Permanent Work Projects. FEMA will

transmit this estimate as a fixed-cost offer to the

Applicant for consideration. When the Applicant

accepts a fixed cost offer for a Large Project in

accordance with Chapter 9:II.E.6(a). Fixed Cost

Offer Deadlines, FEMA considers it an Alternative

Procedures Project and the Applicant is:

• Not required to rebuild back to what

existed prior to the disaster;

• Allowed to share funds across all

Alternative Procedures Permanent Work

Projects;

• Not required to track costs to specific work

items or facilities as funds can be shared

across all Alternative Procedures

Permanent Work Projects;

• Allowed to retain and use excess funds to reduce risk and improve future disaster

operations (subject to timely closeout); and

• Eligible for cost-effective hazard mitigation on Replacement Projects.

The Applicant may use Alternative Procedures Permanent Work Project funds, including any

excess funds across all of its Alternative Procedures Permanent Work Projects.

The Applicant may request to use the funds for any of the activities defined as eligible under the

Use of Fixed-Cost Funds column in the table below. Once FEMA approves, and the Applicant

completes, the SOW associated with these activities, the Applicant may use any excess funds for

the expanded list of eligible activities listed under the Use of Excess Funds column.

Any excess funds remaining after the approved SOW is complete may be used for cost- effective

activities that reduce the risk of future damage, hardship, or suffering from a major disaster, and

activities that improve future PA operations or planning. The Applicant must submit a proposed

SOW for use of any excess funds, along with a project timeline to the Recipient within 90 days

of completing its last Alternative Procedures Project. The Recipient must forward the request to

FEMA within 180 days of date the last Alternative Procedures Project was completed. FEMA

evaluates the proposed use of excess funds for reasonableness to ensure prudent use of funds.

FEMA also evaluates the submitted project timeline and approves an appropriate deadline for

work completion, not to exceed the overall disaster period of performance.

The following table lists examples of eligible and ineligible types of work and costs when using

fixed-cost funds and excess funds.

Type of Work or Cost (all work or costs listed must otherwise be

eligible for PA)

Use of Fixed-

Cost Funds

Use of

Excess

Funds

Restoration of disaster-damaged facilities and equipment

Eligible

Example of an Alternative

Procedures Project

A county road crosses a watercourse and its

adjacent floodplain using five culverts. During

the incident, floodwaters overtop the road and

damage the crossings, either by washing out the

culverts or by damaging the roadway and

headwalls. FEMA approves a Project to repair or

replace each culvert crossing, including hazard

mitigation measures to increase the size of the

culverts. The Applicant requests that the

aggregate funding for the five crossings be used

to replace the current configuration with one

bridge.

V4 2020 Page 166

Alternate Projects (e.g., purchasing equipment, constructing new facilities,

improvements to undamaged facilities such as shelters and emergency

operation centers) in declared areas

Eligible

Cost-effective hazard mitigation measures for undamaged facilities

Ineligible

Eligible

Covering future insurance premiums, including meeting obtain and

maintain (O&M) insurance requirements, on damaged or undamaged

facilities

Ineligible

Eligible

Work on facilities that are ineligible due to a failure to meet previous

O&M requirements

Ineligible

Conducting or participating in training for response or recovery activities,

including Federal grants management or procurement courses

Ineligible

Eligible

Planning for future disaster response and recovery operations, such as

developing or updating plans (e.g., Debris Management Plans, Hazard

Mitigation Plans, Pre

- disaster Recovery Plans, Emergency Management

Plans), integrating these plans into other plans, preparedness activ

ities,

exercises, and outreach

Ineligible

Eligible

Salaries for PA or emergency management staff. This may include but is

not limited to, staff performing PA award or subaward administration,

monitoring, and closeout activities for other PA disaster award

s, and staff

developing or updating disaster plans

Ineligible

Eligible

Paying down debts

Ineligible

Covering operating expenses

Ineligible

Covering budget shortfalls

Ineligible

Covering the non-Federal cost share of FEMA projects or other Federal

awards

Ineligible

Obtain-and-maintain requirements for insurance apply to work funded with excess funds, as

appropriate.

If the Applicant does not accept the fixed-cost offer, the project will be processed utilizing

standard procedures and final funding will be based on actual costs. The flexible use of funds

and the use of excess funds are not available under standard procedures.

2. Use of Improved Project Funds

The Applicant may use Improved Project funds to improve the damaged facility. The facility

must have the same function and at least the same capacity that existed immediately prior to the

disaster. The following are examples of Improved Projects:

• Laying asphalt on a gravel road;

• Replacing a ﬁrehouse that originally had two bays with a firehouse that has three bays;

• Incorporating requirements dictated by a code or standard that does not meet PA

eligibility criteria; and

V4 2020 Page 167

• Relocating a facility when FEMA is not requiring the relocation.

The Applicant must obtain approval from the Recipient.

319

If the Improved Project significantly

changes the pre-disaster configuration of the facility, the Recipient must forward the request to

FEMA to ensure that the Improved Project complies with appropriate EHP laws, regulations, and

EOs.

The Applicant can combine PA funds with funding from another Federal agency to construct the

Improved Project. However, the Applicant cannot use funding from another Federal agency

toward the non-Federal cost share of the PA-funded project, unless the legislation for the other

grant allows such use. CDBG

320

is an example of a Federal program that, in certain

circumstances, allows use of its funding to meet the non-Federal share of another Federal grant

program.

3. Use of Alternate Project Funds

The Applicant may use Alternate Project funds toward a project that does not restore the pre-

disaster function of the damaged facility. This includes:

• Repair, expand, mitigate, or construct a facility that would otherwise be an eligible

facility under the PA Program;

321

• Demolish facilities;

• Purchase capital equipment that has a useful life of at least 1 year and is equal to, or

greater than, $5,000 per unit;

• Fund project shortfalls due to mandatory flood insurance reductions taken from PA

Program funding for repairs to buildings in SFHAs (see Chapter 8:VII.B.1. National

Flood Insurance Program);

• Supplement funds for an Improved Project; and

• Conduct cost-effective hazard mitigation measures, regardless of whether the facility was

damaged by the incident and whether the measures reduce the risk of future damage from

the same type of incident or of the same type of damage caused by the incident. Alternate

Project funds may be use used for hazard mitigation provided that:

o Funding does not duplicate other FEMA mitigation funding; and

o Measures reduce the risk of future damage to a facility that is otherwise eligible either

under the PA or HMA programs. If the measures are the same type as those eligible

for HMA funding, they must meet a need for governmental services and functions or

eligible PNP services and functions in the area affected by the incident.

If the Alternate Project involves construction, the Applicant must obtain FEMA approval prior to

the start of construction as FEMA must ensure that it complies with appropriate EHP laws,

regulations, and EOs.

322

The Applicant may not use Alternate Project funds to:

• Meet budget shortfalls;

• Create a new community plan;

319

44 C.F.R. § 206.203(d)(1).

320

www.hud.gov/program_offices/comm_planning/communitydevelopment.

321

44 C.F.R. § 206.203(d)(2)(iv).

322

44 C.F.R. § 206.203(d)(2)(v).

V4 2020 Page 168

• Landscape;

• Pay for operating expenses;

323

• Purchase supplies, furniture, or equipment costing less than $5,000 per unit;

• Pay the non-Federal share of any PA project;

324

• Fund buyouts for mitigation, such as acquisition of flood-prone property to create open

space;

• Supplement funds on projects that utilize other Federal agency grants; or

• Fund a project located in a FEMA-designated ﬂoodway.

C. Disposition of Original Facility

For Alternate and Alternative Procedures Projects, if the Applicant does not repair, replace, or

sell the damaged facility for which the capped project funding was based, and that facility is

unsafe if not repaired, the Applicant must render the facility safe and secure (e.g., by restricting

access, locking doors and windows, constructing a fence around the property) or demolish it.

If the Applicant receives funds for salvaged components of the facility, FEMA adjusts the

capped project by the value or anticipated fair market value of salvaged materials less the

estimated costs necessary to demolish the facility, grade the site, or make the facility safe and

secure.

For any action at the original site, such as demolition, that is completed using PA funds, FEMA

must conduct an EHP review. However, if the Applicant completes the work at the original site

using non-PA funds, a FEMA EHP review is not required.

If the Applicant opts to keep a damaged facility for a later use, the facility may be eligible for PA

funding in future incidents, provided the Applicant repaired the facility in accordance with

current codes and standards, and completed any mitigation measures that FEMA included in the

original SOW prior to the incident.

IX. Eligibility Considerations by Facility

This section details the types of facilities captured within each category of work along with

specific eligibility criteria related to one or more of the facilities within each category. See

Appendix N: Work Eligibility Considerations by Type of Facility for a summary of eligibility by

facility type.

A. Roads and Bridges (Category C)

Roads may be paved, gravel, or dirt. Road components include, but may not be limited to:

• Surfaces;

• Bases;

• Shoulders;

• Ditches;

• Drainage structures, such as culverts;

• Low water crossings; and

323

Ibid.

324

Ibid.

V4 2020 Page 169

• Associated facilities, such as lighting, sidewalks, guardrails, and signs.

Bridge components include, but may not be limited to:

• Decking;

• Guardrails;

• Girders;

• Pavement;

• Abutments;

• Piers;

• Slope protection;

• Approaches; and

• Associated facilities, such as lighting, sidewalks, and signs.

Permanent Work to restore roads and bridges is eligible unless restoration is under the specific

authority of another Federal Agency such as FHWA. However, for Tribal governments

specifically, although BIA or FHWA may have authority to provide Permanent restoration of

public Tribal roads, such roads may be eligible for PA funding provided the Tribal Government

does not receive funding from BIA or FHWA for the same work.

FHWA has authority to restore public roads under the Emergency Relief (ER) Program.

325

Roads

that are eligible for ER assistance are identified as Federal-aid routes, which include highways

on the Federal-aid highway system and all other public roads not classified as local roads or rural

minor collectors. The ER Program is activated separately from Presidential declarations under

the Stafford Act and may not be activated for all incidents. Federal-aid routes are ineligible for

Permanent Work even if the ER Program is not activated or if the program is activated but

FHWA does not provide funding for the work. FHWA also has authority to assist with

restoration of transportation facilities under the Emergency Relief for Federally Owned Roads

Program (ERFO).

326

Private roads are those that are not owned or operated by or otherwise the legal responsibility of

a Federal or SLTT entity (including orphan roads, roads in gated communities, homeowners’

association roads, etc.). These roads are ineligible. However, roads owned by a Tribal

government may be eligible even if they are not open to the general public.

Work to repair scour or erosion damage to a channel or stream bank is eligible if the repair is

necessary to restore the structural integrity of an eligible road, culvert, or bridge. Earthwork in a

channel or stream embankment that is not related to restoring the structural integrity of an

eligible facility is ineligible.

1. Maintenance

The incident may cause minor damage to roads that result in damage similar to that which may

occur over time from other causes, such as the age of the road, traffic flow, and frequent rain.

Costs related to maintenance of roads are ineligible. Therefore, distinguishing between pre-

existing damage and damage caused by the incident is often difficult. For the repair of this type

325

www.fhwa.dot.gov/programadmin/erelief.cfm.

326

flh.fhwa.dot.gov/programs/erfo/.

V4 2020 Page 170

of damage to be eligible, the Applicant must demonstrate that the damage was directly caused by

the incident.

When evaluating eligibility of reported road damage, in addition to evaluating how the incident

caused the damage, FEMA reviews maintenance records or documentation establishing that the

Applicant has a routine maintenance program. In the absence of maintenance records, FEMA

reviews material purchase invoices and activity logs and inspects other sections of the

Applicant’s road system to confirm the performance of regular maintenance activities.

Work to repair potholes or fatigue cracking is usually ineligible as this type of damage is rarely

caused directly by one incident.

B. Water Control Facilities (Category D)

Water control facilities are those facilities built for the following purposes:

• Channel alignment;

• Recreation;

• Navigation;

• Land reclamation;

• Irrigation;

• Maintenance of fish and wildlife habitat;

• Interior drainage;

• Erosion prevention;

• Flood control; or

• Storm water management.

They include:

• Dams and reservoirs;

• Levees and floodwalls;

• Lined and unlined engineered drainage channels;

• Canals;

• Aqueducts;

• Sediment and debris basins;

• Storm water retention and detention basins;

• Coastal shoreline protective devices;

• Irrigation facilities;

• Pumping facilities; and

• Navigational waterways and shipping channels.

V4 2020 Page 171

1. Restoring the Capacity of Channels, Basins, and Reservoirs

Restoring the pre-disaster carrying or storage

capacity of engineered channels, debris and

sediment basins, storm water detention and

retention basins, and reservoirs may be eligible,

but only if the Applicant provides documentation

to establish:

• The pre-disaster capacity of the facility;

and

• That the Applicant maintains the facility on

a regular schedule.

If the Applicant chooses to remove non-incident-

related material along with that deposited as a

result of the incident, the project is considered an

Improved Project.

2. Flood Control Works

Flood control works are those structures such as

levees, flood walls, flood control channels, and

water control structures designed and constructed

to have appreciable effects in preventing damage by irregular and unusual rises in water levels.

Generally, flood control works are under the authority of USACE or NRCS and restoration of

damaged flood control works under the authority of another Federal agency is ineligible. Flood

control works under the specific authority of NRCS are those that are part of the Watershed and

Flood Prevention Operations (WFPO) Program under PL 83-566.

327

Secondary levees riverward of a primary levee are ineligible, unless the secondary levee protects

human life.

C. Buildings and Equipment (Category E)

Buildings, including:

• All structural and non-structural components, including mechanical, electrical, and

plumbing systems;

• Contents and equipment within the building; and

• Furnishings.

Equipment includes:

• Vehicles; and

• Construction equipment.

Repair or replacement of buildings and equipment is eligible.

327

www.nrcs.usda.gov/wps/portal/nrcs/main/national/programs/landscape/wfpo.

Documentation Supporting Pre-

disaster Capacity

Survey data that is either recent or covers a

multi-year period to substantiate the amount of

new material reasonably attributable to the

incident.

Documentation Supporting Regular

Maintenance

Written maintenance plan and/or activity logs

documenting regular intervals of activity.

Applicant logs documenting clearance of

blockages in response to resident complaints are

not sufficient to substantiate a regular

maintenance schedule.

Page 172

1. Buildings

A Public Housing Authority facility is only eligible for Permanent Work if Congress does not

appropriate funds to HUD for emergency capital needs for the facility.

For buildings and building systems, distinguishing between damage caused by the incident and

pre-existing damage may be difficult. Before making an eligibility determination, FEMA

considers each of the following:

• Evidence of regular maintenance;

• Evidence of pre-disaster condition, such as interior water stains from a leaky roof (in

such cases, FEMA evaluates whether the roof was repaired prior to the incident);

• The severity and impacts of the incident; and

• Whether the Applicant took prudent actions to prevent additional damage.

Mold remediation and removal of mud, silt, or other accumulated debris is eligible as Permanent

Work when conducted in conjunction with restoration of the facility.

(a) Earthquake Damage to Welded Steel Moment Frame Buildings

FEMA has specific eligibility criteria for evaluating and repairing earthquake damage to

buildings constructed with welded steel moment frames. FEMA bases the eligibility criteria on

Recommended Post Earthquake Evaluation and Repair Criteria for Welded Steel Moment Frame

Buildings (FEMA 352).

328

The repair of the damaged frame connections to pre-earthquake design in accordance with

FEMA 352, Chapter 6, is eligible, but only if FEMA approves a specific SOW for the repairs

prior to the Applicant performing the work. Repair of the architectural finishes and fire

retardants removed in the area of the damage are also eligible.

2. Equipment and Supplies

Repairing damaged—or replacing destroyed—equipment and supplies with the same number of

equivalent items is eligible.

329

Equivalent items are similar in age, condition, and capacity.

The Applicant may replace equipment or supplies with different items used for the same general

purpose. However, FEMA caps the eligible cost at the estimated amount for items equivalent to

those damaged.

When equipment is not repairable, FEMA uses “blue book” values or similar price guides to

estimate the eligible cost.

When a used item is not reasonably available (within a

reasonable cost, time, or distance) or does not meet

applicable national consensus standards, the purchase of a

new item with similar capacity is eligible.

If the cost to replace the item is less than the cost to repair it,

FEMA limits PA funding to the replacement cost.

328

www.nehrp.gov/pdf/fema352.pdf.

329

44 C.F.R. § 206.226(h).

V4 2020

Terminology

Consensus standards are standards

that have been adopted by a

nationally recognized standards-

producing organization.

V4 2020 Page 173

3. Files

Eligible activities associated with the recovery of files include, but are not limited to:

• Recovery of damaged hard copies;

• Stabilizing the damaged hard copies;

• Sanitizing damaged hard copies;

• Photocopying or scanning damaged hard copies to re-establish files; and

• Recovering data from water-damaged computer hard drives.

Recovery of damaged hard copies includes labor and materials, such as bags, boxes, and

containers. Stabilizing damaged hard copies includes freeze-drying. Photocopying or scanning

includes labor and materials such as new folders and paper.

Not all activities are eligible. Examples of ineligible activities include:

• Establishing new information databases;

• Manually entering data that was lost in damaged computers;

• Scanning re-established hardcopy files into computers to create digital files; and

• Deciphering photocopies of damaged hard copies.

4. Research-Related Contents

Reagents and specimen collections are eligible for replacement based on the following criteria.

The number of units of each reagent eligible for

replacement is equal to the number lost OR to the

number necessary to restore basic research

activity, whichever is less.

FEMA reimburses the purchase price from

commercial sources or other institutions,

whichever is less. The replacement of reagents that

are so unique that they are considered an outcome

of a research program is ineligible.

Replacing a representative, but not necessarily a

whole portion, of a specimen collection may be

eligible. To be eligible for replacement, the

specimen types should be available for purchase

from commercial sources or other institutions and

support an ongoing eligible educational or medical

program.

5. Animals

Animals housed or exhibited in an eligible facility are eligible for replacement with the same

number of comparable animals if they are:

• Injured to the extent they are no longer able to function for the intended purpose;

• Killed;

• A destroyed specimen; or

• A damaged specimen that is not recoverable.

Terminology

A reagent is a substance used in a chemical

reaction to detect, measure, examine, or

produce other substances. Some reagents are

very common and available for purchase from

commercial sources.

A specimen is a portion or quantity of

material for use in testing, examination, or

study, including blood plasma and flesh tissue.

A specimen collection is a repository of

specimens related to biomedical, marine, or

agricultural research.

V4 2020 Page 174

The animal is ineligible for replacement if a comparable animal is not available for purchase or

the Applicant is unable to obtain a comparable one at a reasonable cost.

Eligible animals may include, but are not limited to:

• Police animals;

• Trained and certified rescue dogs;

• Animals in museums, zoos, or publicly owned nature centers;

• Fish in fish hatcheries;

• Taxidermy specimens (animals preserved and mounted in lifelike representations);

• Animals used by rehabilitation facilities as part of diagnosis or treatment; and

• Laboratory animals used in an active research program.

The replacement of animals on loan to an eligible facility at the time they are destroyed is

eligible if the Applicant substantiates legal responsibility.

Additionally, FEMA may provide PA funding for actions taken to save the lives of these animals

as a Category B emergency protective measure.

(a) Determining Costs

The estimated cost to replace an animal is usually determined through market surveys. Costs

associated with acquiring donated, loaned, or wild animals as replacement animals are eligible if

they do not exceed the estimated cost of purchasing a comparable animal.

When a destroyed animal is replaced through a donation or loan of a comparable animal, costs

associated with the purchase of another comparable animal are ineligible.

For laboratory animals, eligible costs associated with replacement include, but are not limited to,

the replacement cost of a laboratory animal that is as genetically close as possible to, but does

not exceed, the genetic progression of the lost animal AND can be reasonably procured

commercially. If an identically genetic animal is not available, the eligible cost is based on a

readily procured animal that is as genetically close as possible to the original animal. The

Applicant, using its scientific research staff, an independent member of the scientific community,

or a certified expert, needs to make reasonable decisions on the genetic likeness of the

replacement lab animals.

Ineligible costs associated with replacing laboratory animals include:

• The cost of reproducing a new animal with all the characteristics of the lost animal to re-

establish research;

• The cost of using a laboratory to perform a breeding program to advance benchmark

stock to the genetic changes lost because of the incident;

• The cost associated with surgery required to replace a surgically altered animal; and

• The cost associated with the replacement of a laboratory animal when an animal of

similar genetic characteristics can be obtained at no cost from other researchers or

institutions.

If the Applicant requests, and the Recipient approves, other than in-kind and exact number of

replacement animals, FEMA caps the Federal share based on the estimated in-kind replacement

costs.

V4 2020 Page 175

6. Irreplaceable Collections and Individual Objects

Collections and individual objects are artifacts, specimens, artworks, archives, public records,

and other items that are often considered

irreplaceable because of their artistic, educational,

historic, legal, scientific, or social significance. They

are nonliving and, therefore, do not include animals

or plant material, and are usually one-of-a-kind.

Eligible collections and individual objects may be in

storage or on display in a public or PNP facility and

may include items located outdoors, such as

sculptures and public art installations.

Stabilization of damaged collections or

individual objects is eligible. Stabilization is

a series of treatment measures to maintain the

integrity of a collection or object and to

minimize deterioration. Stabilization involves

taking the minimum steps necessary to return

a collection or object to a condition in which

it can function in the same capacity as it did

prior to the incident. This includes:

• Treating damaged items through

proper environmental controls, such

as temperature and humidity; and

• Chemical or mechanical cleaning to

stabilize items to prolong their

existence, maintain their integrity, and

minimize further deterioration from

the damaging effects of the incident.

Additional treatment beyond stabilization is

eligible if it is necessary to maintain the

integrity of the collection or object and return

it to its pre-disaster function.

In some cases, costs associated with restoring

an item to pre-disaster—but not original—

condition may be eligible. For example,

repairing a tear in a painting that was a direct

result of the incident may be eligible,

whereas costs to remove signs of pre-disaster

aging, such as layers of old varnish, are

ineligible.

Costs associated with the development of a

treatment plan for a damaged collection or

individual object are eligible. Treatment

needs to be conducted by qualified

Documentation Supporting

Classification as Collection or

Individual Object

Documentation of collections and individual

objects generally include accession, catalog,

and inventory documentation. Applicants

should submit all associated documentation

along with a clear title to all items.

Terminology

Archives are materials created or received by a

person, family, or organization, public or private, and

preserved because of the enduring value they

contain, or as evidence of the functions and

responsibilities of their creator, especially those

materials maintained using the principles of

provenance, original order, and collective control.

Accession is formal process used to legally accept

and record a specimen or artifact as a collection item.

A catalog is a full record of information specific to an

item and cross-referenced to other records and files,

including identification and documentation of the

material.

Stabilization is a series of treatment measures

intended to maintain the integrity of a collection or

object and to minimize deterioration. It involves the

minimum steps necessary to return a collection or

object to a condition in which it can function in the

same capacity as it did prior to the disaster.

Conservation is the preservation of a collection or

object for the future. Conservation activities include

examination, documentation, treatment, and

preventive care, supported by research (e.g.,

scholarly and technological, x-rays, paint sampling)

and education.

Special library collections typically include unique,

rare printed books, first editions (often author-

signed), manuscripts, archives, artifacts, photos,

engravings, graphics, music, and ephemera, as well as

limited edition print runs of special collections of

maps or other important topics.

V4 2020 Page 176

conservation professionals with the appropriate specialty and in accordance with the American

Institute for Conservation Code of Ethics and Guidelines for Practice.

330

FEMA, in consultation

with the Recipient and Applicant, may recommend no treatment when non-intervention best

serves to promote the preservation of damaged items.

Collections and individual objects damaged to the extent that stabilization is not practicable or

possible are considered destroyed. Replacement of destroyed collections or individual objects is

ineligible.

Restoring materials, equipment, and exhibition furnishings associated with the storage, display,

preservation, or exhibition of collections and individual objects is eligible. These may include,

but are not limited to:

• Equipment regulating temperature or humidity;

• Exhibit panels;

• Models; and

• Video and audio equipment.

7. Library Books and Publications

Replacement of damaged or destroyed library books and publications is eligible based on the

pre-disaster inventory of the quantities of the books and publications. Re-shelving, cataloging,

and other work incidental to the replacement of library books and publications is also eligible.

331

However, special library collections, including rare books, manuscripts, and other fragile

materials, are only eligible for treatment, not replacement.

D. Utilities (Category F)

Utilities include:

• Water storage facilities, treatment plants, and delivery systems;

• Power generation, transmission, and distribution facilities, including, but not limited to,

wind turbines, generators, substations, and power lines;

• Natural gas transmission and distribution facilities;

• Sewage collection systems and treatment plants; and

• Communication systems.

1. Right-of-Way Clearance

The Applicant may need to clear its ROW to obtain access to repair a utility. It is the Applicant’s

responsibility to maintain its ROW. FEMA may fund limited clearance of incident-related debris

from the ROW to enable access to the facility. Additionally, if trees in the vicinity of the facility

were damaged by the incident and an arborist confirms that the trees cause an immediate threat

of further damage to the facility (e.g., overhead power lines), FEMA may provide PA funding to

remove those trees. Any further clearance of debris in the ROW is ineligible for FEMA funding.

330

www.culturalheritage.org/about-conservation/code-of-ethics.

331

44 C.F.R. § 206.226(i).

V4 2020 Page 177

2. Power: Transmission and Distribution System Conductor Replacement

For electrical transmission or distribution

systems, determining the disaster-related

damage to some components, such as poles,

guys, and cross-arms, can usually be

accomplished by visual inspection.

However, determining the full extent of

disaster-related damage to conductors is

more challenging, particularly with older

systems. A conductor is eligible for

replacement when it is stretched beyond the

point where it can be effectively repaired

and re-sagged to meet appropriate

clearances, sag, and tension, and to meet pre-

disaster reliability.

A conductor is only eligible for replacement

(reconductoring) when the Applicant cannot effectively repair it because one of the following

exists within a line section:

• Twenty-five percent or more of the

conductor spans have visible damage, such

as broken strands, splices, or sleeves

(installed as a result of the incident) or

severe pitting, burns, or kinks;

• Thirty percent or more of the line spans are

visually stretched (out of sag), or do not

meet clearance requirements such as

conductor-to-conductor or conductor-

to-ground clearance;

• Forty percent or more of the supporting

poles need to be replaced or plumbed

(straightened). A pole is considered to be in

need of straightening if it is leaning such that

it is unsafe to climb;

• Forty percent or more of the supporting

structures (other than poles) have damage such as broken cross-arms, braces, ties,

insulators, guys, pulled anchors, or bent pins. If more than one element of the support

structure is damaged, it still only counts as one damaged support structure. If a pole is

counted under the previous bullet, FEMA does not count the supporting structure under

this criterion;

• Sixty-five percent or more of any combination of the damage described in the bullets

above; or

• Evidence provided by a licensed Professional Engineer that demonstrates the conductor is

damaged beyond repair.

Terminology

A line section is a group of contiguous

spans selected for evaluation. A span is the

distance between two poles or structures.

The Applicant has flexibility in defining a

line section. A line section can be:

• A single span

• All the spans between two dead-

end structures

• All the spans on a feeder

• All the spans on a tap

• Any other group of contiguous

spans that are evaluated together

Conductor Spans

The number of conductor spans is calculated by

multiplying the number of conductors per span by the

number of spans.

For example, a three-phase line section with three

spans has 12 conductor spans:

4 conductors x 3 spans = 12

If a single conductor span has damage in more than

one location, it only counts as one damaged

conductor span. Similarly, if more than one conductor

is damaged, it still only counts as one damaged span.

V4 2020 Page 178

If the Applicant provides sufficient documentation establishing the pre-disaster condition and a

line section of its system meets one of the six criteria above, that line section is eligible to be

reconductored.

The use of #2 Aluminum Conductor Steel

Reinforced (ACSR) is considered a lower

cost alternative to replacing conductor with

equal or lesser amperage capacity such as

copper weld conductor, hard and soft drawn

copper wire, smaller ACSR, and

Amerductor. Therefore, if a conductor with

equal or lesser amperage capacity to #2

ACSR is eligible for reconductoring, the

line section is eligible to be replaced with #2

ACSR. When the Applicant replaces

conductor with #2 ACSR, adjustments to

other components of the electric distribution

and transmission systems to accommodate

#2 ACSR, including, but not limited to,

adjusting span lengths between utility poles

and increasing pole heights and standards to

meet appropriate design requirements are

eligible. The Applicant does not need to cite

a code or standard for this additional work

even though the appropriate design

requirements may come from Federal or

SLTT codes or standards, including

National Electrical Safety Code or Rural

Utilities Service (RUS) standards.

If the Applicant prefers to reconductor a line

with conductor of lesser amperage capacity

than #2 ACSR, such as #4 ACSR (including

associated adjustments in span lengths and

pole heights), FEMA provides PA funding

for the work if the cost is less than the cost

of reconductoring with #2 ACSR (including

associated adjustments in span lengths and pole heights).

If the Applicant plans to upgrade its conductor to an amperage capacity above #2 ACSR, and

there is no code or standard requiring the upgrade that meets the eligibility requirements

discussed in B, the additional upgrades are ineligible and the Applicant must request an

Improved Project.

If the damage does not meet the criteria for replacement, only the repair of the damaged line

section(s) is eligible.

Documentation Supporting Pre-

disaster Condition of a Conductor

To document the pre-disaster condition of a

conductor, the Applicant should provide the following

information:

• A signed, dated, and stamped letter from a

licensed professional engineer who has direct

experience with the damaged electrical

transmission or distribution system certifying the

pre-disaster capacity and condition of the

conductor along with records providing

satisfactory evidence of the pre-disaster capacity

and condition of the conductor. Records may

include, but are not limited to, maintenance

records,

contract documents, work orders,

inspection logs, or a description of past inspection

and maintenance activities certified by a licensed

professional engineer.

• If available, copies of construction work plans

demonstrating the utility's past practices and

current and future projects.

• If required by RUS, a copy of any corrective action

plans submitted to RUS in compliance with 7

C.F.R. §1730.25, Corrective action (RUS borrowers

only).

• Staking sheets.

If the Applicant provides the information above,

FEMA does not require further documentation to

establish pre-disaster condition. The Applicant is

not precluded from substantiating the pre-disaster

condition with other documentation if it is unable

to provide the documentation described above.

V4 2020 Page 179

E. Parks, Recreational, Other (Category G)

Eligible publicly owned facilities in this category include:

• Mass transit facilities such as railways;

• Beaches;

• Parks;

• Playground equipment;

• Swimming pools;

• Bath houses;

• Tennis courts;

• Boat docks;

• Piers;

• Picnic tables;

• Golf courses;

• Ball fields;

• Fish hatcheries;

• Ports and harbors; and

• Other facilities that do not ﬁt in Categories C–F.

Unimproved natural features are ineligible.

Plantings (such as trees, shrubs, and other vegetation) are eligible when they are part of the

restoration of an eligible facility for the purpose of erosion control, to minimize sediment runoff,

or to stabilize slopes, including dunes on eligible improved beaches.

Grass and sod replacement are eligible if it is an integral part of the restoration of an eligible

recreational facility. Vegetation replacement is also eligible if necessary to restore the function of

the facility (e.g., if vegetation is a component of a sewage filtration system).

Plantings required to mitigate environmental impacts, such as those required to address impacts

to wetlands or endangered species habitat, are only eligible if required by a Federal or SLTT

code or standard or permit that meets the criteria described in Chapter 8:III.H. Permit

Requirements.

Long-term monitoring to ensure vegetative growth is ineligible even if it meets the requirements

above.

Plantings ineligible for replacement include, but are not limited to:

• Replacement of trees, shrubs, and other vegetation;

• Replacement of destroyed crops; and

• Cosmetic or aesthetic vegetation, such as landscaping around public facilities or in

median strips along roadways. This restriction applies even when the vegetation is

damaged during performance of eligible work, such as when repairing underground

utilities within landscaped areas.

V4 2020 Page 180

1. Beaches

Replacement of sand on beaches is only eligible under certain conditions.

332

A beach is

considered an eligible facility when all of the following conditions exist:

• The beach is not a federally constructed shoreline under the specific authority of USACE

(i.e., not a specifically authorized and constructed Coastal Storm Risk Management

Project);

333

• The beach was constructed by the placement of imported sand—of proper grain size—to

a designed elevation, width, and slope;

334

and

• The Applicant has established and adhered to a maintenance program involving periodic

renourishment with imported sand to preserve the original design or a specific engineered

design that is justified and clearly stated in the maintenance program.

335

Placement of

sand under the following circumstances does not meet this requirement:

o Emergency or “one-time” nourishment, even if to a design;

o Emergency or “as-needed” renourishments when the beach has eroded to a critical

condition where all original nourishment is gone;

o Partial renourishments or “hot-spot” nourishments; or

o Renourishment using material from a channel maintenance project when dredge

spoils do not meet compatibility design criteria and the amount placed is dependent

on the amount dredged, not the beach design.

332

44 C.F.R. §§ 206.226(j) and 206.201(c).

333

44 C.F.R. § 206.226(a).

334

44 C.F.R. § 206.226(j)(2)(i).

335

44 C.F.R. § 206.226(j)(2)(ii).

Documentation Supporting Eligibility of a Beach

To document eligibility of a beach as a designed and maintained facility, the Applicant must provide the

following information (all required unless the beach was previously determined eligible, in which case FEMA

may request only a portion of this information):

• Design studies, plans, construction documents, and as-builts for the original nourishment;

• Documentation and details of the maintenance plan, including how the need for renourishment is

determined and funded; and

• Renourishment history, design studies, and as-builts for every renourishment, including construction

documents if applicable.

V4 2020 Page 181

Figure 16. Typical Beach Profile

The amount of sand eligible for replacement is limited to the amount lost due to the incident. The

Applicant needs to substantiate the amount of sand claimed with pre-and post-incident profiles

that extend at least to the seaward edge of the sub-aqueous nearshore zone (Depth of Closure)

(see Figure 16. Typical Beach Profile). If pre-storm profiles are not available, documentation

may include design documents and renourishment history. The Applicant needs to adjust

quantities to account for any erosion that occurred between the pre- and post-incident profiles.

Replacing sand that eroded prior to the incident is ineligible. However, the Applicant is

encouraged to renourish the project to achieve the design profile.

F. Landslides and Slope Stabilization

If an eligible facility is located on a slope and is damaged as a result of a landslide or slope

instability triggered by the incident, FEMA

determines the stability of the slope that supports the

facility before it approves PA funding to restore the

facility. Restoration of the integral ground that

supports the facility may also be eligible. The impact

of slope stability on eligibility is as follows:

• If the site is stable, permanent restoration of

the facility and its integral ground is eligible.

• If the site is unstable and there is no evidence

of pre-disaster instability after the facility

was constructed, permanent restoration of the

facility and its integral ground is eligible, including measures to stabilize the integral

ground.

• If the site is unstable and there is evidence of pre-disaster instability after the facility was

constructed, restoration of the facility’s integral ground is ineligible. Restoration of the

Terminology

Integral ground refers to only the ground

necessary to physically support a facility.

Integral ground may be natural or improved

ground upon which an eligible facility is

located and that is essential to support the

structural integrity and utility of the facility.

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facility is eligible only upon the Applicant stabilizing the site and restoring the integral

ground.

Site inspections and limited geotechnical assessments to determine site stability and to obtain a

technical opinion of the cause of the slope failure are eligible.

Permanent repair to stabilize natural ground that is not integral to an eligible facility’s function is

ineligible.

FEMA may approve permanent relocation of the facility if the facility is subject to repetitive

heavy damage and relocation is cost-effective. Eligible costs for relocation are described in

Chapter 8:VI. Relocation.

The Applicant may request an Alternate Project if restoration of the facility is not feasible

because of soil instability.

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CHAPTER 9: SCOPE OF WORK AND COST

DEVELOPMENT

Once FEMA, the Recipient, and the Applicant agree on the damage description and dimensions,

either the Applicant submits the SOW and cost for FEMA review and validation, or FEMA

submits the project to its CRC to develop the SOW and cost. This is Phase III of the PA Program

delivery process, Scoping and Costing, and is described in this chapter.

I. Scope of Work Development

For completed work, the Applicant must describe the completed SOW for each of the projects

and provide supporting documentation.

For Emergency Work, the SOW includes work required to address immediate threats and to

remove debris and must include quantitative information. For Permanent Work, the SOW

includes a description of how the Applicant plans to repair, or has repaired, the damage,

including repair dimensions and hazard mitigation description and dimensions.

The Applicant should provide the following for each site (not an all-inclusive list):

 Whether the work is complete;

 Who performed, or will perform, the work (e.g., force account, contract, etc.);

 Proposed or completed, repair scope of work, including PA mitigation measures; and

 Technical studies, reports, and assessments.

II. Cost Development

FEMA or the Recipient assists the Applicant with preparing project applications based on actual

or estimated costs.

A. Project Thresholds

FEMA establishes a minimum project threshold for each Federal fiscal year. The threshold

applies to incidents declared within that fiscal year and is based on the Consumer Price Index. If

a project application totals less than the minimum threshold

336

after the Applicant has accounted

for all project costs—including insurance proceeds

and other reductions to avoid duplication of

benefits—the project is ineligible.

337

The minimum threshold applies to each project

application and not to each damage line item. FEMA

does not combine work among several sites onto one

project application for the sole purpose of reaching

the minimum threshold. Because of the administrative

cost involved, FEMA does not process project

applications under the minimum threshold unless the

336

The minimum threshold is available at: https://www.fema.gov/assistance/public/applicants/per-capita-

impact-indicator.

337

44 C.F.R. § 206.202(d)(2).

Small Project Preparation

If the Applicant prepares its own Small

Projects, it must submit them to FEMA for

validation within 60 days of the Recovery

Scoping Meeting.

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Applicant is eligible, is disputing the SOW or costs, and is planning to appeal an amount that

would increase the project amount to at least the minimum threshold. The minimum threshold

does not apply to Donated Resources or Management Costs; however, these projects are only

eligible when the donated resources or management costs are related to an eligible project that

meets the minimum threshold.

FEMA also establishes a dollar threshold each Federal fiscal year for the implementation of

Simplified Procedures under Section 422 of the Stafford Act. This threshold defines a project as

large or small.

338

• A Large Project has costs equal to or greater than the threshold.

• A Small Project has costs below the threshold.

339

The threshold applies to incidents declared within that fiscal year. FEMA administers funding for

Large and Small Projects differently. For Large Projects that are not capped, FEMA adjusts any

estimated costs to the actual incurred amount so that the final approved funding is based on

actual costs.

340

For Small Projects, FEMA does not adjust estimated costs to the actual incurred

amount.

341

FEMA determines whether a project is large or small based on the final approved

amount of eligible costs after any cost adjustments, including insurance reductions.

B. Expedited Projects for Emergency Work

FEMA may provide expedited funding for Emergency Work Projects (Category A or B) that

meet or exceed the Large Project threshold. FEMA funds Expedited Projects at 50 percent of the

Federal share of the estimated project cost. Requests for Expedited Projects must be submitted to

FEMA within 60 days of the Applicant’s Recovery Scoping Meeting. To support its request, the

Applicant must provide enough information for FEMA to validate that the work and costs are

eligible. FEMA will work to obligate funding within 90 days of receipt of the request. Therefore,

the PA Group Supervisor notifies the CRC as soon as possible after receiving a request.

The Applicant must substantiate its legal responsibility for the work. The Applicant needs to

provide the following broken down by the Applicant’s monthly (or bi-weekly) operational

periods (if Category A or B has an increased Federal cost share for a limited timeframe, the

Applicant needs to separate work anticipated to be completed within the increased cost share

timeframe from work anticipated to be completed after the increased cost share period (See

Chapter 6:XIII. Increased Federal Cost Share for a Limited Timeframe):

• A detailed description of the work and documentation to substantiate that the work is

eligible. This includes:

o Description of immediate threat;

o Detailed description of work activities;

o Work locations; and

o Additionally, for debris: estimated quantities by type of debris substantiated with

photographs or video, temporary staging and disposal locations with copies of

permits and reduction methods.

338

The project threshold amount is available at: www.fema.gov/assistance/public/applicants/per-capita-impact-

indicator.

339

Stafford Act § 422, 42 U.S.C. § 5189; 44 C.F.R. § 206.203(c).

340

44 C.F.R. § 206.205(b).

341

44 C.F.R. § 206.205(a).

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• The total estimated cost with documentation to support the basis of the estimate and

substantiate that the cost estimate is reasonable. This includes:

o Insurance documentation

o For Force Account labor or other hourly labor costs such as mutual aid labor:

 Number of personnel;

 Average hours per day;

 Average days per week;

 Average pay rate;

 Lodging and per diem rates; and

 Mutual Aid Agreement, Memorandum of Understanding or other written

agreement

o For Force Account equipment:

 Amount of equipment by type;

 Average hours per day;

 Average days per week; and

 Hourly rate

o For rented equipment:

 Rental agreement with pricing

o For contract work:

 Request for proposals, bid documents, contracts;

 If bids have not yet been received, the Applicant may submit a unit price

estimate; and

 Debris monitor information

FEMA estimates the work based on cost information provided by the Applicant. If the Applicant

does not provide sufficient cost information, FEMA may use average historical pricing. For

contracted work, FEMA uses the unit cost from the contract if it determines the costs are

reasonable; however, this is only for the purpose of expediting funding based on an estimate.

FEMA reviews the Applicant’s procurement and contracting for compliance and addresses any

noncompliance prior to final reconciliation and closeout of the project.

FEMA provides the Federal cost share for the remaining 50 percent of the project cost once the

Applicant provides all of the documentation required to support the estimated project cost for a

non-Expedited Project.

C. Costs for Projects with All Work Completed

For projects with all work complete, the PDMG works with the Applicant to:

• Answer programmatic, EHP, insurance, and hazard mitigation questions;

• Identify information and documentation requirements; and

• Address contextual information needed for supporting the Applicant's claim for

completed work.

Once work on a project is 100% complete, the Applicant must submit documentation for the

project within 90 days of the Recovery Scoping Meeting or within 90 days of the work

completion date, whichever is later, regardless of whether the project has been obligated. FEMA

makes its eligibility determination and processes the project based on the documentation

V4 2020 Page 186

received within the 90-day deadline.

342

FEMA denies assistance for work and costs that are not

supported with documentation by this deadline.

There may be cases where, during review of the

documentation submitted, FEMA determines

additional information or explanation is required.

In this instance, FEMA may generate an RFI

specifying a deadline for response.

For Small Projects, FEMA may accept

certification in lieu of documentation and may

process the projects based on estimated costs even

if all work is completed.

343

However, with

exception of the scenarios listed in Chapter

12:I.A. Small Projects, Small Project estimates are

not subsequently adjusted to reflect actual costs.

The Applicant must still retain documentation for Net Small Project Overrun appeals and audits.

D. Estimating Emergency Work Projects with Work to be Completed

Emergency Work Projects are often difficult to estimate due to the type of work conducted.

Unlike Permanent Work, where a detailed SOW is usually determined and estimated with unit

pricing in advance, the detailed scope of work to address Emergency Work is often unknown and

therefore, difficult to estimate in advance. Additionally, emergency response activities do not

generally have established unit pricing and have a lot of variables that can impact pricing. If the

Applicant provides sufficient information, FEMA may process Emergency Work Projects based

on estimates.

E. Estimating Permanent Work Projects with Work to be Completed

When work is not yet complete, FEMA determines the amount of PA funding based on the

estimated cost to restore the damaged facility to its pre-disaster design and function, including

eligible codes and standards. The amount may include a reasonable amount of anticipated soft

costs but does not include costs that are only related to, or only triggered by, changes to the pre-

disaster design or function of the damaged facility. These include, but are not limited to, costs

related to:

• Engineering and design;

• EHP compliance; and

• Work required by codes or standards.

If FEMA developed the SOW, it also develops the associated cost estimate.

1. Projects Requiring Engineering Analysis

Some projects may require an engineering analysis to determine the method of repair. In these

cases, FEMA may provide PA funding for engineering and design services.

342

44 C.F.R. § 206.205(b)(1) and 2 C.F.R. § 200.343.

343

Stafford Act § 422, 42 U.S.C. § 5189; 44 C.F.R. § 206.205(a).

Terminology

Work Completion Date is the date the

Applicant completes all work associated with

the approved SOW including meeting all

compliance requirements. It does not include

invoice payments, warranty periods, or grant

management activities (e.g., compiling and

submitting documentation, financial

reconciliation, requesting payment, etc.).

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2. Applicant Estimates

FEMA accepts an Applicant-submitted cost estimate if the estimate:

• Is prepared by a licensed Professional Engineer or other estimating professional, such as

a licensed architect or certified professional cost estimator

344

who certifies that the

estimate was prepared in accordance with industry standards;

• Includes certification that the estimated cost directly corresponds to the repair of the

agreed upon damage;

• Is based on unit costs for each component of the SOW and not a lump sum amount;

• Contains a level of detail sufficient for FEMA to validate that all components correspond

with the agreed-upon SOW;

• Is based on the current phase of design or construction inclusive of any known costs;

• Includes actual costs for work completed at the time the cost estimate is developed; and

• Is reasonable.

FEMA evaluates Applicant-submitted estimates for reasonableness based on the criteria in

Chapter 6.I. Reasonable Costs using the checklist in Appendix L: Validation of Applicant-

Provided Cost Estimates.

3. FEMA Estimates

When FEMA develops cost estimates for sites with Permanent Work that is less than 90 percent

complete and total costs are expected to meet or exceed the Large Project threshold, FEMA uses

the CEF in accordance with the CEF Instruction Guide

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The CEF Instructional Guide defines

various factors and the range of percentage values that FEMA may apply to projects. In rare

cases, a factor may need to be reviewed or adjusted. FEMA Headquarters has access to technical

assistance to review the appropriate ranges for factors. Only FEMA Headquarters has the

authority to approve the use of factors that exceed the CEF specified range or approve additional

factors. FEMA will include the CEF contingency factor “Applicant Reserve for Change Orders”

but will not include any additional factors or risk premiums associated with capped projects

(Improved, Alternate, or Alternative Procedures Projects).

4. Expert Panel Review

A FEMA-funded,

346

independent third-party panel of cost estimating experts may review project

estimates. FEMA does not use this panel for appeals. The review is limited to issues pertaining to

the estimated cost and the panel does not make decisions related to the eligibility of work.

However, it may make determinations about whether cost elements are required to execute the

SOW. The panel may review cost documentation for completed work, if necessary.

• All project estimates with an estimated Federal share of $25 million or greater are

reviewed by the independent panel.

• FEMA may request the independent panel review for any cost estimate.

• The Applicant may request the panel review the estimate for any project with an

estimated Federal share of at least $5 million.

344

In lieu of a license or certification, an individual with professional experience and proficiency in the field of cost

estimating may prepare and sign the cost estimate.

345

www.fema.gov/pdf/government/grant/pa/cef_instruct.pdf.

346

The expert panel is fully funded by FEMA and does not require a non-Federal cost share.

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5. Insurance Reductions

FEMA reduces the estimate to account for insurance coverage based on:

• Actual insurance proceeds, if known; or

• Anticipated insurance proceeds based on the Applicant’s insurance policy, if the amount

of actual proceeds is unknown.

6. Fixed-Cost Offer for Alternative Procedures Projects

FEMA professionally licensed engineers and architects, qualified cost estimators, construction

managers, and staff with other technical expertise, as necessary, develop or review and validate

estimates for all large Permanent Work Projects. FEMA transmits the estimates as fixed-cost

offers to the Applicant via PA Grants Manager for consideration. If the Applicant accepts the

fixed-cost offer for a Large Project, it is considered an Alternative Procedures Project.

FEMA approves the fixed-cost amount upon obligation of the project.

347

Once the fixed-cost

amount is obligated,

FEMA considers it reasonable and eligible, as long as there is no evidence of

fraud and the Applicant complies with Federal grant conditions.

The following table summarizes the differences between the Alternative Procedures policy and

the standard PA policy:

Alternative Procedures Project

Standard Project

Fixed-cost project with use of excess funds.

Actual cost project. No retention of excess

funds associated with the approved estimate.

May use funds across all Alternative Procedure

Permanent Work

Projects.

Can only use funds toward the specific work

identified in each specific project.

After FEMA approves a SOW, approval is only

required for changes that involve buildings or

structures aged 45 years or older, ground

disturbing activities, or work in or near water.

After FEMA approves a SOW, approval is

required for any change to the SOW.

Do not need to track costs associated with changes

to the SOW

(see Chapter 12:I.C. Alternative

Procedures Permanent Work Projects

for closeout

requirements)

Must track costs associated with all changes

to the SOW.

Do not need to track costs to specific work items.

Only need to track the total costs associated with

the all of its Alternative Procedures

Permanent

Work

Projects. (see Chapter 12:I.C. Alternative

Proce

dures Permanent Work Projects for closeout

requirements)

Must track costs specific to each work item

within each individual project.

Do not need to track work to specific Alternative

Procedures

Projects. Only need to substantiate that

Must track all work to each individual

project.

347

Obligation constitutes FEMA’s acceptance of the fixed amount.

V4 2020 Page 189

the work is related to the approved SOW covered

across the projects.

Once the Applicant accepts a fixed cost offer, it may not revert back to a project funded based on

actual costs. FEMA does not adjust the fixed amount even if the Applicant discovers hidden

damage while conducting approved work. Prior to closing the project, FEMA adjusts the fixed

estimate to account for actual insurance proceeds as described in Chapter 6:XVIII.A. Insurance

Proceeds. Once FEMA and the Applicant agree to a fixed-cost, FEMA will not adjust funding on

the basis of reasonableness or eligibility provided the Applicant completes the approved scope of

work. This does not preclude de-obligations on the basis of noncompliance with grant

conditions, such as environmental or historic preservation; duplication of benefits, including

insurance; or evidence of fraud.

If the estimated amount is less than the Applicant is willing to accept as a fixed cost, the

Applicant may decline the offer and FEMA will process the project using standard procedures.

In these cases, FEMA obligates the project based on the estimated amount in the offer and

adjusts funding based on actual eligible costs at closeout.

(a) Fixed Cost Offer Deadlines

The Applicant has up to 18 months from the disaster declaration date to accept a fixed-cost offer

for each project (also subject to 30-day deadline from receipt). If the Applicant is requesting

hazard mitigation funding, it must determine the actual SOW and hazard mitigation measures to

be performed within the 30-day and 18-month deadlines.

Each time FEMA transmits a fixed-cost offer, the Recipient and Applicant have a combined total

of 30 calendar days from the date of FEMA’s transmittal of the fixed-cost offer to accept the

offer (not to exceed the 18-month deadline). FEMA processes projects without accepted fixed-

cost offers by the 30-day and 18-month deadlines using standard PA policies and procedures and

adjust funding based on actual eligible costs at closeout.

Time extensions to accept fixed-cost offers must be approved by FEMA’s Assistant

Administrator for Recovery.

III. Compliance Reviews

The CRC conducts a series of reviews for program compliance. The Insurance Specialist reviews

the Applicant’s insurance documentation, calculates required reductions, and documents

insurance obtain and maintain requirements as a condition of the award. FEMA EHP staff review

the SOW to determine if the SOW has a potential of impacting environmental or historic

resources, FEMA EHP staff review the SOW to determine if modifications would reduce

potential impacts. and document the EHP requirements as a condition of the award.

Page 190

CHAPTER 10: OBLIGATION AND RECOVERY

TRANSITION

This Chapter describes the final review and obligation process, the Recovery Transition Meeting,

and provides an overview of PA considerations for transitioning field operations back to the

Regional office, a PA Processing Center, or a Long-Term Recovery Office. It also includes PA

policy on appeals and provides a summary of arbitration. Recipients and FEMA conduct final

project reviews in Phase IV: Final Reviews. FEMA obligates Projects and transitions recovery

roles and responsibilities in Phase V of the PA Program delivery process, Obligation and

Recovery Transition.

I. Final Review and Obligation

A. Recipient Review

Project applications are routed to the Recipient for review before FEMA conducts the final

review. The Recipient reviews project applications to ensure that all of the Applicant’s incident-

related impacts, repair methods, and costs are properly addressed.

B. Final Review

The PAGS performs the Final Review to verify the work and costs described in the project

application are eligible before obligating funds. The final reviewer ensures the cost share is

accurate.

If the Federal cost share is greater than $1 million, the final reviewer submits the project

application to the Million Dollar Review queue. FEMA notifies Congress and the Department of

Homeland Security of project applications with a Federal cost share greater than $1 million

before obligation (including subsequent project amendments). FEMA refers to this as the Large

Project Notification (LPN) process.

If the Federal share is less than $1 million, the final reviewer submits the project application into

a queue where FEMA obligates the Federal share of the eligible project cost to the Recipient.

348

Once obligated, the Project constitutes the official record of the approved SOW for the Project.

C. Obtaining Funds

Strategic Funds Management is FEMA’s process for obligating PA funding based on the

Applicant’s schedule to execute the work. If a Permanent Work Project is greater than $1 million

and the Applicant does not need funds for more than 180 days from the time the Project is ready

for obligation, FEMA obligates funds based on the project completion schedule. FEMA’s

Strategic Funds Management – Implementation Procedures for the Public Assistance Program

(FEMA SOP 9570.24) addresses this obligation process in detail.

349

348

44 C.F.R. § 206.202(e).

349

www.fema.gov/sites/default/files/2020-07/fema_9570.24_startegic-funds-mgmt_SOP_12-21-2012.pdf.

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V4 2020 Page 191

The Recipient is responsible for notifying the Applicant that funds are available

350

and for

distributing the funds to the appropriate Subrecipient.

351

Funds that FEMA has obligated are

available to the Recipient to pass through to the appropriate Subrecipient.

352

II. Recovery Transition Meeting

The PDMG coordinates with the Recipient to schedule a Recovery Transition Meeting once the

Applicant has signed all of its projects in PA Grants Portal. The transition meeting prepares the

Applicant for FEMA’s transition of PA Operations from the JFO to the Regional office. The

PDMG or Recipient representative contacts the Applicant to coordinate meeting logistics, review

discussion topics, and identify appropriate Applicant attendees. FEMA, the Recipient, and the

Applicant attend the Recovery Transition Meeting.

FEMA uses this meeting to:

• Ensure all claimed damage is sufficiently and accurately documented;

• Discuss record retention requirements;

• Explain deadlines for completion of work and appeals, including Net Small Project

Overruns;

• Ensures the Applicant understands the terms and conditions of the projects (e.g.,

requirements for environmental and historic preservation, procurement, minimum

standards, disposition, etc.);

• Transition primary point-of-contact from field personnel to the Recipient; and

• Discuss questions or concerns.

III. Transition Field Operation to Regional or Recovery Office

This section provides an overview of PA considerations for transitioning from the JFO and CRC

environment, in which project application development is the predominant activity, to the post-

JFO environment (e.g., Regional Office or Long-Term Recovery Office), where program

management and closeout are predominant.

A JFO closes when most FEMA program and FCO goals have been met. The FCO coordinates

with the FEMA Region, FEMA Headquarters, the PAGS, and other program leads to determine

closure. PA considerations include the number of remaining:

• Project applications to be written;

• Project applications in each review queue; and

• Recovery Transition Meetings.

Once the JFO closes, PA operations are transferred to the Regional Office or to a Recovery

Operation. The Region regains primary responsibility for ongoing operations and the CRC

maintains its support role to the region until all project applications for the incident have been

processed through obligation.

The need for a PA Recovery Operation exists when the JFO is ready to close but too much work

remains for the Region to assume full responsibility for the operation or if the Regional Office is

350

44 C.F.R. § 206.200(b)(2)(i).

351

44 C.F.R. § 206.202(a).

352

44 C.F.R. § 206.200(b)(2)(ii).

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located too far from the incident location. In this situation, a Recovery Operation is set up to

finish remaining project amendments, complete required reviews, resolve outstanding issues,

and obligate remaining funds. PA Recovery Operations may include the following:

• PA Processing Center: Established by the respective Regional Office after a small to

medium sized disaster when IA is no longer active in the disaster area and the FCO has

demobilized; the PAGS may still be active in the Processing Center with oversight

provided by the Regional Office; and

• Long-Term Recovery Office: Established by FEMA Headquarters after a large disaster.

Transition from a Recovery Operation to the Regional Office varies by region. It typically occurs

when project formulation is complete and outstanding issues have been resolved.

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CHAPTER 11: POST AWARD MONITORING

This chapter provides PA policy and procedures on Phase VI: Post Award Monitoring and

Amendments. This includes reporting requirements, post award changes in SOW, work

completion deadlines, and audits.

I. Large Project Quarterly Progress Reports

The Large Project Quarterly Progress Report (QPR) is a tool for FEMA and the Recipient to

track the progress of Large Projects. FEMA requires the Recipient to report on the status of all

open Large Projects on a quarterly basis.

353

Recipients must submit QPRs to FEMA no later than

30 days after the end of each quarter (see Table 6, Deadlines for Submitting Quarterly Progress

Reports).

The Subrecipient must submit the following for each incomplete Large Project on a quarterly

basis:

 Total expenditures to date;

 Status of the project (either construction phase or percent complete);

 Whether the work is complete (per definition in Chapter 11:V. Work Completion

Deadlines);

 Projected or actual work completion date (per definition in Chapter 11:V. Work

Completion Deadlines); and

 Any circumstances that could delay the project.

In addition to verifying and submitting the Subrecipient’s information above, the Recipient must

submit the following for each open Large Project on a quarterly basis:

 Total amount disbursed to the Subrecipient;

 Whether final payment was made;

 Whether time extensions were approved; and

 Latest approved work completion deadline.

Table 6: Deadlines for Submitting Quarterly Progress Reports

Quarter Dates Report Due Date

October 1 – December 31

January 30

January 1 – March 31

April 30

April 1 – June 30

July 30

July 1 – September 30

October 30

II. Financial Status Reports

Recipients submit Federal Financial Status Reports (FFRs) (SF-425s) quarterly to the respective

FEMA Regional Office.

354

The FFR provides the status of funds for the prime award, the

353

44 C.F.R. § 206.204(f).

354

2 C.F.R. § 200.327.

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Recipient’s expenditure drawdowns, and whether the Recipient is meeting its cost-share

requirements.

III. Federal Funding Accountability and Transparency Act

The Federal Funding Accountability and Transparency Act (FFATA) requires Recipients to

subawards equal to or greater than $25,000.

IV. Post Award Change in Scope of Work

While proceeding with the project, the Applicant must ensure that it uses PA funding only for

eligible work as identified in the Project). The Applicant may identify a need to change the

SOW. The Applicant should engage the Recipient and FEMA as soon as it identifies a change to

the SOW to allow FEMA time to review changes for eligibility and EHP compliance

requirements prior to commencement of work. If the Applicant begins work associated with a

change before FEMA review and approval, it jeopardizes PA funding.

A change requires a written request with detailed justification and documentation to support the

eligibility of the requested revision.

355

If the request involves previously unreported damage, the

Applicant must also provide documentation demonstrating how the incident caused the damage.

The Recipient must forward the request to FEMA with its written recommendation.

356

Table 7:

Information to Support SOW Changes, indicates the information necessary for FEMA to evaluate

a request for a change in SOW.

FEMA engages subject matter experts for technical assistance when necessary to reach a

determination of whether the requested change is eligible for PA funding.

Changes in SOW due to one of the following reasons are generally eligible:

• Alternate repair method is more cost-effective than the original proposed repair method;

• Original repair method is not technically feasible;

• Increase in previously approved quantities due to errors and omissions;

• Hidden damage discovered during construction and is disaster-related; or

• The Applicant wishes to pursue an Improved or Alternate Project.

355

44 C.F.R. § 206.204(e) and 2 C.F.R. § 200.308.

356

44 C.F.R. § 206.204(e).

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Table 7. Information to Support SOW Changes

Information to Support SOW Changes

Change in SOW requests should be submitted prior to the approved project deadline and include the

following (not an all-inclusive list):

 Detailed changes to SOW and cost (required)

 Reason for changes (required)

• If more cost-effective repair: both cost estimates

• If original SOW not feasible: supporting documentation such as technical reports

• If hidden damage (must be found during performance of eligible work):

o Documentation substantiating the damage is related to the declared incident;

o Photographs documenting damage; and

o Change orders

 Construction timeline / project schedule

• Time extension, if necessary (include information in Table 8. Information to Support a Time

Extension)

A. Scope of Work Changes on Permanent Work Alternative Procedures Projects

For Alternative Procedures Projects, once the SOW is approved and a fixed-cost offer is

accepted:

• The Applicant must notify FEMA prior to making SOW changes that involve:

o Buildings or structures that are 45 years of age or older,

o Ground disturbing activities, or

o Work in or near waterways.

With exception of buildings or structures that are 45 years of age or older, the Applicant does not

need to notify FEMA when it intends to make changes that substantially conform to the

approved SOW. Changes that substantially conform include items, such as:

• Substitutions in material type (e.g., pre-cast concrete vs. steel beam, stainless steel vs

galvanized fasteners); or

• Interior floor plan reconfigurations (e.g., adding, moving or removing rooms/features).

If the Applicant wishes to change the SOW to the extent that it changes the hazard mitigation,

such changes must be approved within the 18-month deadline and the fixed-cost offer amount

will be adjusted to reflect the cost of the revised hazard mitigation SOW.

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V. Work Completion Deadlines

FEMA only provides PA funding for work completed and costs incurred

357

within regulatory

deadlines (see Figure 17. Work Completion

Deadlines). The deadline for Emergency Work is 6

months from the declaration date. The deadline for

Permanent Work is 18 months from the declaration

date.

358

FEMA considers these timeframes to be a

project's approved POP.

Work completion is defined as the completion of all

work associated with the approved SOW including

meeting all compliance requirements. It does not

include invoice payments, warranty periods, or PA grant management and administration

activities (e.g., compiling and submitting closeout documentation, financial reconciliation,

requesting payment, etc.). If the Applicant determines it needs additional time to complete work,

it must submit a written request for a time extension to the Recipient with the following

information:

• Documentation substantiating delays beyond its control;

• A detailed justification for the delay;

• Status of the work; and

• The project timeline with the projected completion date.

359

The Recipient has authority to extend deadlines for individual projects based on extenuating

circumstances. Except for temporary relocation projects, the Recipient may extend Emergency

Work up to an additional 6 months and Permanent Work up to an additional 30 months.

360

The

Recipient must notify FEMA when it approves a time extension either via FEMA’s systems and

reporting mechanisms or written notification.

361

FEMA has authority to extend individual project deadlines beyond these timeframes if

extenuating circumstances justify additional time.

362

The prime award POP begins on the first day of the incident period and initially extends four

years from the declaration date. Project extensions cannot exceed the Recipient’s prime award

POP. Therefore, the Recipient must request FEMA approval for an extension to the prime award

POP if it anticipates project work to extend beyond the end of the prime award POP.

363

FEMA generally considers the following to be extenuating circumstances beyond the

Applicant’s control:

• Permitting or EHP compliance related delays due to other agencies involved;

• Environmental limitations (such as short construction window);

357

2 C.F.R. § 200.309 and 44 C.F.R. § 206.204(d)(2).

358

44 C.F.R. § 206.204(c)(1).

359

44 C.F.R. § 206.204(d)(2).

360

44 C.F.R. § 206.204(c)(2)(ii).

361

Per 2 C.F.R. § 200.308(d)(2), for non-construction Emergency Work, the Recipient must notify FEMA at least 10

days prior to the project deadline.

362

44 C.F.R. § 206.204(d).

363

The FEMA Chief Financial Officer must approve the request.

Figure 17. Work Completion Deadlines

V4 2020 Page 197

• Inclement weather (site access prohibited or adverse impact on construction); and

• Lack of availability of materials, equipment, or contractors to complete work.

FEMA generally considers the following to be circumstances within the control of the Applicant

and not justifiable for a time extension:

• Permitting or environmental delays due to Applicant delays in requesting permits;

• Lack of funding;

• Change in administration or cost accounting system; and

• Compilation of cost documentation.

Although FEMA only provides PA funding for work performed on or before the approved

deadline, the Applicant must still complete the approved SOW for funding to be eligible.

364

FEMA deobligates funding for any project that the Applicant does not complete. If the Applicant

completes a portion of the approved SOW and the completed work is distinct from the

uncompleted work, FEMA only deobligates funding for the uncompleted work. For example, if

one project includes funds for three facilities and the Applicant restores only two of the three

facilities, FEMA only deobligates the amount related to the facility that the Applicant did not

restore.

Table 8: Information to Support a Time Extension, indicates the information that the Applicant

should submit to support a request for a time extension.

Table 8. Information to Support a Time Extension

Information to Support a Time Extension

Request should be submitted prior to current approved deadline, be specific to one project, and include

the following information with supporting documentation:

 Dates and provisions of all previous time extensions

 Construction timeline / project schedule in support of requested time (required)

 Basis for time extension request (required)

•

Delay in obtaining permits

o Permitting agencies involved and application dates

•

Environmental delays or limitations (e.g., short construction window, nesting seasons)

o Correspondence with various agencies

o Specific details

•

Inclement weather (prolonged severe weather conditions prohibited access to the area, or adversely

impacted construction)

o Specific details

•

Other reason for delay

Specific details

VI. Audits

Recipients and Subrecipients are subject to Federal and non-Federal audits.

Records are subject

to audit by State or Territorial government auditors, FEMA, the U.S. Department of Homeland

364

44 C.F.R. § 206.204(d)(2).

Page 198

Security Office of Inspector General, and the U.S. Government Accountability Office (GAO).

365

FEMA may adjust project funding due to audit findings.

A. Single Audits

A Recipient or Subrecipient that expends $750,000 or more in Federal funds during its fiscal

year must perform a single or program-speciﬁc audit.

366

B. Government Accountability Office

The GAO is the investigatory arm of Congress and is under the direction of the Comptroller

General of the United States. GAO is an independent, nonpartisan agency that investigates how

the Federal Government spends taxpayer dollars. Its mission is to help improve the performance

and accountability of the Federal Government. Although the GAO usually audits FEMA

programs, it has authority to audit any project.

C. Office of the Inspector General

The Department of Homeland Security’s Office of Inspector General (OIG) conducts

independent audits and investigations on FEMA programs, operations, activities, and functions;

how Recipients and Subrecipients expend Federal funds; and oversight of non-Federal audits

such as single audits. The OIG evaluates activities to identify, deter, and address fraud, waste,

and abuse. The OIG has authority to audit any project, including Alternative Procedures Projects.

D. Recovery of Improper Payments

FEMA conducts audit assessments on drawdowns to recover payments identified as improper as

required by the Improper Payments Elimination and Recovery Improvement Act (IPERIA).

FEMA’s Public Assistance Recovery of Improper Payments Standard Operating Procedure

(SOP 9570.16)

367

provides additional information.

365

C.F.R. § 200.336.

366

2 C.F.R. § 200.501.

367

www.fema.

gov/sites/default/files/2020-06/fema_sop9570.16_improper-payment-recoupment-plan_02-28-2014.pdf.

V4 2020

V4 2020 Page 199

CHAPTER 12: FINAL RECONCILIATION AND

CLOSEOUT

Phase VII: Final Reconciliation and Closeout is the final stage of PA Program delivery process.

This chapter provides PA policy and procedural requirements for reconciliation and closeout of

Projects, Subrecipients, and the PA award.

368

I. Project Reconciliation and Closeout

FEMA requires timely and complete project-level information from the Recipient as work is

completed to facilitate efficient and effective closeout of the Recipient’s prime award. This

section defines requirements for project-level closeout. To initiate project-level closeout, the

Subrecipient must inform the Recipient that its project is complete and the date the work was

completed. To ensure a timely closeout process, the Subrecipient should notify the Recipient

immediately as it completes each Large Project and when it has completed its last Small Project.

Subrecipients should not wait for the Quarterly Progress Report to inform the Recipient as it

must meet the 90-day closeout deadlines defined throughout this section.

A. Small Projects

Once FEMA obligates a Small Project, FEMA does not adjust the approved amount of an

individual Small Project. This applies even when FEMA obligates the Project based on an

estimate and actual costs for completing the eligible SOW differ from the estimated amount. To

close Small Projects, the Recipient must submit a Small Project Completion Certification and

certify that:

• The Subrecipient completed the approved SOWs for all of its Small Projects in

accordance with the FEMA-State/Territory/Tribe Agreement; and

• It made all payments in accordance with the FEMA-State/Territory/Tribe agreement.

369

FEMA only adjusts the approved amount on individual Small Projects if one of the following

conditions applies:

• The Subrecipient did not complete the approved SOW;

• The Subrecipient requests additional funds related to an eligible change in SOW; or

• The Project contains inadvertent errors or omissions.

In these cases, FEMA only adjusts the specific cost items affected.

If the total actual cost of all of a Subrecipient’s Small Projects combined exceeds the total

amount obligated for all of the Small Projects, the Subrecipient may request additional funding.

The Subrecipient must request the additional funding through the appeal process, described in

Chapter 3:V.C. Appeal Rights and Requirements, within 60 days of work completion on its last

Small Project.

370

FEMA refers to this as a Net Small Project Overrun (NSPO) appeal. The appeal

368

The language in this document supersedes the language in the December 2013 Public Assistance Program

Management and Grant Closeout Standard Operating Procedure (SOP) 9570.14.

369

44 C.F.R. § 206.205(a).

370

44 C.F.R. § 206.204(e)(2).

V4 2020 Page 200

must include actual cost documentation for all Small Projects that FEMA originally funded

based on estimate amounts.

371

If the Subrecipient is not appealing for an NSPO, the Recipient must submit the certification to

FEMA within 180 days from the latest Small Project work completion date or the latest approved

deadline of the Subrecipient’s Small Projects, whichever is sooner. The Recipient must submit

certification of completion of all of its own Small Projects within 90 days of the latest Small

Project work completion date or the approved deadline of its last Small Projects, whichever is

sooner.

372

Once FEMA receives the Recipient’s certification and completes the necessary review, FEMA

closes the respective Small Projects and notifies the Recipient in writing.

B. Large Projects

FEMA closes Large Projects individually as each is completed.

373

With exception of Capped

Projects, the final eligible amount for a Large Project is the actual documented cost incurred to

complete the eligible SOW.

374

The Subrecipient must provide documentation to support the actual costs within 90 days of work

completion.

375

The Recipient must submit a Large Project Expenditure Report and Completion

Certification and must certify that:

 All incurred costs are associated with the approved SOW;

 The Subrecipient completed all work in compliance with the FEMA-

State/Territory/Tribe Agreement; and

 It made all payments in accordance with 2 C.F.R. § 200.305.

376

The Recipient must submit its certification of the Subrecipient’s completion of each Large

Project with the final claim for PA funding for the Project and supporting documentation to

FEMA within 180 days of the work completion date or the Project deadline, whichever occurs

first.

377

The Recipient must submit its certification for each of its own Large Projects within 90

days of the work completion date or the Project deadline, whichever occurs first. If work on a

Large Project is complete prior to obligation, the Applicant must still submit actual cost

documentation within the 90 days of work completion. However, the Recipient’s certification

and final payment of claim is due within 180-days from the date of obligation.

At a minimum, Large Project closeout packages must include:

 A cost breakdown identifying the individual elements that comprise the total actual costs

claimed;

 Subrecipient’s accounting of Project expenditures and dates of expenditures (such as a

report from its accounting system);

371

44 C.F.R. § 206.204(e).

372

2 C.F.R. § 200.343.

373

44 C.F.R. § 206.205(b).

374

44 C.F.R. § 206.203(c)(1).

375

44 C.F.R. § 206.205(b)(1) and 2 C.F.R. § 200.343.

376

44 C.F.R. § 206.205(b)(1).

377

2 C.F.R. § 200.343. FEMA allows 180 days based on the combined allowance of 90 days for the Subrecipient

and 90 days for the Recipient.

V4 2020 Page 201

 All applicable documentation to support the actual costs as identified in Chapter 6. Cost

Eligibility;

 Documentation sufficient for FEMA to validate the work performed was consistent with

the approved SOW;

 Documentation to substantiate compliance with all terms and conditions of the award

(e.g., EHP compliance documentation and insurance policies showing additional

coverage obtained); and

 A summary explaining the documentation submitted.

Prior to closing Projects, FEMA:

• Verifies there are no outstanding appeals or arbitration cases;

• Reviews the invoices and other documentation related to the work performed to validate

it was consistent with the approved SOW, including completion of any approved PA

mitigation;

• Determines whether the Subrecipient completed the work within the approved deadline

(FEMA limits reimbursement to costs incurred within the deadline);

• Ensures no duplication of funding exists (e.g., with insurance or costs in any other related

Projects);

• Validates compliance with cost principles, including, but not limited to:

o Equipment and property disposition;

o Procurement and contracting; and

o Reasonableness of costs (FEMA limits reimbursement to what it can determine to

be reasonable).

• Validates compliance with all terms and conditions of the award, including, but not

limited to:

o Code and standard requirements;

o EHP requirements; and

o Insurance obtain and maintain requirements.

• FEMA reviews and verifies the accuracy of the actual costs and evaluates and reconciles

any cost overruns or underruns. If the information is extensive, such as payroll records or

trip tickets, FEMA selects and reviews a representative sample of the documents. If

FEMA successfully validates the sample, it considers all of the records to be correct.

However, if FEMA identifies errors it works with the Recipient to correct the errors and

reviews a larger sample. If necessary, based on the number or significance of the errors,

FEMA may return the final claim for correction and resubmittal. For Projects with

funding changes, FEMA prepares a project amendment and obligates additional funds or

reduces funding based on actual costs to complete the eligible SOW.

378

If the Project included approved PA mitigation measures; FEMA does not re-evaluate the cost-

effectiveness of the PA mitigation based on the final actual cost. If during the review, FEMA

determines that the Subrecipient performed work that was not included in the approved SOW,

the Subrecipient jeopardizes its funding. FEMA designates the project as an Improved Project,

378

44 C.F.R. § 206.205(b)(2).

V4 2020 Page 202

reviews the additional SOW for EHP compliance, and either deobligates or caps funding at the

original estimated amount, depending on the outcome of the review.

379

For Capped Projects, the Subrecipient must provide documentation to support that it used the

funds in accordance with the eligibility criteria described in Chapter 8:VIII.B. Use of Capped

Project Funds.

If the Applicant did not comply with all Federal requirements (e.g., procurement and contracting,

codes and standards, EHP, insurance, etc.), FEMA may deobligate either all or a portion of the

funding.

Once FEMA completes its review and funding adjustments, FEMA closes the Project and

notifies the Recipient in writing.

C. Alternative Procedures Permanent Work Projects

Work must be completed by the end of the latest Alternative Procedures Project period of

performance and the Recipient must certify that all incurred costs are associated with the

approved SOW and that the Subrecipient completed all work in accordance with FEMA

regulations and policies. The Recipient must submit its certification to FEMA within 180 days of

the Subrecipient completing its last Alternative Procedures Project or the latest Alternative

Procedure Project deadline, whichever occurs first, in order for the Subrecipient to retain and use

any excess funds.

The closeout certification must include a final report of Alternative Procedures Project costs and

documentation to support the following:

 Summary of actual work completed;

 Mitigation measures achieved, if applicable;

 Compliance with EHP requirements;

 Compliance with the obtain and maintain insurance requirement;

 Summary of total actual costs to complete the Alternative Procedure Projects;

 Compliance with Federal procurement procedures; and

 Actual insurance proceeds received.

Subrecipients do not need to track costs to specific work items. Subrecipients only need to

substantiate and certify that all claimed costs are related to the overall work deemed eligible for

the Alternative Procedure Projects.

D. Subrecipients

The Recipient needs to request that FEMA close each Subrecipient once all of its respective

Projects have been completed and closed for the disaster. The Recipient may either request this

in the same submittal as the Subrecipient’s last Project closeout request or may submit a separate

request. The request should include a Project Completion Certification Report as it lists all of the

Subrecipient’s Projects.

379

44 C.F.R. § 206.203(d)(1).

V4 2020 Page 203

If all of the Subrecipient’s Projects are closed and there are no outstanding audits, FEMA closes

the Subrecipient and notifies the Recipient in writing.

II. Stafford Act Section 705

Stafford Act Section 705 imposes a 3-year limit on FEMA’s authority to recover payments made

to SLTT government Recipients and Subrecipients unless there is evidence of fraud. Section 705

does not apply to PNPs. To ensure consistent application of the provisions contained in Section

705, FEMA issued Recovery Policy (FP 205-081-2), Stafford Act Section 705, Disaster Grant

Closeout Procedures, which describes the limitations and requirements in detail.

380

III. Public Assistance Award Closeout

The Recipient must submit its final FFR (SF-425) with a written request to close the PA award.

FEMA and the Recipient certify that all work was completed, all eligible costs have been

reimbursed, and financially reconciled. The PA program is programmatically closed when

FEMA ensures that all PA Projects awarded for the incident met statutory and regulatory

requirements. For FEMA to close the PA award, the following conditions should be met:

• FEMA has issued final determinations on all appeals;

• FEMA has obligated all eligible PA funding;

• The Recipient and Subrecipients have completed all PA Projects and have met the

statutory and regulatory requirements governing the program, including compliance with

EHP requirements and insurance purchase requirements;

• The Recipient has passed through all obligated funds appropriately and submitted its final

expenditure report to FEMA;

• FEMA has adjusted the funding level for the program, as appropriate; and

• Both FEMA and the Recipient have completed all administrative actions related to the

PA Program.

The Recipient must liquidate all obligations within 90 days of the end of the prime award period

of performance.

IV. Documentation Retention Requirements

Subrecipients must maintain all source documentation for each Project

381

for 3 years after the

date of transmission of the final expenditure report for project completion as certified by the

Recipient.

382

The Recipient must keep all financial and program documentation

383

for 3 years

after the date it submits the final SF-425. There are several exceptions to this timeframe that may

require longer retention periods, including exceptions relating to real property and equipment

disposition, audits, and litigation.

384

Additionally, SLTT government laws may require longer

retention periods.

380

www.fema.gov/sites/default/files/2020-04/FP_205-081-2_Stafford_Act--Section_705_Policy.pdf.

381

2 C.F.R. § 200.302(b)(3).

382

Stafford Act § 705(b)(1), 42 U.S.C. § 5205. See FEMA Policy 205-081-2, Stafford Act Section 705, Disaster

Grant Closeout Procedures for additional details.

383

2 C.F.R. § 200.302(b)(3).

384

2 C.F.R. § 200.333.

V4 2020 Page 204

ABBREVIATIONS AND ACRONYMS

ACSR Aluminum Conductor Steel Reinforced

ADA Americans with Disabilities Act

BCA Benefit-Cost Analysis

BFE Base Flood Elevation

BIA Bureau of Indian Affairs

CAA Clean Air Act

CATEX Categorical Exclusion

CBRA Coastal Barrier Resources Act

CBRS Coastal Barrier Resource System

CDC Centers for Disease Control and Prevention

CERCLA Comprehensive Environmental Response Compensation and Liability Act

C.F.R. Code of Federal Regulations

CRC Consolidated Resource Center

CWA Clean Water Act

CZMA Coastal Zone Management Act

DFA Direct Federal Assistance

DMP Debris Management Plan

EA Environmental Assessment

EHP Environmental and Historic Preservation

EIS Environmental Impact Statement

EMAC Emergency Management Assistance Compact

Executive Order

EOC Emergency Operation Center

EPA U.S. Environmental Protection Agency

ER Emergency Relief (Program)

ERFO Emergency Relief for Federally Owned Roads (Program)

ESA Endangered Species Act

EWP Emergency Watershed Protection Program

FCO Federal Coordinating Officer

FHWA Federal Highway Administration

FIRM Flood Insurance Rate Map

V4 2020 Page 205

FMAG Fire Management Assistance Grant

FP FEMA Recovery Policy

FSR Financial Status Report

GPS Global Positioning System

HEPA High-Efficiency Particulate Air

HHS U.S. Department of Health and Human Services

HHW household hazardous waste

HMA Hazard Mitigation Assistance

HMGP Hazard Mitigation Grant Program

HMP Hazard Mitigation Proposal

HUD U.S. Department of Housing and Urban Development

HVAC heating, ventilation, and air conditioning

IBD Infrastructure Branch Director

IA Individual Assistance

IHP Individuals and Households Program

JFO Joint Field Office

NCEI National Centers for Environmental Information

NEPA National Environmental Policy Act

NFIP National Flood Insurance Program

NHPA National Historic Preservation Act

NMFS National Marine Fisheries Service

NRCS Natural Resources Conservation Service

NWS National Weather Service

PA Public Assistance

PAGS Public Assistance Group Supervisor

PDA Preliminary Damage Assessment

PNP Private Nonprofit

PDMG Program Delivery Manager

PDTFL Program Delivery Task Force Leader

RA Regional Administrator

RCRA Resource Conservation and Recovery Act

RIP Rehabilitation and Inspection Program

ROW Right-of-Way

V4 2020 Page 206

RPA Request for Public Assistance

RUS Rural Utilities Service

SBA U.S. Small Business Administration

SFHA Special Flood Hazard Area

SHPO State Historic Preservation Officer

SI Site Inspector

SOW Scope of Work

STATEX Statutory Exclusion

T&M time and materials

TFL Task Force Leader

THPO Tribal Historic Preservation Officer

USACE U.S. Army Corps of Engineers

U.S.C. United States Code

USCG U.S. Coast Guard

USDA U.S. Department of Agriculture

USFWS U.S. Fish and Wildlife Service

V4 2020 Page 207

REFERENCES AND RESOURCES

Public Assistance Program References

• https://www.fema.gov/assistance/public

• Archived Policy Documents: Archives: FEMA Public Assistance Policy | FEMA.gov

• Archived Publications: Archive: Public Assistance Publications | FEMA.gov

• Cost Estimating Format (CEF) for Large Projects Standard Operating Procedure

(FEMA SOP 9570.8): https://www.fema.gov/assistance/public/cost-estimating-tool

• Damage Assessment Operations Manual: Damage Assessment Operations Manual

(fema.gov)

• Debris Estimating Field Guide (FEMA 329):

www.fema.gov/pdf/government/grant/pa/fema_329_debris_estimating.pdf

• Direct Reimbursement for Host-State Evacuation and Sheltering Costs (FEMA SOP

9570.1): www.fema.gov/9570.1-host-state-sheltering_sop.pdf

• Environmental and Historic Preservation (EHP) Fact Sheet for Debris Removal

Activities: https://www.fema.gov/grants/guidance-tools/environmental-historic

• Equipment Rates: www.fema.gov/schedule-equipment-rates

• Infectious Disease Event Fact Sheet (FP 104-009-001): Infectious Disease Event, Fact

Sheet (www.fema.gov)

• Mission Assignments for ESF #10 (FEMA 9523.8): www.fema.gov

• FEMA Recovery Interim Policy, Consensus-Based Codes, Specifications and Standards

for Public Assistance (FP 104-009-11): Consensus-Based Codes and Standards V2.1 -

DRRA 1235(b) (fema.gov)

• FEMA Recovery Policy, Public Assistance Management Costs (Interim) (FP 104-11-2):

www.fema.gov/sites/default/files/2020-07/pa_management_costs_interim_policy.pdf

• Field Manual (Procurement Information for FEMA Public Assistance Award Recipients

and Subrecipients): Field Manual PDAT (fema.gov)

• Public Assistance Building Back Better Fact Sheet: Public Assistance Building Back

Better (fema.gov)

• Public Assistance Fact Sheet: Policy, Guidance and Fact Sheets | FEMA.gov

• Public Assistance Management Costs Interim Policy Fact Sheet: https://www.fema.gov/

sites/default/files/2020-07/fema_pa_management-costs-interim_policy.pdf

• Public Assistance Management Costs Standard Operating Procedures:

PA Management Costs SOP (fema.gov)

• Private Nonprofit Houses of Worship Fact Sheet: Private Nonprofit Houses of Worship

FAQ (fema.gov)

• Public Assistance Debris Removal Tips Fact Sheet: www.fema.gov/sites/default/

files/2020-07/fema_pa_debris-removal-tips.pdf

• Public Assistance Policy on Insurance (FP 206-086-1): www.fema.gov/sites/default/

files/2020-05/FP206-086-1_PublicAssistancePolicyInsurance_062915.pdf

V4 2020 Page 208

• Public Assistance Policy on Stafford Act Section 705, Disaster Grant Closeout

Procedures (FP 205-081-2): FP 205-081-2 Stafford Act Section 705 Policy (fema.gov)

• Public Assistance Recovery of Improper Payments Standard Operating Procedures

(FEMA SOP 9570.16): SOP 9570.16 Improper Payment Recoupment (fema.gov)

• Recommended Post Earthquake Evaluation and Repair Criteria for Welded Steel Moment

Frame Buildings (FEMA 352): www.nehrp.gov/pdf/fema352.pdf

• Safe Rooms for Tornadoes and Hurricanes, Guidance for Community and Residential

Safe Rooms (FEMA P-361): www.fema.gov/sites/default/files/2020-07/safe-rooms-

tornadoes-hurricanes.pdf

• Small Business Administration Loans: www.sba.gov/content/sba-loans

• State-Led Public Assistance Guide: www.fema.gov/sites/default/files/2020-07/

fema_state-led-public-assistance_Guide_2-1-2019.pdf

• Strategic Funds Management – Implementation Procedures for the PA Program (FEMA

SOP 9570.24): www.fema.gov/2020-07/fema_9570.24_startegic-funds-mgmt.pdf

• Validation of Small Projects (FEMA SOP 9570.6): SOP Validation 7-2-cover.doc

(fema.gov)

Forms

• Application for Federal Assistance (SF-424) and Assurances (SF 424-D):

www.grants.gov/forms/sf-424-family.html

• Federal Financial Status Report (FFR) (SF-425): www.grants.gov/forms/post-award-

reporting-forms.html

• Request for Public Assistance: www.fema.gov/assistance/public/apply

Statutes

• The Robert T. Stafford Disaster Relief and Emergency Assistance Act, as Amended

(Stafford Act), Title 42 of the United States Code (U.S.C.) § 5121 et seq.

• www.fema.gov/robert-t-stafford-disaster-relief-and-emergency-assistance-act-public-law-

93-288-amended

• Federally Recognized Tribe List Act of 1994:

http://uscode.house.gov/statutes/pl/103/454.pdf

Code of Federal Regulations

• Title 2 of the Code of Federal Regulations (C.F.R.), Grants and Agreements:

www.ecfr.gov/cgi-bin/text-

idx?SID=6bb67f6254dbbfb229adddfa247ca4eb&mc=true&tpl=/ecfrbrowse/Title02/2tab

_02.tpl

• 2 C.F.R. Part 200, Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards: www.ecfr.gov/cgi-bin/text-

idx?SID=6bb67f6254dbbfb229adddfa247ca4eb&mc=true&node=pt2.1.200&rgn=div5

• 7 C.F.R. § 1730.25, Corrective action (Rural Utilities Service [RUS] borrowers only):

www.ecfr.gov/cgi-bin/text-

V4 2020 Page 209

idx?SID=6bb67f6254dbbfb229adddfa247ca4eb&mc=true&node=pt7.11.1730&rgn=div5

#se7.11.1730_125

• 15 C.F.R. Part 774, The Commerce Control List: www.ecfr.gov/cgi-bin/text-

idx?SID=6bb67f6254dbbfb229adddfa247ca4eb&mc=true&node=pt15.2.774&rgn=div5

• 22 C.F.R. Part 121, The United States Munitions List: www.ecfr.gov/cgi-bin/text-

idx?SID=6bb67f6254dbbfb229adddfa247ca4eb&mc=true&node=pt22.1.121&rgn=div5

• 40 C.F.R. Part 261, Identification and Listing of Hazardous Waste: www.ecfr.gov/cgi-

bin/text-

idx?SID=6bb67f6254dbbfb229adddfa247ca4eb&mc=true&node=pt40.26.261&rgn=div5

• 40 C.F.R. Parts 1500–1508, NEPA Regulations: www.ecfr.gov/cgi-bin/text-

idx?SID=6bb67f6254dbbfb229adddfa247ca4eb&mc=true&tpl=/ecfrbrowse/Title40/40cfr

v33_02.tpl#1500

• 44 C.F.R., Emergency Management and Assistance: www.ecfr.gov/cgi-bin/text-

idx?SID=e9db96b738b11340c696c4ee451d3865&mc=true&tpl=/ecfrbrowse/Title44/44t

ab_02.tpl

• 44 C.F.R. Part 9, Floodplain Management and Protection of Wetlands:

www.ecfr.gov/cgi-bin/text-

idx?SID=e9db96b738b11340c696c4ee451d3865&mc=true&node=pt44.1.9&rgn=div5

• 44 C.F.R. Part 201, Mitigation Planning: www.ecfr.gov/cgi-bin/text-

idx?SID=e9db96b738b11340c696c4ee451d3865&mc=true&node=pt44.1.201&rgn=div5

• 44 C.F.R. Part 204, Fire Management Assistance Grant (FMAG) Program:

www.ecfr.gov/cgi-bin/text-

idx?SID=e9db96b738b11340c696c4ee451d3865&mc=true&node=pt44.1.204&rgn=div5

• 44 C.F.R. Part 206, Federal Disaster Assistance: www.ecfr.gov/cgi-bin/text-

idx?SID=e9db96b738b11340c696c4ee451d3865&mc=true&node=pt44.1.206&rgn=div5

• 48 C.F.R. Subpart 2.1, Federal Acquisition Regulation: www.ecfr.gov/cgi-bin/text-

idx?SID=6bb67f6254dbbfb229adddfa247ca4eb&mc=true&node=pt48.1.2&rgn=div5#sp

48.1.2.2_11

Environmental Protection Laws and Executive Orders

• Clean Air Act (CAA): www.epa.gov/air/caa/

• Clean Water Act (CWA): www.epa.gov/laws-regulations/summary-clean-water-act

• Coastal Barrier Resources Act (CBRA): www.fws.gov/ecological-services/habitat-

conservation/cbra/Act/index.html

• John H. Chafee Coastal Barrier Resources System (CBRS): www.fws.gov/ecological-

services/habitat-conservation/coastal.html

• Coastal Zone Management Act (CZMA): coast.noaa.gov/czm/act/

• Comprehensive Environmental Response Compensation and Liability Act (CERCLA):

www.epa.gov/superfund/policy/cercla.htm

• Endangered Species Act (ESA): www.fws.gov/endangered/laws-policies/

V4 2020 Page 210

• Farmland Protection Policy Act (FPPA):

www.nrcs.usda.gov/wps/portal/nrcs/detail/?cid=nrcs143_008275

• Fish and Wildlife Coordination Act: www.fws.gov/laws/lawsdigest/fwcoord.html

• Magnuson-Stevens Fishery Conservation and Management Act:

www.fisheries.noaa.gov/resource/document/magnuson-stevens-fishery-conservation-

and-management-act

• Migratory Bird Treaty Act: www.fws.gov/laws/lawsdigest/migtrea.html

• National Environmental Policy Act (NEPA): www.epa.gov/nepa

• Resource Conservation and Recovery Act (RCRA): www.epa.gov/rcra

• Wild and Scenic Rivers Act: www.rivers.gov/wsr-act.php

• Executive Order (EO) 11988, Floodplain Management: https://www.fema.gov/

emergency-managers/practitioners/environmental-historic/laws/descriptions#11988

• EO 11990, Protection of Wetlands: https://www.fema.gov/emergency-managers/

practitioners/environmental-historic/laws/descriptions#11990

• EO 12898, Environmental Justice: https://www.fema.gov/emergency-managers/

practitioners/environmental-historic/laws/descriptions#12898

Historic Preservation Laws and Tools

• Advisory Council on Historic Preservation: www.achp.gov

• American Institute for Conservation Code of Ethics and Guidelines for Practice:

www.culturalheritage.org/about-conservation/code-of-ethics

• National Historic Preservation Act (NHPA): www.nps.gov/history/local-

law/nhpa1966.htm

• National Register of Historic Places: www.nps.gov/subjects/nationalregister/index.htm

Other Laws and EOs

• Americans with Disabilities Act (ADA): www.ada.gov

• EO 13717, Establishing a Federal Earthquake Risk Management Standard:

www.gpo.gov/fdsys/pkg/FR-2016-02-05/pdf/2016-02475.pdf

Federal Emergency Management Agency References

• FEMA: www.fema.gov

• FEMA Stafford Act Declaration Process Fact Sheet: https://www.fema.gov/disasters/

how-declared

• FMAG Program: www.fema.gov/fire-management-assistance-grant-program

o FMAG Program Guide (FEMA P-954): www.fema.gov/sites/default/

files/2020-06/FMAG-guide-feb-2014_02-28-2014.pdf

• Federal Insurance and Mitigation Administration (FIMA): www.fema.gov/about/

offices/insurance-mitigation

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o FIMA Policy (FP 306-112-1): www.fema.gov/about/offices/insurance-

mitigation

o National Flood Insurance Program (NFIP): www.fema.gov/flood-insurance

o Hazard Mitigation Assistance (HMA) Programs: www.fema.gov/grants/

mitigation

o HMA Guidance: Hazard Mitigation Assistance Guidance | FEMA.gov

o Hazard Mitigation Grant Program (HMGP): www.fema.gov/grants/mitigation

o State Hazard Mitigation Officer: www.fema.gov/grants/mitigation/state-contacts

• Individual Assistance (IA) Programs: www.fema.gov/assistance/individual

o Individuals and Households Program (IHP): www.fema.gov/

assistance/individual/program

• National Disaster Recovery Framework (NDRF): www.fema.gov/emergency-

managers/national-preparedness/frameworks/recovery

• National Response Framework (NRF): www.fema.gov/emergency-managers/

national-preparedness/frameworks/response

Other Federal Agencies

• Bureau of Indian Affairs (BIA): www.indianaffairs.gov

• Federal Highway Administration (FHWA): www.fhwa.dot.gov

o FHWA Emergency Relief Program (ERP):

www.fhwa.dot.gov/programadmin/erelief.cfm

• National Oceanic and Atmospheric Administration (NOAA): www.noaa.gov

o National Marine Fisheries Service (NMFS): www.nmfs.noaa.gov

o National Centers for Environmental Information (NCEI), formerly known as the

National Climatic Data Center (NCDC): www.ncei.noaa.gov

o NWS Cooperative Network Stations: www.nws.noaa.gov/om/coop/

• Natural Resources Conservation Service (NRCS): www.nrcs.usda.gov

o NRCS Emergency Watershed Protection Program (EWP):

www.nrcs.usda.gov/wps/portal/nrcs/main/national/programs/landscape/ewpp

• National Weather Service (NWS): www.weather.gov

• U.S. Army Corps of Engineers (USACE): www.usace.army.mil

o USACE Rehabilitation and Inspection Program (RIP):

www.usace.army.mil/Missions/CivilWorks/LeveeSafetyProgram/LeveeInspection

s.aspx

• U.S. Coast Guard (USCG): www.uscg.mil

• U.S. Department of Agriculture (USDA): www.usda.gov

o Farm Service Agency: www.fsa.usda.gov

• U.S. Department of Health and Human Services (HHS): www.hhs.gov

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o Centers for Disease Control and Prevention (CDC): www.cdc.gov

• U.S. Department of Homeland Security (DHS): www.dhs.gov

o DHS Office of Inspector General (OIG): www.oig.dhs.gov

• U.S. Department of Housing and Urban Development (HUD): www.hud.gov

o Community Development Block Grant Program:

www.hud.gov/program_offices/comm_planning/communitydevelopment/program

• U.S. Department of Labor: www.dol.gov

• U.S. Environmental Protection Agency (EPA): www.epa.gov

• U.S. Fish and Wildlife Service (USFWS): www.fws.gov

• U.S. Government Accountability Office (GAO): www.gao.gov

V4 2020 Page 213

TERMS AND DEFINITIONS

Acquisition cost

The net invoice price of equipment including the cost of modifications, attachments, accessories,

or auxiliary apparatus necessary to make it usable for the purpose it was acquired. Other charges

such as the cost of installation, transportation, taxes, duty, or protective in-transit insurance, shall

be included or excluded from the unit acquisition cost in accordance with the Recipient’s regular

accounting practices.

Animal

Any living or dead member of the animal kingdom, including any mammal, fish, bird,

amphibian, reptile, mollusk, crustacean, arthropod, or other invertebrate or any part thereof.

Applicant

A non-Federal entity submitting an application for assistance under the Recipient’s Federal

award.

Assistance Animal

An animal that works, provides assistance, or performs tasks for the benefit of a person with a

disability, or provide emotional support that alleviates identified symptoms or effects of a

person’s disability. Although dogs are the most common type of assistance animal, other animals

can also be assistance animals.

Award (Federal)

The financial assistance that a non-Federal entity receives either directly from a Federal

awarding agency or indirectly from a pass-through entity; or the cost-reimbursement contract

under the Federal Acquisition Regulation that a non-Federal entity receives directly from a

Federal awarding agency or indirectly from a pass-through entity.

Backfill Employee

A replacement employee who performs the regular duties of other personnel.

Coastal zone

The coastal waters (including the lands therein and thereunder) and the adjacent shorelands

(including the waters therein and thereunder), strongly influenced by each other and in proximity

to the shorelines of coastal States, including islands, transitional and intertidal areas, salt

marshes, wetlands, and beaches.

Cost-to-charge ratio

A ratio established by Medicare to estimate a medical service provider’s actual costs in relation

to its charges.

Critical action

An action for which even a slight chance of flooding is too great. The minimum floodplain of

concern for critical actions is the 500-year floodplain (also referred to as the critical action

floodplain).

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Current fair market value

The value of equipment and supplies determined by selling them in a competitive market or by

researching advertised prices for similar items on the used market.

Duplication of Benefits

Funding received from two sources for the same item of work.

Educational institution

Any elementary school as defined by section 801(c) of the Elementary and Secondary Education

Act of 1965; any secondary school as defined by section 801(h) of the Elementary and

Secondary Education Act of 1965; or any institution of higher education as defined by section

1201 of the Higher Education Act of 1965.

Emergency

Any occasion or instance for which the President determines Federal assistance is needed to

supplement SLTT efforts and capabilities to save lives and to protect property and public health

and safety, or to lessen or avert the threat of a catastrophe in any part of the United States.

Emergency Protective Measure

An action taken by a community before, during, and after an incident to save lives, protect public

health and safety, and prevent damage to improved public and private property.

Emergency Work

Work that must be done immediately to save lives, protect improved property, protect public

health and safety, or avert or lessen the threat of a major disaster.

Equipment

Tangible personal property, including information technology systems, having a useful life of

more than 1 year and a per-unit acquisition cost that equals or exceeds the lesser of the

capitalization level established by the non-Federal entity for financial statement purposes, or

$5,000.

Facility

Any publicly or privately-owned building, works, system or equipment—built or

manufactured—or an improved and maintained natural feature. Land used for agricultural

purposes is not a facility.

Federal agency

Any department, independent establishment, government corporation, or other agency of the

executive branch of the Federal Government, including the United States Postal Service, but not

including the American National Red Cross.

Federal share

The portion of the total project costs that are paid by Federal funds.

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Final expenditure report

The report the Recipient submits to FEMA for all of a Subrecipient’s Projects, certifying that the

grant terms and conditions have been met and project costs are reconciled.

Flood control work

A structure such as a levee, flood wall, flood control channel, or water control structure that was

designed and constructed to have appreciable effects in preventing damage by irregular and

unusual rises in water level.

Flood fighting

An activity or measure (e.g., sandbagging, buttressing) intended to prevent or stop flooding, at

levels above flood stage, or to prevent structural failure.

Force account

An Applicant’s own labor forces and equipment.

Fringe benefits

A percentage of the actual wages that pays for employee benefits.

Immediate threat

The threat of additional damage or destruction from an event that can reasonably be expected to

occur within 5 years.

Improved property

A structure, facility, or item of equipment that was built, constructed, or manufactured. Land

used for agricultural purposes is not improved property.

Incident period

The time span during which the disaster-causing incident occurs.

Indian Tribal Government

Any federally recognized governing body of an Indian or Alaska Native Tribe, band, nation,

pueblo, village, or community that the Secretary of the Interior acknowledges to exist as an

Indian Tribe under the Federally Recognized Tribe List Act of 1994, Title 25 of the U.S. Code

(U.S.C.) 479a. This does not include Alaska Native corporations, the ownership of which is

vested in private individuals.

Indirect cost

A cost incurred for a common or joint purpose benefiting more than one cost objective that is not

readily assignable to the cost objectives specifically benefited.

Inland zone

The environment inland of the coastal zone excluding the Great Lakes and specified ports and

harbors on inland rivers. Precise boundaries are identified in Federal regional contingency plans.

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Large Project

A project for which the final obligated (Federal and non-Federal) amount is equal to or greater

than the annually adjusted cost threshold for small project grants.

Local government

A county, municipality, city, town, township, local public authority, school district, special

district, intrastate district, council of governments(regardless of whether the council of

governments is incorporated as a nonprofit corporation under State law), regional or interstate

government entity, or agency or instrumentality of a local government; an Indian Tribe or

authorized tribal organization, or Alaska Native village or organization that does not meet the

definition of Indian Tribal Government; or a rural community, unincorporated town or village, or

other public entity, for which an application for assistance is made by a State or political

subdivision of a State.

Major disaster

Any natural catastrophe (including any hurricane, tornado, storm, high water, wind-driven water,

tidal wave, tsunami, earthquake, volcanic eruption, landslide, mudslide, snowstorm, or drought),

or, regardless of cause, any fire, flood, or explosion, in any part of the United States, for which

the President determines causes damage of sufficient severity and magnitude to warrant major

disaster assistance under the Robert T. Stafford Disaster Relief and Emergency Assistance Act,

as Amended to supplement the efforts and available resources of SLTT governments and disaster

relief organizations in alleviating the damage, loss, hardship, or suffering caused thereby.

Management cost

Any indirect cost, any direct administrative cost, and any other administrative expense associated

with a specific project under a major disaster or emergency.

Museum

A facility that preserves and exhibits a documented collection of artistic, historic, scientific, or

other objects.

Non-Federal entity

An institution of higher education, nonprofit organization, local government, Indian Tribe, or

State that carries out a Federal award as a Recipient or Subrecipient.

Pass-through entity

A non-Federal entity that provides a subaward to a Subrecipient to carry out part of a Federal

program.

Period of performance

The time during which the non-Federal entity may incur new obligations to carry out the work

authorized under the Federal award.

Permanent Work

Restorative work that must be performed through repairs or replacement to restore an eligible

facility on the basis of its pre-disaster design and current applicable codes and standards.

Personal property

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Property other than real property. It may be tangible, having physical existence, or intangible.

Pet (household)

A Domesticated animal that is traditionally kept in the home for pleasure rather than for

commercial purposes, can travel in a commercial carrier, and can be housed in a temporary

facility. Examples are dogs, cats, birds, rabbits, rodents, and turtles. Household pets do not

include reptiles (except turtles), amphibians, fish, insects, arachnids, farm animals (including

horses), or animals kept for racing purposes.

Pre-disaster design

The size or capacity of a facility as originally designed and constructed or subsequently modified

by changes or additions to the original design. It does not mean the capacity at which the facility

was being used at the time the major disaster occurred if different from the most recent designed

capacity.

Pre-disaster function

The function the facility was performing immediately prior to the disaster.

Private nonprofit organization

Any nongovernmental agency or entity that currently has an effective ruling letter from the U.S.

Internal Revenue Service, granting tax exemption under Sections 501(c), (d), or (e) of the

Internal Revenue Code, or satisfactory evidence from the State that the nonrevenue producing

organization or entity is a nonprofit one organized or doing business under State law.

Private roads

Roads that are not owned or operated by or otherwise the legal responsibility of a Federal or

SLTT entity (including orphan roads, roads in gated communities, homeowners’ association

roads, etc.).

PNP custodial care facility

A building, structure, or system, including those for essential administration and support, that is

used to provide institutional care for persons who require close supervision and some physical

constraints on their daily activities for their self-protection, but do not require day-to-day medical

care.

PNP educational facility

Classrooms plus related supplies, equipment, machinery, and utilities of an educational

institution necessary or appropriate for instructional, administrative, and support purposes.

PNP emergency facility

A building, structure, equipment, or system used to provide emergency services, such as fire

protection, ambulance, or rescue, to the general public, including the administrative and support

facilities essential to the operation of such emergency facilities, even if not contiguous.

PNP medical facility

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A hospital, outpatient facility, rehabilitation facility, or facility for long-term care as such terms

are defined in Section 645 of the Public Health Service Act (42 U.S.C. 291o) and any similar

facility offering diagnosis or treatment of mental or physical injury or disease, including the

administrative and support facilities essential to the operation of such medical facilities even if

not contiguous.

Project

A logical grouping of work required as a result of the declared major disaster or emergency.

Providing entity

The entity providing mutual aid assistance to a requesting entity pursuant to a local or statewide

mutual aid agreement.

Public entity

An organization formed for a public purpose whose direction and funding are provided by one or

more political subdivisions of the State.

Public facility

Any of the following facilities owned by a SLTT government: any flood control, navigation,

irrigation, reclamation, public power, sewage treatment and collection, water supply and

distribution, watershed development, or airport facility; any non-Federal aid, street, road, or

highway; and any other public building, structure, or system, including those used for

educational, recreational, or cultural purposes; or any park.

Real property

Land, including land improvements, structures, and appurtenances thereto, but excludes

moveable machinery and equipment.

Recipient

A non-Federal entity that receives a Federal award directly from a Federal awarding agency to

carry out an activity under a Federal program.

Reasonable cost

A cost is reasonable if, in its nature and amount, it does not exceed that which would be incurred

by a prudent person under the circumstances prevailing at the time the decision was made to

incur the cost. In other words, a reasonable cost is a cost that is both fair and equitable for the

type of work being performed.

Rehabilitation facility

A facility that primarily provides diagnosis and treatment for rehabilitation of injuries,

disabilities, or illness. (Consistent with the definition of “comprehensive outpatient rehabilitation

facility” in 42 U.S.C. § 1395x(cc)(2)).

Request for Public Assistance

The form a public entity or PNP organization uses to apply for assistance under the Public

Assistance Program.

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Requesting Entity

An entity that requests mutual aid assistance from a Providing Entity for work resulting from a

declared fire, emergency, or major disaster within its legal jurisdiction.

Service animal

A dog that is individually trained to do work or perform tasks for people with disabilities or

access and functional needs.

Simplified acquisition threshold

The dollar amount below which a non-Federal entity may purchase property or services using

small purchase methods. The simplified acquisition threshold is set by the Federal Acquisition

Regulation at 48 C.F.R. Subpart 2.1 (Definitions) and in accordance with 41 U.S.C. 1908. As of

the publication of this part, the simplified acquisition threshold is $150,000, but this threshold is

periodically adjusted for inflation.

Small Project

A project for which the final obligated (Federal and non-Federal) amount is less than the

annually adjusted cost threshold for small project grants.

Special Flood Hazard Area

The land area subject to inundation during a flood having a 1 percent chance of being equaled or

exceeded in a given year (also referred to as the base flood or 100-year flood). Special Flood

Hazard Areas are shown on FIRMs published by FEMA.

State

Any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico,

U.S. Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana

Islands.

Subaward

An award provided by a pass-through entity to a Subrecipient for the Subrecipient to carry out

part of a Federal award received by the pass-through entity. It does not include payments to a

contractor or payments to an individual that is a beneficiary of a Federal program.

Subrecipient

A non-Federal entity that receives a subaward from a pass-through entity to carry out part of a

Federal program. It does not include an individual that is a beneficiary of such program. A

Subrecipient may also be a Recipient of other Federal awards directly from a Federal awarding

agency.

Substantial Damage

Damage of any origin sustained by a structure whereby the cost of restoring the structure to its

before damaged condition would equal or exceed 50 percent of the market value of the structure

before the damage occurred.

Supply

Any tangible personal property other than that meeting the definition of equipment.

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Trust land

Land, the title to which is held by the United States in trust for an Indian Tribe or individual, or

which is held by an Indian Tribe or individual subject to a restriction by the United States against

alienation. “Trust or restricted interest in land” or “trust or restricted interest in a parcel of land”

means an interest in trust land. Collectively referred to as “trust lands.”

Wetland

An area that is saturated by water with a frequency sufficient to support or, under normal

hydrologic conditions would support, a prevalence of vegetation or aquatic life typically adapted

to saturated or seasonally saturated soil conditions (e.g., swamp, fresh and saltwater marsh, bog,

fen).

Zoo

Any facility maintained under the care of a Doctor of Veterinary Medicine, in which live

animal(s) are kept for public exhibition or education. Aquariums and wildlife or zoological parks

may meet this definition.

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APPENDIX A: ENVIRONMENTAL AND

HISTORIC PRESERVATION COMPLIANCE

The following statutes and Executive Orders (EOs) are commonly encountered Federal

requirements that were established to protect the environment and preserve the Nation’s historic

and archaeological resources. FEMA reviews each Public Assistance (PA) project to ensure the

work complies with applicable Federal environmental and historic preservation (EHP) laws, their

implementing regulations, and applicable EOs. Compliance with all Federal and SLTT laws is a

requirement of every FEMA award. SLTT laws, such as hazardous material management laws,

vary by location and are not included in this appendix.

FEMA prepares a Greensheet at the beginning of each emergency or disaster declaration with

specific information relevant to each State and area. The Greensheet briefly discusses the

relevant laws and project types that might trigger application of those laws and informs the

Applicant that failure to comply with Federal and SLTT laws may jeopardize funding.

National Environmental Policy Act

Section 102 of the National Environmental Policy Act (NEPA) requires Federal agencies to

integrate environmental values into their decision-making processes by considering the

environmental impacts of their proposed actions and reasonable alternatives to those actions.

385

The White House Council on Environmental Quality publishes its NEPA regulations in Title 40

of the Code of Federal Regulations (C.F.R.) Parts 1500–1508. The U.S. Department of

Homeland Security publishes policies and procedures for implementing NEPA and provide

specific processes that FEMA must follow before funding a project. The NEPA process ensures

consideration of environmental consequences of the project before decisions are made and

involves the public.

National Historic Preservation Act

Section 106 of the National Historic Preservation Act (NHPA) requires FEMA to consider the

effects an undertaking will have on historic properties and provide the Advisory Council on

Historic Preservation the opportunity to comment on the effects of the undertaking.

386

Historic

properties include buildings or groups of buildings (districts), structures, objects, landscapes,

archaeological sites, and traditional cultural properties included in, or eligible for inclusion in,

the National Register of Historic Places.

387

Endangered Species Act

The Endangered Species Act (ESA) requires Federal agencies to use their authorities to conserve

federally listed threatened and endangered species (listed species) and critical habitats. FEMA

must also consult with the U.S. Fish and Wildlife Service (USFWS) and the National Oceanic

and Atmospheric Administration’s (NOAA’s) National Marine Fisheries Service (NMFS), also

known as NOAA Fisheries, to ensure that proposed projects will not jeopardize the continued

385

42 U.S.C. § 4332.

386

16 U.S.C. § 470f.

387

www.nps.gov/subjects/nationalregister/index.htm.

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existence of any listed species or result in the destruction or adverse modification of critical

habitat for listed species.

388

Clean Water Act

The Clean Water Act (CWA) establishes the basic structure for regulating discharges of

pollutants in the waters of the United States (e.g., rivers and streams, lakes and ponds, coastlines,

wetlands, estuaries). The CWA makes it unlawful to discharge any pollutant from a specific

source into navigable waters without the appropriate CWA permits from the U.S. Army Corps of

Engineers (USACE) or State regulatory agency.

389

In addition, the CWA requires authorization

for dredging or filling in waters (including disposal of dredged material).

Rivers and Harbors Act

The Rivers and Harbors Act requires that authorization be obtained from USACE to construct

any structure in or over any navigable water, including authorization for projects involving

constructing or modifying bridges and causeways over navigable waters or constructing any dam

or dike in a navigable water. Typically, requests for this type of authorization are handled

together with requests for authorization of projects under Section 404 of the CWA.

Safe Drinking Water Act

The purpose of the Safe Drinking Water Act is to protect public health by ensuring the quality of

drinking water. The law authorizes the U.S. Environmental Protection Agency (EPA) to, among

other things, set standards for the levels of individual contaminants allowed in drinking water

and designate as aquifers that are the sole or principal source of drinking water for an area as sole

source aquifers. For any financial assistance project that has the potential to contaminate an

aquifer and that is located in the identified review area for a sole source aquifer, FEMA must

consult with the EPA before funding the project.

Clean Air Act

The Clean Air Act (CAA) protects the Nation’s air through the reduction of smog and

atmospheric pollution. Air quality compliance often requires certain measures be implemented,

such as dust abatement, vehicle emissions control, fuel storage, and distribution procedures.

There may be additional requirements in nonattainment areas (defined as those areas that do not

meet national standards for air quality and, therefore, require more rigorous compliance

measures).

390

Coastal Barrier Resources Act

The Coastal Barrier Resources Act (CBRA)

391

established the John H. Chafee Coastal Barrier

Resources System (CBRS), which consists of relatively undeveloped coastal barriers along the

Atlantic, Gulf, Great Lakes, and Caribbean coasts. CBRA minimizes adverse impacts to these

areas by restricting Federal assistance that encourages development within the CBRS. USFWS

388

16 U.S.C. § 1536, Endangered Species Act Section 7.

389

33 U.S.C. § 1251 et seq.

390

42 U.S.C. § 7401 et seq.

391

16 U.S.C. § 3501 et seq.

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publishes maps designating these areas.

392

FEMA must consult with USFWS prior to providing

PA funding for work within the CBRS.

393

Migratory Bird Treaty Act

The Migratory Bird Treaty Act makes it unlawful to pursue, hunt, take, capture, kill, or sell

migratory birds listed in the statute without a waiver from USFWS.

394

FEMA consults with

USFWS regarding projects likely to trigger compliance with this Act.

Bald and Golden Eagle Protection Act

The Bald and Golden Eagle Protection Act prohibits any person from pursuing, capturing,

killing, wounding, disturbing, or otherwise taking bald eagles or golden eagles, including their

parts (e.g., feathers), nests, or eggs, unless authorized by a permit from the USFWS. The

prohibition on disturbance applies to nests and previously used nest sites when eagles are not

present if, were an eagle to return, such alterations would lead to injury, death or nest

abandonment.

Magnuson-Stevens Fishery Conservation and Management Act

The Magnuson-Stevens Fishery Conservation and Management Act is the primary law for

managing and maintaining sustainable fisheries in waters of the United States. The Magnuson-

Stevens Fishery Conservation and Management Act protects essential fish habitat, which

includes the waters and substrate necessary to maintain healthy fisheries. FEMA must consult

with NMFS when any proposed PA project could have an adverse effect on essential fish habitat

(defined as any impact that reduces quality or quantity of essential fish habitat).

395

Marine Mammal Protection Act

The Marine Mammal Protection Act prohibits, with certain exceptions, the “take” of marine

mammals in U.S. waters or by U.S. citizens on the high seas. The law prohibits attempts to hunt,

capture, kill, or harass any marine mammals. The law authorizes NMFS or USFWS (depending

on the species in question) to issue incidental take permits and incidental harassment

authorizations.

National Marine Sanctuaries Act (NMSA)

The National Marine Sanctuaries Act, which is part of the Marine Protection, Research and

Sanctuaries Act, authorizes the Secretary of Commerce to designate and manage areas of the

marine environment as National Marine Sanctuaries (NMS), which NOAA administers.

Activities within each NMS are governed by regulations. A sanctuary resource is defined as any

living or nonliving resource of a NMS that contributes to the conservation, recreational,

ecological, historical, educational, cultural, archeological, scientific, or aesthetic value of the

sanctuary. The National Marine Sanctuaries Act prohibits destroying, injuring, or causing the

392

16 U.S.C. §§ 3501 and 3503. The U.S. Fish and Wildlife Service publishes Coastal Barrier Resource System

maps at: www.fws.gov/ecological-services/habitat-conservation/cbra/Maps/index.html

393

16 U.S.C. § 3505.

394

16 U.S.C. §§ 703–712.

395

16 U.S.C. §§ 1801–1884.

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loss of any sanctuary resource. A permit is required to conduct any activity within a sanctuary

that is otherwise prohibited.

Coastal Zone Management Act

The Coastal Zone Management Act (CZMA) provides for the management of the Nation’s

coastal resources. The CZMA establishes a voluntary partnership between the Federal

Government and coastal and great lakes States. It requires participating States to develop State

coastal zone management plans. PA projects located in, or near, established coastal zone

management areas must be consistent with the enforceable policies of the State’s federally

approved coastal zone management program.

396

Before approving a project in a coastal zone

management area, FEMA consults with the State agency overseeing the implementation of the

CZMA plan to ensure the project is consistent with the program’s provisions.

Farmland Protection Policy Act

The Farmland Protection Policy Act is intended to minimize the extent to which Federal

programs contribute to the conversion of prime or unique farmland, or land of statewide or local

importance, to nonagricultural uses and to ensure that Federal programs are administered in a

manner that, to the extent practicable, will be compatible with State, local, and private programs

and policies to protect farmland. The Farmland Protection Policy Act and U.S. Department of

Agriculture (USDA) implementing procedures require FEMA to evaluate whether projects it

funds irreversibly convert such farmland to nonagricultural uses and to consider alternative

actions that could avoid adverse effects. For projects that have the potential to irreversibly

convert such farmland, FEMA must consult with the USDA Natural Resources Conservation

Service (NRCS) to identify potential impacts to that farmland.

397

Wild and Scenic Rivers Act

The Wild and Scenic Rivers Act protects the free-flowing condition of rivers that are part of the

National Wild and Scenic Rivers System (System) or are under study for inclusion in the System

because of their scenic, recreational, geologic, fish and wildlife, historic, cultural, or other

similar values (the rivers under study are listed on the Nationwide Rivers Inventory or have been

formally identified as Study Rivers). If a proposed project is located on a river covered by the

Wild and Scenic Rivers Act (including a designated river, a Study River, or a river on the

Nationwide Rivers Inventory), FEMA must review it for compliance with the Wild and Scenic

Rivers Act and consult with the managing agency for the affected designated river.

398

Resource Conservation and Recovery Act

The Resource Conservation and Recovery Act (RCRA) established a framework for Federal,

State, and local cooperation for controlling the management of hazardous and non-hazardous

solid waste. EPA’s role is to establish minimum regulatory standards, usually implemented by

the States, which can establish their own requirements for solid waste management. RCRA

396

16 U.S.C. § 1451 et seq.

397

7 U.S.C. § 4201 et seq.

398

16 U.S.C. § 1271 et seq.

V4 2020 Page 225

requires the safe disposal of waste materials, promotes the recycling of waste materials, and

encourages cooperation with local agencies.

399

Comprehensive Environmental Response, Compensation and Liability Act

The Comprehensive Environmental Response, Compensation and Liability Act (CERCLA), also

known as Superfund, authorizes the Federal Government to respond to releases or threatened

releases of hazardous substances into the environment through short-term removals and long-

term remedial response actions. Superfund also triggered the development of the National

Priorities List, a list of national priorities among the sites with known or threatened releases of

hazardous contaminants. The 1986 amendments to CERCLA included the Emergency Planning

and Community Right-to-Know Act (EPCRA) which, among other things, creates mechanisms

to help local communities plan for chemical emergencies.

Executive Order 11988, Floodplain Management

EO 11988, Floodplain Management, requires Federal agencies to minimize or avoid, to the

extent possible, the long- and short-term adverse impacts associated with occupancy and

modifications of floodplain and to avoid direct and indirect support of floodplain development

wherever there is a practicable alternative. It requires Federal agencies to use a systematic

decision-making process to evaluate the potential effects of projects located in, or affecting,

floodplains; document each step of the process; and involve the public in the decision-making

process. This process is designed to:

• Reduce flood loss risks;

• Minimize the impacts of floods on human safety, health, and welfare; and

• Restore and preserve the natural and beneficial functions of floodplains.

FEMA publishes its implementing regulations for EO 11988 in 44 C.F.R. Part 9, Floodplain

Management and Protection of the Wetlands. These regulations set forth the policy, procedures,

and responsibilities to implement and enforce the EO, including the decision-making process,

which is referred to as the 8-step process.

400

Executive Order 11990, Protection of Wetlands

EO 11990, Protection of Wetlands, requires Federal agencies to avoid to the extent possible, the

long- and short-term adverse impacts associated with the destruction or modification of wetlands

and to avoid direct or indirect support of new construction in wetlands wherever there is a

practicable alternative. To meet these objectives, EO 11990 requires Federal agencies to use a

systematic decision-making process to evaluate the potential effects of projects in, or affecting,

wetlands; document each step of the process; and involve the public in the decision-making

process.

FEMA publishes its implementing regulations for EO 11990, Protection of Wetlands in 44

C.F.R. Part 9, Floodplain Management and Protection of the Wetlands. These regulations set

forth the policy, procedures, and responsibilities to implement and enforce the EO, including the

decision-making process, which is referred to as the 8-step process.

399

42 U.S.C. § 6901 et seq.

400

44 C.F.R. § 9.6, Decision-making process.

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Executive Order 12898, Environmental Justice

EO 12898, Environmental Justice, requires Federal agencies to identify and address any

disproportionately high and adverse human health or environmental effects on minority and low-

income populations as a result of their actions.

Executive Order 13112, Invasive Species

EO 13112, Invasive Species, requires agencies to use their programs and authorities to help

prevent the introduction, establishment, and spread of invasive species; respond to invasive

species outbreaks; restore native species in areas invaded by invasive species; promote public

education related to invasive species control; and avoid authorizing, funding, or carrying out

activities that promote the introduction, establishment, or spread of invasive species.

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APPENDIX B: PRIVATE NONPROFIT

FACILITY ELIGIBILITY EXAMPLES

Below are examples of private nonprofit (PNP) facility eligibility determinations.

Facility owned by PNP – PNP Leases Portion of Space to For-Profit Service

Parkland Hospital is an eligible PNP that owns a medical office building and leases a portion of

it to doctors and laboratories that are providing for-profit services. The for-profit leases are for

70 percent of the floor space, excluding the common area floor space, as defined in this policy.

Analysis:

The building is ineligible because the eligible services were offered in less than 50 percent of the

building space.

PNP Recreational Center Providing Eligible Services

The PNP Springtown Recreation Center claims that it provides eligible essential social services

in addition to its recreation activities and should be eligible for assistance. The organization

claims that its services now include day care for elderly adults, senior citizen center programs,

programs for families of domestic abuse, and shelter workshops. These programs are provided

by the recreation center staff and offered 5 days a week. Recreation activities are limited to

evenings and weekends. The entire center is used for the eligible services.

Analysis

The organization would not appear to be eligible based upon its name and presumed mission. A

detailed examination is necessary to determine the eligibility of the organization and its facility

based upon the eligible services provided. In cases where space is not dedicated to any specific

activity, the amount of time dedicated to eligible purposes in such spaces determines eligibility

and the level of assistance. Therefore, even though the entire facility is used for eligible

purposes, FEMA prorates PA funding based on the proportion of the total time it is used for

eligible services.

Support Facility Owned by PNP

A parking garage is owned by an eligible PNP hospital to support its nearby hospital facility. The

ground floor is leased to retail businesses and totals 15 percent of the total space of the garage.

Analysis

Title 44 of the Code of Federal Regulations (C.F.R.) § 206.221(e), Private nonprofit facility,

authorizes assistance for administrative and support facilities essential to the operation of

medical facilities and emergency facilities, which in this example includes the parking garage.

Because the hospital uses more than 50 percent of the parking garage, the facility is eligible

based on primary use. FEMA assistance would be prorated based on the percentage of space

used for the eligible parking purpose. The parking garage is eligible only because of its

association with the hospital.

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Facilities Owned by PNP Homeowners’ Association

The Woodlands Homeowners’ Association is a PNP organization responsible for providing

certain services for a 200-home development. The Homeowners’ Association’s facilities are

local neighborhood streets, water system, sewage system, fire station, medical clinic,

neighborhood park, community center, and a recreational lake and dam.

Analysis

The Homeowners’ Association operates facilities that provide essential social services and

therefore is an eligible PNP. The lake and dam, park, and streets do not meet the definition of

eligible facilities. The water and sewage systems meet the definition of a utility and are eligible

for assistance. The fire station and medical clinic are eligible as emergency and medical

facilities. The community center might be eligible if it serves the general public outside the

Homeowners’ Association community and if it is established and primarily used as a gathering

place for a variety of social, educational enrichment, and community service activities.

Recreational Center – Primarily Athletic Services

Westover Recreation Center sponsors a number of activities.

The center is available for rental Friday, Saturday, and Sunday evening to companies, religious

groups, clubs, and civic organizations. It is offered as a location for league parties, office parties,

seminars, conferences, and holiday celebrations. The center has rooms set aside for seniors’

bridge and other card games, along with occasional workshops for photography, pottery and

ceramics, and art.

However, the center is primarily oriented to athletics, as exemplified by a large indoor pool and

locker room, a half dozen squash/racquetball courts, a weight/exercise room, and a 9,200-square-

foot gymnasium/basketball court.

Analysis

Although Westover Recreation Center offers a number of activities generally considered eligible

community center functions, it is, first and foremost, a recreation center. In contrast to the

definition of an eligible community center, it is neither established nor primarily used as a

“gathering place for a variety of social, educational enrichment, and community service

activities,” even though it does offer some of these.

“Facilities established or primarily used for athletic (or) recreational activities are ineligible

community centers.” It is not necessary to calculate the percentage of time or space devoted to

community activities versus athletic and recreational activities, because Westover is

overwhelmingly athletic and recreational. For these reasons, a PNP facility similar to Westover

would not be eligible.

Mixed Use Community Center – Nominal Fee

Somerset Community Center consists of a number of meeting rooms, a lending library, social

services room, health services room, dining room, activity area with games and a wide-screen

TV, darkroom, pianos for practice, ceramics lab, woodshop, computer room, sewing machines,

exercise room, and a large foyer. Outside are a fitness trail, garden plots, an outdoor basketball

court and softball field, a gazebo, and picnic area.

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A nominal membership fee is charged. Classes are offered in piano, bridge, arts and crafts, and

cooking. The center sponsors numerous seniors’ activities, which include trips, luncheons, and

recreational and educational activities. A lunch program is offered for seniors and their spouses.

Some exercise classes are also offered. Health screenings and immunizations are regularly

offered. Door-to-door transportation is provided to those who need it.

Analysis

By virtue of the wide range of community activities, Somerset Community Center would be an

eligible community center. Although it does offer athletic and recreational activities, these are

minimal in the time and space allocated to them; therefore, it is not a recreational center. The

nominal fee makes it a service to the public.

School Operated by a Religious Institution

The Community Church operates a State-certified private school offering first through eighth

grades. The teaching curriculum includes math, science, English, history, physical education, and

religious doctrine. The school has an average attendance of 500 students. The campus consists of

three buildings: one used primarily for the secular curriculum, one used primarily for religious

instruction, and a chapel primarily used for religious worship. Admissions to the school are

restricted to members of Community Church.

Analysis

Evaluate the three buildings separately. The two buildings used, respectively, for secular and

religious education are eligible as educational facilities. As educational facilities, they are

considered to provide critical services and therefore Community Church does not need to apply

to SBA to receive funding for permanent work on those buildings. The chapel is eligible as a

house of worship. Houses of worship provide noncritical services, so Community Church is

required to apply for an SBA loan for the chapel. The restricted admissions process does not

affect eligibility. Pursuant to the Stafford Act, no PNP facility is excluded from eligibility

because leadership or membership in the organization is limited to people that share a religious

faith or practice.

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APPENDIX C: WELDED STEEL MOMENT

FRAME

FEMA has specific eligibility criteria for inspecting, evaluating, and repairing earthquake

damage to buildings constructed with welded steel moment framing connections subject to brittle

fracture, such as those constructed prior to 1995 using the prescribed detail of the 1991 Uniform

Building Code (Section 2710(g)(B) or its equivalent). FEMA bases the eligibility criteria on

Recommended Post Earthquake Evaluation and Repair Criteria for Welded Steel Moment Frame

Buildings (FEMA 352).

401

Reimbursement for Preliminary Post-earthquake Assessment

The process of preliminary screening, which helps to rapidly identify buildings that are likely to

have sustained significant damage to welded steel moment frame connections, is ineligible for

Public Assistance (PA) funding. Preliminary screening is typically performed by building

department officials immediately following an earthquake to determine if a building needs

further evaluation.

Following the preliminary screening, the Applicant may use the preliminary evaluation method

described in FEMA 352 to determine, on a preliminary basis, whether a building has sustained

either structural or nonstructural damage that results in a hazardous condition. Preliminary

evaluations include:

• A general review of the building’s construction characteristics to determine its structural

system and vulnerable features;

• A visit to the building site to observe its overall condition and note obvious signs of

damage; and

• A determination of an appropriate posting category for the building, on the basis of the

preceding results and engineering judgment. Posting categories are described by the

following designations:

o Green – Little or no damage. Poses no immediate threat.

o Yellow – Structural or nonstructural damage. Limited or localized safety hazard.

o Red – Significant damage to structural elements. Significant safety hazard.

Preliminary evaluation is eligible only when conditions result in a yellow or red designation.

Reimbursement for Detailed Post-earthquake Evaluations

As recommended in FEMA 352, the Applicant should conduct a detailed evaluation on all

buildings determined to have potential welded steel moment frame fractures, as identified in the

preliminary assessment, and designated with a yellow or red posting. Eligible work includes the

reasonable evaluation of the effects of the identified, significant connection damage to the future

performance of the building structure. To be eligible, this evaluation should be limited to the

recommendations in FEMA 352, Chapter 4, as follows:

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www.fema.gov/media-library/assets/documents/747.

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• Visual bottom flange connection inspections performed at locations selected in

accordance with FEMA 352, Chapter 4, Method 2 (Inspection of a Sample of

Connections) are eligible.

• The inspection of a sample of the total welded steel moment frame connections in the

building, in accordance with guidance provided in FEMA 352, Chapter 4, Method 2 is

eligible.

• If an Applicant discovers certain types of damage, additional visual inspection of bottom

or top flange connections at locations recommended in FEMA 352, Chapter 4, are also

eligible but only after the Applicant informs FEMA of the frame damage already

discovered and FEMA approves the follow-on inspection.

The eligible work associated with connection inspection includes:

• Removal of necessary architectural finishes, such as plaster/drywall;

• Removal of fire retardants in the inspection area of the connection.;

• Visual inspection; and

• Nondestructive testing as appropriate, necessary, and approved by FEMA. Testing may

include liquid dye-penetrant testing or magnetic particle testing, but not ultrasonic

testing.

In circumstances where a building is assigned a green posting, visual inspections are only

eligible for those connections where the Applicant has found significant damage (as defined in

FEMA 352, Chapter 4) associated with the declared earthquake disaster.

Visual inspection of additional connections (at locations recommended by FEMA 352, following

the discovery of damaged connections) will also be eligible, but only after the Applicant has

informed FEMA of the frame damage already discovered and FEMA approves the follow-on

inspection. FEMA may also approve nondestructive testing if the visual inspections indicate a

significant potential for concealed damage.

Except as detailed above, any inspections that do not yield discovery of significant connection

damage attributable to the earthquake are ineligible.

Generally, detailed analytical or experimental studies or Level 2 evaluations as described in

FEMA 352, Chapter 5, are ineligible unless FEMA provides approval before the Applicant

initiates the work.

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APPENDIX D: FREQUENT COMPLIANCE

ISSUES WITH COOPERATIVE PURCHASING

PROGRAMS

The following is a list of frequent compliance issues with Federal procurement requirements

when Tribal or local government or private nonprofit (PNP) Applicants use cooperative

purchasing programs for procurements above the simplified acquisition threshold:

Full and Open Competition

The Applicant must ensure that solicitations used by cooperative purchasing programs include a

clear and accurate description of the scope of work or goods actually required. Additionally,

cooperative purchasing programs that place overly restrictive requirements on solicitations risk

noncompliance with the full and open competition requirements in 2 C.F.R. § 200.319.

Procurement Method

Cooperative purchasing programs must comply with allowable procurement methods in 2 C.F.R.

§ 200.320. Some of these methods require that Applicants publicly advertise or publicize the

solicitations, solicit bids from an adequate number of known suppliers, and award contracts to

the responsible, responsive firm with the lowest price or to the responsive firm whose proposal is

most advantageous to the program with price and other factors considered.

Socio-economic Contracting

The Applicant must ensure cooperative purchasing programs take the applicable affirmative

steps to encourage participation of small businesses, minority businesses, and women owned

enterprises. Failure to take any of the affirmative steps violates 2 C.F.R. § 200.321.

Geographic Preferences

Any geographic preferences that a cooperative purchasing program uses in evaluating bids or

proposals and any additional terms and conditions in a cooperative purchasing program’s pre-

negotiated agreements that favor or give preference to local suppliers violates 2 C.F.R. §

200.319(b) and be restrictive of competition.

Contract Provisions

Cooperative purchase programs at times do not include the federally required contract provisions

in the agreements with vendors. In accordance with 2 C.F.R. § 200.326, all contracts must

contain the applicable contract clauses described in Appendix II to the Uniform Rules (Contract

Provisions for non-Federal Entity Contracts Under Federal Awards).

Cost or Price Analysis

The Applicant must conduct an independent cost or price analysis when using cooperative

purchasing agreements in accordance with 2 C.F.R. § 200.323.

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APPENDIX E: STUMP CONVERSION TABLE

Diameter to Volume Capacity

FEMA quantifies the number of cubic yards of debris for each size of stump based on the

following formula:

[(Stump Diameter

x 0.7854) x Stump Length] + [(Root-Ball Diameter

x 0.7854) x Root-Ball Height]

46,656

0.7854 is one-fourth Pi and is a constant.

46,656 is used to convert cubic inches to cubic yards and is a constant.

The formula used to calculate the cubic yardage used the following factors, based upon findings

in the field:

• Stump diameter measured 2 feet up from the ground

• Stump diameter to root-ball diameter ratio of 1:3.6

• Root-ball height of 31 inches

Stump Diameter

(Inches)

Debris Volume

(Cubic Yards)

Stump Diameter

(Inches)

Debris Volume

(Cubic Yards)

6 0.3 46 15.2

7 0.4 47 15.8

8 0.5 48 16.5

9 0.6 49 17.2

10 0.7 50 17.9

11 0.9 51 18.6

12 1 52 19.4

13 1.2 53 20.1

14 1.4 54 20.9

15 1.6 55 21.7

16 1.8 56 22.5

17 2.1 57 23.3

18 2.3 58 24.1

19 2.6 59 24.9

20 2.9 60 25.8

21 3.2 61 26.7

22 3.5 62 27.6

23 3.8 63 28.4

24 4.1 64 29.4

25 4.5 65 30.3

26 4.8 66 31.2

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Stump Diameter

(Inches)

Debris Volume

(Cubic Yards)

Stump Diameter

(Inches)

Debris Volume

(Cubic Yards)

27 5.2 67 32.2

28 5.6 68 33.1

29 6 69 34.1

30 6.5 70 35.1

31 6.9 71 36.1

32 7.3 72 37.2

33 7.8 73 38.2

34 8.3 74 39.2

35 8.8 75 40.3

36 9.3 76 41.4

37 9.8 77 42.5

38 10.3 78 43.6

39 10.9 79 44.7

40 11.5 80 45.9

41 12 81 47

42 12.6 82 48.2

43 13.3 83 49.4

44 13.9 84 50.6

45 14.5

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APPENDIX F: HAZARDOUS STUMP WORKSHEET

Physical Location

(i.e., Street address, road,

cross streets, etc.)

Description of

Facility (ROW,

Park, City

Hall, etc.)

Hazard

Yes/No

Global

Positioning

System (GPS)

Location

Tree Size

(Diameter)

Eligible

Yes/No

Fill for

Debris

Stumps

In CY

Comments

(See attached

sketch, photo,

etc.)

Date: ________________

ignature: ____________________________________________________

Signature: ____________________________________________________

Applicant: __________________________________________________

pplicant Representative: ______________________________________

FEMA Representative (if available) ______________________________

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APPENDIX G: MOSQUITO ABATEMENT

FEMA may provide reimbursement for mosquito abatement measures at the written request of

the SLTT public health officials after FEMA consults with the Centers for Disease Control and

Prevention (CDC), based on any of the following:

• Evidence of:

o Higher levels of disease transmitting

mosquitoes in the impacted area

following the incident;

o A significant number of disease-

carrying mosquitoes in the area due to

the increase in incident-related

standing water; or

o The potential for disease transmission

and human exposure to disease

carrying mosquitoes based on the

detection of arboviral diseases in

sentinel organisms (poultry, wild birds,

mosquito pools) in the impacted area

prior to the incident, discovered during

surveillance as part of mosquito

abatement activities, or reported

human cases in which transmission

occurred prior to the incident.

• A determination that a significant increase

in the mosquito population and/or the

change of biting mosquito species poses a

threat to emergency workers who are

required to work out-of-doors, thereby

significantly hampering response and

recovery efforts.

Such evidence may include an abnormal

rise in landing rates or trap counts,

significant changes in species composition

or estimate of infection rates, when compared to pre-incident surveillance results.

• Verification from medical facilities within the affected area that an increase in the general

public’s exposure to mosquitoes has directly resulted in secondary infections, especially

among those with weakened immune systems such as the elderly, the very young, or the

sick. This may occur when increased numbers of residents in impacted areas with

extended power outages are forced to open buildings for air circulation.

Where possible, a determination of the need for vector control measures should be based on

surveillance data provided by local agencies, or on surveillance conducted as a component of the

emergency response. Similarly, termination of control efforts should be based on mosquito

Terminology

An arbovirus is a virus utilizing arthropods as

vectors and is transmitted via their feeding

to a definitive host.

The landing rate, expressed as number of

mosquitoes landing per minute, is used as an

adult mosquito surveillance measure

utilizing human volunteers as bait.

Methoprene Briquettes are formulated with

methoprene (compound that mimics the

action of an insect growth-regulating

hormone and prevents the normal

maturation of insect larvae) growth inhibitor

and a timed-release carrier that resembles a

charcoal briquette.

A sentinel organism is an organism, usually

fowl, purposely exposed to mosquito bites

outdoors to monitor pathogen transmission

by mosquitoes.

Seroconversion is the development of

detectable antibodies in the blood of a

sentinel organism directed against an

infectious agent.

Trap count is the number of female

mosquitoes captured in a trap receptacle

each night the traps are set.

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density and disease transmission monitoring, and on the degree of exposure to mosquitoes of

residents and responders. Information useful in determining the need for emergency mosquito

control measures includes:

• The local jurisdiction’s mosquito population density estimates pre- and post-disaster,

including information about species composition;

• Arbovirus transmission activity indices, including information about the location of

surveillance activities; indices may consist of:

o Infection rates in mosquitoes;

o Seroconversion in sentinel chickens;

o Equine case;

o Human cases;

• The amount and type of flooding (e.g., saltwater/freshwater, coastal/inland);

• The extent and location of damage to housing;

• The extent, location, and anticipated duration of power interruption;

• The anticipated extent and duration of cleanup and recovery operations; and

• A description of the type of mosquito management required (e.g., aerial or ground- based

adulticide applications, larvicide applications), and duration of application to reduce the

threat and the areas where the interventions are needed.

To be eligible for Public Assistance funding, insecticide formulations must be among those

approved and registered by the U.S. Environmental Protection Agency for use in urban areas for

mosquito control and must be applied according to label directions and precautions by

appropriately trained and certified applicators. Furthermore, mosquito abatement measures must

comply with all Federal and SLTT laws, ordinances, and regulations concerning vector control.

Mosquito abatement measures include, but are not limited to the following:

• Adulticiding – The ground or aerial spraying of insecticides to kill adult mosquitoes

• Larviciding – The application of chemicals, including methoprene briquettes, by ground

or air to kill mosquito larvae or pupae

• Breeding habitat removal or alteration – The modification of potential breeding habitat to

make it unsuitable for mosquito breeding or to facilitate larval control, including:

o Draining or removing standing water in close proximity to homes, schools, sheltering

facilities, and businesses;

o Increased dewatering through the pumping of existing drainage systems; and

o Dissemination of information (e.g., inserting flyers with resident’s water bills, public

service announcements, newspaper campaigns) to direct residents to remove the

mosquito breeding habitat.

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APPENDIX H: SNOW ASSISTANCE

Snow-related activities, including snow removal, de-icing, salting, snow dumps, and sanding of

roads and other eligible facilities, is only an eligible emergency protective measure when a

winter storm results in record or near-record

402

snowfall.

403

FEMA authorizes snow assistance

by county based on a finding that the county received record or near-record snowfall or meets the

contiguous county criteria as described below. FEMA evaluates Tribal lands either as part of a

requested county or separately.

Record or Near-Record Snowfall

FEMA utilizes data collected by the National Oceanic and Atmospheric Administration’s

National Centers for Environmental Information (NCEI) to identify the historical 1-, 2-, and 3-

day snowfall records for each county. For current event snowfall, FEMA relies primarily on

snowfall measurements taken at National Weather Service (NWS) Cooperative Network Stations

but accepts measurements from other sources if those measurements are verified as reasonable

and accurate by the NWS. Historical 1-, 2-, and 3-day snowfall records by county are available

on the NCEI Snow Climatology Database (SCDB) at the following website:

www.ncdc.noaa.gov/snow-and-ice/snowfall-extremes. Daily snowfall reports by county are

available at: www.ncdc.noaa.gov/snow-and-ice/daily-snow.

FEMA follows the following process to determine record or near-record snowfalls:

• Compare current snowfall amounts with the historical record snowfall amounts for a like

number of days without regard for the month in which the record snowfall or current

event occurred.

• For multiple-day snowstorms, counties or Tribal lands that meet the 1-day record or near-

record requirement on any 1 day, or the 2-day record or near record over 2 consecutive

days, or the 3-day record or near record over 3 consecutive days, etc., meets the record or

near-record criteria for that county or Tribal lands.

• FEMA relies on the NWS to determine the duration of the snowstorm.

• When data from multiple NWS-verified sources exist within a county or Tribal lands,

FEMA compares the highest current event snowfall reported by the NWS within that

county or Tribal land with the highest historical record snowfall for that county or Tribal

land.

• For counties or Tribal lands that do not have NCEI or NWS historical record snowfall

data, use the historical record from the nearest NWS Cooperative Network Station in an

adjacent county or Tribal land, even if located in an adjacent State, for determining

historical snowfall records.

• If current event snowfall data are not available from the NWS for a county or Tribal land,

use the nearest NWS Cooperative Network Station data from an adjacent county, even if

located in an adjacent State.

• FEMA may designate a county or Tribal land that does not receive a record or near-

record snowfall, but is contiguous to a county (generally referred to as a “core county”)

that does receive a record or near-record snowfall, for snow assistance if the county or

402

FEMA generally considers near record as being within 10 percent of the record snowfall.

403

44 C.F.R. § 206.227.

V4 2020 Page 239

Tribal land has current event snowfall that meets or exceeds the current event snowfall of

the core county, to which it is contiguous. Base this comparison on the highest current

event snowfall received by each county as reported by the NWS.

• Consider counties or Tribal areas that experience snowfalls occurring over a period

exceeding 3 consecutive days that do not reach record or near-record snowfalls during a

3-day period, and for which there are no historical snowfall records for a period

exceeding 3 days with NCEI or NWS, on a case-by-case basis.

Winter Storm or Snowstorm Declaration Requests

The request for a Major Disaster Declaration must include a request for snow assistance as part

of that declaration. All such requests are subject to the requirements and processes established in

the Stafford Act and FEMA regulations.

404

In addition to the information required in every

declaration request, requests for snow assistance must include the following information:

• Identification of core and contiguous

counties

for which a snowstorm declaration

is requested;

• Duration of snowfall, as identified or

confirmed by the NWS; and

• For each requested county or Tribal land,

daily snowfall totals from NWS stations or

NWS-verified sources and historical record

snowfall data from the NCEI.

Generally, the current event weather and snowfall

information is included in a statement or report

from the NWS describing the event.

FEMA only includes costs related to snow activities

as part of the preliminary damage assessment data

for counties or Tribal lands that meet the record or

near-record criteria or qualify as contiguous counties.

Other categories of work, including Permanent Work, may be authorized for snowstorm or

winter storm declarations as appropriate.

404

44 C.F.R. § 206 Subpart B (206.31–48).

Terminology

A Core County is a county that has a record or

near record snowfall with PA costs that exceed

the annually established countywide per capita

impact indicator and is designated for snow

assistance under a major disaster declaration.

A Contiguous County is a county in the same

State that shares a common border with a core

county without geographic separation other

than by a minor body of water, typically not

exceeding one mile between the land areas of

such counties.

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APPENDIX I: MOLD REMEDIATION

Mold Remediation Methods

The following list describes common mold remediation methods.

Method Application

Wet Vacuum

• Use when materials are wet

• Use where water has accumulated, such as on floors, carpets and hard

surfaces

• Do not use when sufficient liquid is not present

Damp Wipe

• Wipe or scrub non-porous (hard) surfaces with water and detergent

• Follow instructions listed on the product label

High Efficiency

Particulate (HEPA)

Vacuum

• Final clean-up after thoroughly dry and contaminated materials are

removed

• Recommended for cleanup of dust outside of the remediation area

• Properly seal HEPA filter

• Personal protection equipment is highly recommended; filter and contents

must be disposed of in well-sealed bags

Discard

• Use for building materials and furnishings that cannot be remediated

• Seal contents in two bags using 6-mil polyethylene sheeting

• Cover large items in polyethylene sheeting and seal with duct tape

• Sealing materials must be within containment area to limit further

contamination

Summarized from Indoor Environments Division of the U.S. Environmental Protection Agency, “Mold Remediation in Schools

and Commercial Buildings”: www.epa.gov/mold/mold_remediation.html

Application of Remediation Methods

The following list outlines typical mold remediation actions.

Water Damaged

Material

Action

Books and paper

• Non-valuable items – discard

• Valuable/important – photocopy and discard originals

• Invaluable items – freeze in frost-free freezer or meat locker, or freeze dry

Carpet and backing

• Wet vacuum

• Reduce ambient humidity levels with dehumidifier

• Accelerate drying process with fans

Ceiling tiles

• Discard and replace (replacement only eligible as Permanent Work)

Cellulose insulation

• Discard and replace (replacement only eligible as Permanent Work)

Concrete or cinder

block surfaces

• Wet vacuum

• Accelerate drying process with dehumidifiers, fans, and/or heaters

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Water Damaged

Material

Action

Fiberglass Insulation

• Discard and replace (replacement only eligible as Permanent Work)

Hard surfaces,

porous floorings

(linoleum, ceramic

tile, vinyl)

• Vacuum or damp wipe with water and mild detergent

• Scrubbing may be necessary

• Allow to dry

Upholstered

furniture

• Wet vacuum

• Accelerate drying process with dehumidifiers, fans, and/or heaters

Wallboard (drywall

and gypsum board)

• If obvious swelling and seams are not intact – discard

• If no obvious swelling and seams are intact – may be dried in place

• Ventilate wall cavity

Window drapes

• Launder or clean according to manufacturer’s instructions

Wood surfaces

• Remove water with wet vacuum

• Accelerate drying process with dehumidifiers, fans, and/or heaters

• Wet paneling – discard and ventilate wall cavity

Summarized from Indoor Environments Division of the U.S. Environmental Protection Agency, “Mold Remediation in Schools and

Commercial Buildings”: www.epa.gov/mold/table1.html

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APPENDIX J: COST-EFFECTIVE PUBLIC

ASSISTANCE HAZARD MITIGATION

MEASURES

FEMA considers the following mitigation measures to be cost-effective Public Assistance (PA)

mitigation if the measures do not exceed 100 percent of the eligible repair cost (prior to any

insurance reductions). The mitigation measures must meet all eligibility requirements described

in Chapter 8:IV. Hazard Mitigation. There may be instances where these measures are required

by codes or standards. In such cases FEMA first evaluates whether the work is eligible as a code

or standard (See Chapter 8:II. Codes and Standards).

I. Drainage Structures:

For Sections I.A. and I.C. (below), PA and environmental and historic preservation (EHP)

staff coordinate to determine whether a hydrologic and hydraulic (H&H) study is needed.

The Applicant must submit an H&H study to determine the appropriate culvert size with no

adverse up or downstream impacts and National Flood Insurance Program regulations when:

• The facility is in a special flood hazard area;

• There is a potential adverse impact to the floodplain;

405

• There is a potential adverse impact to a federally listed threatened or endangered

species, critical habitat, or essential fish habitat;

406

• It is required to demonstrate compliance with the Clean Water Act.

A. Replace the structure with multiple

structures or a larger structure. The

Applicant may use existing SLTT drainage

criteria for sizing replacement culverts. The

Applicant must consider replacement

structures with regard to the total drainage

system.

B. For the purpose of erosion control, add

properly designed entrance and exit

structures, such as a headwall, wingwalls,

flared aprons, or energy dissipation

measures to increase efficiency and help to

minimize scour and erosion. Depending on

the severity of erosion, solutions for bank protection may include gabion baskets, rip rap,

405

44 C.F.R. §§ 9.11(d)(4) and 60.3(b)(7), (c)(10), and (d)(3).

406

Endangered Species Act 16 U.S.C. §§ 1531-1544 and Magnuson-Stevens Fishery Conservation and

Management Act.

Example

Adding a relief culvert located at the same

crossing site as a damaged culvert and in the

embankment above the flow line of the

primary culvert or located upstream of the

main culvert. A relief culvert provides an

alternate route for the flow if the main

culvert is over capacity or gets plugged and

prevents sedimentation through the high-

flow scouring action.

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cast-in-place concrete, crushed stone or rock, grouted rip rap

407

, sheet-piling, geotextile

fabric, or similar measures to control erosion. Alternatively, the use of vegetation or a

combination of vegetation and construction materials such as live fascines, vegetated

geogrids, live crib walls, brush mattresses, root wads, or similar measures are eligible.

The Applicant should consider using green infrastructure techniques such as bioswales,

bioretention, rain gardens and similar techniques that may be used in public drainage

systems.

C. Culverts:

1. Where the alignment of a culvert is inconsistent with existing water flow, realign the

culvert vertically or horizontally or relocate the culvert to improve hydraulics and

minimize erosion and scour. The Applicant must consider realignment of structures

with regard to the total drainage system.

2. Extend the culvert discharge to mitigate erosion and scour by extending the discharge

end beyond the toe of the embankment.

3. Install a debris barrier to prevent debris blockage or fins designed to orient floating

debris for passage through the culvert.

4. Install a debris barrier riser to allow debris to float up with the rising floodwaters

without blocking flow into the culvert.

II. Transportation Facilities:

A. Bridges:

1. Where traffic counts are low, replace with low-water crossings.

2. Install cables to restrain a bridge from being knocked off piers or abutments during

floods or earthquakes.

3. Install girder and deck uplift tie-downs to prevent their displacement from the

substructure.

4. Install Longitudinal Peaked Stone Toe Protection with nature planting, upstream of a

failed abutment, to provide a stable floodplain bench for the protection of the

abutment and the adjoining bridge approach. Consider other relevant Bio-engineering

applications such as engineered logjams, log vanes or log bendway weir.

B. Marine Pier Ramps: If attached to decking, install open decking or floating decking with

uplift-resistant tie-downs and fasteners.

C. Roadways and Railways: Where shoulders are susceptible to overflow from adjacent

water courses, stabilize shoulders and embankments with geotextile fabric and

revetments.

D. Roadways: Use geotextile drainage blankets between the pavement section and subbase

to strengthen subgrade.

407

Projects involving grouted rip rap may be subject to an environmental assessment and may not be allowable in all

instances.

V4 2020 Page 244

III. Mechanical, Electrical, Plumbing (MEP) Components:

A. Provide seismic bracing for electrical lines, conduit, piping, duct-work, water heaters, and

other MEP equipment. Components can be wall mounted, floor mounted, or suspended.

B. Roof-Mounted Equipment: Secure to roof top via a continuous load path, using tie-

downs, straps, or other anchoring systems that will resist expected wind forces.

C. Elevate or dry floodproof components or systems vulnerable to flood damage, including

equipment controls, electrical panels; heating, ventilation, and air conditioning/machinery

rooms; emergency generators; and fuel tanks. When wiring cannot be elevated, replace

with equipment suitable for submerged applications.

D. Install switches, circuit isolation and/or quick connect capability to facilitate rapid

connection of backup power for any damaged or susceptible mechanical and electrical

components.

E. Install camlocks, transfer switches, and electrical panels to facilitate the connection of

portable emergency generators.

IV. Pipes:

A. Install pipe joint restraints, flexible piping at pipe/conduit connections, or replace pipes

with more ductile material.

B. Install continuous lining or encasement to prevent infiltration or structural collapse.

C. Underground Pipes: Install shut-off valves so that damaged sections of pipe can be

isolated.

V. Water/Wastewater:

A. Pumps: If pumps and their attached motors are damaged by stormwater inundation,

replace them with submersible or inline pumps as appropriate.

B. Sewer Access Covers: Elevate to the hydraulic grade line. When elevation is not feasible

or practicable, install devices to prevent infiltration into access holes such as cast-iron

watertight frames and covers.

C. Well Systems: Seal exposed portions of well casing or raise the elevation of the well head

to prevent infiltration of flood waters.

D. Raw water intakes: Install buttressing to prevent damage from erosion, scour, and flood

debris.

VI. Electric Power Systems:

A. Provide looped distribution service or other redundancies in the electrical service to

critical facilities, such as hospitals and fire stations.

B. Install surge suppressors and lightning arrestors.

C. Transformers:

1. Elevate pad transformers above the Base Flood Elevation.

V4 2020 Page 245

2. Support pole-mounted transformers with multiple poles.

D. Power Poles:

1. Replace damaged poles with higher-rated poles (preferably two classes stronger) of

the same or different material. When replacing poles with higher-rated poles, install

guys and anchors to provide lateral support for poles supporting pole-mounted

transformers, regulators, capacitor banks, reclosers, air-break switches, or other

electrical distribution equipment.

2. Remove large diameter lines.

3. Add cross-bracing to H-frame poles to provide additional strength.

4. Power Lines: Add guy-wires or additional support.

VII. Storage Tanks:

A. Anchor or otherwise protect from movement by strengthening or stiffening base

connections.

B. Install self-initiating disconnects and shut-off values between tanks and distribution lines

to minimize damage and leaks.

VIII. Buildings and Structures:

A. For small support buildings subject to uplift or rollover from high winds, securely anchor

the buildings to foundations to prevent toppling or becoming missile hazards.

B. Elevate or dry or wet floodproof buildings.

C. Footings: Where spread footings have been undercut by scour, underpin footings.

D. Siding: Replace with a stronger siding with stronger attachments to the wall sheathing

and structure.

E. Vents: Replace with water-resistant vents.

F. Non-structural Building Components: Brace interior walls, partitions, parapets, anchor

veneer or cladding, suspended light features, drop ceilings, soffits, and other non-

structural elements that could collapse and cause injury or block safe exit of a building

during an earthquake or high-wind event.

G. Furnishings: Provide seismic ties, straps, or clips to secure replaced furniture, cabinets,

computers, bookcases, and other furnishings.

H. Roofs

1. Install hurricane clips, fasteners, anchors, straps, and connectors that are compatible

with the roof system and corrosion-resistant in coastal areas.

2. Strengthen the high-wind pressure areas (e.g., corner zones, roof soffits, overhangs).

3. Strengthen roof openings, such as hatches and skylights.

4. Low Slope Roofs: Replace entire roof covering with a fully adhered roof covering,

such as a modified bitumen membrane roof. FEMA does not provide PA mitigation

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funding for loose laid insulation or membranes as punctures can cause large amounts

of water intrusion. Additionally, FEMA does not provide PA mitigation funding for

loose laid roof membranes with loose ballast stones as the stones can become

projectiles in high winds and cause damage.

5. Gable Roofs: Replace the gable-end framing with hipped roof framing to reduce wind

forces (lower edge pressure; reduced projected wind area) and strengthen the roof

framing.

6. Gutters and Downspouts: Upgrade to direct water away from the structure to prevent

interior or basement water damage.

I. Doors and Windows:

1. Upgrade the weather stripping to prevent water infiltration.

2. Replace doors, door frames, hinges, and hardware with wind-resistant units.

3. Strengthen windows.

4. Replace glass with impact-resistant material.

5. Install shutters on windows:

a. Of critical facilities, such as hospitals.

b. On the lower floors of noncritical facilities most likely to be struck by debris.

c. Of buildings with very high-value contents that can be damaged by water (such as

libraries and document centers).

d. Of buildings when failure of roofing materials or other portions of nearby

structures could create impact hazards.

IX. Signage: Replace sign panels and their supports with a stronger type of system of supports

and panels. Consider using multiple support posts and stronger panels and fasteners.

V4 2020 Page 247

APPENDIX K: CONTRACT PROVISIONS

The following is a list of frequent compliance issues with Federal procurement requirements

when Tribal or local government or private nonprofit (PNP) Applicants use cooperative

purchasing programs for procurements.

If an Applicant plans to use Federal funds to pay or reimburse equipment expenses or services

under a contract, that contract must contain the applicable clauses described in Appendix II to the

Uniform Rules (Contract Provisions for Non-Federal Entity Contracts Under Federal Awards)

under 2 C.F.R. § 200.326. Additionally, FEMA recommends certain contract clauses

recommended by FEMA.

This appendix outlines the federally required contract provisions in addition to FEMA-

recommended provisions applicable to PA applicant contracts. For some of the required clauses,

sample language or references to find sample language are listed below. Sample language for

certain required clauses (remedies, termination for cause and convenience, changes) is not listed

since these must be drafted in accordance with the non-Federal entity’s applicable local laws and

procedures. For the clauses which require that exact language be included, the required language

is specifically identified below.

The non-Federal entity alone is responsible for ensuring that all language included in their

contracts meets the requirements of 2 C.F.R. § 200.326 and 2 C.F.R. Part 200, Appendix II.

REMEDIES: Applies to all FEMA grant and cooperative agreement programs.

Contracts for more than the simplified acquisition threshold, currently set at $250,000, must

address administrative, contractual, or legal remedies in instances where contractors violate or

breach contract terms, and provide for such sanctions and penalties as appropriate. See 2 C.F.R.

Part 200, Appendix II, A.

TERMINATION FOR CAUSE AND CONVENIENCE: Applies to all FEMA grant and

cooperative agreement programs.

All contracts exceeding $10,000 must address termination for cause and for convenience by the

non-Federal entity, including how it will be affected and the basis for settlement. See 2 C.F.R.

Part 200, Appendix II, B.

EQUAL EMPLOYMENT OPPORTUNITY: This requirement applies to all FEMA grant and

cooperative agreement programs and exact language below is required.

Standard: Except as otherwise provided under 41 C.F.R. Part 60, all contracts that meet the

definition of “federally assisted construction contract” in 41 C.F.R. § 60-1.3 must include the

equal opportunity clause provided under 41 C.F.R. § 60- 1.4(b), in accordance with Executive

Order 11246, Equal Employment Opportunity (30 Fed. Reg. 12319, 12935, 3 C.F.R. Part, 1964-

1965 Comp., p. 339), as amended by Executive Order 11375, Amending Executive Order 11246

Relating to Equal Employment Opportunity, and implementing regulations at 41 C.F.R. Part 60

(Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department

of Labor). See 2 C.F.R. Part 200, Appendix II, C.

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Key Definitions.

Federally Assisted Construction Contract. The regulation at 41 C.F.R. § 60-1.3 defines a

“federally assisted construction contract” as any agreement or modification thereof

between any applicant and a person for construction work which is paid for in whole or in

part with funds obtained from the Government or borrowed on the credit of the

Government pursuant to any Federal program involving a grant, contract, loan, insurance,

or guarantee, or undertaken pursuant to any Federal program involving such grant,

contract, loan, insurance, or guarantee, or any application or modification thereof

approved by the Government for a grant, contract, loan, insurance, or guarantee under

which the applicant itself participates in the construction work.

Construction Work. The regulation at 41 C.F.R. § 60-1.3 defines “construction work” as

the construction, rehabilitation, alteration, conversion, extension, demolition or repair of

buildings, highways, or other changes or improvements to real property, including

facilities providing utility services. The term also includes the supervision, inspection,

and other onsite functions incidental to the actual construction.

Required Language: 41 C.F.R. Part 60-1.4(b) requires the insertion of the following contract

clause.

During the performance of this contract, the contractor agrees as follows:

(1) The contractor will not discriminate against any employee or applicant for employment

because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The

contractor will take affirmative action to ensure that applicants are employed, and that employees

are treated during employment without regard to their race, color, religion, sex, sexual

orientation, gender identity, or national origin. Such action shall include, but not be limited to the

following:

Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or

termination; rates of pay or other forms of compensation; and selection for training, including

apprenticeship. The contractor agrees to post in conspicuous places, available to employees and

applicants for employment, notices to be provided setting forth the provisions of this

nondiscrimination clause.

(2) The contractor will, in all solicitations or advertisements for employees placed by or on

behalf of the contractor, state that all qualified applicants will receive consideration for

employment without regard to race, color, religion, sex, sexual orientation, gender identity, or

national origin.

(3) The contractor will not discharge or in any other manner discriminate against any employee

or applicant for employment because such employee or applicant has inquired about, discussed,

or disclosed the compensation of the employee or applicant or another employee or applicant.

This provision shall not apply to instances in which an employee who has access to the

V4 2020 Page 249

compensation information of other employees or applicants as a part of such employee's essential

job functions discloses the compensation of such other employees or applicants to individuals

who do not otherwise have access to such information, unless such disclosure is in response to a

formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action,

including an investigation conducted by the employer, or is consistent with the contractor's legal

duty to furnish information.

(4) The contractor will send to each labor union or representative of workers with which he has a

collective bargaining agreement or other contract or understanding, a notice to be provided

advising the said labor union or workers' representatives of the contractor's commitments under

this section, and shall post copies of the notice in conspicuous places available to employees and

applicants for employment.

(5) The contractor will comply with all provisions of Executive Order 11246 of September 24,

1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.

(6) The contractor will furnish all information and reports required by Executive Order 11246 of

September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant

thereto, and will permit access to his books, records, and accounts by the administering agency

and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules,

regulations, and orders.

(7) In the event of the contractor's noncompliance with the nondiscrimination clauses of this

contract or with any of the said rules, regulations, or orders, this contract may be canceled,

terminated, or suspended in whole or in part and the contractor may be declared ineligible for

further Government contracts or federally assisted construction contracts in accordance with

procedures authorized in Executive Order 11246 of September 24, 1965, and such other

sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of

September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise

provided by law.

(8) The contractor will include the portion of the sentence immediately preceding paragraph (1)

and the provisions of paragraphs (1) through (8) in every subcontract or purchase order unless

exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204

of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon

each subcontractor or vendor. The contractor will take such action with respect to any

subcontract or purchase order as the administering agency may direct as a means of enforcing

such provisions, including sanctions for noncompliance:

Provided, however, that in the event a contractor becomes involved in, or is threatened with,

litigation with a subcontractor or vendor as a result of such direction by the administering

agency, the contractor may request the United States to enter into such litigation to protect the

interests of the United States.

The applicant further agrees that it will be bound by the above equal opportunity clause with

respect to its own employment practices when it participates in federally assisted construction

work: Provided, that if the applicant so participating is a State, Territorial, or local government,

V4 2020 Page 250

the above equal opportunity clause is not applicable to any agency, instrumentality or

subdivision of such government which does not participate in work on or under the contract.

The applicant agrees that it will assist and cooperate actively with the administering agency and

the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the

equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor,

that it will furnish the administering agency and the Secretary of Labor such information as they

may require for the supervision of such compliance, and that it will otherwise assist the

administering agency in the discharge of the agency's primary responsibility for securing

compliance.

The applicant further agrees that it will refrain from entering into any contract or contract

modification subject to Executive Order 11246 of September 24, 1965, with a contractor

debarred from, or who has not demonstrated eligibility for, Government contracts and federally

assisted construction contracts pursuant to the Executive Order and will carry out such sanctions

and penalties for violation of the equal opportunity clause as may be imposed upon contractors

and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II,

Subpart D of the Executive Order. In addition, the applicant agrees that if it fails or refuses to

comply with these undertakings, the administering agency may take any or all of the following

actions: Cancel, terminate, or suspend in whole or in part this grant (contract, loan, insurance,

guarantee); refrain from extending any further assistance to the applicant under the program with

respect to which the failure or refund occurred until satisfactory assurance of future compliance

has been received from such applicant; and refer the case to the Department of Justice for

appropriate legal proceedings.

CONTRACT WORK HOURS AND SAFETY STANDARDS ACT: This requirement applies

to all FEMA contracts awarded by the non-federal entity exceeding $100,000 under grant and

cooperative agreement programs that involve the employment of mechanics or laborers. It is

applicable to construction work. These requirements do not apply to the purchase of supplies or

materials or articles ordinarily available on the open market, or contracts for transportation or

transmission of intelligence.

Standard: Where applicable (see 40 U.S.C. §§ 3701-3708), all contracts awarded by the non-

Federal entity exceeding $100,000 that involve the employment of mechanics or laborers must

include a provision for compliance with 40 U.S.C. §§ 3702 and 3704, as supplemented by

Department of Labor regulations at 29 C.F.R. Part 5. See 2 C.F.R. Part 200, Appendix II, E.

Under 40 U.S.C. § 3702, each contractor must be required to compute the wages of every

mechanic and laborer based on a standard work week of 40 hours. Work exceeding the standard

work week is permissible provided that the worker is compensated at a rate of not less than one

and a half times the basic rate of pay for all hours worked beyond 40 hours in the work week.

Further, no laborer or mechanic must be required to work in surroundings or under working

conditions which are unsanitary, hazardous, or dangerous.

Suggested Language: 29 C.F.R. § 5.5(b) provides contract clause language concerning

compliance with the Contract Work Hours and Safety Standards Act. FEMA suggests including

V4 2020 Page 251

the following contract clause:

Compliance with the Contract Work Hours and Safety Standards Act.

(1) Overtime requirements. No contractor or subcontractor contracting for any part of the

contract work which may require or involve the employment of laborers or mechanics shall

require or permit any such laborer or mechanic in any workweek in which he or she is employed

on such work to work in excess of forty hours in such workweek unless such laborer or mechanic

receives compensation at a rate not less than one and one-half times the basic rate of pay for all

hours worked in excess of forty hours in such workweek.

(2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the

clause set forth in paragraph (b)(1) of this section the contractor and any subcontractor

responsible therefor shall be liable for the unpaid wages. In addition, such contractor and

subcontractor shall be liable to the United States (in the case of work done under contract for the

District of Columbia or a territory, to such District or to such territory), for liquidated damages.

Such liquidated damages shall be computed with respect to each individual laborer or mechanic,

including watchmen and guards, employed in violation of the clause set forth in paragraph (b)(1)

of this section, in the sum of $26 for each calendar day on which such individual was required or

permitted to work in excess of the standard workweek of forty hours without payment of the

overtime wages required by the clause set forth in paragraph (b)(1) of this section.

(3) Withholding for unpaid wages and liquidated damages. The (write in the name of the

Federal agency or the loan or grant recipient) shall upon its own action or upon written

request of an authorized representative of the Department of Labor withhold or cause to be

withheld, from any moneys payable on account of work performed by the contractor or

subcontractor under any such contract or any other Federal contract with the same prime

contractor, or any other federally-assisted contract subject to the Contract Work Hours and

Safety Standards Act, which is held by the same prime contractor, such sums as may be

determined to be necessary to satisfy any liabilities of such contractor or subcontractor for

unpaid wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of

this section.

(4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set

forth in paragraph (b)(1) through (4) of this section and also a clause requiring the subcontractors

to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible

for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in

paragraphs (b)(1) through (4) of this section.

CLEAN AIR ACT AND THE FEDERAL WATER POLLUTION CONTROL ACT: This

requirement applies to contracts awarded by a non-Federal entity of amounts exceeding

$150,000 under a federal grant.

Standard: If applicable, contracts must contain a provision that requires the contractor to agree to

comply with all applicable standards, orders, or regulations issued pursuant to the Clean Air Act

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(42 U.S.C. §§ 7401-7671q.) and the Federal Water Pollution Control Act as amended (33 U.S.C.

§§ 1251-1387). Violations must be reported to FEMA and the Regional Office of the

Environmental Protection Agency. See 2 C.F.R. Part 200, Appendix II, G.

Suggested Language: The following provides a sample contract clause.

Clean Air Act

1. The contractor agrees to comply with all applicable standards, orders or regulations

issued pursuant to the Clean Air Act, as amended, 42 U.S.C. § 7401 et seq.

2. The contractor agrees to report each violation to the (name of applicant entering into

the contract) and understands and agrees that the (name of the applicant entering

into the contract) will, in turn, report each violation as required to assure notification

to the Federal Emergency Management Agency, and the appropriate Environmental

Protection Agency Regional Office.

3. The contractor agrees to include these requirements in each subcontract exceeding

$150,000 financed in whole or in part with Federal assistance provided by FEMA.

Federal Water Pollution Control Act

1. The contractor agrees to comply with all applicable standards, orders, or regulations

issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C.

1251 et seq.

2. The contractor agrees to report each violation to the (name of the applicant entering

into the contract) and understands and agrees that the (name of the applicant

entering into the contract) will, in turn, report each violation as required to assure

notification to the Federal Emergency Management Agency, and the appropriate

Environmental Protection Agency Regional Office.

3. The contractor agrees to include these requirements in each subcontract exceeding

$150,000 financed in whole or in part with Federal assistance provided by FEMA.

DEBARMENT AND SUSPENSION: This requirement applies to all FEMA grant and

cooperative agreement programs.

Standard: Non-Federal entities and contractors are subject to the debarment and suspension

regulations implementing Executive Order 12549, Debarment and Suspension (1986) and

Executive Order 12689, Debarment and Suspension (1989) at 2 C.F.R. Part 180 and the

Department of Homeland Security’s regulations at 2 C.F.R. Part 3000 (Non-procurement

Debarment and Suspension).

V4 2020 Page 253

Requirements:

1. These regulations restrict awards, subawards, and contracts with certain parties that are

debarred, suspended, or otherwise excluded from or ineligible for participation in Federal

assistance programs and activities. See 2 C.F.R. Part 200, Appendix II, ¶ H; and 2 C.F.R.

§ 200.213. A contract award must not be made to parties listed in the SAM Exclusions.

SAM Exclusions is the list maintained by the General Services Administration that

contains the names of parties debarred, suspended, or otherwise excluded by agencies, as

well as parties declared ineligible under statutory or regulatory authority other than

Executive Order 12549. SAM exclusions can be accessed at www.sam.gov. See 2 C.F.R.

§ 180.530.

2. In general, an “excluded” party cannot receive a Federal grant award or a contract within

the meaning of a “covered transaction,” to include subawards and subcontracts. This

includes parties that receive Federal funding indirectly, such as contractors to recipients

and subrecipients. The key to the exclusion is whether there is a “covered transaction,”

which is any non-procurement transaction (unless excepted) at either a “primary” or

“secondary” tier. Although “covered transactions” do not include contracts awarded by

the Federal Government for purposes of the non-procurement common rule and DHS’s

implementing regulations, it does include some contracts awarded by recipients and

subrecipients.

3. Specifically, a covered transaction includes the following contracts for goods or services:

a. The contract is awarded by a recipient or subrecipient in the amount of at least

$25,000.

b. The contract requires the approval of FEMA, regardless of amount.

c. The contract is for federally required audit services.

d. A subcontract is also a covered transaction if it is awarded by the contractor of a

recipient or subrecipient and requires either the approval of FEMA or is in excess

of $25,000.

Suggested Language: The following provides a debarment and suspension clause. It incorporates

an optional method of verifying that contractors are not excluded or disqualified.

Suspension and Debarment

1. This contract is a covered transaction for purposes of 2 C.F.R. pt. 180 and 2 C.F.R. pt.

3000. As such, the contractor is required to verify that none of the contractor’s principals

(defined at 2 C.F.R. § 180.995) or its affiliates (defined at 2 C.F.R. § 180.905) are

excluded (defined at 2 C.F.R. § 180.940) or disqualified (defined at 2 C.F.R. § 180.935).

V4 2020 Page 254

2. The contractor must comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000,

subpart C, and must include a requirement to comply with these regulations in any lower

tier covered transaction it enters into.

3. This certification is a material representation of fact relied upon by (insert name of

recipient/subrecipient/applicant). If it is later determined that the contractor did not

comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C, in addition to

remedies available to (insert name of recipient/subrecipient/applicant), the Federal

Government may pursue available remedies, including but not limited to suspension

and/or debarment.

4. The bidder or proposer agrees to comply with the requirements of 2 C.F.R. pt. 180,

subpart C and 2 C.F.R. pt. 3000, subpart C while this offer is valid and throughout the

period of any contract that may arise from this offer. The bidder or proposer further

agrees to include a provision requiring such compliance in its lower tier covered

transactions.

BYRD ANTI-LOBBYING AMENDMENT: This requirement applies to all FEMA grant and

cooperative agreement programs. Contractors that apply or bid for a contract of $100,000 or

more under a federal grant must file the required certification. See 2 C.F.R. Part 200, Appendix

II, I; 31 U.S.C. § 1352; and 44 C.F.R. Part 18.

Standard: Each tier certifies to the tier above that it will not and has not used Federal appropriated

funds to pay any person or organization for influencing or attempting to influence an officer or

employee of any agency, a Member of Congress, officer or employee of Congress, or an

employee of a Member of Congress in connection with obtaining any Federal contract, grant or

any other award covered by 31 U.S.C. § 1352. FEMA’s regulation at 44 C.F.R. Part 18

implements the requirements of 31 U.S.C. § 1352 and provides, in Appendix A to Part 18, a copy

of the certification that is required to be completed by each entity as described in 31 U.S.C. §

1352. Each tier must also disclose any lobbying with non-Federal funds that takes place in

connection with obtaining any Federal award. Such disclosures are forwarded from tier-to-tier up

to the Federal awarding agency.

Suggested Language:

Byrd Anti-Lobbying Amendment, 31 U.S.C. § 1352 (as amended)

Contractors who apply or bid for an award of $100,000 or more shall file the required

certification. Each tier certifies to the tier above that it will not and has not used Federal

appropriated funds to pay any person or organization for influencing or attempting to influence

an officer or employee of any agency, a Member of Congress, officer or employee of Congress,

or an employee of a Member of Congress in connection with obtaining any Federal contract,

grant, or any other award covered by 31 U.S.C. § 1352. Each tier shall also disclose any lobbying

V4 2020 Page 255

with non-Federal funds that takes place in connection with obtaining any Federal award. Such

disclosures are forwarded from tier-to-tier up to the recipient who in turn will forward the

certification(s) to the awarding agency.

Required Certification: If applicable, contractors must sign and submit to the non-Federal entity

the following certification.

APPENDIX A, 44 C.F.R. PART 18 – CERTIFICATION REGARDING LOBBYING

Certification for Contracts, Grants, Loans, and Cooperative Agreements

The undersigned certifies, to the best of his or her knowledge and belief, that:

1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the

undersigned, to any person for influencing or attempting to influence an officer or

employee of an agency, a Member of Congress, an officer or employee of Congress, or

an employee of a Member of Congress in connection with the awarding of any Federal

contract, the making of any Federal grant, the making of any Federal loan, the entering

into of any cooperative agreement, and the extension, continuation, renewal, amendment,

or modification of any Federal contract, grant, loan, or cooperative agreement.

2. If any funds other than Federal appropriated funds have been paid or will be paid to any

person for influencing or attempting to influence an officer or employee of any agency, a

Member of Congress, an officer or employee of Congress, or an employee of a Member

of Congress in connection with this Federal contract, grant, loan, or cooperative

agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure

Form to Report Lobbying,” in accordance with its instructions.

3. The undersigned shall require that the language of this certification be included in the

award documents for all subawards at all tiers (including subcontracts, subgrants, and

contracts under grants, loans, and cooperative agreements) and that all subrecipients shall

certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this

transaction was made or entered into. Submission of this certification is a prerequisite for making

or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who

fails to file the required certification shall be subject to a civil penalty of not less than $10,000

and not more than $100,000 for each such failure.

The Contractor, _______________, certifies or affirms the truthfulness and accuracy of

each statement of its certification and disclosure, if any. In addition, the Contractor understands

and agrees that the provisions of 31 U.S.C. Chap. 38, Administrative Remedies for False Claims

and Statements, apply to this certification and disclosure, if any.

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Signature of Contractor’s Authorized Official

Name and Title of Contractor’s Authorized Official

Date

PROCUREMENT OF RECOVERED MATERIALS: This requirement applies to all

contracts awarded by a non-federal entity under FEMA grant and cooperative agreement

programs.

Standard: A non-Federal entity that is a state agency or agency of a political subdivision of a state

and its contractors must comply with Section 6002 of the Solid Waste Disposal Act, as amended

by the Resource Conservation and Recovery Act. See 2 C.F.R. Part 200, Appendix II, J; and 2

C.F.R. § 200.322.

Requirements: The requirements of Section 6002 include procuring only items designated in

guidelines of the EPA at 40 C.F.R. Part 247 that contain the highest percentage of recovered

materials practicable, consistent with maintaining a satisfactory level of competition, where the

purchase price of the item exceeds $10,000 or the value of the quantity acquired by the preceding

fiscal year exceeded $10,000; procuring solid waste management services in a manner that

maximizes energy and resource recovery; and establishing an affirmative procurement program

for procurement of recovered materials identified in the EPA guidelines.

Suggested Language:

1. In the performance of this contract, the Contractor shall make maximum use of products

containing recovered materials that are EPA-designated items unless the product cannot

be acquired—

a. Competitively within a timeframe providing for compliance with the contract

performance schedule;

b. Meeting contract performance requirements; or

c. At a reasonable price.

2. Information about this requirement, along with the list of EPA-designated items, is

available at EPA’s Comprehensive Procurement Guidelines web site,

https://www.epa.gov/smm/comprehensive- procurement-guideline-cpg-program.

3. The Contractor also agrees to comply with all other applicable requirements of Section

6002 of the Solid Waste Disposal Act.”

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RECOMMENDED CONTRACT PROVISIONS

The Uniform Rules authorize FEMA to require additional provisions for non-Federal entity

contracts. Although FEMA does not currently require additional provisions, FEMA recommends

the following for PA applicant contracts:

ACCESS TO RECORDS.

Standard: All recipients, subrecipients, successors, transferees, and assignees must acknowledge

and agree to comply with applicable provisions governing DHS access to records, accounts,

documents, information, facilities, and staff. Recipients must give DHS and FEMA access to,

and the right to examine and copy, records, accounts, and other documents and sources of

information related to the federal financial assistance award and permit access to facilities,

personnel, and other individuals and information as may be necessary, as required by DHS

regulations and other applicable laws or program guidance. See DHS Standard Terms and

Conditions: Version 8.1 (2018). Additionally, FEMA is prohibited from providing

reimbursement to any SLTT government, or PNP organization for activities made pursuant to a

contract that purports to prohibit audits or internal reviews by the FEMA administrator or

Comptroller General.

Suggested Language:

Access to Records. The following access to records requirements apply to this contract:

1. The Contractor agrees to provide (insert name of state agency or local or Indian tribal

government), (insert name of recipient), the FEMA Administrator, the Comptroller

General of the United States, or any of their authorized representatives access to any

books, documents, papers, and records of the Contractor which are directly pertinent to

this contract for the purposes of making audits, examinations, excerpts, and

transcriptions.

2. The Contractor agrees to permit any of the foregoing parties to reproduce by any means

whatsoever or to copy excerpts and transcriptions as reasonably needed.

3. The Contractor agrees to provide the FEMA Administrator or his authorized

representatives access to construction or other work sites pertaining to the work being

completed under the contract.

4. In compliance with the Disaster Recovery Act of 2018, the (write in name of the non-

federal entity) and the Contractor acknowledge and agree that no language in this

contract is intended to prohibit audits or internal reviews by the FEMA Administrator or

the Comptroller General of the United States.

CHANGES: FEMA recommends, therefore, that a non-Federal entity include a changes clause

in its contract that describes how, if at all, changes can be made by either party to alter the

V4 2020 Page 258

method, price, or schedule of the work without breaching the contract. The language of the

clause may differ depending on the nature of the contract and the end-item procured.

Standard: To be eligible for FEMA assistance under the non-Federal entity’s FEMA grant or

cooperative agreement, the cost of the change, modification, change order, or constructive

change must be allowable, allocable, within the scope of its grant or cooperative agreement, and

reasonable for the completion of project scope.

DHS SEAL, LOGO, AND FLAGS: FEMA recommends that Applicants include a provision

that a contractor shall not use the DHS seal(s), logos, crests, or reproductions of flags or

likenesses of DHS agency officials without specific FEMA pre-approval.

Standard: Recipients must obtain permission prior to using the DHS seal(s), logos, crests, or

reproductions of flags or likenesses of DHS agency officials. See DHS Standard Terms and

Conditions: Version 8.1 (2018).

Suggested Language: “The contractor shall not use the DHS seal(s), logos, crests, or

reproductions of flags or likenesses of DHS agency officials without specific FEMA pre-

approval.”

COMPLIANCE WITH FEDERAL LAW, REGULATIONS, AND EXECUTIVE

ORDERS: FEMA recommends that Applicants include an acknowledgement that FEMA

financial assistance will be used to fund the contract along with the requirement that the

contractor will comply with all applicable Federal law, regulations, executive orders, and FEMA

policies, procedures, and directives.

Standard: The recipient and its contractors are required to comply with all Federal laws,

regulations, and executive orders.

Suggested Language: “This is an acknowledgement that FEMA financial assistance will be used

to fund all or a portion of the contract. The contractor will comply with all applicable Federal

law, regulations, executive orders, FEMA policies, procedures, and directives.”

NO OBLIGATION BY FEDERAL GOVERNMENT: FEMA recommends that the non-

Federal entity include a provision in its contract that states that the Federal Government is not a

party to the contract and is not subject to any obligations or liabilities to the non-Federal entity,

contractor, or any other party pertaining to any matter resulting from the contract.

Standard: FEMA is not a party to any transaction between the recipient and its contractor. FEMA

is not subject to any obligations or liable to any party for any matter relating to the contract.

Suggested Language: “The Federal Government is not a party to this contract and is not subject

to any obligations or liabilities to the non-Federal entity, contractor, or any other party pertaining

to any matter resulting from the contract.”

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PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS OR RELATED

ACTS: FEMA recommends that the non-Federal entity include a provision in its contract that

the contractor acknowledges that 31 U.S.C. Chap. 38 (Administrative Remedies for False Claims

and Statements) applies to its actions pertaining to the contract.

Standard. Recipients must comply with the requirements of The False Claims Act (31 U.S.C. §§

3729-3733) which prohibits the submission of false or fraudulent claims for payment to the

federal government. See DHS Standard Terms and Conditions: Version 8.1 (2018); and 31

U.S.C. §§ 3801-3812, which details the administrative remedies for false claims and statements

made. The non-Federal entity must include a provision in its contract that the contractor

acknowledges that 31 U.S.C. Chap. 38 (Administrative Remedies for False Claims and

Statements) applies to its actions pertaining to the contract.

Suggested Language. “The Contractor acknowledges that 31 U.S.C. Chap. 38 (Administrative

Remedies for False Claims and Statements) applies to the Contractor’s actions pertaining to this

contract.”

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APPENDIX L: VALIDATION OF APPLICANT-

PROVIDED COST ESTIMATES

This Appendix provides a checklist that FEMA Public Assistance (PA) staff must use to review

and validate cost estimates submitted to FEMA for Permanent Work. FEMA staff may also use

relevant portions of this checklist for Emergency Work. FEMA includes this checklist in the

associated subaward file in PA Grants Manager.

The steps for validating Applicant-provided cost estimates are as follows:

1. Verify that the estimate:

 Is prepared by a licensed Professional Engineer or other estimating professional, such as

a licensed architect or certified professional cost estimator

408

who certifies that the

estimate was prepared in accordance with industry standards;

 Includes certification that the estimated cost directly corresponds to the repair of the

agreed upon damage;

 Is based on unit costs for each component of the scope of work (SOW) and not a lump

sum amount; and

 Contains a level of detail sufficient for FEMA to validate that all components correspond

with the agreed-upon SOW.

2. Review the scope of work and cost estimate to verify only eligible items are included:

 The scope of work items in the cost estimate are required based on the agreed-upon

damage description and dimensions.

 The scope of work included ineligible items, and FEMA has removed the ineligible

components from the estimate (documentation detailing the components removed and

reason for removal is attached).

 The scope of work included ineligible items, and FEMA is returning the estimate to the

Applicant to revise.

408

In lieu of a license or certification, an individual with professional experience and proficiency in the field of cost

estimating may prepare and sign the cost estimate.

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3. Determine whether unit costs are from an approved source of industry standard

information and whether current cost data publications were used:

There are numerous sources that may be used in the preparation of cost estimates.

 The Applicant used the following appropriate cost estimating resource(s):

 Industry standard construction cost estimating resource

 RSMeans

 XActimate

 BNi Costbooks

 Marshall & Swift

 Sweet’s Unit Cost Guide

 Other______________________________________________

 Local cost data from___________________________________________

 Contract unit costs from recently completed projects

 Other: ______________________________________________________

 FEMA returned the estimate to the Applicant to revise as the Applicant did not use an

appropriate cost estimate resource.

4. Determine the components of unit costs:

Ensure that the components that make up the unit costs are fully understood. The purpose of this

review is to ensure that components of the unit costs are not duplicated elsewhere in the cost

estimate.

 The estimate contained sufficient information related to the components of the unit costs:

 Each unit cost represented a complete and in-place cost that included all labor,

equipment, materials, small tools, incidentals, and hauling costs necessary to

complete that element of work.

 Unit costs were analyzed to determine if general contractor overhead and profit were

included in the unit costs:

 Both general contractor and subcontractor overhead and profit are included in

the unit costs and these costs are not duplicated elsewhere in the estimate or in

the Cost Estimating Format (CEF).

 Overhead and profit are not included in the unit costs.

 Overhead and profit are duplicated in the estimate.

 Costs for surveying, construction inspection, and permit compliance fees are

not duplicated (i.e., not included within a unit cost and separately in the

estimate).

 The estimate did not contain sufficient information related to the components of the

unit costs. FEMA requested additional information from the Applicant.

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5. Validate the cost estimate for completeness and reasonableness.

 The costs of work items are reasonable based on a representative sample.

 FEMA has determined costs for items of work in the estimate to be unreasonable (see

attached). Therefore, the estimate was returned to Applicant to revise.

 All items of work included in the cost estimate are eligible.

 FEMA has removed ineligible items of work from the cost estimate (see attached).

 All work activities required to complete the work are quantified with unit costs.

 The cost estimate included lump sum amounts for work activities that need to be adjusted

to unit prices. FEMA has returned the estimate to the Applicant for revision.

 The appropriate locality adjustment factor from the cost estimating publication is used for

each line item, as applicable. Where historical costs were used, a locality adjustment was

not applied, but cost escalation factors were added.

 The appropriate locality adjustment factor from the cost estimating publication was not

used (see attached) or, as historical costs were used, a locality adjustment was

inappropriately applied.

 Cost items checked are within 10 percent of the local average weighted unit prices or

industry standard construction cost data (based on a review of at least six of the ten

largest cost items against local average weighted unit prices or industry standard

construction cost data (or there were less than ten cost items and all were reviewed) and

based on reviewing at least 25 percent of the remaining cost items against local average

weighted unit prices or industry standard construction cost data.

 Cost items checked are not within 10 percent of the local average weighted unit prices or

industry standard construction cost data; therefore, the estimate was returned to Applicant

to revise.

Date Review Completed______________________

Date of Information Requests to Applicant_________________________

Name of Reviewer__________________________

Reviewer Signature________________________________

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APPENDIX M: ALTERNATIVE PROCEDURES

FOR PERMANENT WORK

Alternative Procedures for Permanent Work under Section 428 of the Stafford Act is designed to

achieve better recovery outcomes and simplify the delivery of assistance.

Objectives

• Focus on outcome-based recovery;

• Enable applicants to use funds in a manner that best meets their specific needs for

recovery;

• Promote long-term resiliency;

• Improve future preparedness; and

• Simplify the delivery of assistance.

Benefits of using the Pilot

• No requirement to rebuild communities back to what existed prior to the disaster.

• Applicants can share funds across all Permanent Work Pilot Projects.

• Excess funds may be used to reduce risk and improve future disaster operations.

• Hazard mitigation funding may be added to Replacement Projects.

Project Requirements

• In order to receive the benefits:

 The project must be a Large Project.

 Applicants must accept a fixed cost offer.

• The fixed cost is based on the estimated amount to rebuild to pre-disaster design and

function.

• FEMA processes any project that does not have a fixed cost accepted within 18 months

of the declaration date using standard PA policies.

• FEMA will consider time extensions on a case by case basis.

The attached table summarizes the differences between the Alternative Procedures and standard

PA procedures:

Alternative Procedures

Standard Procedures

Fixed-cost project with use of excess funds.

Actual cost project. No retention of excess funds

associated with the approved estimate.

May use funds across all Alternative Procedures

Projects.

Can only use funds toward the specific work

identified in each specific Project.

After FEMA approves a SOW, FEMA only requires

approval for changes that involve buildings or structures

aged 45 years or older, ground disturbing activities, or

work in or near water.

After FEMA approves a SOW, FEMA requires

approval for any change to the SOW.

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Do not need to track costs associated with changes to

the SOW.

Must track costs associated with all changes to

the SOW.

Do not need to track costs to specific work items. Only

need to track the total costs associated with the

Alternative Procedures Projects.

Must track costs specific to each work item

within each individual project.

Do not need to track work to specific projects. Only

need to substantiate that the work is related to the

approved SOW covered in the Alternative Procedures

Projects.

Must track all work to each individual project.

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APPENDIX N: WORK ELIGIBILITY CONSIDERATIONS BY TYPE

OF FACILITY

Work Eligibility Considerations: All Facilities

PAPPG Reference

Topic

Applicability

Chapter 4:II, Facility Eligibility Facility Eligibility All Permanent Work.

Chapter 4:I, General Work Eligibility

General Work Eligibility

o Result of Declared Incident

o Within Designated Area

o Applicant’s Legal

Responsibility

All work.

Chapter 6, Cost Eligibility Cost Eligibility All eligible work.

Chapter 7, Emergency Work Eligibility Emergency Work Eligibility All Emergency Work.

Chapter 7:I, Debris Removal (Category A) Debris Removal Eligibility All Debris Removal Work.

Chapter 4:I.C; Chapter 7 and ; Appendix A

Environmental and Historic

Preservation (EHP) Compliance

All work (including ground disturbance for any staging areas,

access roads, parking, landscaping, grading, or utilities).

Chapter 8:III, Codes and Standards Codes and Standards Upgrades to pre-disaster design required by codes or standards.

Chapter 8:IV, Hazard Mitigation; and Appendix J Hazard Mitigation Hazard mitigation is any sustained action (work) taken to reduce

or eliminate long-term risk to people and property from natural

hazards and their effects

Chapter 8:V, Repair vs. Replacement Replacement The purpose of the 50% Rule is to make an early determination

on whether it is more prudent to repair or replace a facility. It is

not intended to be a full calculation of all eligible project costs.

Chapter 8:VI, Relocation Permanent Relocation

FEMA may approve funding for and require restoration of an

Applicant’s destroyed (i.e., eligible for replacement) facility at a

new location.

Chapter 8:III.E, Floodplain Management and Wetland

Protection and VII, Facility Located in or Impacting a

Floodplain

Floodplain Considerations All Permanent Work in or impacting the floodplain

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Work Eligibility Considerations: All Facilities

Chapter 8:IX.F, Landslides and Slope Stabilization Landslides and Slope

Stabilization

Facilities damaged due to a landslide or slope instability

triggered by the incident.

Chapter 7:II.V, Temporary Relocation of Essential

Services

Temporary Relocation Certain essential community service facilities.

Work Eligibility Considerations: Roads and Bridges

Road (including surface, base, shoulders, roadside ditches, guardrails, lighting, signage, sidewalks, etc.), drainage structure (culvert, low-water crossing),

bridge (including, but not limited to, decking, pavement, piers, girders, abutments, slope protection, approaches, guardrails, lighting, signage, sidewalks)

EHP laws, regulations, and executive orders (EOs) that frequently apply: NEPA; NHPA, ESA, CWA, CAA, EOs 11988 and 11990; projects involving work in

waterways usually require Section 404 permits – permits issued by the USACE as required by the CWA.

PAPPG

Reference

Category

Eligible Work (including,

but not limited to):

Ineligible Work and Costs

Other Considerations

Chapter 7:I

Debris removal and disposal to

eliminate an immediate threat

o Removal of debris placed on public

ROWs from commercial properties

unless pre-approved by FEMA

o Removal of materials related to the

construction, repair, or renovation of

either residential or commercial

structures

Must distinguish between incident-related

debris versus debris generated by other

recent events.

Chapter 7:II.J

Emergency access

If the extent of damage or

blockage makes these areas

inaccessible, work related to

providing access is eligible.

o This includes clearing

debris from or conducting

emergency repairs to an

access facility, such as a

road or bridge.

o Eligible work is limited to

that necessary for the

access to remain passable

o Removal of debris from a privately-

owned access facility UNLESS no other

access point exists, and damage or

debris impedes emergency access.

o Emergency repairs to privately-owned

roads UNLESS no other access point

exists, damage impedes emergency

access, and repair eliminates

temporary housing needs.

The Applicant must complete all necessary

legal processes or obtains rights-of-entry

and agreements to indemnify and hold

harmless the Federal Government.

V4 2020 Page 267

Work Eligibility Considerations: Roads and Bridges

Road (including surface, base, shoulders, roadside ditches, guardrails, lighting, signage, sidewalks, etc.), drainage structure (culvert, low-water crossing),

bridge (including, but not limited to, decking, pavement, piers, girders, abutments, slope protection, approaches, guardrails, lighting, signage, sidewalks)

EHP laws, regulations, and executive orders (EOs) that frequently apply: NEPA; NHPA, ESA, CWA, CAA, EOs 11988 and 11990; projects involving work in

waterways usually require Section 404 permits – permits issued by the USACE as required by the CWA.

Chapter 7:II.X B Emergency repairs to address

an immediate threat

o Emergency repair of Federal-Aid

highways (under FHWA authority).

Chapter 6:XXI.A

and B; Chapter

8:IX.A

C Restoration: Permanent repair

or replacement

o Loss of useful service life.

o Loss of toll revenue.

o Construction of additional lanes even

if required by a code or standard,

except when code requires changing a

one lane bridge to two lanes.

o Costs related to maintenance of roads

are ineligible.

o Federal-aid routes are ineligible for

Permanent Work.

o Must distinguish between minor

incident-related damage and damage

related to age of the road, traffic flow,

and frequent rain events.

o Need date of construction for culvert

and any nearby structures that may be

altered or affected by the project.

o Hydrology and hydraulic study to

evaluate upstream and downstream

impacts are necessary if replacing

culvert with larger culvert.

V4 2020 Page 268

Work Eligibility Considerations: Water Control Facilities

Dam or reservoir, irrigation and water conveyance (canal, pipeline, lateral, pump station, siphon), aqueducts, drainage channels, sediment and debris

basins, stormwater retention and detention basins, coastal shoreline protection facilities (seawall, revetment), flood control work (levee, floodwall, flood

control channel, dam, or basin, and other structure primarily used for flood control), navigational waterways, and shipping channels

EHP laws, regulations, and EOs that frequently apply: NEPA; NHPA, ESA, CWA, EOs 11988 and 11990; projects involving work in waterways usually require

Section 404 permits – permits issued by the USACE as required by the CWA.

PAPPG

Reference

Category Eligible Work (including, but not limited to): Ineligible Work and Costs

Other

Considerations

Chapter 7:I.C

Debris removal and disposal (from natural feature or

engineered facility) to eliminate an immediate threat

o For navigable waterways, debris removal eligibility is

limited to a max depth of 2 feet below the low tide

draft of the largest vessel that utilized the waterway

prior to the incident.

o For non-navigable waterways, debris removal is only

eligible to the extent that it is necessary to eliminate

an immediate threat if the debris:

- Obstructs, or could obstruct, intake structures;

- Could cause damage to structures; or

- Is causing, or could cause, flooding to property

during the occurrence of a 5-year flood.

o Removal of debris to eliminate a

threat of flooding to agricultural

land.

o Random surveys to look for debris.

o Debris removal from flood control

works that are under the specific

authority of NRCS and/or USACE.

o Must distinguish

between incident-

related debris

versus pre-existing

debris and debris

generated by other

incidents.

o Cannot duplicate

funding provided by

another Federal

agency (e.g., USACE

or NRCS).

V4 2020 Page 269

Work Eligibility Considerations: Water Control Facilities

Dam or reservoir, irrigation and water conveyance (canal, pipeline, lateral, pump station, siphon), aqueducts, drainage channels, sediment and debris

basins, stormwater retention and detention basins, coastal shoreline protection facilities (seawall, revetment), flood control work (levee, floodwall, flood

control channel, dam, or basin, and other structure primarily used for flood control), navigational waterways, and shipping channels

EHP laws, regulations, and EOs that frequently apply: NEPA; NHPA, ESA, CWA, EOs 11988 and 11990; projects involving work in waterways usually require

Section 404 permits – permits issued by the USACE as required by the CWA.

Chapter

7:II.H;

Chapter

8:IX.2

Flood-fighting (on natural feature or engineered facility)

or emergency repairs (engineered and maintained

facility only) to address an immediate threat

o The repair of deliberate breaches or removal of

flood-fighting measures is eligible as part of the

Category B emergency protective measure project.

o Emergency protective measures to

reduce the threat of flooding to

agricultural land.

o Emergency repair of flood control

works that are under the authority

of USACE or NRCS.

o Flood-fighting measures on a flood

control work that is under the

authority of the NRCS.

o Permanently increasing height or

capacity of a flood control work.

o De-watering of flooded areas

primarily for the purpose of drying

land.

o Emergency repair of a secondary

levee riverward of a primary levee.

o Emergency repairs of flood control

works under the authority of NRCS

and USACE and of federally

constructed coastal shoreline

protective features under the

authority of USACE.

o USACE can conduct

flood fighting

activities. USACE

cannot reimburse

Applicants for flood

fighting efforts.

Chapter

8:IX.B.1 and

D Debris and silt removal required to restore capacity

(engineered and maintained facilities only)

o Eligible, but only if the Applicant provides

documentation to establish the pre-disaster capacity

of the facility AND that the facility was actively used

and maintained with a regular clearance schedule.

o Restoration of flood control works

under the authority of USACE or

NRCS.

V4 2020 Page 270

Work Eligibility Considerations: Water Control Facilities

Dam or reservoir, irrigation and water conveyance (canal, pipeline, lateral, pump station, siphon), aqueducts, drainage channels, sediment and debris

basins, stormwater retention and detention basins, coastal shoreline protection facilities (seawall, revetment), flood control work (levee, floodwall, flood

control channel, dam, or basin, and other structure primarily used for flood control), navigational waterways, and shipping channels

EHP laws, regulations, and EOs that frequently apply: NEPA; NHPA, ESA, CWA, EOs 11988 and 11990; projects involving work in waterways usually require

Section 404 permits – permits issued by the USACE as required by the CWA.

Chapter

8:IX.B.2

D Restoration: Permanent Repair or Replacement

o PNP irrigation facilities are only eligible if they

provide water for essential services of a

governmental nature to the general public for water

for drinking water supply, fire suppression, or

electricity generation.

o Restoration of natural channels,

lakes, and shorelines—that is, any

feature that is not improved and

maintained.

o Restoration of PNP irrigation

systems that provide water solely

for agricultural purposes.

o Restoration of federally

constructed coastal shoreline

protective features.

o Restoration of flood control works

under the authority of USACE or

NRCS.

V4 2020 Page 271

Work Eligibility Considerations: Buildings, Vehicles, and Equipment

EHP laws, regulations, and EOs that frequently apply: NEPA, NHPA, CAA, ESA and EOs 11988 and 11990

PAPPG

Reference

Category

Eligible Work (including, but

not limited to):

Ineligible Work and Costs

Other Considerations

Chapter

7:II.B

Extracting water and clearing mud,

silt, or other accumulated debris

from eligible facilities if the work is

conducted expeditiously for the

purpose of addressing an

immediate threat (if the work is

only necessary to restore the

facility, it is Permanent Work, not

Emergency Work)

o Conducted on private property

UNLESS FEMA approves the work

because:

- The immediate threat is

widespread, affecting numerous

homes and businesses such that it

is a threat to the health and

safety of the general public;

- The Applicant has legal authority

to perform the work; and

- The Applicant obtained rights-of-

entry and agreements to

indemnify and hold harmless the

Federal Government.

Chapter

8:IX.C.1

Removal of mud, silt, or other

accumulated debris is eligible as

Permanent Work when conducted

in conjunction with restoration of

the facility.

Chapter

7:II.B

Mold remediation to address

immediate threat of additional

damage

o Includes post-remediation

sampling to confirm

remediation is complete.

o Mold remediation required as a result

of poor facility maintenance or failure

to take protective measures in a

reasonable amount of time following

the incident.

o Pre-remediation mold sampling is

only eligible when sampling reveals

presence of mold.

Chapter

8:IX.C.1

Mold remediation when conducted

in conjunction with restoring the

facility

o Post-remediation sampling to

confirm remediation is

complete.

Mold remediation required as a result

of poor facility maintenance or failure

to take protective measures in a

reasonable amount of time following

the incident.

Pre-remediation mold sampling is

only eligible when sampling reveals

presence of mold.

V4 2020 Page 272

Work Eligibility Considerations: Buildings, Vehicles, and Equipment

EHP laws, regulations, and EOs that frequently apply: NEPA, NHPA, CAA, ESA and EOs 11988 and 11990

PAPPG

Reference

Category

Eligible Work (including, but

not limited to):

Ineligible Work and Costs

Other Considerations

Chapter 7:II. B

Emergency protective measures to

address an immediate threat

o Buttressing, bracing, or shoring.

o Barricading and safety fencing.

o Flood protection, such as

sandbagging.

o Emergency repairs to prevent

further damage.

Chapter

7:II.U

Demolition to address an

immediate threat

o Demolition of private structures

may be eligible when collapse is

imminent, and an immediate

threat exists to the general

public subject to additional

requirements.

o Removal of slabs or foundations that

do not present a health or safety

hazard.

o Removal or covering concrete pads

and driveways.

o Exception to both – Structures in a

buyout program funded by FEMA

through the HMGP.

o If securing an unsafe structure and

the surrounding area to prevent

access is sufficient to alleviate the

threat to public safety, demolition

may not be necessary or eligible.

Chapter 7:

II.S

B Safety inspections

o To establish whether a building

is safe for entry, occupancy,

and lawful use, as well as

posting appropriate placards.

o Eligible for both public and

private buildings.

o Inspections associated with:

 A determination of Substantial

Damage under the community’s

floodplain management

ordinance.

 A determination of whether the

building needs to be elevated or

relocated.

 Ensuring repairs are completed in

accordance with building codes

and standards.

V4 2020 Page 273

Work Eligibility Considerations: Buildings, Vehicles, and Equipment

EHP laws, regulations, and EOs that frequently apply: NEPA, NHPA, CAA, ESA and EOs 11988 and 11990

PAPPG

Reference

Category

Eligible Work (including, but

not limited to):

Ineligible Work and Costs

Other Considerations

Chapter

6:XVII,

8:IX.C.1 and

Appendix C

E Post-earthquake inspection and

evaluation of welded steel moment

frames in buildings

o To determine the level of

disaster-related damage

requiring repair.

o Preliminary assessment to determine

which buildings are likely to have

sustained damage to welded steel

moment frame connections.

o Detailed analytical or experimental

studies.

o Inspections that do not yield discovery

of significant connection damage

attributable to the earthquake.

o The repair of the damaged frame

connections to pre-earthquake design

in accordance with FEMA 352, Chapter

6, is eligible, but only if FEMA approves

a specific SOW for the repairs prior to

the Applicant performing the work.

o Repair of the architectural finishes and

fire retardants removed in the area of

the damage are also eligible.

Chapter

6:XXI.C.; 8:I.;

III.; VII, IX.C,

C.1 and C.2

E Restoration – Permanent repair or

replacement

o Repair or replacement of

buildings (to achieve pre-

disaster design, capacity, and /

or function)

o Repair or replacement of

building components, vehicles

or equipment with items similar

in age, condition, and capacity.

o Tax assessments.

o Additional capacity necessary due to

increased population or use, even if

required by code.

o Americans Disabilities Act (ADA), if the

Applicant was notified of being in

violation of a requirement prior to the

incident and did not bring the facility

into compliance, then accessibility

requirements related to the violation

are ineligible.

o Need date(s) of construction of all

facilities in the project area.

o Check National Register of Historic

Places or a State historic register.

o Identify whether the building is

located in the 100-year floodplain

(500-year for critical actions).

o Public Housing Authority facility(s) is

only eligible for Permanent Work if

Congress does not appropriate funds

to HUD for emergency capital needs

for the facility.

o Must consider the age of the building,

roof, and building systems; evidence

of regular maintenance; severity and

impacts of incident when

distinguishing between incident-

related damage and pre-existing

damage.

o Comply with federally required codes

and standards when repairing or

replacing building.

V4 2020 Page 274

Work Eligibility Considerations: Contents

Furnishings, equipment, consumable supplies, files, records, research-related contents, animals, irreplaceable collections and individual objects, library

books, and publications.

PAPPG

Reference

Category

Eligible Work (including, but not

limited to):

Ineligible Work and Costs

Other

Considerations

Chapter

7.II.B

B Address an immediate threat

o Removal and storage of contents to

minimize additional damage

Chapter

8:IX.C

E Restoration – Permanent repair or

replacement

o Replacement of destroyed contents

with items similar in age, condition,

and capacity.

o Recovering and stabilizing records.

o Stabilization of irreplaceable collections

and individual objects is eligible.

o Re-shelving, cataloging, and other work

incidental to the replacement of library

books and publications.

o Replacing used items with new items, unless a used

replacement item is not reasonably available.

o Establishing new information databases.

o Manually re-entering data into new computers

o Scanning re-established hardcopy files into

computers to create digital files.

o Deciphering photocopies of damaged hard copies.

o Research-related contents and animal

replacement, if a comparable item/animal is not

available for purchase at a reasonable cost.

o Replacement of rare books, collections, or objects.

Applicants may

replace contents

with different

items used for

the same

general

purpose.

o Eligible funding

is capped at the

estimated cost

for equivalent

items.

V4 2020 Page 275

Work Eligibility Considerations: Utilities

Water storage, treatment plants, and delivery systems; power generation, transmission, and distribution facilities, including, but not limited to, natural

gas systems, wind turbines, generators, substations, and power lines; sewage collection systems and treatment plants; communication systems

EHP laws, regulations, and EOs that frequently apply: NEPA, NHPA, ESA, CAA, CWA, and EOs 11988 and 11990

PAPPG

Reference

Category

Eligible Work (including, but not

limited to):

Ineligible Work and Costs

Other Considerations

Chapter

6:XXI. A and

D; 7:II.X

Emergency protective measures to address an

immediate threat

o Buttressing, bracing, or shoring.

o Barricading and safety fencing.

o Flood protection, such as sandbagging.

o Emergency repairs to prevent further

damage.

o Residential electrical meter repair

o Revenue lost due to shutdown of a

utility.

o Increased operating costs, such as

increased costs for obtaining an

alternative source of power because

of the shutdown of a power

generation plant.

o Work performed under an

exigent circumstance that

restores the pre-disaster

design and function of the

facility in accordance with

codes and standards is

Permanent Work (Category

F), not Emergency Work

(Category B).

o Rural electric cooperatives,

municipal utilities, and

public power districts

frequently use time and

equipment contracts for

power distribution system

repairs. Costs under these

contracts are subject to

certain criteria.

o Limited ROW clearance

required to access a

damaged facility may be

eligible.

Chapter

6:XVII and

8:IX.D

Restoration

o Permanent repair or replacement of any

component of system, including buildings,

structures, or systems, even if not

contiguous.

o Electrical conductor replacement subject

to specific criteria.

o Inspection or assessment of damaged

components of a system.

o Inspection or assessment of an

inaccessible structure or component of a

system may be eligible, but only when

there is evidence of damage, such as when

sunken ground appears above a water

pipeline.

o General post-disaster surveys,

inspections, and assessments, such as

video inspection of sewer lines.

V4 2020 Page 276

Work Eligibility Considerations: Parks, Recreation, and Other

EHP laws, regulations, and EOs that frequently apply: NEPA, NHPA, CZMA, CBRA, ESA, CWA, and EOs 11988 and 11990

PAPPG

Reference

Category

Eligible Work (including, but

not limited to):

Ineligible Work and Costs

Other

Considerations

Chapter 7:II. B

Emergency protective measures to

address an immediate threat

o Buttressing, bracing, or shoring.

o Barricading and safety fencing.

o Flood protection, such as

sandbagging.

o Emergency repairs or

stabilization to eliminate or

lessen an immediate threat.

o Work performed under an exigent circumstance that

restores the pre-disaster design and function of the

facility in accordance with codes and standards is

Permanent Work, not Emergency Work

Chapter 8:IX.E G

Restoration – Permanent repair or

replacement

o Restoration of engineered

beaches is subject to specific

eligibility criteria.

o Restoration of federally constructed beaches or shoreline

protection facilities.

o Restoration of PNP parks and recreational facilities,

including supporting facilities such as roads, buildings,

and utilities.

o Restoration of natural, unimproved features.

o Replacement of dead trees, shrubs, and other vegetation

(unless necessary for slope stabilization, erosion control,

minimizing sediment runoff, or restoring the function of

the facility).

o Replacement of destroyed crops; cosmetic or aesthetic

vegetation.